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ARCHIVED - RPP 2007-2008
Natural Sciences and Engineering Research Council


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Section III – Supplementary Information

Organizational Information

NSERC is a separate employer of the Government of Canada, reporting to Parliament through the Minister of Industry, and governed by a Council as mandated in the Natural Sciences and Engineering Research Council Act (1985).28


28The Natural Sciences and Engineering Research Council Act was first passed in 1977. A modification to the Act was passed in 1985 (http://laws.justice.gc.ca/en/N-21/index.html).


Mandate

The functions of NSERC, based on the authority and responsibility assigned to it under the Natural Sciences and Engineering Research Council Act (1976-77, c.24), are to:

  • Promote and assist research in the natural sciences and engineering, other than the health sciences; and
  • Advise the Minister in respect of such matters relating to such research as the Minister may refer to the Council for its consideration.

Council and Governance Structure

NSERC is governed by a Council which consists of a president and 21 members who are drawn from universities as well as from the private and public sectors, and are appointed by the Governor-in-Council. Members serve part-time and receive no remuneration for their participation. NSERC’s President serves full-time and functions as the Chair of the Council and the Chief Executive Officer.

NSERC Governance Structure

The diagram below describes NSERC’s governance structure.

NSERC Governance Structure

NSERC Organizational Chart

NSERC Organizational Chart

NSERC and the Social Sciences and Humanities Research Council (SSHRC) share a Common Administrative Services Directorate which is responsible for finances, facilities, security, human resources and information services for both Councils. This structure maximizes the efficiency of both Councils’ administrative requirements and is one of the reasons that NSERC is able to maintain its administration budget at 5% of total planned spending.

Departmental Links to Government of Canada Outcomes


2007-2008
($ millions)
Budgetary
Total Main Estimates
Adjustments (Planned Spending not in Main Estimates)
Total Planned Spending
 
Operating
Grants
Strategic Outcome 1: People: Highly skilled science and engineering professionals in Canada
Program Activity 1.1: Promote Science and Engineering
0.2
3.9
4.1
 
$4.1
Program Activity 1.2: Support Students and Fellows
6.8
129.6
136.4
 
$136.4
Program Activity 1.3: Attract and Retain Faculty
2.9
164.9
167.8
 
$167.8
Strategic Outcome 2: Discovery: High quality Canadian-based competitive research in the natural sciences and engineering
Program Activity 2.1: Fund Basic Research
16.2
387.2
403.4
0.229
$403.6
Program Activity 2.2: Fund Research in Strategic Areas
3.8
53.9
57.7
 
$57.7
Strategic Outcome 3: Innovation: Productive use of new knowledge in the natural sciences and engineering in Canada
Program Activity 3.1: Fund University-Industry-Government Partnerships
9.9
105.1
115
 
$115
Program Activity 3.2: Support Commercialization
0.8
14.4
15.2
 
$15.2

All of NSERC’s program activities contribute to the achievement of the Government of Canada’s “Innovative and Knowledge-based Economy” outcome area (within the Economic Affairs cluster).


29An additional $0.2M has been allocated to NSERC’s operating budget in support of internal audit activities for 2007-08 by the Secretariat of the Treasury Board.


Pilot Programs and Recent Initiatives

NSERC has developed and implemented several pilot programs to address particular issues such as research capacity, technology transfer from colleges to industry, and the training of young Canadians in fundamental science and mathematics concepts.

Pilot Programs

The following programs are currently funded on a pilot basis. In all cases, a national competition was held to award grants for the pilot phase and the programs are being monitored to determine their impact on the issues they aim to address. These pilot programs have been designed so that results can be measured against the program objectives early in the life of the program. For pilot programs that have a positive impact relative to their stated objectives, continued funding for the program will be sought.

  • College and Community Innovation – When technical expertise is made available to local industry, and particularly to small business, the local capacity for innovation is enhanced. In October 2004, NSERC awarded six grants to increase the capacity of community colleges, institutes of technology and Cégeps to work with local industry and businesses and to advance innovation at the community and regional level. NSERC is working with the colleges funded through this program to measure its progress and impact. An evaluation of this pilot program was initiated in the second half of 2006. Evaluation results are expected by the end of the first quarter of 2007.
  • Research Capacity Development in Small Universities – Researchers in smaller universities across Canada face particular challenges in establishing high quality research programs. Some universities have a very limited supply of graduate students due to a lack of graduate programs, while universities in rural areas may have difficulty establishing partnerships with a diverse range of businesses. To make the most of Canada's research talent, wherever it is located, NSERC launched a pilot program to help small universities further develop their research capabilities. Seven awards were announced in October 2004 to help small universities build the foundations and reduce barriers to increased productivity in research. To date, analysis of progress reports submitted by recipient institutions suggests that the program is meeting its objectives. NSERC staff will visit the seven institutions in 2007 to discuss progress and the impact of the awards on the institutions’ research environments. The outcomes of these discussions will support the formal evaluation of the program which is planned for 2008.
  • Centres for Research in Youth, Science Teaching and Learning (CRYSTALs) – To be counted among the world’s most innovative people, Canadians must build a stronger foundation of understanding and appreciation of science and math, and attract more of the brightest youth to science and engineering careers. CRYSTALs are multi-disciplinary research centres that work with the provinces to improve research into primary and secondary school science and math education. In May 2005, five grants were announced for such centres across Canada. By late May 2006, all Centres had submitted progress reports for Year 1. The first National CRYSTALs Meeting was held in November 2006, bringing together participants from all five Centres; a second national meeting is planned for November 2007. Site visits by NSERC staff to all Centres are planned for 2007 and will be part of the program evaluation preparation phase. A program evaluation is planned for 2009.

Recent Initiatives

  • Regional Offices – NSERC is committed to building a network of small regional offices to play a stronger role in research, training and innovation in all regions of the country. NSERC-Atlantic was officially opened in Moncton, New Brunswick, in July 2004 and a second regional office, NSERC-Prairies began operation in September 2005 in Winnipeg, Manitoba, with an official opening in June 2006. Between mid-May and October 2006, staffing was completed for NSERC-Pacific, the third NSERC regional office, which is located in Vancouver, British Columbia, and will be officially opened early in 2007. Planning is underway to open offices in Québec and Ontario in the near future.
    While the mandate of each regional office is tailored to the needs and makeup of the community it serves, in general their role includes:
    • Presence – Being aware of the needs of clients and partners and participating in the development of new opportunities for the region;
    • Access to programs – Promoting greater understanding in the region of the programs and opportunities provided by NSERC; and
    • Promotion – Showcasing science and engineering, celebrating research and innovation successes, and promoting science and math education.

Measuring the Impact of Government Investments

It is important to demonstrate to Canadians the results of public investments in research, training and innovation, and to ensure that such investments are the most efficient and effective methods of furthering the goals of Canada’s productivity and prosperity agenda.

NSERC is committed to monitoring the results of its investments. It maintains a long-term evaluation plan to ensure its programs are reviewed regularly and program mechanisms are achieving their intended objectives. NSERC posts the results of program evaluations on its Web site, and each year provides information on all scholarships, fellowships and grants awarded as well as key statistics relating to Canadian research, training and innovation performance.

NSERC will continue to work with its stakeholder communities, other funding agencies, and other federal departments and agencies to ensure that the information collected and disseminated properly demonstrates the impact of such public investments. See Table 6: Internal Audits and Evaluations.

NSERC Participation in Government-Wide Initiatives

NSERC is committed to organizational innovation to improve its program delivery and reach, and to better communicate the impact of publicly funded research on quality of life. To further this goal, NSERC is an active participant in federal working groups and multi-departmental initiatives.

NSERC will continue to liaise with science-based departments and agencies on government priorities and issues that transcend a single department’s mandate. NSERC will also pursue opportunities to develop policies and initiatives in conjunction with SSHRC and CIHR, especially when such initiatives relate to research that falls within the mandate of more than one granting agency, or where common policies, procedures and systems will provide more efficient service for the Canadian research community.

The agencies will continue to enhance the very strong coordination and collaborations that are in place in the management of tri-council programs such as the Networks of Centres of Excellence, the Canada Research Chairs and the Indirect Costs of Research, as well as stewardship and control initiatives such as the tri-council Secretariat on Research Ethics, the Interagency Advisory Panel on Research Ethics and the Memorandum of Understanding on the Roles and Responsibilities in the Management of Federal Grants and Awards. Another example of harmonized stewardship are the monitoring activities at institutions receiving funding from the granting agencies, to ensure that they have appropriate control frameworks in place. These are conducted jointly by NSERC, SSHRC and CIHR.

In the area of electronic business solutions, NSERC and SSHRC have established a new bi-council Integrated Management/Information Technology (IM/IT) Steering Committee to replace their respective equivalent steering committees. In June 2006, three strategic priorities and nine business objectives were approved by the Steering Committee. In conjunction with this initiative the Electonic Service Delivery and eBusiness approaches and teams were consolidated. The resulting team, the Electronic Business Solutions team (EBS), has defined a new mandate which currently serves as a focal point for the IM/IT consolidation effort across the three functional teams involved in the endeavour. The EBS vision and accompanying strategic themes have been documented and are being used to prioritize and align IM/IT projects and initiatives to the bi-council priorities and objectives. In this context, both Councils have adopted a standards-based approach for their electronic business initiatives. Subsequently, both Councils became foundational members of a new impartial standards body which will promote the definition and adoption of standards across the research funding and administration domain. The Consortia Advancing Standards in Research Administration Information (CASRAI) is expected to release its first standard in the first quarter of 2007.

Service Improvement Initiative (SII)

In compliance with the SII instituted by the Secretariat of the Treasury Board of Canada, NSERC has developed and published service standards, and established baselines and targets designed to achieve significant, measurable and sustainable improvement in client satisfaction with services it provides. These baselines are based on surveys conducted since 2004 with NSERC’s main clients regarding their satisfaction levels with the key services delivered by NSERC.

NSERC has developed a structured service improvement plan that covers the key services it provides to its clients. The plan details the expectations and priorities for service improvement throughout NSERC, and calls for periodic client-satisfaction surveys with the objective of improving service delivery, and for updating the current client-centred internal service standards applied by NSERC’s directorates.

Most of NSERC’s key services are delivered to its clients through the eSubmission system, the Web site, and the Help Desk service. For these key services, NSERC has established baseline client satisfaction levels and performance improvement targets. Information on performance and service standards is available on NSERC’s Web site at http://www.nserc.gc.ca/about/p_s_standards-eng.asp.

NSERC will also continue to refine its on-line application submission and peer review systems. In the medium-term, this will include developing new tools for the on-line review and evaluation of applications by selection committee members and external referees. It will also include collaboration with SSHRC to improve clients’ ability to conduct all of their business with the granting agencies electronically.

Table 1: Departmental Planned Spending and Full-Time Equivalents


($ millions)
Forecast Spending
Planned Spending
Planned Spending
Planned Spending
2006-2007
2007-2008
2008-2009
2009-2010
1.1 - Promote Science and Engineering
1.5
4.1
4.1
4.1
1.2 - Support Students and Fellows
135.2
136.4
134.6
130.3
1.3 - Attract and Retain Faculty
163.8
167.8
167.9
167.9
2.1 - Fund Basic Research
411.9
403.4
403.2
398.5
2.2 - Fund Research in Strategic Areas
47.9
57.7
59.7
59.7
3.1 - Fund University-Industry-Government
Partnerships
107.5
115.0
114.4
114.4
3.2 - Support Commercialization
17.5
15.2
15.4
15.4
 
 
 
 
 
Budgetary Main Estimates (gross)
 
 
 
 
 
 
 
 
 
Non-Budgetary Main Estimates (gross)
 
 
 
 
 
 
 
 
 
Less: Respendable revenue
 
 
 
 
Total Main Estimates
885.3
899.6
899.3
890.3
Adjustments:
 
 
 
 
Supplementary Estimates
 
 
 
 
   Federal Budget 2006 Funds
16.9
 
 
 
   Operating Carry-forward from 2005-06
1.6
 
 
 
   International Polar Year Operating Funds
0.7
 
 
 
   Transfer from Industry Canada to support the France-Canada Research Fund
0.2
 
 
 
Compensation for Salary Adjustments
0.1
 
 
 
Procurement Savings
(0.3)
 
 
 
Transfer to DND for Canada Research Chairs at RMC
(0.3)
 
 
 
Other
 
 
 
 
Internal Audit
0.2
 
 
 
Total Adjustments
18.9
0.2
0.0
0.0
Total Planned Spending
904.2
899.8
899.3
890.3
 
 
 
 
 
   Total Planned Spending
 
 
 
 
   Less: Non-Respendable revenue
(1.0)
(1.0)
(1.0)
(1.0)
   Plus: Cost of services received without charge
5.0
5.0
5.0
5.0
Total Departmental Spending
$908.2
$903.8
$903.3
$894.3
         
Full-Time Equivalents
313
319
319
319


Table 2: Voted and Statutory Items Listed in Main Estimates


Vote or Statutory Item ($ millions)

Truncated Vote or Statutory Wording
Current Main Estimates
Previous Main Estimates
70
Operating expenditures
$36,537
$36,002
75
Grants
$858,915
$845,165
(S)
Contributions to employee benefit plans
$4,099
$4,091
Total Department or Agency
$899,551

$885,258


Table 3: Services Received Without Charge


2007-08

($ millions)
Total
Accommodation provided by Public Works and Government Services Canada (PWGSC)
$3.3
Contributions covering employers’ share of employees’ insurance premiums and expenditures paid by TBS (excluding revolving funds)
$1.6
Worker’s compensation coverage provided by Human Resources and Social Development Canada
$0.0
Salary and associated expenditures of legal services provided by Justice Canada
$0.0
Other services provided without charge
$0.1
   

Total Services Received without Charge

$5.0

Table 4: Sources of Non-Respendable Revenue


 
Forecast Revenue
Planned Revenue
Planned Revenue
Planned Revenue
($ millions)
2006-07
2007-08
2008-09
2009-10
Natural Sciences and Engineering Research Council
 
 
 
 
Fund Basic Research
 
 
 
 
Refunds of previous years’ expenditures
$1.0
$1.0
$1.0
$1.0
 
 
 
 
 

Total Non-Respendable Revenue

$1.0
$1.0
$1.0
$1.0

Table 5: Details on Transfer Payment Programs (TPPs)

Over the next three years, NSERC will manage the following transfer payment programs in excess of $5 million:

  1. Grants and Scholarships
  2. Canada Graduate Scholarships

Further information on these transfer payment programs can be found at http://www.tbs-sct.gc.ca/rpp/2007-2008/info/ps-dp-eng.asp.

Details on Transfer Payment Programs


Name of Transfer Payment Program : Grants and Scholarships (voted)
Start Date:
April 1, 1978

End Date:
No end date

Current Terms and Conditions will expire October 31st, 2011
Description: NSERC invests in people, discovery, and innovation to build a stronger Canadian economy and to improve the quality of life of all Canadians. NSERC’s Grants and Scholarships program supports university-based basic and project research, provides scholarships and fellowships to young researchers, and facilitates links between universities, colleges, governments and the private sector.

Strategic Outcomes:
People : Highly skilled science and engineering professionals in Canada.
Discovery : High quality Canadian-based competitive research in the Natural Sciences and Engineering (NSE).
Innovation : Productive use of new knowledge in the NSE in Canada.

Expected Results:

Support of people : support 23,000 university students and postdoctoral fellows in their advanced studies each year; students and fellows gain research experience in an academic or industrial setting; excellent researchers are attracted and retained; students are motivated to pursue advanced studies and training in the NSE; human capital and research capacity are enhanced; Canadian industry, government and universities have access to highly qualified personnel with leading-edge scientific and research skills; the discovery, innovation and training capacity of university researchers in the NSE is enhanced. Ultimately, a highly skilled workforce is available for all sectors of the economy.

Support of discovery : fund the research programs of more than 11,000 university professors each year; high quality research is conducted in Canadian universities in the NSE; major national and regional research facilities are maintained; a diversified research base is maintained; research capacity is developed in all regions of the country; strong linkages and partnerships are created between university, industry, and government; knowledge and/or technology with economic or social benefits to Canada are transferred. Ultimately, there is generation of ideas and innovation and there is development of expertise that keep Canada internationally competitive in research as well as able to access knowledge generated around the world.

Support of innovation : encourage more than 1300 Canadian companies to invest in university research; mutually beneficial partnerships and collaborations are formed; new knowledge and/or technology is created in areas of national importance and of relevance to industrial needs; research results are used by the public sector to inform and improve policy-making. Ultimately, there is productive creation, use and commercialization of new knowledge in the NSE for competitiveness, prosperity and quality of life in all sectors of the economy and society.

Program Activity Category
($ millions)

Forecast
Spending
2006-2007
Planned
Spending
2007-2008
Planned
Spending
2008-2009
Planned
Spending
2009-2010
PEOPLE
Program Activity 1.1: Promote Science and Engineering
Total Grants
1.5
4.1
4.1
4.1
Planned Audits and Evaluations

Mid-Term Review
( CRYSTAL )

Evaluation (PromoScience)
Evaluation (Prizes)
Program Activity 1.2: Support Students and Fellows
Total Grants
135.2
136.4
134.6
130.3
Planned Audits and Evaluations
Evaluation (Graduate Scholarships: PGS, IPGS)
Evaluation (Postdoctoral/ Industrial Research Fellowships)
Program Activity 1.3: Attract and Retain Faculty
Total Grants
163.8
167.8
167.9
167.9
Planned Audits and Evaluations
Evaluation (Industrial Research Chairs)
Evaluation ( Canada Research Chairs)
Total for PEOPLE
300.5
308.3
306.6
302.3
 
DISCOVERY
Program Activity 2.1: Fund Basic Research
Total Grants
411.9
403.4
403.2
398.5
Planned Audits and Evaluations

Evaluation
(Research Tools & Instruments; Major Resources Support)

Mid-Term Review
(Small University Capacity Development Pilot program)

Program Activity 2.2: Fund Research in Strategic Areas
Total Grants
47.9
57.7
59.7
59.7
Planned Audits and Evaluations
(Strategic Projects)
Total for DISCOVERY
459.8
461.1
462.9
458.2
 
INNOVATION
Program Activity 3.1: Fund University-Industry-Government Partnerships
Total Grants
107.5
115.0
114.4
114.4
Planned Audits and Evaluations

Evaluation
(Networks of Centres of Excellence)

Evaluation
(Collaborative Research and Development Grants)
Evaluation
(Strategic Network Grants)
Program Activity 3.2: Support Commercialization
Total Grants
17.5
15.2
15.4
15.4
Planned Audits and Evaluations

Mid-Term Review
(College and Community Innovation Pilot program)

Evaluation
(Intellectual Property Mobilization)
Evaluation
(Idea-to-Innovation)
Total for INNOVATION
125.0
130.2
129.8
129.8
 
Total for Transfer Payment Program
885.3
899.6
899.3
890.3



Name of Transfer Payment Program: Canada Graduate Scholarships (voted)
Start Date:
April 1st, 2003

End Date:
No end date

Current Terms and Conditions will expire
May 31st, 2008

Description: The NSERC portion of the Canada Graduate Scholarships (CGS) program provides financial support to high-calibre scholars who are engaged in master's or doctoral programs in the natural sciences or engineering.
Strategic Outcome: Highly skilled science and engineering professionals in Canada.

Expected Results:

Program results in: a significant increase to the existing total funding commitment from the granting agencies for graduate studies and research training; improved access to scholarships for outstanding students to complete Master’s and/or PhDs; increased incentives for students to enrol in and complete Master’s and/or PhDs in a timely manner; increased enrolment in graduate studies in Canada; improved time to completion of degrees for CGS scholarship holders, relative to national statistics for time to completion in their discipline; enhanced capacity of Canadian universities to attract the best and brightest young people who will become the next generation of researchers; increased retention of the next generation of researchers by Canadian universities; highly qualified personnel, expert in research, available to pursue various knowledge-intensive careers in industry, government and other sectors of the economy, for example, to help renew the faculty at Canadian universities; improved branding of Canada as the home of research excellence and of Canadian universities as world-class research centres.
Program Activity Category
($ millions)
Forecast
Spending
2006-2007
Planned
Spending
2007-2008
Planned
Spending
2008-2009
Planned
Spending
2009-2010
Program Activity 1.2: Support Students and Fellows
Total Grants
31.5
31.5
31.5
31.5
Planned Audits and Evaluations
Mid-Term Review of CGS program
Total for Transfer Payment Program
31.5
31.5
31.5
31.5

Table 6: Internal Audits and Evaluations

Completed and Upcoming Evaluations (Last 3 fiscal years)


1. Name of Evaluation
2. Type of Program
3. Status
4. Expected Completion Date
5. Electronic Link to Report
Evaluation of the Research Partnership Agreements Transfer payment Completed   http://www.nserc.gc.ca/about/aud_eval-eng.asp
Fifth-Year Evaluation of the Canada Research Chairs program Transfer payment Completed   http://www.chairs.gc.ca/web/about/publications-eng.asp
Evaluation of the Reallocations Exercise Transfer payment Completed   http://www.nserc.gc.ca/about/aud_eval-eng.asp
Evaluation of SPARK Transfer payment Completed   http://www.nserc.gc.ca/about/aud_eval-eng.asp
Evaluation of the University Faculty Awards Program Transfer payment Completed    
Evaluation of the Industrial Research Chairs program Transfer payment Completed    
Joint Evaluation of Research Tools and Instruments and Major Resources Support programs Transfer payment In progress February, 2007  
Mid-Term Review of the College and Community Innovation Pilot program Transfer payment In progress March, 2007  
Evaluation of the Networks of Centres of Excellence program Transfer payment In progress July, 2007  
Mid-term review of the Canada Graduate Scholarships program Transfer payment In progress October, 2007  
Evaluation of the Intellectual Property Management program Transfer payment In progress December, 2007  
Joint Evaluation of the Collaborative Research and Development program and Strategic Project Grants Transfer payment Planned May, 2008  
Mid-term review of the Small University Capacity Development Pilot program Transfer payment Planned March, 2008  
Mid-term review of Centres for Research in Youth, Science Teaching and Learning (CRYSTALs) Pilot program Transfer payment Planned March, 2008  

Completed and Upcoming Internal Audits (Last 3 fiscal years)


1. Name of Internal Audit 2. Audit Type 3. Status 4. Expected Completion Date 5. Electronic Link to Report
2007 / 2006
Follow-up audits of:
- Travel Practices and Expenditures
- Information Technology
- Award Monitoring Activities
- Contract Management Practices
Follow-up audits Planned Spring 2007 N/A
2006 / 2005
Audit of NSERC and SSHRC Travel Practices and Expenditures
Assurance - Compliance Completed October, 2005 http://www.nserc.gc.ca/about/aud_eval-eng.asp
2005 / 2004
Audit of the Information Technology
Assurance – Functional & General Management Completed February, 2005 http://www.nserc.gc.ca/about/aud_eval-eng.asp
Audit of the electronic Common Information Management System (eCIMS) Development Project Systems Under Development (SUD) Audit Completed December, 2004 http://www.nserc.gc.ca/about/aud_eval-eng.asp
System Under Development Audit of the eBusiness Project – 2004 Systems Under Development (SUD) Audit Completed June, 2004 http://www.nserc.gc.ca/about/aud_eval-eng.asp
Assessment of NSERC/SSHRC Award Monitoring Activities Assurance - Compliance Completed June, 2004 http://www.nserc.gc.ca/about/aud_eval-eng.asp
Audit of Contract Management Practices in the Common Administrative Services Directorate (CASD) Assurance - Compliance Completed May, 2004

http://www.nserc.gc.ca/about/aud_eval-eng.asp