ARCHIVED - Social Sciences and Humanities Research Council of Canada

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SECTION III: SUPPLEMENTARY INFORMATION

3.1 Organizational Information

SSHRC obtains its funding through an annual parliamentary vote and reports to Parliament through the minister of Industry. Under the terms of its mandate, SSHRC functions as an agency and reports to Parliament annually on how it spends its budget. The agency, however, has full authority to set its priorities, policies and programs. SSHRC allocates funding through a rigorous peer review process.

SSHRC's president, as chief executive officer of the Council, is responsible for directing all ongoing operations and is accountable for the administration of public funds and for delivering on the Council's mandate. Four vice-presidents report to the president and are responsible for corporate affairs, grants and fellowships, partnerships, and administrative services.

The organization is governed by a 22-member Council (Figure 1) appointed by the Governor-in-Council to represent the interests of the academic, public and private sectors in all regions of Canada. SSHRC's Council meets three times each year to provide strategic direction for the work of the agency, determine program and policy priorities, allocate budgets, and monitor the implementation of initiatives.

In 2006, as part of SSHRC's steps to strengthen its governance, the position of SSHRC president was separated from the chair's position. As of June 2007, meetings of the governing council are presided over by the vice-president and chair of Council. This greatly empowers the governing council's oversight capacity, while also making the president's activities more transparent and accountable. Council has ensured that momentum on the renewal of its governance continues by establishing a committee on governance and nominations, led by the vice-president and chair of Council. A strengthened Corporate Secretariat will support the committee, Council and management in pursuing SSHRC's governance agenda.

SSHRC is mandated to administer the Canada Research Chairs and Indirect Costs programs on behalf of the three federal research granting agencies (SSHRC, NSERC and CIHR), the Canada Foundation for Innovation (CFI) and Industry Canada. Governance of these programs is under the authority of an inter-council steering committee made up of the presidents of the three federal research granting agencies, the president of CFI, as well as the deputy minister of Industry Canada. The Canada Research Chairs secretariat is housed within SSHRC.

Six standing council committees⁶⁰ (Figure 1) help chart SSHRC's direction and ensure that its grants and fellowships programs reflect the requirements of the research community and meet the needs of Canadians.

Figure 1: SSHRC - Governance and Committee Structure

The Executive Committee has the authority to act on behalf of SSHRC's governing council in policy, procedural, human resources and administrative matters.

The Audit Committee reviews and approves SSHRC's audit plan as well as the scope, findings and recommendations of specific audit engagements. It also reviews and recommends approval of financial statements.

The Performance and Evaluation Committee assists the council in developing and implementing a performance measurement, management and reporting strategy. It approves evaluation plans and reviews a variety of evaluations at the policy, program and project levels. This committee also reviews recommendations arising from these evaluations.

The Research Support Committee provides advice on program priorities, direction, design, development and implementation, and monitors peer review processes and competition results for research, strategic, and dissemination programs.

The Fellowships and Career Development Committee advises Council and guides staff on research training issues.

The Ethics and Integrity Committee provides policy and administrative advice on research ethics and research integrity issues to Council and staff.

Finally, as required and appropriate, SSHRC also creates ad hoc advisory committees and working groups on specific questions falling within the purview of its mandate. In addition to these corporate committees, selection committees⁶¹ of university-based researchers and, where appropriate, experts from outside the academic community, adjudicate applications to SSHRC programs in accordance with the principles of rigorous peer review. This independent, highly competitive adjudication process, involving more than 400 volunteer adjudication committee members and more than 5,200 external assessors per year, ensures that SSHRC funds only the best research and the best candidates.

3.2 Financial Performance Summary

SSHRC develops and administers a diversified set of programs that continue to evolve in response to the changing needs and expectations of SSHRC's clientele and of Canadian society as a whole. SSHRC also administers programs, such as the Canada Research Chairs and Indirect Costs programs, on behalf of the three federal research granting agencies, and administers targeted federal initiatives such as the Initiative on the New Economy and the Canada Graduate Scholarships (CGS) program. Such tri-council programs and targeted federal initiatives represent more than 72 per cent of SSHRC's overall grants and scholarships expenditures of $603.1 million for 2006-07.

In order to administer this large complement of programs, SSHRC spent $19.9 million on personnel and other operating expenditures in 2006-07 and $2.2 million on the Employee Benefits Plan. Combined, this represents 3.5 per cent of SSHRC's total expenditures for the same period. Detailed financial information for SSHRC is provided in the following tables. Please note that SSHRC's audited financial statements for this fiscal year will be presented in Annual Report 2006-07.⁶²

Table 1: Comparison of Planned to Actual Spending (Including Full-Time Equivalents)

Table 1 offers a comparison of the main estimates, planned spending, total authorities and actual spending for fiscal year 2006-07, as well as historical figures for actual spending by program activity, including operating funds, grants and scholarships funds, and contributions to the Employee Benefits Plan. Lapsed funding in 2006-07 was the result of difficulties experienced by universities in filling CGS scholarships at the planned rate, leading to a $1.3 million surplus. Operational efficiencies were also realized in 2006-07, in the amount of $0.9 million.

Table 2: Resources by Program Activity

Table 2 provides information on how resources were used during fiscal year 2006-07. SSHRC's total operating expenditures (including contributions to the Employee Benefits Plan) represent about 3.5 per cent of its total overall expenditures for 2006-07. These overall expenditures include targeted funds, such as for the Canada Research Chairs and Indirect Costs programs, the Networks of Centres of Excellence, and the CGS program.

Table 3: Voted and Statutory Items

Table 3 compares the total actual spending against the total authorized spending. Total authorities represent main estimates plus funds obtained through supplementary estimates, and refer to spending levels approved by the Government of Canada.

Table 4: Services Received Without Charge

Table 4 represents the services received by SSHRC without charge to the agency.

Table 6: Sources of Non-Respendable Revenue

Non-respendable revenues are funds flowing to SSHRC from sources other than its parliamentary appropriation. Refunds of previous years' expenditures are passed on to the Receiver General for Canada and cannot be spent on programs or operations. SSHRC did not receive any respendable revenue in 2006-07.

Table 13: Details on Transfer Payment Programs⁶³

In 2006-07, SSHRC managed the following transfer payment programs in excess of $5 million:

1. Grants and Scholarships
2. CGS
3. Indirect Costs

Table 13(a): Grants and Scholarships

Name of Transfer Payment Program: Grants and Scholarships
Start Date: 1978			End Date:  no end date
Description:  This transfer payment program consists of grants and scholarships awarded for research, research training, and research dissemination activities in the social sciences and humanities.
Strategic Outcome(s):	1. PEOPLE - A first-class research capacity in the social sciences and humanities
	2. RESEARCH - New knowledge based on excellent research in the social sciences and  humanities
	3. KNOWLEDGE MOBILIZATION - The transfer, dissemination and use of knowledge in the social sciences and humanities
Results Achieved: Strategic Outcome 1: People: Fellowships, Scholarships and Prizes activities resulted in a combined total 714 awards to exceptionally promising graduate students and scholars at the doctoral and postdoctoral levels (excluding Canada Graduate Scholarships which are reported under table 13b). In addition, SSHRC recognizes outstanding achievements in social sciences and humanities research through highly visible prizes and special fellowships. These people represent the best and the brightest in their respective programs of study. Through the provision of SSHRC's awards, fellowships and prizes, they receive training and experience that equips them to meet Canada's needs for highly skilled and qualified researchers, professionals and leaders in all sectors of the economy. The full complement of 2000 Canada Research Chairs have now been allocated to universities, of which approximately 20 per cent are in the social sciences and humanities. In 2006-07, 73 researchers were awarded social sciences and humanities Chairs. The Program is a key way for Canadian universities to attract and retain world-class scholars and improve the training of promising students and researchers. The Program has attracted international attention, as is evidenced by the fact that several other countries are looking to establish similar programs modelled after the Chairs program. 2. Strategic Outcome 2: Research: Investigator-Framed Research activities resulted in 1,014 Standard Research Grants for research involving 1,971 of Canada's best social sciences and humanities researchers. This is a success rate in 2006-2007 of 40.4 per cent, a slight increase from last fiscal year (40.1 per cent). SSHRC also provided support through the Major Collaborative Research Initiatives (MCRI) program for two new awards and eight new letters of intent. Through these programs SSHRC continues to sustain Canada's critical mass of research expertise and the momentum on which innovation depends. The sub-activities within the second program activity, Targeted Research and Training Initiatives, support research and knowledge generation related to strategic areas important to social, economic and cultural development. In 2006-2007, SSHRC's Strategic Research Grants funded 67 new Strategic Research grants in three areas: 18 under the Image, Text, Sound and Technology (ITST) initiative, 18 under the Northern Research Development Initiative, and 31 under Research/Creation Grants in the Fine Arts. The Strategic Joint Initiatives program supported a total 46 new awards. The Strategic Joint Initiatives program represents one of SSHRC's key tools for building productive research partnerships with public, private and not-for-profit organizations to co-fund targeted research in areas of shared interest, concern and expertise. The Program Activity Strategic Research Development included funding for a new Presidential Fund initiative, Capturing the Outcomes and Impacts of Canadian Research in the Social Sciences and Humanities. The development of effective methods to capture the broad societal impact of its investments is of direct, strategic importance to SSHRC, and to the Government of Canada, and supports the goals of overall accountability. Strategic Outcome 3: Knowledge Mobilization:   In 2006-07, under the broad program activity Research Communication and Interaction, SSHRC articulated its framework for knowledge mobilization.  A knowledge mobilization strategic framework and action Plan are under development. A program sub-activity, Strategic Knowledge Clusters are SSHRC's newest approach to broadening and intensifying the impact of social sciences and humanities research, and fit hand in hand with the priorities outlined in the government's new S&T strategy. In 2006-2007, SSHRC contributed to seven new Strategic Knowledge Clusters, looking at issues from business ethics to response of the justice system to domestic violence. The new initiative Knowledge Impact in Society (KIS) is a pilot project involving eleven three-year demonstration projects hosted by universities. An important output of the KIS pilot project will be the development of new indicators for measuring the impacts of social sciences and humanities research.
($ millions )	2004-05	2005-06	2006-07
	Actual Spending	Actual Spending	Planned Spending	Total Authorities	Actual Spending	Variance Between Planned and Actual Spending
Total Grants by Program Activities:
1.1  Fellowships, Scholarships and Prizes	35.8	35.0	36.2	36.1	32.6	3.6
1.2  Canada Research Chairs	41.2	48.6	59.2	59.0	54.0	5.2
2.1  Investigator-framed Research	79.2	87.2	85.2	85.2	93.3	-8.1
2.2  Targeted Research and Training Initiatives	29.1	31.0	21.4	22.0	23.4	-2.0
2.3  Strategic Research Development	17.1	17.5	21.1	21.0	19.2	1.9
3.1  Research Communication and Interaction	18.9	21.1	20.3	20.3	21.1	-0.8
Total Grants	221.3	240.4	243.4	243.6	243.6	-0.2

Table 13a summarizes the actual spending of the SSHRC Grants & Scholarships program by program activity, compared to planned spending, authorized levels, and main estimates. The discrepancy between planned and actual expenditures for the Canada Research Chairs Program results primarily from unused grant funds for those Chair positions that are currently vacant.

An evaluation report on the Strategic Joint Initiative mechanism was submitted to Council in March, 2007. Overall, the evaluation demonstrated that the Strategic Joint Initiative mechanism is highly relevant, particularly in the context of building connections to maximize the impact and quality of social sciences and humanities research. Defining the mechanism's place in the implementation of SSHRC's strategic directions will be a crucial step in ensuring that SSHRC gets the most out of its strategic investments in this area. Although the evaluation pointed out a number of areas for improvement in terms of management, delivery and governance, it also pointed out positive impacts in terms of developing partnerships, leveraging funds for social sciences and humanities research, and developing capacity.

Table 13(b): Canada Graduate Scholarships

Name of Transfer Payment Program:  Canada Graduate Scholarships
Start Date:   2003			End Date:  no end date
Description:  This transfer payment program supports 1,200 doctoral students and 1,200 master's students in the social sciences and humanities.
Strategic Outcome(s):	1.  PEOPLE - A first-class research capacity in the SSH
Results Achieved: The Canada Graduate Scholarships program supports up to 2,000 doctoral students and 2,000 master's students each year, with 60 per cent of the awards administered by SSHRC and going to students in the social sciences and humanities. SSHRC's CGS program seeks to develop research skills and help in training highly qualified personnel by supporting students in the social sciences and humanities who demonstrate a high standard of achievement in undergraduate and early graduate studies. This program helps train Canada's researchers and leaders of tomorrow, who will help the Government of Canada meet its Strategic Outcome of "an innovative and knowledge-based economy".  In 2006-07, 1,180 of Canada's top social sciences and humanities students received master's scholarships under SSHRC's Canada Graduate Scholarships program. In addition, the Council offered support to 400 of Canada's top social sciences and humanities Doctoral-level students. In late 2006, the Council undertook a preliminary environmental scan of student training (reported in the 2005-2006 DPR) as a first step in conducting a formal evaluation of the Doctoral Fellowships program to ensure that it fully meets the requirements of a rapidly evolving research community and environment. In the interest of gathering a more complete picture of related programs, the planned evaluation of the Doctoral Fellowships program will be part of a larger, tri-Council evaluation of the Canada Graduate Scholarships program, to be completed in 2007-08.
($ millions )	2004-05	2005-06	2006-07
	Actual Spending	Actual Spending	Planned Spending	Total Authorities	Actual Spending	Variance Between Planned and Actual Spending
Total Grants by Program Activities:
1.1  Fellowships, Scholarships and Prizes	31.3	49.9	63.0	63.0	61.7	1.3
Total Grants	31.3	49.9	63.0	63.0	61.7	1.3

Table 13b summarizes the actual spending of the Canada Graduate Scholarships program, compared to planned spending, authorized levels, and main estimates.  The 2006-07 program grants surplus of $1.3M was the result of difficulties experienced by universities in filling CGS scholarships at the planned rate. This lapsed funding cannot be used for other purposes. An evaluation of the Canada Graduate Scholarships program is currently being led by the Canadian Institutes of Health Research (CIHR).

Table 13(c): Indirect Costs of Research

Name of Transfer Payment Program:  Indirect Costs of Research
Start Date:   2003			End Date:  no end date
Description:  This transfer payment program supports a portion of the indirect costs associated with the conduct of academic research in institutions that receive research grant funds from any of the three federal granting agencies; grants are awarded to eligible institutions using a progressive funding formula based on the average revenues from research grants received from CIHR, NSERC and SSHRC.
Strategic Outcome(s):  4. INSTITUTIONAL ENVIRONMENT - A strong Canadian research environment
Results Achieved:   The infusion of federal funding through the Indirect Costs program has resulted in demonstrable improvements to the university research environment in Canada. Through investments in research facilities, institutions have begun to address deferred maintenance and are increasingly able to provide adequate spaces in which to conduct research. Institutions are also investing Indirect Costs funds to cover the costs of technicians and support staff; to bring databases, journals and other collections to researchers fingertips, allowing researchers to access the information they need to be competitive and stay at the cutting edge; and to install upgraded information technology that allows researchers to keep pace in the information age. As well, by investing funds to hire grant facilitators, a number of institutions have been able to support researchers efforts to attract additional external funding, thereby leveraging funds from additional sources. Institutions have reported that the overall suite of investments made possible by the Indirect Costs program has been important to their ability to retain and attract researchers. Institutions also report that the stability and flexibility of the Indirect Costs funding has enabled more strategic planning around supporting the research enterprise than occurred in the past.  One institution speculated that without an Indirect Costs grant to help it pay for important investments in infrastructure, it would have had to introduce a hiring freeze in order to cover these costs. This would have represented 50-70 fewer faculty positions, and the termination of 50 per cent of the staff in its research office.
($ millions )	2004-05	2005-06	2006-07
	Actual Spending	Actual Spending	Planned Spending	Total Authorities	Actual Spending	Variance Between Planned and Actual Spending
Total Grants by Program Activities:
4.1  Indirect Costs of Research	244.5	259.1	299.1	297.8	297.8	1.3
Total Grants	244.5	259.1	299.1	297.8	297.8	1.3

Table 13c summarizes the actual spending of the Indirect Cost of Research Program administered by SSHRC on behalf of the three granting agencies, compared to planned spending, authorized levels, and main estimates. In 2006-07, the variance between planned and actual spending results from a transfer of funds to the Department of National Defence for the Indirect Costs program funding allocated to the Royal Military College, as it is an accredited Canadian university but within the federal government. A summative evaluation of this Program will be launched in fiscal year 2007-08.

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