ARCHIVED - RPP 2007-2008
Social Sciences and Humanities Research Council of Canada

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Section IV: Key Management Priorities

4.1 Corporate Performance, Evaluation and Audit

In 2006-2007, SSHRC made significant progress in implementing the federal government’s new Audit Policy. Following the implementation of the policy on April 1, 2006, SSHRC has restructured its Corporate Performance, Evaluation and Audit (CPEA) Division, separating out the audit function. The Council’s Internal Auditor, who was reporting to the CPEA Division Director, now reports directly to the President. With extensive staff turnover in audit and evaluation in 2006-2007, some delays can be expected in completing the audits and evaluations forecast in the evaluation and audit plans.

In 2007-2008, SSHRC will give priority to putting in place a full complement of audit, performance and evaluation staff in order to ensure the continued implementation of SSHRC’s risk-based evaluation and audit plans for 2006-2007 to 2008-2009. These plans were approved by the Council Board in June 2006. Work will also start on the implementation of the federal government’s revised Evaluation Policy expected to be released in 2007-2008.

Over the next fiscal year, SSHRC will finalize and implement a framework for the evaluation of its Doctoral Fellowships program. This evaluation will be completed in coordination with the Fourth-year Review of the Canada Graduate Scholarships (CGS) program, given that the CGS program is fully integrated into SSHRC’s Doctoral Fellowships program peer-review process for awards to graduate students in the social sciences and humanities.

SSHRC will also complete the evaluation of two pilot programs launched in recent years: the Aboriginal Research pilot program and the Research/Creation Grants in Fine Arts pilot program. These two programs are considered high risk, given their innovative nature and the fact that they are aimed at new groups of clients for SSHRC. SSHRC’s Council will use the evaluative information to make decisions on the future of these programs.

In the coming fiscal year, SSHRC will continue to provide its senior managers with an ongoing, effective assurance function and to provide systematic, independent and objective assessments of management controls in areas of high risk. The Council will continue to work closely with the Audit Committee and, in compliance with SSHRC’s new Internal Audit Charter approved in 2006-2007, on the implementation of SSHRC’s audit plan. It will also finalize a quality-assurance and improvement program to ensure the effectiveness of the internal audit function. SSHRC is currently exploring alternatives to ensure a competent and continuing audit function within the organization, and will re-assess, early in 2007-2008, its audit priorities to make the necessary adjustments to its audit plan for future years.

Table 18: Planned Evaluations and Audits, 2006-2007 – 2009-2010

Name of Internal Audit/Evaluation	Audit/ Evaluation Type	Status	Expected Completion*
Internal Audits
Audit of controls over the integrity of information in the Report on Plans and Priorities		In progress	2006-2007
Audit of effectiveness and efficiency of the administration of the Fellowships, Scholarships and Prizes programs (CGS, Doctoral Fellowships, Postdoctoral Fellowships, Prizes and Special Fellowships)		In progress	2006-2007
Audit of compliance with ethics and values policies and standards		Planned	2006-2007
Audit of the adequacy and effectiveness of the human resources function**		Planned	2007-2008
Audit of controls over the integrity of information in the Departmental Performance Report		Planned	2007-2008
Audit of financial controls:  accounting and awards administration**		Planned	2007-2008
Audit of effectiveness and efficiency of the administration of the investigator-framed research programs (Standard Research Grants, Major Collaborative Research Initiatives)		Planned	2007-2008
Audit of compliance with risk-management and active-monitoring policies and guidelines		Planned	2007-2008
Audit of compliance with security and occupational safety policy and standards**		Planned	2007-2008
Audit of confidentiality, integrity and availability of information in AMIS		Planned	2008-2009
Audit of confidentiality, integrity and availability of financial information**		Planned	2008-2009
Audit of corporate governance		Planned	2008-2009
Audit of effectiveness and efficiency of the administration of the Canada Research Chairs Program		Planned	2008-2009
Audit of effectiveness and efficiency of the administration of the Targeted Research and Training Initiatives programs (Strategic Research Grants, Strategic Joint Initiatives, Initiative on the New Economy (INE))		Planned	2008-2009
Audit of effectiveness and efficiency of the administration of the Community-University Research Alliances program		Planned	2008-2009
Audit of effectiveness and efficiency of the administration of the Research Communication and Interaction programs (Aid to Research Workshops and Conferences in Canada, Aid to Research and Transfer Journals, Strategic Knowledge Clusters)		Planned	2008-2009
Audit of compliance with access to information and privacy acts, regulations, policies, and guidelines		Planned	2008-2009
Audit of compliance with Official Languages Act and policy		Planned	2008-2009
Evaluations
Evaluation of the Joint Initiatives program mechanism	Formative/ summative	Completed	N/A
Evaluation of the INE	Summative	In progress (framework completed)	2007-2008
Doctoral Fellowships evaluation***	Formative/ summative	In progress (framework underway)	2007-2008
Aboriginal Research pilot program evaluation	Formative/ summative	In progress (framework underway)	2007-2008
Research/Creation Grants in Fine Arts pilot program evaluation	Formative/ summative	In progress (framework underway)	2007-2008
Evaluation of the Strategic Research Grants program	Summative	Planned	2008-2009
Research Development Initiatives evaluation	Formative/ summative	Planned	2008-2009
Summative evaluation of the Canada Research Chairs Program	Summative	Planned	2009-2010
Summative evaluation of the Indirect Costs Program	Summative	Planned	2009-2010
Electronic Link to Internal Audit and Evaluation Plan: http://www.sshrc.ca/web/about/publications/publications-eng.asp
Links to Recently Completed Reports: Please note that recently completed evaluation reports are awaiting translation. All audit and evaluation reports are posted in the “Publications” section of SSHRC’s website: http://www.sshrc.ca/web/about/publications/publications-eng.asp

*Current risk-based evaluation and internal audit plans cover fiscal years 2006-2007 to 2008-2009.
**To be done jointly with NSERC.
***This evaluation is being designed in coordination with the evaluation of the Canada Graduate Scholarships program, which is being led by CIHR.

4.2 Inter-Agency Coordination and Collaboration

4.2.1 Memorandum of Understanding on Roles and Responsibilities

SSHRC, NSERC and CIHR have codified the role that institutions play in administering federal grants and awards for researchers. Key policy areas include financial management, ethics and integrity. Since 2002, researchers and research students have been eligible to apply for funds from the three granting agencies only if their home institution has signed the joint SSHRC-NSERC-CIHR Memorandum of Understanding on the Roles and Responsibilities in the Management of Federal Grants and Awards (Phase 1 MOU). In 2004-2005, the granting agencies carried out national consultations with universities, colleges, scholarly associations and other recipient institutions on a draft Phase 2 MOU. The key goals of the consultations were to (1) develop, by 2006-2007, a broadly accepted text for the Phase 2 MOU, and (2) to further sensitize institutions to the agencies’ expectations on a number of policy issues not covered in the Phase 1 MOU. In 2007-2008, the text of the MOU, including the proposed Phase 2 schedules, will be reviewed by legal counsel to ensure consistency with the Financial Administration Act. Institutions will be invited to sign the Phase 2 MOU once the review is complete.

4.2.2 Ethical Conduct in Research Involving Humans

Canada’s three federal granting agencies are also collaborating on a multi-year initiative to establish and promote high standards of ethical conduct in research involving humans. Established in November 2001, the Interagency Advisory Panel on Research Ethics, supported by the Secretariat on Research Ethics, guides the development, interpretation, promotion and implementation of the 1998 Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (TCPS). The goals of this interdisciplinary partnership are to:

• contribute to better governance of research ethics policies and practices for all research that is undertaken under the auspices of institutions and affiliated partners that receive funding from one or more of the three federal granting agencies;
• promote high ethical standards for all Canadian research that involves humans, in order to ensure the protection of human participants; and
• increase public trust in both Canadian research involving human subjects and related research ethics policies.

In 2007-2008, the advisory panel will continue to participate in discussions on the development of a Canadian governance system for research involving humans. The panel will further develop the TCPS, particularly with regard to social sciences and humanities research ethics and Aboriginal research ethics. With the benefit of public input, the panel intends to recommend additions and further adjustments to the TCPS. Finally, as an ongoing initiative, the panel will release further interpretation responses to guide implementation and use of the TCPS by researchers, research ethics boards in institutions, and research participants.

In 2006-2007, SSHRC joined together with CIHR, NSERC, Health Canada and other stakeholders at a Sponsors’ Table to examine options for a system of governance of research involving humans that will extend beyond the research funded by the three granting councils. A committee of experts will present their findings and recommendations to the Sponsors’ Table in 2007.

4.2.3 Integrity in Research and Scholarship

As the major federal source of funds for research and scholarship in academic institutions, SSHRC, CIHR and NSERC are committed to the highest standards of integrity in research and scholarship. The councils have defined their expectations regarding integrity in the Tri-Council Policy Statement: Integrity in Research and Scholarship, and actively promote the highest standards of research and scholarship. The councils regard any action that is inconsistent with integrity as misconduct.

SSHRC’s Ethics and Integrity Committee ensures that all cases of alleged misconduct are dealt with in accordance with the provisions of the Tri-Council Policy Statement. The committee also monitors ongoing policy issues, particularly as they pertain to research conducted in the social sciences and humanities.

Together with NSERC and CIHR, SSHRC is also participating in a Health Canada initiative to assess the state of integrity in research and scholarship in Canada. Activities include a workshop, involving leading authorities on scholarly integrity, aimed at informing Canadian participation at related international conferences; and assisting in the evaluation of Council and institutional policies.

4.2.4 Electronic Business Solutions

In 2006-2007, SSHRC and NSERC established a new bi-council Integrated Management / Information Technology (IM/IT) Steering Committee. In June 2006, the committee approved three strategic priorities and nine business objectives. In conjunction with this initiative the electronic service delivery and e-business approaches and teams were consolidated. The resulting 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 with the bi-council priorities and objectives.

A significant milestone was achieved in the consolidation of the bi-council’s IM/IT functions when both councils adopted a standards-based approach for their electronic business initiatives. Subsequently, both councils also 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 is expected to release its first standard within the first months of 2007.

4.2.5 The Canadian Common CV

As a result of the analysis and consultation exercise from the previous fiscal year, SSHRC undertook a CV data harmonization exercise with NSERC as a tangible step towards addressing the underlying principles of the Canadian Common CV (CCCV). Given the termination of the CCCV Cost Sharing Agreement in March 2006, SSHRC and NSERC initiated consultations with all of the agreement’s parties to evolve the current CCCV system into a standards-based system that would address bi-council requirements. This is a formal requirement which must be met prior to SSHRC’s adoption of a CCCV system.

4.3 Management Action Plan

SSHRC’s new president, Chad Gaffield, has initiated a process that will lead to a Management Action Plan. The action plan will integrate both actions to implement the 2006-2011 Strategic Plan and to address the risks identified in SSHRC’s Corporate Risk Profile. This integrated planning process is scheduled for completion at the end of summer 2007.

With a three-year horizon, the action plan will address a number of broad goals related to people (human resources), governance, mobilizing the research community, showing results for Canadians, increasing SSHRC’s visibility among Canadians, and building an IM/IT infrastructure designed to achieve the objectives of the Strategic Plan.

 

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