Web Guide to Research Project Funding
What you will find in this guide
This guide describes the Health Policy Research Program's (HPRP) scope, eligibility, review and selection process. It also outlines the responsibilities and reporting requirements of successful applicants.
The guide is divided into five sections, as follows:
We encourage you to read the entire guide before beginning to prepare
an application to ensure you can meet all the requirements.
HPRP policies and guidelines may alter without prior notice. This guide is in effect during the time it is posted on the Web. HPRP will announce any major changes immediately they are made, and reserves the right to interpret the information contained in this guide and any conditions attached to funding.
About the Health Policy Research Program
HPRP funds research
that provides an evidence base for policy decisions. The main objectives
are:
- to generate quality extramural research that has policy relevance for Health Canada and responds to requirements for evidence-based decision making;
- to facilitate the dissemination of usable policy research evidence within Health Canada and to other health decision makers; and
- to foster links between research and decision making to help bridge the
gap between what is known and what is applied in policies and programs relevant
to Health Canada and other health policy makers.
HPRP funds two types of research initiatives:
- primary, secondary and synthesis research projects;
- workshops, seminars and conferences;
For more information, read funding classes.
Within these two classes, there are a number of activities that are ineligible
for funding. Read ineligible activities and expenses.
A working group comprised of representatives from branches within Health
Canada identifies policy areas in which Health Canada would like research
conducted. These become the topics of requests
for applications.
HPRP is a contribution program as defined in Treasury Board's  Policy
on Transfer Payments. This means that HPRP
operates under Treasury Board-authorized terms and conditions and is subject
to the Financial Administration Act. HPRP funds are made available through annual parliamentary appropriations.
A contribution is a transfer payment that is subject to performance
conditions specified in a contribution agreement. The recipient must show
that these conditions are being met in order to be reimbursed for specific
costs. The government can audit the use of contributions. In addition, unlike
with contracts, the intellectual property associated with the research funded
by a contribution belongs to the recipient at the end of the project. Read intellectual property, ownership and copyright.
Amendments to the contribution agreement
Once an agreement has expired it cannot be amended. An amendment to the contribution agreement is required for the following:
- change in level of funding;
- change in the duration of the funding;
- change of key research team members; and
- change in activities from the approved project.
An amending agreement cannot be used to change the recipient agency.
Premature termination by recipient agency
Notify HPRP immediately if the project cannot be carried out for any
reason. Termination requires the submission of a report on results to the
point of termination, a final Record of Expenditures and a refund payable
to the Receiver General for Canada (if advances to the date of termination
exceed actual expenditures).
What you need to know before applying for funding
Eligibility
Each application for HPRP
funding involves two players: the recipient agency and the principal investigator.
The recipient agency receives and administers any HPRP
funding, while the principal investigator carries out the research project.
The recipient agency and principal investigator must be different from
one another
All Canadian not-for-profit institutions, corporations and societies capable
of undertaking research activities are eligible to be recipient agencies.
Examples of such organizations are universities and hospitals, provincial,
territorial and municipal government departments and agencies, voluntary agencies
and societies, and associations of health professionals. Departments and agencies
of the Government of Canada and federal Crown corporations are ineligible.
Recipient agencies must have the capacity to monitor the principal investigator's
work to ensure that he or she follows the terms of this guide and the contribution
agreement, maintains the integrity of the research, and conducts the research
in an ethical manner by arranging for ethics review. Read ethics approval).
Recipient agencies must be able to provide accounting and administrative
services to ensure the project is administered according to the terms in this
guide, the contribution agreement and any relevant legislation, such as the
Financial Administration Act, and research and office space for the principal investigator
(and any co-applicants), as well as office furniture and routine secretarial
services and equipment.
Since principal investigators and any co-applicants do not become agents
or employees of Health Canada, and the Government of Canada assumes no responsibility
for accidents, illnesses or claims arising out of work undertaken with HPRP
funding, recipient agencies must acquire and maintain liability insurance.
During application review, agencies may be asked to provide proof that this
insurance is in place.
The principal investigator is the person responsible for the intellectual
direction of the proposed research. The principal investigator contributes
his or her expertise and time to the project, but does not receive a salary,
stipend or honorarium from the HPRP
contribution. Only one person may be the principal investigator. Employees
of departments and agencies of the Government of Canada and federal Crown
corporations may not be principal investigators.
Former employees of the Government of Canada must ensure they comply with
the Values and Ethics Code for the Public Service. Rulings are made case by case. For
more information, contact your departmental Conflict Resolution Advisor.
Both the recipient agency and principal investigator must be in good standing.
If you have any questions about eligibility, please contact the HPRP
program officer named in the request for applications.
What you need to know after you have submitted your application
There are several stages through which an application usually passes on
the way to a funding decision. A particular request for applications may add,
omit or modify steps.
Screening for mandatory requirements
HPRP officers review each application to determine its eligibility, completeness
and conformity (Read mandatory application requirements). An application that does
not meet these mandatory requirements is rejected without further review.
Science and policy review
A committee including external experts knowledgeable about the subject matter of the proposed projects and the policy contact reviews all the applications that have met the mandatory requirements. The composition of committees takes into account content expertise, jurisdictional expertise, official languages capabilities, potential or declared conflict of interest, and regional and gender representation. HPRP may also solicit external evaluations of certain aspects of proposals. Review committee members receive copies of these evaluations.
A proposal must meet or exceed all policy review criteria to be recommended for
funding. As you are preparing your application and proposal, be sure to cover all the
criteria.
Two or more committee members provide written in-depth reviews of each
application. The entire committee then meets so all members can provide input
on each application before reaching a consensus on its rating. The committee
chairperson prepares the recommendation. The principal investigator receives
non-attributed copies of reviews and the committee recommendation.
Before making a final recommendation, the committee and HPRP officials have the right to inquire about any matters pertinent to the execution of the proposal. A time limit for settling these issues may be imposed.
A project cannot be recommended for funding without certification by an
ethics review board. Be sure to read about
ethics review.
Under no circumstances may applicants contact members of a review committee
about the review of an application.
Final approval
After verifying availability of funds, HPRP recommends to the Minister
of Health that Health Canada fund the project. The Minister's funding decision,
based on that recommendation, is final.
Contribution agreement
Health Canada and the recipient agency must complete and sign a contribution
agreement before any contribution may begin. The agreement sets out the terms
and general conditions of the contribution, the purpose of the project and
expected results, the obligations of all the parties involved and the reporting
requirements. If Health Canada and the recipient agency cannot agree on these
terms and sign a contribution agreement, Health Canada may rescind its offer
of funding.
What you need to know if you receive funding
HPRP contributions are a type of transfer payment, subject to certain terms
and conditions. This section sets out the requirements recipients must meet.
General financial administration
The contribution agreement and its appendices will outline the plan for
advances and reporting requirements. Previous advances must be accounted for
before subsequent advances may be released.
Accounting
Funds advanced correspond to immediate cash requirements for the conduct
of the project. At the end of each quarter, the agency must submit a Record
of Expenditures and a Cashflow Forecast for the following quarter. The Record
of Expenditures must include the amounts spent by category during the period
reported. The authorized financial officer of the recipient agency must sign
the Record of Expenditures. This signature certifies that the expenditures
listed are in accordance with the agency's accounts and records and are supported
by proper vouchers and other documents.
The agency may disburse contributions only for activities directly related
to the research being funded as set out in the contribution agreement.
There are strict limits on HPRP's
ability to authorize changes to cash flow requirements. This makes accuracy
of budget forecasts crucial. Notify HPRP
in writing if there is a change in cash flow requirements; the earlier in
the year a request is made, the more likely it is that the request can be
accommodated. HPRP
must authorize in advance any changes to the approved budget.
Failure to submit
an acceptable Record of Expenditures will result in interruption of funding.
During the last 12 months of support, HPRP
holds back an amount that the recipient agency must advance. Upon proof of
this spending in a final Record of Expenditures, and if a satisfactory final
report has been received, HPRP
will reimburse the recipient agency for this amount.
Reporting
General guidelines for reporting are outlined below. The contribution agreement will also set out specific reporting requirements. Failure to submit acceptable reports and financial claims on time will result in delay and possible forfeiture of payments and will compromise eligibility for future funding.
Schedule of payments and financial reporting requirements
HPRP will make
contributions quarterly based on the Cashflow Forecast. The quarters reflect
the Government of Canada's fiscal year, which runs from April 1 to March 31.
Recipients must account for any contribution advance within 15 days of the
end of each quarter during the year and within 30 days of the end of each
fiscal year. The recipient agency may be advanced a sum equal to one month's
expenses in April to ensure that there is enough money to start the year,
pending the issue of subsequent advances after receipt and acceptance of reports
on the previous year.
Due dates for receipt of the Cashflow Forecast and Record of Expenditures
are as follows:
- 1st quarter (April 1 to June 30): due before July 15;
- 2nd quarter (July 1 to September 30): due before October 15;
- 3rd quarter (October 1 to December 31): due before January 15; and
- 4th quarter (January 1 to March 31): due before April 30.
HPRP will supply Cashflow Forecast and Record of Expenditures forms; no
other claim format will be accepted.
Progress report
A progress report is due semi-annually as soon after March 31 as possible but no later than April 30 each year and again as soon after September 30 as possible but no later than October 15 each year. Submit a one- to two-page summary of progress. Describe progress since the last report, relating back to the time line. Address any variance in spending from the last approved budget notification. Amendments require prior approval. If progress or spending deviates from the plan, describe your plan for getting back on track.
HPRP may request a progress report at any time.
Final reports
There are many sources of advice about how to write policy reports (as opposed
to a scientific report or journal article). One useful reference is the Canadian
Health Services Research Foundation. To maximize the uptake and applicability
of results from policy research among the many target audiences, final reports
may be peer reviewed. A standard format is mandatory for a satisfactory final
report, as follows:
- one-page summary with key messages for briefing purposes;
- executive summary of no more than three pages identifying the main
findings, the target audience and the policy implications and recommendations
in language suitable for the general public (You will be required to rewrite
the summary if it is overly technical or otherwise unsuitable.);
- detailed report covering the following in the order suggested:
- why is this important?
- discussion of policy and program implications associated with each major
finding or recommendation;
- discussion of possible implementation of the findings;
- consolidation of knowledge gained (updated literature review);
- lessons learned and reflection on major conclusions;
- analysis of gaps;
- plans and prospects for publication and dissemination of the results to
policy makers and organizations; and
- a summary of the objectives, research design and methods; and
- papers published in peer-reviewed journals as a result of the funding are
important for evaluating the success of support for studies in a particular
field. Forward a copy of all publications resulting from the research to HPRP.
All research reports, synopses, fact sheets, books, videos and conference
presentations published as a result of the support must acknowledge the contribution
of Health Canada.
Submit the one-page summary and executive summary to the program
officer by e-mail. Submit three hard copies (one of which should be unbound)
and a diskette copy of the final report by mail. The cover page must list
the following:
- the project's HPRP file number;
- the project's title;
- the authors' names, addresses, telephone and fax numbers, and e-mail addresses;
- an acknowledgement of funding support as follows: "financial contribution from the Health Policy Research Program, Health Canada"; and
- a disclaimer: "The views expressed herein do not necessarily represent the official policy of Health Canada."
Distribution
While under no obligation to do so, HPRP reserves the right to make final reports and executive summaries available,
to Health Canada staff, and others as set out in the contribution agreement
Final reports are available through interlibrary loan. Address inquiries
to:
Health Canada Departmental Library
Jeanne Mance Building, Tunney's Pasture
Address Locator: 1902B
Ottawa, Ontario K1A 0K9
Telephone: (613) 957-1545
E-mail: hclibrary_bibliothequesc@hc-sc.gc.ca
Additional reporting may include discussion or presentation of reports
or papers. Principal investigators may be invited to meet with departmental
officials at the outset of funding to discuss the policy context of the project
or at the end of the project to present findings and policy impact. HPRP's
desire for communication is not meant to infringe upon researchers' right
and obligation to publish final results. Rather, it is meant to enhance avenues
of collaboration, and to facilitate the dissemination and transfer of knowledge.
Audit
Funding arrangements are subject to financial and operational audit at any time during or after completion of a project. Recipient agencies must maintain financial records for six years or until such time as an audit is completed.
Other things you need to know
Funding classes
HPRP makes contributions under four funding classes, as outlined below.
Research projects
This class is intended to support research projects whose objectives and hypotheses
will contribute to the policy mandate of Health Canada. The class includes primary,
secondary and synthesis research.
- Research is the formulation and investigation of research questions to
elicit new knowledge. This can include the use of one or more methodological
approaches, such as the collection and analysis of original data (primary
research, for example, focus groups, surveys, interviews, etc.), the analysis
of previously collected data (secondary research, for example, national survey
data or provincial discharge abstract databases), or any appropriate combination.
- Synthesis research is the identification, review, analysis and appraisal of the best available existing knowledge for a specified area of policy development under active consideration by decision makers. This can include published and unpublished literature, the practical experience of decision makers and the expert knowledge of researchers.
Workshops, seminars and conferences
This category is intended to advance a policy research agenda beyond the development
or research phase. This would include support for events such as consensus conferences
or conferences to disseminate and promote the use of research findings.
Ineligible activities and expenses
The following activities are ineligible, because they duplicate work that falls
under the mandate of jurisdictions other than the federal government, they are
not focussed on policy research, or because they don't produce generalizable
research results:
- database development, maintenance or both;
- stand-alone or descriptive surveys (unless they are among a variety of methods
used to answer a specific policy research question);
- work that is the mandate of the federal government;
- laboratory research;
- clinical research or research whose outcome is aimed mainly at a clinical
audience; and
- evaluation of local interventions or programs that are difficult to generalize
to broader policy issues.
The following are ineligible expenses:
- activities for which funds are received from other organizations;
- costs incurred prior to the approval date or after the termination date;
- services mandated under federal or provincial legislation;
- contracted work or consultant fees amounting to more than 50 percent of
the budget;
- principal investigator, co-applicant(s) and agency officer remuneration
or release time;
- consultant time of people eligible to be co-investigators;
- costs of maintaining databases; and
- overhead, including administration of finance office, office furniture and
equipment, professional training and development, purchase of books or journal
subscriptions, rental, purchase or renovation of space, contingency allowances
and other unidentified miscellaneous fees.
Intellectual property, ownership and copyright
Intellectual property
Any rights to intellectual property developed under Health Policy Research Program funding are owned by the recipient agency or the principal investigator
and project team, depending on intellectual property agreements these parties
have together.
Ownership
Neither the Health Policy Research Program nor Health Canada claims any rights to any invention resulting from research it supports. It is important that you seek protection for inventions or developments supported through HPRP funding and make every effort to see that maximum benefit to Canada results from the application of any such discoveries. HPRP requires a report of what products, if any, are produced as a result of work supported by the HPRP. A preliminary plan for the protection and exploitation of the expected outcomes of your research should be part of your proposal.
HPRP does not support research projects whose principal outcome is judged to be profit, so you must disclose and justify any revenue you plan to generate.
Purchased equipment authorized under a contribution budget belongs to the recipient
agency.
Copyright
Canada's copyright laws are such that copyright is deemed to belong to the author. Published papers resulting from research HPRP supports must, however, acknowledge that assistance. Similarly, any databases or data sets developed in whole or in part with assistance from HPRP belong to the recipient agency or the principal investigator and project team, depending on what arrangements or regulations may be in effect at the recipient agency.
Issues of intellectual property, ownership and copyright should be resolved prior to submitting an application for funding.
Ethics approval
No application may be recommended for funding to the Minister of Health without
a valid report from a research ethics board giving a recent assessment (within
one year prior to approval) of the proposal's acceptability on ethical grounds.
Consent form(s) to be used in the study must accompany the application as an appendix. In most cases, the research ethics board will be situated within the recipient agency. In the case of multisite projects, each agency must conduct an ethics review.
The research ethics board is expected to be constituted and to operate in accordance
with the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, 1998,
or its replacement.
The chairperson of the research ethics board and the research administration
officer, or another authorized official, must sign the research ethics board
report, indicating the composition of the committee, and stating the committee's
opinion on the ethics of the proposal, including any conditions imposed. If
the research proposal changes during the term of the contribution agreement,
a new ethics report(s) is required. When a research ethics board deems a full
ethics review is not warranted, it must provide a written statement to that
effect.
HPRP reserves the right to seek an independent opinion on ethical and legal
issues. In the review process, it may recommend conditions related to ethics.
Advice on ethics may be obtained from the National
Council on Ethics in Human Research, a national body on standards in
research involving human subjects. Contact them at the following coordinates:
774 Echo Drive
Ottawa, Ontario K1S 5N8
Telephone: (613) 730-6225
Along with the Tri-Council Policy Statement cited above, HPRP
follows the ethical guidelines set out in Integrity in Research and Scholarship, which is the 1994 policy statement of the
Canadian Institutes for Health Research, the Natural Sciences and Engineering
Research Council and the Social Sciences and Humanities Research Council describing
institutional accountability for ethical conduct in research and scholarship.
Mandatory requirements
Eligibility
- The principal investigatormust be in good standing (with no overdue reports) having
made any disclosures related to conflict of interest.
- The application must be for the type of work specified in the request
for applications.
- The objective of the application must relate to a policy priority
specified in the request for applications.
- The time line, budget amounts and entitlement must be within program and request for applications limits and be justified.
- The recipient agency must be in good standing (with no overdue reports), and have the capacity
to a) arrange for ethics review, b) administer federal contributions according
to guidelines, and c) monitor performance according to guidelines.
Completeness
- All parts of the application form have been completed.
- Applications include original individual and agency signatures and attestations.
- All mandatory attachments have been provided.
- The proposal contains at least the following elements:
- a critical review of the literature, bodies of knowledge and practice in
the area you will be investigating;
- a description of the objectives of your project within a policy context
sufficient to enable assessment of policy priority fit and scientific review
(see Read science and policy review criteria);
- a description of the research design, activities, anticipated outcomes,
analysis plan, ethical considerations and criteria for evaluating results;
- a description of a methodology that has been sufficiently developed to allow
reviewers to determine whether the methods, budget, team membership and time
line correspond and are likely to produce the desired outcomes;
- a description of a dissemination plan designed to meet the need to transfer
knowledge to the appropriate policy audience (be sure there is a clear link
between the communications activities and the time line and objectives, and
note that the traditional communication oriented to academic audiences must
not be the primary mode of communicating results); and
- a preliminary plan for the protection and exploitation of the expected outcomes
of your research.
Science and policy review criteria
Research projects
Policy impact
- Does the proposal fit the health policy priority? Contribute to the base of health policy knowledge and the health policy agenda?
- Will the results affect policy decision making at the federal level?
- Does the proposed research add to or complement existing policy work without duplicating what is already known?
Objectives and methods
- Does the literature review lead to the conceptual framework for the research
question or approach?
- Are the objectives clearly stated and attainable?
- Are the objectives congruent with specific Health Canada policy priorities?
- Are they grounded in the health policy literature?
- Are the study, process and analytic methods clear and appropriate?
Project team
- Are the roles and responsibilities clear and appropriate?
- Are essential individuals and organizations involved?
- Are they committed to collaborate?
- Is the institutional environment suitable?
Budget and time lines
- Are time lines and budget congruent with the methods? Realistic? Justified?
Dissemination plan
- Does the dissemination plan go beyond traditional academic publication and presentation at professional conferences?
- Are activities, audiences and approaches clear and appropriate?
- Have contacts been made with members of the appropriate audiences, including Health Canada and other policy decision makers? Have the audiences' information requirements been incorporated into the dissemination plan?
Ethics
- Have ethical considerations been addressed?
- Despite the presence or absence of a research ethics board review, are there
any ethical concerns?
Overall coherence
- Do all components fit well together? Support the rationale?
- Have threats to the feasibility and success of the research been identified
and addressed?
Synthesis projects
Relevance and potential impact
- Does the application contribute to the overall objectives of the request
for proposals?
- Will the analysis of the evidence generate a new level of understanding
from a policy perspective?
- Does it identify gaps in the research and assess potential policy implications/options?
Excellence and coherence of literature review
- Are the specific questions defined and appropriate? Related to the literature?
- Is the description of the current state of knowledge, limitations and barriers
comprehensive?
- Are crucial references included?
- Does the proposal include references from both French and English knowledge?
Appropriateness of proposed activities
- Are the methodological approaches described?
- Is there an analysis plan (including a gender analysis if applicable)?
- Are the links between questions and activities clear?
- Are the schedule of activities and time lines feasible?
Project team
- Do the proposed team mix and examples of previous work demonstrate capacity
to conduct the proposed activities?
- Has the proposed team demonstrated ability to communicate?
Dissemination plan
- Does the dissemination plan go beyond traditional academic publication
and presentation at professional conferences?
- Are activities, audiences and approaches clear and appropriate?
- Have contacts been made with members of the appropriate audience? Have the
audiences' information requirements been incorporated into the dissemination
plan?
- Does the dissemination plan target Health Canada and other policy decision
makers?
Ethics
- Have ethical considerations been addressed?
Overall coherence
- Do all the components fit well together? Support the rationale?
- Have threats to feasibility and success been identified and addressed?
Licences, certificates and agreements
You may require the support and cooperation of other professional departments,
associations or health agencies to complete your research. Be sure to look into
and discuss in your proposal any licences, reports or permits you will need
to acquire to carry out the investigation. Attach to your application proof
of consent to use others' data. HPRP
cannot recommend a proposal for approval until all these documents have
been received.
If research is planned in the Northwest Territories, Nunavut or Yukon, be aware
of the special requirements. Under the Northwest Territories Scientists Act,
researchers are required to obtain a licence to conduct research in or based
in the Northwest Territories. Similar requirements apply for Yukon (The Scientists and Explorers Act) and for Nunavut (The Nunavut Scientists Act).
Access to information and privacy
The information contained in an application is Health Canada Protected, and
the information falls under both the Access to Information Act and the Privacy Act. HPRP respects the principles of those acts, and only uses and discloses information in an application for review purposes. Disclosure should not violate the "need-to-know" principle, whereby protected information is only made available to departmental officials who have a bona fide need for it.
After the final recommendation has been made, only the original application
is retained in the Health Canada file. Every precaution is taken to ensure proper
disposal of all other copies.
The Privacy Act requires that an individual be allowed access to records
used by a federal government department or agency in a decision-making process
directly related to that individual. The contribution and award records of HPRP
are part of the federal information banks to which this Act applies.
All the information used to make funding recommendations can be accessed by
the applicant, excluding the names of referees and reviewers, or information
that could identify these people.
Any inquiries concerning HPRP under this Act should be addressed to:
Access to Information
Health Policy and Communications Branch
Health Canada
Address Locator: 1912
Ottawa, Ontario K1A 0K9
Telephone: (613) 957-3082
Language policy
The contribution agreement sets out the official languages policy. This policy
applies to all actions in which Health Canada, or its agent, has control. HPRP
and the review committee will scrutinize the proposal and the dissemination
plan for appropriateness in terms of language and culture to any stakeholder
population, not limited to Canada's two official languages.
When conducting its own affairs, HPRP
follows the Official Languages Act.
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