Results-Based Management and Accountability Framework (RMAF)

June 2002

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Table of Contents

1. Program Profile

1.1 Origin and Background

The Networks of Centres of Excellence (NCE) program was established as a pilot project in 1989 as part of the Government of Canada's science and technology strategy to better link research with wealth creation.

When the NCE program was initiated, it was somewhat controversial. There were two central features of the program: (1) the “distributed network model”; and (2) the focus on generating practical applications from fundamental research programs, working in concert with industry partners. At the time, no one knew if these features would add value, or indeed if they would work at all. The program was conceived as being experimental in nature, and individual networks took widely varied approaches to network management, research collaboration, and interactions with industry. There were virtually no other significant research programs in existence anywhere in the world that were similar to NCE.¹ Since that time, the number of networks has expanded considerably (there are currently 22), and those once-controversial aspects are now taken almost for granted. Where previously it was difficult to find network-type programs, now we have the Canadian Institutes of Health Research (CIHR). Where once it was considered potentially dangerous to link pure research too closely to industry, now the National Research Council encourages (or at least supports) its staff to create start-up companies to exploit NRC research findings. Where “sole-author” science was once considered the ultimate test of scientific strength, now there are programs that encourage not just national and international collaboration, but full intercontinental collaboration. Thus the NCE model is less unusual, while the research environment has changed significantly around it.

1.2 Deliverers and Co-deliverers

The main deliverers of the program include the three granting agencies: the Natural Sciences and Engineering Research Council (NSERC), the Canadian Institutes of Health Research (CIHR) and the Social Sciences and Humanities Research Council (SSHRC) as well as Industry Canada.

Canadian universities themselves, as well as affiliated hospitals and research institutes, and some industry consortia, also invest significant resources for the development and maintenance of the Networks and, as such, are key players in delivering the NCE program.

1.3 Resources

1.4 Reach

Primary targets

Primary targets are the individuals and organizations that the deliverers (the four funding partners) aim in order to mobilize to achieve the expected results. University faculty and students, as well as public and private sector partners, play a significant role in achieving these results.

Other stakeholders

Industries and organizations within the areas covered by NCE networks are important stakeholders that benefit from the research results generated by the networks. In many instances, they are closely involved in commercializing new products, services or processes or in adopting new practices and policies, linked to NCE research. Globally, the NCE program also bears the potential for impact on the development of entirely new industrial sectors in Canada. Parliament is another stakeholder given the significant role played by the NCE program within the federal science and technology strategy as well as within the various activities of the Industry Canada portfolio. The Canadian public can also be considered as a stakeholder since the results are already known to have important impacts on the economy and on the quality of life of Canadians. Moreover, at the international level, many research results of the Program have impacted on the development of international standards, policies and regulations, thus affecting individuals and organizations outside Canada. Other network stakeholders include collaborators, consultants, clients, suppliers, various levels of government and the written and electronic media that closely monitor the NCE program.

1.5 Planned Results and Final Outcomes

The goal of the NCE program is to mobilize Canada's research talent in the academic, private and public sectors and apply it to the task of developing the economy and improving the quality of life of Canadians.

This NCE program goal is accomplished by investing in national research networks that meet the following objectives:

• Stimulate internationally competitive, leading-edge fundamental and applied research in areas critical to Canadian economic and social development;
• Develop and retain world-class researchers in areas essential to Canada's productivity and economic growth;
• Create nation-wide multidisciplinary and multisectorial research partnerships that integrate the research and development priorities of all participants; and
• Accelerate the exchange of research results within the network and the use of this knowledge within Canada by organizations that can harness it for Canadian economic and social development.

1.6 Governance Structure

The two bodies governing the NCE program are:

• The NCE Steering Committee, composed of the presidents of the three granting agencies and the deputy minister of Industry Canada; and
• the NCE Management Committee, composed of director generals from the three granting agencies and Industry Canada, the director of Policy and International Relations (NSERC), and the director of the NCE program.

2. Logic Model

A logic model identifies the linkages between the activities of a program and the achievement of its outcomes. It succinctly clarifies the set of activities that make up the NCE program and the sequence of outcomes that are expected to flow from these activities. The following logic model is an illustration of how the activities of the NCE program are expected to lead to the achievement of the final outcomes.

2.1 Activities

Program management

The NCE Directorate is responsible for the day-to-day management of the NCE program. The NCE Directorate receives administrative support from NSERC.

Selection of networks

Competitions are held regularly for renewal of existing networks and for new networks to be funded. All funding decisions are based on an arm’s length and peer-reviewed assessment of applications by expert panels and selection committees.

Monitoring and evaluation

The monitoring of awards is an ongoing function of the NCE Directorate that consists of ensuring that NCE funds are used effectively to attain the expected results. These monitoring activities are linked to ongoing performance measurement and the data collected in this context can also be used for the purpose of periodic evaluations.

In order to rationalize the various reporting requirements of the program, the proposed RMAF is aligned to existing peer-review and program monitoring processes. The major tools used in this context are annual statistical and financial tables; annual corporate reports; mid-term review reports; and progress reports for renewal applications. To facilitate consistency and comparability of information and data, these tables and reports are collected annually from the 22 networks using pre-set templates and models.

The NCE Directorate will compile, revise and analyze statistics annually and report to the NCE Management Committee on various trends and confirm if the NCE Program objectives are met. The NCE Management Committee may then make recommendations to improve or adjust the program if necessary. Summative evaluations will also be used to monitor and evaluate program performance every five years.

2.2 Outputs

Funded Networks

As a result of the peer-reviewed competitions, new networks are selected and funded. The Selection Committee recommends the annual grant amounts to be allocated to the networks funded, and the Steering Committee makes the final decision on the funding. The NCE Directorate informs the applicants of the competition results. Networks are then created and maintained to:

• stimulate internationally competitive, leading-edge fundamental and applied research in areas critical to Canadian economic and social development;
• develop and retain world-class researchers in areas essential to Canada's productivity and economic growth;
• create nation-wide multidisciplinary and multisectorial research partnerships that integrate the research and development priorities of all participants; and
• accelerate the exchange of research results within the network and the use of this knowledge within Canada by organizations that can harness it for Canadian economic and social development.

Agreements with funded Networks

Prior to the release of the first instalment of the award to the network, a Funding Agreement that outlines the terms and conditions for funding under the NCE program, as well as the governance structure of the network must be signed by designated representatives.

Release of the first instalment of the award is also conditional on the signing of a Network Agreement by participating institutions that receive NCE funds. This agreement sets out the operating rules of the network and outlines the rights and obligations of its investigators and participating institutions.

Advice and direction to Networks

Networks receive advice and direction from Program Management on various aspects related to the networks' development and ongoing activities. They also receive advice on requirements and procedures for negotiation of Internal Agreements.

Reports on awards monitoring, performance reviews and evaluations

Networks provide annual statistical and financial tables; mid-term review reports; and progress reports for renewal applications. Annual corporate reports are also submitted by networks and constitute an important information and data input into the performance-based management system.

2.3 Outcomes

Immediate Outcomes

The networks are expected to generate leading-edge research that is relevant to Canada's socio-economic goals. In addition, the research should be carried out in a way that involves a high degree of networking and collaboration among researchers.

The NCE program was designed to overcome the traditional barriers between university research, industrial exploitation and public use of research results and stimulating collaboration. In this context, networks are expected to build strong partnerships with industry and government in the first years of their existence.

Intermediate Outcomes

An important outcome is the exploitation of findings and knowledge to industry, government and other user sectors. This will be achieved by generating high-quality research that meets the needs of government, industry and other user groups and that is relevant to Canada’s socio-economic development.

In addition, the program should contribute to strengthening Canada’s research base, through the training of new researchers in a multidisciplinary and multisectoral setting and attraction and retention of experienced researchers.

Final Outcomes

Ultimately, the NCE program should contribute to the government’s overall objectives of improved quality of life and a stronger economy.

1. Even five years ago, it was uncommon to find non-Canadian scientists who had ever heard of the distributed network model.