Description for Assessment of ICFR

Key financial controls: Process Overview

The chart is a flow chart description of the process of Assessment of Internal Controls over Financial Reporting (ICFR) presenting the 4 core activities involved and their outputs described just below each activity. Activities and results/outputs are differentiated by colors and forms. The flow chart is set up in 5 key steps aligned with arrows from left to right. A box groups the 4 core activities for the assessment of ICFR. The flow chart begins with the first step on the left, which is Planning & scoping. Outputs from this activity are Strategic Plans for ICFR & ITGC and work plans. From this point, the process moves at right to Documentation of in-scope business processes. Outputs from this activity are Process Narratives or Flow Charts. Going right onto the third step, the process progresses to the activity of Tests of Design of Key Controls and involves, when required, Letters of Recommendations (LoR) regarding Design. Finally, Tests of Effectiveness of Key Controls is the last activity performed within the process of Assessment of ICFR. LoRs are also an output shown for this step. With arrows from top to bottom, the chart demonstrates that ongoing monitoring and risk management are performed at each step throughout the assessment process. Once the process of the Assessment of ICFR is fully completed, there is a resulting step described outside the box, at right. Reporting to the CS, CFO and Field Senior Management includes progress towards implementing PIC, results of the assessment of ICFR, and the state of audit readiness. Finally, an arrow showing an output from reporting, which is the Statement of Management Responsibility including ICFR labelling the signatures of the CS and CFO.

Data accuracy Vital Statistics – Death Database

(Survey number 3233)

Coverage

Since the registration of deaths is a legal requirement in each Canadian province and territory, reporting is virtually complete. Under-coverage is thought to be minimal, but is being monitored. Under-coverage may occur because of late registration, but this is much less common than in birth registration. Death registration is necessary for the legal burial or disposal of a body, as well as for settling estate matters, so there is a strong incentive for relatives or officials to complete a registration in a timely manner. Some deaths are registered by local authorities, but the paperwork is not forwarded to provincial or territorial registrars before a cut-off date. These cases for 2000 represent approximately 200 deaths, 7 years after the year of death (accumulated late records), or less than one-tenth of one percent of the total records.

Other late or missing registrations may occur with unidentified bodies, or for Canadians who die outside of Canada. By long-standing practice, the date of death for unidentified remains is defined as the date of discovery. These deaths of unidentified persons typically represent less than ten cases per year. For out-of-country deaths, only deaths in the United States are regularly reported to Statistics Canada, and of these, Statistics Canada receives abstracted death records from approximately 20 American states. The National Center for Health Statistics (NCHS) in the United States reveals that in 2004 there were 572 deaths of Canadian residents in the United States, compared with 259 death records received by Statistics Canada via the state registrars. Health Statistics Division is working with provincial, territorial, and state registrars to increase the inter-jurisdictional exchanges of records for statistical and administrative purposes.

Under-coverage is also present for deaths of serving members of the Canadian military. Deaths of Canadians who died overseas while serving in the Armed Forces are not included in the Statistics Canada databases because they are not registered by the provinces and territories.

Over-coverage is minimal. Deaths of non-residents of Canada are registered but are excluded from most tabulations. Duplicate death registrations are identified as part of the regular processing operations on each provincial and territorial subset, as well as by additional inter-provincial checks. Possible duplicate registrations are verified against microfilmed registrations or optical images, or by consulting with the provinces and territories.

Response rates

Item response

In 2006, the response rates were 100% for most of the demographic and geographic variables on the death database (age, sex, date of birth, province and census division of residence). The birthplace of deceased and marital status have response rates around 95% to 98% nationally. Underlying cause of death response rates was 99.4% in 2006. The reporting of postal codes has improved to 95% in 2006. The birthplace of the decedent’s mother and father remain poorly reported, at only 35% of deaths nationally. Both Quebec and Ontario collect the information on the registration forms, but do not include the variable in the electronic files forwarded to Statistics Canada.

Other Accuracy Issues

Age at death of persons over 100 years old

The demographers Bourbeau and Lebel have compared Canadian mortality and census data with other countries, and determined that the number of centenarians appears quite high in relation to other industrialized countries. In the absence of civil registration in Canada before 1921 and high levels of immigration to Canada, it is difficult to determine if the number of persons aged 100 and older is overestimated. On the death file, age and date of birth outliers are annually reviewed for capture errors. Reconciliation with other data sources is difficult, especially in the case of immigrants. Where birth certificates are unavailable, the overestimated age may have been used consistently on other documents such as health care registration, income tax, and census.

Cause of death certification

When a person dies, the medical certificate of cause of death is completed by the medical doctor in attendance, or the coroner, or medical examiner or other certifier. The certificate elicits the direct antecedent and underlying causes of death, other significant conditions, manner of death (for example, natural, accidental, suicide, homicide), and further information on injuries.

Balance of Payments Division

Survey Guide

Purpose of the Survey

The purpose of the Survey of Canadian Portfolio Investment is to determine the amount and types of securities owned by Canadians. The survey is conducted on a security by security basis.

The data will be used to compile the portfolio investment of Canada's balance of payments and international investment position statistics. The survey is being conducted in co-ordination with other countries to facilitate international data comparability. The survey is also designed to generate feedback on Investment Fund strategies related to industrial distribution, type of financial instrument and geographical distribution.

Collection Authority

The information requested is collected under the Statistics Act, Revised Statutes of Canada, 1985, Chapter S19. The survey is conducted on an annual basis.

Confidentiality

Information collected under the Statistics Act is treated in strict confidence and is specifically exempt from being released under the Access to Information Act.

How to report

Data would preferably be submitted through electronic mail in a single file using Excel or ASCII with delimiters. To assist respondents in identifying the information requested, Statistics Canada developed a standard record layout (see next page: ’Recommended table structure’).

Warning: Information sent via facsimile or electronic mail, when in transit, may encounter risk of disclosure. Upon receipt, Statistics Canada will confirm the reception of your submission. Thereafter, Statistics Canada will assure the confidentiality of the information.

What to report

Update of the list of funds as well as contact name and details (pre-print information).
Detailed holdings of your funds in a single electronic file.

Please return the required information to:

Statistics Canada
Balance of Payments Division
Survey of Canadian Portfolio Investment (SCPI) 22nd floor, R.H. Coats Building
Ottawa, Ontario K1A 0T6
Attention: Francis Salifu or Éric Boulay
E-mail cpiabop@statcan.gc.ca
Fax 1-613-951-9031

If there are questions regarding the survey, please contact Francis Salifu at (613) 951-2428 or Éric Boulay at (613) 951-1872 or use our toll free number (866) 765-8143.

Recommended Table Structure

** For more information about the content of the fields, see instructions on the following pages. **

Field, Field Name Data Type
Field Field Name Data Type Width Decimals
1 Code or name of the Fund (M) Alphanumeric 6  
2 Sequence Number Numeric 6  
3 Security Identification Code Alphanumeric 12  
4 Stock Market Symbol Alphanumeric 10  
5 Security Type (M) Numeric 2  
6 Name of Issuer (M) Character 65  
7 Security Description Character 65  
8 Industrial Description Character 40  
9 Market Value (M) Numeric 12  
10 Market Price Numeric 12 4
11 Quantity (M) Numeric 12  
12 Average Cost Numeric 12  
13 Exchange Rate Numeric 7 4
14 Currency of Denomination (M) Character 3  
15 Amount on Loan Numeric 12  
16 Country of Issuer (M) Character 3  
17 Issue Date Date (MMDDYYYY) 8  
18 Maturity Date (M) Date (MMDDYYYY) 8  
19 Type of Coupon Character 1  
20 Coupon or Dividend Numeric 7 4
21 Status Character 1  
(M): Mandatory Field Total 234 12

Content of fields

Field 1: Code or name of the fund - Enter the name or code of the fund.

Field 2: Sequence Number - Starting at 1, sequentially number each record. The last record should have the same sequence number as the total number of records.

Field 3: Security Identification Code - Enter the security identification code. For example, enter the CUSIP, SEDOL, or ISIN code. Please refrain from using internally generated codes.

Field 4: Stock Market Symbol - If available, enter the stock market symbol of the security.

Field 5: Security Type - Indicate the type of security according to the following code-set1:

  1. Equity (including warrants and rights)
  2. Debt and debentures
  3. Money market instruments
  4. Options
  5. Futures
  6. Forwards
  7. Cash
  8. Mortgages
  9. Real estate
  10. Units of pooled, mutual and investment funds
  11. SWAPS

Field 6: Name of Issuer - Enter the name of the issuer of this security.

Ex: Government of Canada
Ex: ABC Corporation

Field 7: Security Description - Provide pertinent descriptive information. Examples follow:

For equities:

  • Ex: ADR, Subordinate voting
  • Ex: Preferred convertible shares
  • Ex: Partly paid shares.
  • Ex: IBM Common shares

For debts:

  • Ex: Convertible debenture
  • Ex: Floating rate bond

For money market instruments:
Ex: Treasury bill
For options:

  • Ex: Call or Put

For futures: Not needed
For forwards: Ex: Buy British Pounds, Sell US

Field 8: Industrial Description - Pertinent descriptive information. If possible, please use code-set below:

Sector Description

A Food, Beverage and Tobacco
B Wood and Paper
C Energy
D Chemicals, Chemical Products and Textiles
E Metallic Minerals and Metal Products
F Machinery Equipment (except electrical machinery)
G Transportation Equipment
H Electrical and Electronic Products
I Construction and Related Activities
J Transportation Services
K Communications
L Finance and Insurance
M General Services to Business
N Government Services
O Education, Health and Social Services
P Accommodation, Restaurants and Recreation Services
Q Food Retailing
R Consumer Goods and Services

Field 9:  Fair (Market) Value - in Canadian dollars

For equities (including warrants and rights), enter the price (field 10) times the number of shares (field 11) converted in Canadian dollars.

For debts and the money market instruments, enter the price expressed as a percentage (field 10) times the face value (field 11).

When reporting a negative position for a security, enter "R" in field 21. A negative position occurs when securities acquired under repurchase or security-lending arrangements are subsequently sold to a third party.

For options, enter the number of contracts times the contract size times the premium. Option on stock

Example: 50 IBM Call Jan 09 at 130 at 8¾ (market price at date of survey) Calculation: Number of contracts (50) X contract size ($100) X premium 50*100*(8¾) = $43,750 US$ → 59,763 Cdn$ (43,750*1.366)

Option on index

Example: 20 S&P 500 Call May 655 at 14½ (market price at date of survey)
Calculation: Number of contracts (20) X contract size ($500) X premium
20*500*(14½) = $145,000 US$ → 198,070 Cdn$ (145,000*1.366)

Option on currency

Example: Trading on Philadelphia Exchange
100 Call British Pounds Dec 166 at .70 (market price at date of survey)
Calculation: Number of contracts (100) X contract size ($31,250) X premium 100*31,250*(.0070) = $21,875 US$ → 29,881 Cdn$ (21,875*1.366)

For futures :

Bond contracts: Enter the number of contracts times the contract size times spot price less exercise price (strike price).

Example: 20 / 5 year US treasury.

Strike price or exercise price = 98.25 spot price = 97.75

Calculation: number of contracts (20) X contract size ($100,000) X (spot-strike)
20*100,000*(.9775-.9825) = -$10,000 US$ → 13,660 Cdn$ (10,000*1.366)

Index contracts: Enter the number of contracts times’ future value multiplier times’ spot price less exercise price (strike price).

Example: 50 S&P 500

Calculation: Number of contracts (10) X future value multiplier ($500) X (spot-strike) 10*500*(655.86- 659.60) = -18,700 US$ -25,544 Cdn$ (18,700*1.366)

Currency: Enter the number of contracts times’ future value multiplier times’ spot price less exercise price (strike price).

Example: 20 Euro 1.4877

Calculation: Number of contracts (20) X future value multiplier ($125,000) X (spot-strike) 20*125,000*(1.5821- 1.5754) = 16,750 Euro  →  27,185 Cdn$ (16,750*1.6230)

For forwards :

Enter the market value in excess of (less than) settlement amount in Cdn$.

For cash:

Enter the Canadian dollar value of your holdings.

Field 10: Market Price

For equities, enter the market price per share, warrant or right in Cdn$.
For debts and money market instruments, enter the market price as a percentage of the security's face value.
For options, enter the market price times the multiplier in Cdn$.
For futures, enter market price in Cdn$.
For forwards, leave this field empty.
For cash, leave this field empty.

Market price should be used to report all holdings of securities. All securities should be converted to Canadian dollars using the exchange rate prevailing at the close of business of the surveyed period. Please indicate any fund not converted into Canadian dollars in the confirmation of funds form.

For equities ( including warrants and rights):

For stock listed companies, the market price of your holding should be calculated using the market price prevailing on the stock exchange at the close of the surveyed period.

For unlisted enterprises, if a market price is not available at the close of the business of the surveyed period, estimate the market price of your holding of equity securities by using one of the following methods:

  • a recent transaction price;
  • director's valuation; or
  • net asset value (net asset value is equal to total assets, including intangibles, less non-equity liabilities and the paid up value of non-voting shares. Assets and liabilities should be recorded at current, rather than historical value).

For debts and money market instruments:

Debt securities should be recorded (as a percentage) using one of the market valuation methods listed below:

  • a quoted traded market price at the close of the business of the surveyed period;
  • the net present value of the expected stream of future payments/receipts associated with the securities;
  • for unlisted securities, the price used to value securities for accounting or regulatory purposes, etc.; or
  • for discount, deep discount or zero coupon securities, the issue price plus amortisation of the discount.
  • Comparative security valuation approach

For options:

For exchange traded options, the market price of your holding is the market price prevailing on the exchange at the close of the surveyed period.

For OTC options and exchange-traded options, if a market price is not available at the close of the business of the surveyed period, estimate the market price of your holding by using one of the following methods:

  • a recent transaction price;
  • director's valuation

For futures:

For futures, provide the market price. The market price is obtained by taking the spot price of the underlying asset minus the strike price (or exercise price.) As per the example shown in field 9 for futures, the spot price less the exercise price must be expressed like this: .9775 (spot)-.9825 (exercise) = -.005

For forwards:

Leave this field blank.

For cash:

Leave this field blank.

Field 11: Quantity

For equities (including warrants and rights), enter the number of shares.

For units of pooled, mutual and investment funds, enter the number of units held rounded to the nearest unit.

For debts, enter the face value held in the currency of denomination. For asset-backed securities, enter the remaining face value of principal still outstanding.

For money market instruments, enter the face value at maturity.

For options, and futures, enter the number of contracts.

For forwards, enter the amount receivable at the expiration of the contract in original currency.

For cash, leave this field blank

Field 12: Average Cost - Enter the average cost (historical cost) of the security held.

Field 13: Exchange Rate - Enter the exchange rate used to convert the currency of denomination in field 9. This rate should be the one prevailing at the close of the surveyed period. Ex: Market value of US stock converted in CDN$ (field 9) over market value of US stock in US$ denomination currency.

Field 14: Currency of denomination - Currency codes appear in Appendix 2.

Field 15: Amount on loan - Face value or share units of field 11 (in Cdn$) sold under loan repurchase                   agreements or lent under security lending arrangements.

For debt, enter the face value of field 11 sold under repurchase agreements and security lending arrangements.

For stocks, enter the number of shares of field 11 sold under security lending arrangements.

Field 16: Country of Issuer - Enter the code from Appendix 2 for the country of residence of the issuing entity of the security.

Field 17: Issue Date - Enter the original date of issue for this security in the following format: MMDDYYYY.

Field 18: Maturity Date - Enter the date on which this security matures in the format: MMDDYYYY. For a security with a call provision, enter the final maturity date, not the call date.

Field 19: Type of coupon - Fixed (F) or Variable (V)

Enter "F" for fixed rate or "V" for variable or floating rate.

Field 20: Coupon or Dividend

Forbonds enter the annual coupon rate. For variable rate, enter the rate that prevailed at the end of the surveyed period rounded to four decimal places.

Forequities, enter the annual value of the dividend. For zero coupon bonds, enter 0.0000.

Field 21: Status - Enter "D" if security is in default.

Enter "R" when securities acquired under repurchase or security lending arrangements are subsequently sold to a third party.

Appendix 1 - Security Types

Equity securities = Security type 1

  • ordinary shares;
  • stocks (class A, class B);
  • depository receipts, e.g., American depository receipts (ADR), should be attributed to the country of residence of the issuer of the security underlying the depository receipt;
  • equity securities that have been sold under repurchase agreements; and
  • equity securities that have been lent under securities lending arrangement

i) Securities acquired under repurchase or securities lending arrangements are to be excluded from the report;
ii) Securities acquired under repurchase or security lending arrangements and subsequently sold to a third party should indicate it by entering the letter "R" in item 21.

  • warrants and rights

i) subscription rights to securities;
ii) subscription or share warrants; and
iii) currency warrants

Debt securities (with an original term to maturity of over 1 year) = Security type 2

  • bonds, zero coupon or stripped bonds, deep discounted, currency linked (e.g., dual-currency), floating rate, equity related (e.g., Convertible bonds, Eurobonds);
  • asset-backed securities such as mortgage backed bonds, collateralized mortgage obligations (CMO);
  • receivable securitization;
  • index-linked securities (e.g., property index certificates);
  • preference shares (participating, non-participating, convertibles);
  • floating rate notes (FRN), such as perpetual notes (PRN), variable rate notes (VRN), structured FRN, reverse FRN, collared FRN, step up recovery FRN (SURF), range/corridor/accrual notes;
  • medium term notes;
  • Bunds (German), Gilts (United Kingdom), OAT’s (France), JGB’s (Japan);
  • bonds with optional maturity dates, the latest of which is more than one yearto maturity;
  • debentures;
  • negotiable certificates of deposits with contractual maturity of more than one year;
  • other long term securities;
  • bearer depository receipts (BDR) denoting ownership of debt securities, should be attributed to the country of residence of the issuer of the security underlying the depository receipt;
  • debt securities that you have sold under repurchase agreements; and
  • debt securities that you have lent under a securities lending arrangement

i) Securities acquired under repurchase or securities lending arrangements are to be excluded from the report;
ii) Securities acquired under repurchase or security lending arrangements and subsequently sold to a third party should indicate it by entering the letter "R" in item 21.

Money market instruments (with an original term to maturity of less than 1 year) = Security type 3

  • bonds, zero coupon or stripped bonds, deep discounted, currency linked (e.g., dual-currency), floating rate, equity related (e.g., Convertible bonds, Eurobonds);
  • asset-backed securities such as mortgage backed bonds, collateralized mortgage obligations (CMO);
  • index-linked securities (e.g., property index certificates)
  • non-participating preference shares;
  • receivable securitization (with less then one year to maturity);
  • discount notes;
  • commercial paper;
  • floating rate notes (FRN),such as perpetual notes (PRN), variable rate notes (VRN), structured FRN, reverse FRN, collared FRN, step up recovery FRN (SURF), range/corridor/accrual notes;
  • medium term notes;
  • Bubill (German), Conventional Gilts (United Kingdom), BTF’s (France) ;
  • bonds with optional maturity dates, the latest of which is less than one year to maturity; debentures;
  • negotiable certificates of deposits with contractual maturity of less than one year;
  • other long term securities (with a remaining term to maturity of less than one year);
  • bearer depository receipts (BDR) denoting ownership of debt securities, should be attributed to the country of residence of the issuer of the security underlying the depository receipt;
  • debt securities (with a remaining term to maturity of less than one year) that you have sold under repurchase agreements; and
  • debt securities (with a remaining term to maturity of less than one year) that you have lent under a securities lending arrangement;

i) Securities acquired under repurchase or securities lending arrangements are to be excluded from the report;
ii) Securities acquired under repurchase or security lending arrangements and subsequently sold to a third party should indicate it by entering the letter "R" in item 21.

Derivatives

Options = Security Type 4:

Options on stocks, indexes, currency, futures and commodity.

Characteristics

  • Call, Put;
  • Long or short;
  • American or European type.

Futures = Security Type 5:

Futures on currency, indexes, interest rates, metals, petroleum. Characteristics

  • Long or short

Forwards = Security Type 6:

All types of Forwards

Cash = Security Type 7

  • Cash and other deposits
  • Other portfolio investment assets

Appendix 2 - Country and Currency Codes

In reporting the geographical distribution of foreign countries, and currency of payments, please use the codes provided below:

Appendix 2 - Country and Currency Codes
Country Code Currency Code
Afghanistan AF Afgani AFA
Albania AL Lek ALL
Algeria DZ Algerain Dinar DZD
Andorra AD Euro EUR
Angola AO Kwanza AOK
Antigua and Barbuda AG East Caribbean dollar XCD
Argentina AR Argentina Peso ARS
Armenia AM Dram AMD
Australia AU Australian dollar AUD
Austria AT Euro EUR
Azerbaidjan AZ Manat AZM
Bahamas BS Bahamas dollar BSD
Bahrain BH Bahraini dinar BHD
Bangladesh BD Taka BDT
Barbados BB Barbados dollar BBD
Belarus BY Rouble BYR
Belgium BE Euro EUR
Belize BZ Belize dollar BZD
Benin BJ Cfa Franc Bceao XOF
Bermuda BM Bermuda dollar BMD
Bhutan BT Ngultrum BTN
Bolivia BO Boliviano BOB
Bosnia-Hercegovina BA Marka BAM
Botswana BW Pula BWP
Brazil BR Real BRL
British Virgin Islands VG United States dollar USD
Brunei BN Brunei dollar BND
Bulgaria BG Lev BGL
Burkina Faso BF Cfa Franc Bceao XOF
Burundi BI Burundi Franc BIF
Cameroon CM Cfa Franc Beac XOF
Canada CA Canadian dollar CAD
Cape Verde CV Cape Verde Escudo CVE
Cayman Islands KY Cayman Islands dollars KYD
Central African Republic CF Cfa Franc Beac XOF
Chad TD Cfa Franc Bceao XOF
Chile CL Chilean Peso CLP
China CN Yuan Renminbi CNY
Columbia CO Colombian Peso COP
Congo, Democractic Republic CG Cfa Franc Beac XOF
Costa Rica CR Colòn CRC
Croatia HR Kuna HRK
Cuba CU Cuban Peso CUP
Cyprus CY Cyprus Pound CYP
Czech Republic CZ Czech Koruna CZK
Denmark DK Danish Krone DKK
Djibouti DJ Djibouti Franc DJF
Dominica DM East Caribbean dollar XCD
Dominican Republic DO Dominican Peso DOP
East Timor TP Rupiah IDR
Ecuador EC Sucre ECS
Egypt EG Egyptian Pound EGP
Equatorial Guinea GQ Cfa Franc Beac XOF
Estonia EE Estonia Kroon EEK
Ethiopia ET Birr ETB
Falkland Islands FK Falkland Islands Pound FKP
Fiji FJ Fiji dollar FJD
Finland FI Euro EUR
France FR Euro EUR
Gabon GA Cfa Franc Beac XOF
Gambia GM Dalasi GMD
Georgia GE Lari GEL
Germany DE Euro EUR
Ghana GH Cedi GHC
Gibraltar GI Gibraltar Pound GIP
Greece GR Euro EUR
Guadeloupe GP Euro EUR
Guatemala GT Quetzal GTQ
Guernsey GG Pound Sterling GBP
Guinea GN Guinea Franc GNF
Guinea-Bissau GW Peso GWP
Guyana GY Guyana dollar GYD
Haiti HT Gourde HTG
Honduras HN Lempira HNL
Hong Kong HK Hong Kong dollar HKD
Hungary HU Forint HUF
Iceland IS Icelandic Krona ISK
India IN Indian Rupee INR
Indonesia ID Rupiah IDR
International Organisation XX    
Iran IR Rial IRR
Iraq IQ Iraqi Dinar IQD
Ireland IE Euro EUR
Israel IL Shekel ILS
Italy IT Euro EUR
Ivory Coast CI Cfa Franc Bceao XOF
Jamaica JM Jamaican dollar JMD
Japan JP Yen JPY
Jordan JO Jordanian Dinar JOD
Kazakhstan KZ Tenge KZT
Kenya KE Kenian Shilling KES
Kiribati (Canton & Enderbury) KI Autralian dollar AUD
Korea (North) KP Won KPW
Korea (South) KR Won KRW
Kuwait KW Kuwaiti Dinar KWD
Kyrghyzstan KG Som KGS
Laos LA Kip LAK
Latvia LV Lats LVL
Lebanon LB Lebanese Pound LBP
Lesotho LS Loti LSM
Liberia LR Liberian dollar LRD
Libyan LY Libyan Dinar LYD
Liechtenstein LI Swiss Franc CHF
Lithuania LT Litas LTL
Luxembourg LU Euro EUR
Macao MO Pataca MOP
Macedonia MK Denar MKD
Madagascar MG Malagasy Franc MGF
Malawi MW Kwacha MWK
Malaysia MY Ringgit MYR
Maldives MV Rufiyaa MVR
Mali ML Cfa Franc Bceao XOF
Malta MT Maltese Lira MTL
Mauritania MR Ouguiya MRO
Mauritius MU Mauritius Rupee MUR
Mexico MX Mexican Peso MXN
Moldova MD Leu MDL
Monaco MC Euro EUR
Mongolian MN Tugrik MNT
Montenegro ME Euro EUR
Morocco MA Dirham MAD
Mozambique MZ Metical MZM
Namibia NA Namibien dollar NAD
Nepal NP Nepalese Rupee NPR
Netherlands NL Netherlands Guilder NLG
Netherlands Antilles AN Netherlands Antilles Guilder ANG
New Zealand NZ New Zealand dollar NZD
Nicaragua NI Còrdoba NIC
Niger NE Cfa Franc Bceao XOF
Nigeria NG Naira NGN
Norway NO Norwegian Krone NOK
Oman OM Riyal Omani OMR
Pakistan PK Pakistani Rupee PKR
Panama PA Balboa PAB
Papua New Guinea PG Kina PGK
Paraguay PY Guarani PYG
Peru PE Sol PEN
Philippines PH Peso PHP
Poland PL Zloty PLZ
Portugal PT Euro EUR
Puerto Rico PR United States dollar USD
Qatar QA Riyal QAR
Romania RO Leu ROL
Russian Federation RU Ruble RUR
Rwanda RW Rwanda Franc RWF
Saint Lucia LC East Caribbean dollar XCD
Saint Pierre And Miquelon PM Euro EUR
Samoa WS Tala WST
Sao Tome And Principe ST Dobra STD
Saudia Arabia SA Riyal SAR
Senegal SN Cfa Franc Bceao XOF
Serbia RS Dinar RSD
Seychelles SC Seychelles Rupee SCR
Sierra Leone SL Leone SLL
Singapore SG Singapore dollar SGD
Slovenia SI Tolar SIT
Somalia SO Shilling SOS
South Africa ZA Rand ZAR
Spain ES Peseta ESP
Sri Lanka LK Sri Lanka Rupee LKR
Sudan SD Soudan Pound SDD
Suriname SR Suriname Guilder SRG
Swaziland SZ Lilangeni SZL
Sweden SE Swedish Krona SEK
Switzerland CH Swiss Franc CHF
Syrian SY Syrian Pound SYP
Tajikistan TJ Rouble TJR
Taiwan TW Taiwan dollar TWD
Tanzania TZ Shilling TZS
Thailand TH Baht THB
Togo TG Cfa Franc Bceao XOF
Trinidad and Tobago TT Trinidad dollar TTD
Tunisia TN Tunisian Dinar TND
Turkey TR Turkish Lira TRL
Turkmenistan TM Manat TMM
Uganda UG Uganda Shilling UGS
Ukraine UA Hryvna UAH
United Arab Emirates AE Dirham AED
United Kingdom GB Pound Sterling GBP
United States US United States dollar USD
Uruguay UY Uruguayo Peso UYU
Us Virgin Islands VI United States dollar USD
Uzbekistan UZ Rouble UZR
Venezuela VE Bolivar VEB
Vietnam VN Dong VND
Yemen YE Yemeni Rial YER
Zaire ZR Zaire ZRN
Zambia ZM Kwacha ZMK
Zimbabwe ZW Zimbabwean dollar ZWD

 

RECORD LAYOUT DATA ENTRY (EXAMPLES) (M) - Mandatory field
FIELD 1 FIELD 2 FIELD 3 FIELD 4 FIELD 5 FIELD 6 FIELD 7 FIELD 8 FIELD 9 FIELD 10 FIELD 11 FIELD 12 FIELD 13 FIELD 14 FIELD 15 FIELD 16 FIELD 17 FIELD 18 FIELD 19 FIELD 20 FIELD 21
Code of the Fund (M) Sequence Number Security Identification Code Stock Market Symbol Security Type (M) Name of Issuer (M) Security Description Industrial Description Market Value $CAD (M) Market Price Quantity (M) Average Cost Exchange Rate Currency of Denomination (M) Amount on Loan Country of Issuer (M) Issue Date Maturity Date (M) Type of Coupon Coupon or Dividend Status
Alphanumeric Numeric Alphanumeric Alphanumeric Numeric Character Character Character Numeric Numeric Numeric Numeric Numeric Character Numeric Character Date (MM/DD/YYYY) Date (MM/DD/YYYY) Character Numeric Character
Decimal:                 4     4             4  
FUND 01 1 135087VQ4   2 GOVT OF CANADA GOVT OF CANADA BONDS Government 2,763,900 92.1300 3,000,000 2,760,400   CAD 1,000,000 CA   06/01/2024 F 6.5000  
FUND 01 2 36962FW77 GE 2 GENERAL ELECTRIC CAPITAL CO. MTN Private 6,307,462 141.7407 4,450,000 6,257,459 1.3708 USD   US   05/06/2036 F 6.8000  
FUND 01 4   BMO.PR.D 2 BANK OF MONTRÉAL PREFERRED SHARE D Private 3,425,000 27.4000 125,000 3,550,400   CAD   CA     F 8.2500  
FUND 01 5   TEE.DB 2 TEE-COM DEBENTURES Private (101,520) 101.5200 100,000     CAD   CA   06/06/2010 F 5.2500 R
FUND 01 7     3 MEXICAN GOVERNMENT MEXICAN CETES Government 2,022,016 18.1170 11,160,874 2,030,200 0.1830 MXN   MX   01/11/2019      
FUND 01 8 878742204 TEK.B 1 TECK CORP. CLASS B SUB. VOTING Mines & Metals 14,872,000 25.9909 572,200 14,015,265 1.3660 USD   CA       0.2011  
FUND 02 1 500631106 KEP 1 KOREA ELECTRIC POWER CORP ADR Electronics 1,530,000 51.0000 30,000 1,425,600 1.3660 USD   KP          
FUND 02 3 IT9276A1043   1 TELECOM ITALIA MOBILE SPA COMMON (IL50 PAR) Communications 75,000 3.0000 25,000 74,890 0.0009 ITL   IT          
FUND 02 4     1 FRASER AND NEAVE LTD COMMON   630,000 10.5000 60,000 630,450 0.5346 SGD   SG          
FUND 02 5   IBM 4 IBM CALL, IBM JAN 08, 130 Computers 59,763 11.9525 50   1.3660 USD   US 12/21/2008        
FUND 02 6   OEX 4 S & P 500 CALL, S&P 500, MAY 07, 655 Index 198,070 19.8070 20   1.3660 USD   US 05/21/2007        
FUND 02 7     4 BRITISH POUND CALL B POUND, DEC 166 Currency 29,881 0.9562 100   1.3660 USD   GB 12/21/2005        
FUND 02 8     6 PAY CDN$ RECEIVED GBP1-10 FORWARD ON CURRENCY   (7,271)   645,000   2.0368 GBP   GB 04/11/2008 07/15/2008      
FUND 02 10     5 US 5 YEAR TREASURY MAY 2006, 98.5   (13,600) (0.6830) 20   1.3660 USD   US 10/12/2005 05/15/2006      
FUND 02 11     5 S & P 500 MAY 2007, 659.60   (25,544) (5.1088) 10   1.3660 USD   US 01/01/2007 05/05/2007      
FUND 02 12     5 EURO EURO MAY 2007. .6685   22,881 0.0060 20   1.3660 USD   DE 12/05/2006 5/18/2007      
FUND 02 13     9 COMMERCIAL REAL ESTATE   Real estate 25,000                        
FUND 02 14     7 CASH US $ US $   1,400,000       1.3660 USA              
FUND 02 15   TEE.DB 2 TEE-COM DEBENTURES Private (101,520) 101.52 100,000     CAD   CA   06/06/2009 F 5.25 R
FUND 02 16     10 Pooled fund - Beutel Unit of fund Finance 1,000,000 10 100,00012   1.0000 CAD   CA          

1. Equity (including warrants and rights)
2. Debt and debentures
3. Money market instruments
4. Options
5. Futures
6. Forwards
7. Cash
8. Mortgages
9. Real estate
10. Pooled, mutual and investment funds
11. Swaps
12. Negative position: When reporting a negative position for a security, enter 'R' (for repurchase) in field 21.

*A survey guide is available upon request.

Note: Please include any tables of concordance for country codes, industry codes and currency codes if different from the BP-54 requested codes.


Notes

1. Please see Appendix 1 for a more detailed description of these categories.

 

Statistical Information Service Evaluation

Archived information

Archived information is provided for reference, research or recordkeeping purposes. It is not subject to the Government of Canada Web Standards and has not been altered or updated since it was archived. Please "contact us" to request a format other than those available.

Consultation objectives

During the 2013/2014 fiscal year, Statistics Canada's Statistical Information Service (SIS) was evaluated to assess its ability to meet the information needs of its clients.

This evaluation asked clients who use this service to provide feedback and to express their level of satisfaction with the services. Feedback will be used to plan improvements to the services.

Consultation method

Statistics Canada contacted a sample of SIS users by email or telephone to invite them to complete an online questionnaire. Participation was voluntary, and a total of 392 users participated, representing a 24% response rate.

Participation profile

Participants came from a number of sectors: government (65%), education (19%) and business (12%). 

How to get involved

This consultation is now closed.

Individuals who wish to obtain more information or to take part in consultations should contact Statistics Canada through the Statistical Information Service.

Please note that Statistics Canada selects participants for each consultation to ensure feedback is sought from a representative sample of the target population for the study. Not all applicants will be asked to participate in a given consultation.

Statistics Canada is committed to respecting the privacy of consultation participants. All personal information created, held or collected by the Agency is protected by the Privacy Act. For more information on Statistics Canada's privacy policies, please consult the Privacy notice.

Results

Method of communication

According to consultation results, 66% of SIS users contacted the service via email, while the remainder did so by telephone.

Topics of interest

SIS clients sought information on a number of topics. Demography/population was the most popular with 12% of clients requesting information on this topic.

Clients were also interested in information on income, pensions, spending and wealth (10%), families, households and housing (8%), prices and price indexes (7%), labour (6%) and health (4%).

Type of information sought

Among SIS users, 58% were looking for data or information on a specific topic for a specific region.

Other common reasons for using the service included seeking help to: interpret data (13%); find information on jobs at Statistics Canada (10%): navigate the website (8%); and, obtain a product or service (7%).

Success rate

Overall, 90% of SIS clients obtained the information that they needed. Success rates varied according to how users communicated with the service. Clients who contacted SIS by telephone had a 95% success rate, compared with 85% for those who used email.  

Overall client satisfaction

The majority of clients who contacted SIS reported being very satisfied or satisfied with the service they received. Satisfaction levels were slightly higher for clients who contacted SIS by telephone (86%), compared with clients who communicated via email (77%).

Timeliness of service

People who contacted the service by telephone were also more likely to express satisfaction with respect to the timeliness of the service (85% by telephone versus 78% by email).

Clear communications

How users contacted SIS also had an impact on communication success. Overall, 79% of clients who contacted SIS by telephone reported being very satisfied or satisfied with the ability of SIS staff to understand their needs, compared with 71% of those who used email.

In addition, 82% of clients who contact SIS via telephone claimed to be very satisfied or satisfied with the clarity of communications with SIS staff, compared with 75% of those who used email.

Use of official language

Nearly 88% of clients expressed satisfaction with the language in which they were served.

General observations

SIS users who participated in the survey generally provided positive feedback, indicating that the service was timely and useful, and that SIS staff were courteous, pleasant, friendly and knowledgeable.

Recommendations

Some SIS users recommended improvements, such as increasing the timeliness of responses to requests sent by email and better access to information agents via telephone.

Statistics Canada is taking steps to implement the recommendations.

Statistics Canada thanks participants for their participation in this consultation. Their insights guide the agency’s development and ensure that the services meet users’ expectations.

Date modified:

Federal Science Expenditures and PersonnelActivities in the natural sciences and engineering

Table of contents

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Introduction
General

Text begins

Introduction

This introduction is intended to provide an overview of the process of collecting science expenditure data; definitions of and explanatory notes on natural sciences and engineering, social sciences and humanities, scientific and technological activities, performance sectors, and other terms used are given in subsequent sections.

The collection of science expenditure data is organized by the Business Special Surveys and Technology Statistics Division (BSSTSD) of Statistics Canada. This exercise was formerly conducted under the aegis of the Treasury Board Secretariat but is now solely a Statistics Canada survey.

Collection is undertaken to gather essential data describing the recent, current and proposed state of the federal resources allocated to science. Federal science expenditures data are provided to Industry Canada who in turn use the data in the development of advice to the Assistant Deputy Ministers' Steering Committee on the Management of S&T, their Minister and the Treasury Board Secretariat, as well as in policy development and in monitoring the implementation of science policies. Statistics Canada maintains historical expenditure series in natural sciences and engineering dating back to 1963 and to 1971 in the social sciences and humanities. These data are available through the Business Special Surveys and Technology Statistics Division (BSSTSD) or through special requests.

The basic reporting unit is the budgetary program of a department or agency. Each budgetary program forms the subject of separate scientific expenditure reports for the natural and for the social science activities within it. Both the program and the program activities within it may be scientific in whole or in part only. Only expenditures on the scientific components of a program or its activity are reported. In some programs it will be difficult to distinguish between the natural and social sciences. However, some allocation must be made and in determining this allocation, the dominant orientation of the projects and the area of expertise of the personnel involved must be considered. Detailed definitions are given on the following pages.

On the questionnaires, the identified expenditures are looked at from several different viewpoints and in various subdivisions. Expenditures on research and development (R&D) and related scientific activities (RSA) are subdivided to provide an indication of the "what" of a department's scientific effort. Expenditures in each category of scientific activity are further subdivided into "current" and "capital" segments. Current expenditures are additionally subdivided by sector, to indicate the "where" and "by whom" the activity is performed (e.g., in business enterprise, in higher education).

The human resources allocated to scientific activities are summarized in terms of the involved categories of personnel (scientific and professional, technical, etc.) and the principal focus of their efforts (R&D, RSA, administration of extramural programs).

When completed, checked for consistency with previous reports, entered into the database and totalled along the various dimensions, these data provide snapshots of the federal resources allocated to science, supporting not only the work of central agencies but also the submissions of departments and agencies requesting resources.

General

This guide consists of definitions/explanations for terms used in the questionnaire.

The natural sciences and engineering consist of disciplines concerned with understanding, exploring, developing or utilizing the natural world. Included are the engineering, mathematical, life and physical sciences.

The term social sciences is to be regarded as synonymous with social sciences and humanities and thus embraces all disciplines involving the study of human actions and conditions and the social, economic and institutional mechanisms affecting humans. Included are such disciplines as anthropology, business administration and commerce, information and knowledge management, criminology, demography, economics, geography, history, languages, literature and linguistics, law, library science, philosophy, political science, psychology, religious studies, social work, sociology, and urban and regional studies.

1. Expenditures by activity and performer

The questionnaire covers three consecutive fiscal years and the headings of all three are identical. One set of definitions/explanations therefore suffices.

Actual and planned expenditures on scientific and technological activities are to be classified according to the type of scientific activity and the performance sector in which the activities were or will be conducted.

Scientific and technological (S&T) activities are required for the generation, dissemination or initial application of the new S&T knowledge. The central activity is scientific research and experimental development (R&D). In addition there are a number of activities closely related to R&D, and are termed related scientific activities (RSA). Those identified as being appropriate for the federal government in the Natural sciences and engineering are: scientific data collection, information services, special services and studies and education support.

The performer is equivalent to the sector in which the scientific activity is conducted. The basic distinction is between intramural and extramural performance. Extramural payments are classified on the basis of the performance sectors to which they are made. The appropriate extramural performers are business enterprise, higher education, Canadian non-profit institutions, foreign performers, provincial and municipal governments, and other performers.

I. Research and experimental development

Research and experimental development – creative work undertaken on a systematic basis in order to increase the stock of scientific and technical knowledge and to use this knowledge in new applications.

The central characteristic of R&D is an appreciable element of novelty and of uncertainty. New knowledge, products or processes are sought. The work is normally performed by, or under the supervision of, persons with postgraduate degrees in the natural sciences or engineering.

An R&D project generally has three characteristics:

  • a substantial element of uncertainty, novelty and innovation;
  • a well-defined project design;
  • a report on the procedures and results of the projects.

Examples:

  1. Special investigation of a particular mortality in order to establish the side effects of certain medical treatments.
  2. The investigation of new methods of measuring temperature is research as is the study and development of new systems and techniques for interpreting the data.
  3. The development of new methods of identifying tree species and determining if they are diseased.
  4. The creation of a new transportation system as a prototype and the technical evaluation of its operations is R&D.

R&D is generally carried out by specialized R&D units. However, an R&D project may also involve the use of non R&D facilities (e.g., testing grounds), the purchase or construction of specialized equipment and materials, and the assistance of other units. Costs of such items, attributable to the project, are to be considered R&D costs.

R&D units may also be engaged in non R&D activities such as technical advisory services, testing, and construction of special equipment for other units. So far as is practical, the effort devoted to such operations should be excluded from R&D.

On the other hand, R&D may be carried out by units normally engaged in other functions (e.g. a marine survey ship used for hydrological research, a geological survey team may be directed to work in a certain area in order to provide data for a geophysical research project). Such effort is part of an R&D project and, again, so far as is practical, the costs should be assigned to R&D expenditures.

ltem 1. In-house R&D R&D performed by personnel of the reporting program. It may include R&D carried out on behalf of another program on a cost-recovery basis.

Item 2. Contracts – payments to organizations or individuals outside the federal government for the conduct of R&D by the recipient or to provide support for the federal government's in-house R&D programs.

  • a) R&D contracts – contracts to an outside institution or individual to fund R&Dperformed by the institution or individual. The criterion is: would the performer report the contract as intramural government-funded R&D if asked? If the answer is yes the activity would be an R&D contract, if no it would be a supporting contract. Contracts to other federal government departments should be reported as a transfer of funds on page 14 of the questionnaire.

  • b) Supporting contracts – contracts to an outside institution or individual to provide goods or services necessary to support the in-house R&D program. Examples are contracts with data processing firms for computing services, maintenance contracts for R&D facilities, or procurement contracts for specialized equipment which is not considered capital. The total amount reported for this activity should be reported under the intramural column on pages 4 to 6.

Contracts for related scientific activities (RSA) should continue to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 3. R&D grants and contributions – awards to organizations or individuals for the conduct of R&D and intended to benefit the recipients rather than provide the program with goods, services or information. These funds are normally identical to that portion of the budgetary "grants and contributions" line object of expenditure which is devoted to R&D activities.

Grants and contributions for related scientific activities (RSA) are to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 4. Research fellowships – awards to individuals for advanced research training and experience. Awards intended primarily to support the education of the recipients should be reported as education support.

Item 5. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e. R&D or RSA.

Item 6. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

II. Related scientific activities

Related scientific activities are concerned with the generation, dissemination and application of scientific and technological knowledge. The kinds of related scientific activities for the natural sciences and engineering are described below.

Item 7. Scientific data collection – the gathering, processing, collating and analyzing of data on natural phenomena. These data are normally the results of surveys, routine laboratory analyses or compilations of operating records.

Data collected as part of an existing or proposed research project are charged to research. Similarly, the costs of analyzing existing data as part of a research project are R&D costs, even when the data were originally collected for some other purpose. The development of new techniques for data collection is also to be considered a research activity. Examples of scientific data collection are: routine geological, hydrographic, oceanographic and topographic surveys; routine astronomical observations; maintenance of meteorological records; and wildlife and fisheries surveys.

Item 8. Information services – all work directed to recording, classifying, translating and disseminating scientific and technological information as well as museum services. Included are the operations of scientific and technical libraries, S&T consulting and advisory services, the Patent Office, the publication of scientific journals and monographs, and the organizing of scientific conferences. Grants for the publication of scholarly works are also included.

General purpose information services or information services directed primarily towards the general public are excluded, as are general departmental and public libraries. When individual budgets exist, the costs of libraries which belong to institutions otherwise entirely classified to another activity, such as R&D, should be assigned to information services. The costs of printing and distributing reports from another activity, such as R&D, are normally attributable to that activity.

Sub category under Information services:

Museum services – the collecting, cataloguing and displaying of specimens of the natural world or of representations of natural phenomena. The activity involves a systematic attempt to preserve and display items from the natural world; in some ways it could be considered an extension of information services. The scientific activities of natural history museums, zoological and botanical gardens, aquaria, planetaria and nature reserves are included. Parks which are not primarily restricted reserves for certain fauna or flora are excluded. In all cases the costs of providing entertainment and recreation to visitors should be excluded (e.g. restaurants, children's gardens and museums).

When a museum also covers not only natural history but also aspects of human cultural activities, the museum's resources should be appropriated between the natural and social sciences. However, museums of science and technology, war, etc., which display synthetic or artificial objects and may also illustrate the operations of certain technologies, should be considered as engaged in museum services in social sciences.

Item 9. Special services and studies – work directed towards the establishment of national and provincial standards for materials, devices, products and processes; the calibration of secondary standards; non-routine quality testing; feasibility studies and demonstration projects.

Sub categories under Special services and studies include:

Testing and standardization – work directed towards the establishment of national and international standards for materials, devices, products and processes, the calibration of secondary standards and non-routine quality testing. The development of new measures for standards, or of new methods of measuring or testing, is R&D and should be reported as such. Exclude routine testing such as monitoring radioactivity levels or soil tests before construction.

Feasibility studies – technical investigations of proposed engineering projects to provide additional information required to reach decisions on implementation. Besides feasibility studies per se, the related activity of demonstration projects are to be included. Demonstration projects involve the operation of scaled-up versions of a facility or process, or data on factors such as costs, operational characteristics, market demand and public acceptance. Projects called "demonstration projects" but which conform to the definition of R&D should be considered R&D. Once a facility or process is operated primarily to provide a service or to gain revenue, rather than as a demonstration, it should no longer be included with feasibility studies. In all demonstration projects, only the net costs should be considered.

Item 10. Education support – grants to individuals or institutions on behalf of individuals which are intended to support the post-secondary education of students in technology and the natural sciences. General operating or capital grants are excluded. The activity includes the support of foreign students in their studies of the natural sciences at Canadian or foreign institutions. Grants intended primarily to support the research of individuals at universities are either R&D grants or research fellowships.

Awards intended primarily to support the education of the recipients should be reported as education support.

Item 11. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e.R&D or RSA.

Item 12. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

III. Performers

Intramural includes costs incurred for scientific activities carried out by in-house personnel of units assigned to the program, the related acquisition of land, buildings, machinery and equipment for scientific activities; the administration of scientific activities by program employees and the purchase of goods and services to support in-house scientific activities.

The intramural expenditures reported for scientific activities are those direct costs, including salaries, associated with scientific programs. The costs should include that portion of a program's contribution to employee benefit plans (e.g., superannuation) which is applicable to the scientific personnel within the program.

Non-program ("indirect") costs such as the value of services provided by other departments without charge and accommodation provided by the reporting program are to be excluded. Support services (i.e. administration, finance) provided by the reporting program, proportional to S&T expenditures should be included.

Extramural performers are groups being funded for S&T activities by the federal government sector. In this survey the extramural performers include:

Business enterprise – business and government enterprises including public utilities and government-owned firms. Incorporated consultants providing scientific and engineering services are also included. Industrial research institutes located at Canadian universities are considered to be in the higher education sector.

Higher education – composed of all universities, colleges of technology and other institutes of post-secondary education, whatever their source of finance or legal status. It also includes all research institutes, experimental stations and clinics operating under the direct control of, or administered by, or associated with, the higher education establishments.

Canadian non-profit institutions – charitable foundations, voluntary health organizations, scientific and professional societies, and other organizations not established to earn profits. Non-profit institutions primarily serving or controlled by another sector should be included in the controlling sector.

Provincial and municipal governments – departments and agencies of these governments. Government enterprises, such as provincial utilities are included in the business enterprise sector, and hospitals in the Canadian non-profit institutions sector.

Foreign performers – all foreign government agencies, foreign companies (including foreign subsidiaries of Canadian firms), international organizations, non-resident foreign nationals and Canadians studying or teaching abroad.

Other performers – include provincial research councils, and individuals or organizations in Canada not belonging to any of the above sectors.

2. Personnel

Intramural expenditure data should be supported by data on the personnel devoted to scientific activities by all the employees engaged in these activities.

Full-time equivalent ( FTE ) – a measure of the time actually devoted to the conduct of scientific activities. An employee who is engaged in scientific activities for half a year has a full-time equivalence of 0.5. Personnel data reported should be consistent with expenditure data.

Scientific and professional – people in jobs that require at least one academic degree or nationally recognized professional qualification (e.g., Professional Engineer P.Eng.), as well as those with equivalent experience.

Technical – people in jobs that require specialized vocational or technical training beyond the secondary level (e.g., community colleges and technical institutes) as well as those with experience equivalent to this training.

Other – clerical, secretarial, administrative, operational and other support personnel.

In regard to personnel resources there are two caveats:

  • where the S&T activities are a part of the program being reported, only auxiliary staff relevant to the S&T activities are reported on a prorated basis;
  • whenever financial and administrative support is provided from another program, that support is allocated to the S&T resources for the program being reported.

3. Sources of funds for total scientific and technological activities

This question identifies the sources of funds for expenditures on scientific activities reported for all three years. It will help to ensure that work funded from outside the department is not overlooked.

Departmental S&T budget – that portion of the total departmental budget which was spent on natural science and engineering activities.

Revenues to / from other departments – money transferred into this program from another federal department or money transferred from this program to another federal department for activities in the natural sciences and engineering.

Provincial government departments – all funds from the provincial government used for natural science and engineering activities. The funds are referred to as payments, contributions, transfers, etc. Also include provincial portions of federal-provincial cost sharing programs performed by the department program.

Business enterprises – all funds from business enterprises used for natural science and engineering activities performed by the department.

From other sources – all funds for natural science and engineering activities from sources not specified above.

4. Scientific and technological expenditures by socio-economic objectives

Socio-economic objectives allow departments to classify their S&T resource allocations according to the purpose for which the expenditure is intended. The objectives are listed on the questionnaire at the highest level of aggregation with sub-levels given here for clarification of categories. In many cases, projects have multiple objectives and a department should assign its expenditures consistent with the stated objectives of the department. Care must be taken to avoid "double counting".

The objectives are based on the Nomenclature for the Analysis and Comparison of Scientific Programmes and Budgets (NABS) produced by the Statistical Office of the European Communities (Eurostat).

1. Exploration and exploitation of the Earth – scientific activities with objectives related to the exploration of the Earth's crust and mantle, seas, oceans and atmosphere, and scientific activities on their exploitation. It also includes climatic and meteorological research, polar exploration (under various headings, as appropriate) and hydrology.

Examples:

  • General scientific activities
  • Mineral, oil and natural gas prospecting
  • Exploration and exploitation of the sea-bed
  • Earth's crust and mantle excluding sea-bed and studies of soil for agriculture (6)
  • Hydrology – excludes scientific activities on: water supplied and disposal (2) and water pollution (3)
  • Sea and oceans
  • Atmosphere
  • Other scientific activities on the exploration and exploitation of the earth

Excludes: scientific activities on pollution (objective 3), soil improvement (objective 2), land-use and fishing (objective 6).

2. Infrastructure and general planning of land use – scientific activities on infrastructure and land development, including research on the construction of buildings. More generally, it covers all scientific activities relating to the general planning of land-use. This includes scientific activities into protection against harmful effects in town and country planning but not scientific activities into other types of pollution (objective 3).

2.1 Transport systems – covers scientific activities on transport systems, including road accident prevention and ancillary services such as electronic traffic aids and radar stations. Also included is general scientific activities on transport systems, road and rail traffic, inland waterway and sea transport, air traffic, pipeline transport systems, works transport systems, combined transport systems and scientific activities on the potential effects on the environment of the planning and operation of transport systems. Scientific activities on transport equipment is included only when it forms part of the co-ordinated programmes for the development of improved and safer transport systems, otherwise, such research is classified in objective 7.

2.2 Telecommunications systems – covers scientific activities on telecommunications services and the planning and organization of telecommunications networks. It includes, in particular, general scientific activities on telecommunications systems, telephones, telex, data transmission, radio and television (including cable TV).

2.3 Other scientific activities – covers scientific activities on the infrastructure and general planning of land-use.

Examples:

  • General scientific activities
  • General planning of land-use
  • Construction and planning of buildings
  • Civil engineering – excludes scientific activities on building materials and industrial processes
  • Water supply

3. Control and care of the environment – covers scientific activities into the control of pollution, aimed at the identification and analysis of the sources of pollution and their causes, and all pollutants, including their dispersal in the environment and the effects on man, species (fauna, flora, microorganisms) and biosphere. Development of monitoring facilities for the measurement of all kinds of pollution is included. The same is valid for the elimination and prevention of all forms of pollution in all types of environment.

Examples:

  • General scientific activities on the environment
  • Protection of atmosphere and climate
  • Protection of ambient air
  • Solid waste
  • Protection of ambient water
  • Protection of soil and groundwater
  • Noise and vibration
  • Protection of species and habitats
  • Protection against natural hazards
  • Radioactive pollution
  • Other scientific activities on the environment

4. Protection and Improvement of human health – scientific activities aimed at protecting, promoting and restoring human health broadly interpreted to include health aspects of nutrition and food hygiene. It ranges from preventative medicine, including all aspects of medical and surgical treatment, both for individuals and groups, and the provision of hospital and home care, to social medicine and pediatric and geriatric research.

Examples:

  • General scientific activities
  • Medical scientific activities, hospital treatment, surgery
  • Preventive medicine
  • Biomedical engineering and medicines
  • Occupational medicine
  • Nutrition and food hygiene
  • Drug abuse and addiction
  • Social medicine
  • Hospital structure and organization of medical care
  • Other medical scientific activities

5. Production, distribution and rational utilization of energy – covers scientific activities into the production, storage, transportation, distribution and rational use of all forms of energy. It also includes scientific activities on processes designed to increase the efficiency of energy production and distribution, and the study of energy conservation.

Examples:

  • Fossil fuels and their derivatives
  • Nuclear fission
  • Radioactive waste management including decommissioning with regard to fuel/energy
  • Nuclear fusion
  • Renewable energy sources
  • Rational utilization of energy

6. Agricultural production and technology – covers all scientific activities on the promotion of agriculture, forestry, fisheries and foodstuff production. It includes: scientific research on chemical fertilizers, biocides, biological pest control and the mechanization of agriculture; research on the impact of scientific activities in the field of developing food productivity and technology.

6.1 Agriculture – covers scientific activities on animal products, veterinary medicine, crops, food technology and other scientific activities on agricultural production and technology.

6.2 Fishing – covers scientific activities on fishing, salting, drying and initial freezing of products (but not on preparation and canning (7)), scientific activities on fish-farming, exploration of new fishing grounds, exploration and development of new and unconventional sources of seafood.

6.3 Forestry – covers scientific activities into the ecological and economic aspects of forestry and timber production.

7. Industrial production and technology – covers scientific activities on the improvement of industrial production and technology. It includes scientific activities on industrial products and their manufacturing processes except where they form an integral part of the pursuit of other objectives (e.g. defence, space, energy, agriculture).

Examples:

  • Increasing economic efficiency and competitiveness
  • Manufacturing and processing techniques
  • Petrochemical and coal by-products
  • Pharmaceutical products
  • Manufacture of motor vehicles and other means of transport
  • Aerospace equipment manufacturing and repairing
  • Electronic and related industries
  • Manufacture of electrical machinery and apparatus
  • Manufacture of non-electronic and non-electrical machinery
  • Manufacture of medical and surgical equipment and orthopaedic appliances
  • Manufacture of food products and beverages
  • Manufacture of clothing and textiles and leather goods
  • Recycling

8. Social structures and relationships – scientific activities on social objectives, as analysed in particular by social and human sciences, which have no obvious connection with other objectives. This analysis includes quantitative, qualitative, organizational and forecasting aspects of social problems.

Examples:

  • Education, training, recurrent education and retraining
  • Cultural activities
  • Management of businesses and institutions
  • Improvement of working conditions
  • Social security system
  • Political structure of society
  • Social change, social processes and social conflicts
  • Other scientific activities with regard to society

9. Exploration and exploitation of space – all civil space scientific activities. Corresponding scientific activities in the defence field is classified in objective 12. (Although civil space research is not, in general, concerned with particular objectives, it frequently has a specific goal, such as the increase of general knowledge (e.g. astronomy), or relates to particular applications (e.g. telecommunications satellites).

Examples:

  • General scientific activities
  • Scientific exploration of space
  • Applied research programs
  • Launch systems
  • Space laboratories and space travel
  • Other research on the exploration and exploitation of space

10. Non-oriented research – basic activities motivated by scientific curiosity with the objective of increasing scientific knowledge. It also includes funding used to support postgraduate studies and fellowships.

Examples:

  • Mathematics and Computer Sciences
  • Physical Sciences
  • Chemical Sciences
  • Biological Sciences
  • Earth and Related (Environmental) Sciences (environment)
  • Engineering Sciences
  • Medical Sciences
  • Agricultural Sciences
  • Social Sciences
  • Humanities

11. Other civil research – civil scientific activities which cannot (yet) be classified to a particular objective.

12. Defence – covers scientific activities for military purposes. It also includes basic research and nuclear and space research financed by ministries of defence. Civil scientific activities financed by ministries of defence, for example, in the fields of meteorology, telecommunications and health, should be classified in the relevant objectives.

5. Expenditures and personnel of scientific and technological establishment engaged in activities in the natural sciences and engineering, by region

Since 1978, Statistics Canada has been collecting detailed expenditure and person year data on intramural scientific activities of federal government departments and agencies by region. These data, coupled with data from other surveys, have been used by policy planners in federal and provincial governments, research managers and the media to assess the provincial distribution of science activities in Canada.

Again this year, we are asking for the information at the regional level. We are also asking for information in both natural science and engineering establishments as well as those performing activities in the social sciences and humanities, as international GERD statistics include activities in both science fields.

The Canada total expenditures and personnel reported for the actual year must be consistent with data reported on intramural expenditures, column one and total personnel.

6. Transfers for natural sciences and engineering activities

Include payments or recipients for contracts, transfers and joint programs from / to other federal government departments. Please identify the amount and names of the origination and recipient programs.

Please forward the completed questionnaire and listing of extramural performers by March 31, 2011 directly to:

Operations and Integration Division, Statistics Canada
2nd Floor, Section B-17, Jean Talon Building, 150 Tunney's Pasture Driveway, Ottawa, Ontario, K1A 0T6
Phone Number: 613-951-2591 or toll free at 1-800-387-0479
Fax number: 613-951-0709 or toll free at 1-800-755-5514
Email: infotechsurv@statcan.gc.ca

Your participation is greatly appreciated and will contribute to providing useful information on federal S&T expenditures. You will be able to access these results through "The Daily" and the publication "Federal Scientific Activities", Catalogue no 88-204-X on Statistics Canada's web site. The data will also be available on Science.gc.ca. Thank you for your co-operation.

Federal Science Expenditures and Personnel Activities in the natural sciences and engineering

Table of contents

Skip to text

Introduction
General
1. Expenditures by activity and performer
2. Personnel
3. Sources of funds for total scientific and technological activities
4. Scientific and technological expenditures by socio-economic objectives
5. Expenditures and personnel of scientific and technological establishment engaged in activities in the natural sciences and engineering, by region
6. Transfers for natural sciences and engineering activities

Text begins

Introduction

This introduction is intended to provide an overview of the process of collecting science expenditure data; definitions of and explanatory notes on natural sciences and engineering, social sciences and humanities, scientific and technological activities, performance sectors, and other terms used are given in subsequent sections.

The collection of science expenditure data is organized by the Investment Science and Technology Division (ISTD) of Statistics Canada. This exercise was formerly conducted under the aegis of the Treasury Board Secretariat but is now solely a Statistics Canada survey.

Collection is undertaken to gather essential data describing the recent, current and proposed state of the federal resources allocated to science. Federal science expenditures data are provided to Industry Canada who in turn use the data in the development of advice to the Assistant Deputy Ministers' Steering Committee on the Management of S&T, their Minister and the Treasury Board Secretariat, as well as in policy development and in monitoring the implementation of science policies. Statistics Canada maintains historical expenditure series in natural sciences and engineering dating back to 1963 and to 1971 in the social sciences and humanities. These data are available through the Investment Science and Technology Division (ISTD) or through special requests.

The basic reporting unit is the budgetary program of a department or agency. Each budgetary program forms the subject of separate scientific expenditure reports for the natural and for the social science activities within it. Both the program and the program activities within it may be scientific in whole or in part only. Only expenditures on the scientific components of a program or its activity are reported. In some programs it will be difficult to distinguish between the natural and social sciences. However, some allocation must be made and in determining this allocation, the dominant orientation of the projects and the area of expertise of the personnel involved must be considered. Detailed definitions are given on the following pages.

On the questionnaires, the identified expenditures are looked at from several different viewpoints and in various subdivisions. Expenditures on research and development (R&D) and related scientific activities (RSA) are subdivided to provide an indication of the "what" of a department's scientific effort. Expenditures in each category of scientific activity are further subdivided into "current" and "capital" segments. Current expenditures are additionally subdivided by sector, to indicate the "where" and "by whom" the activity is performed (e.g., in business enterprise, in higher education).

The human resources allocated to scientific activities are summarized in terms of the involved categories of personnel (scientific and professional, technical, etc.) and the principal focus of their efforts (R&D, RSA, administration of extramural programs).

When completed, checked for consistency with previous reports, entered into the database and totaled along the various dimensions, these data provide snapshots of the federal resources allocated to science, supporting not only the work of central agencies but also the submissions of departments and agencies requesting resources.

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General

This guide consists of definitions/explanations for terms used in the questionnaire.

The natural sciences and engineering consist of disciplines concerned with understanding, exploring, developing or utilizing the natural world. Included are the engineering, mathematical, life and physical sciences.

The term social sciences is to be regarded as synonymous with social sciences and humanities and thus embraces all disciplines involving the study of human actions and conditions and the social, economic and institutional mechanisms affecting humans. Included are such disciplines as anthropology, business administration and commerce, information and knowledge management, criminology, demography, economics, geography, history, languages, literature and linguistics, law, library science, philosophy, political science, psychology, religious studies, social work, sociology, and urban and regional studies.

1. Expenditures by activity and performer

The questionnaire covers three consecutive fiscal years and the headings of all three are identical. One set of definitions/explanations therefore suffices.

Actual and planned expenditures on scientific and technological activities are to be classified according to the type of scientific activity and the performance sector in which the activities were or will be conducted.

Scientific and technological (S&T) activities are required for the generation, dissemination or initial application of the new S&T knowledge. The central activity is scientific research and experimental development (R&D). In addition there are a number of activities closely related to R&D, and are termed related scientific activities (RSA). Those identified as being appropriate for the federal government in the Natural sciences and engineering are: scientific data collection, information services, special services and studies and education support.

The performer is equivalent to the sector in which the scientific activity is conducted. The basic distinction is between intramural and extramural performance. Extramural payments are classified on the basis of the performance sectors to which they are made. The appropriate extramural performers are business enterprise, higher education, Canadian non-profit institutions, foreign performers, provincial and municipal governments, and other performers.

I. Research and experimental development

Research and experimental development – creative work undertaken on a systematic basis in order to increase the stock of scientific and technical knowledge and to use this knowledge in new applications.

The central characteristic of R&D is an appreciable element of novelty and of uncertainty. New knowledge, products or processes are sought. The work is normally performed by, or under the supervision of, persons with postgraduate degrees in the natural sciences or engineering.

An R&D project generally has three characteristics:

  1. a substantial element of uncertainty, novelty and innovation;
  2. a well-defined project design;
  3. a report on the procedures and results of the projects.

Examples:

  • Special investigation of a particular mortality in order to establish the side effects of certain medical treatments.
  • The investigation of new methods of measuring temperature is research as is the study and development of new systems and techniques for interpreting the data.
  • The development of new methods of identifying tree species and determining if they are diseased.
  • The creation of a new transportation system as a prototype and the technical evaluation of its operations is R&D.

R&D is generally carried out by specialized R&D units. However, an R&D project may also involve the use of non R&D facilities (e.g., testing grounds), the purchase or construction of specialized equipment and materials, and the assistance of other units. Costs of such items, attributable to the project, are to be considered R&D costs.

R&D units may also be engaged in non R&D activities such as technical advisory services, testing, and construction of special equipment for other units. So far as is practical, the effort devoted to such operations should be excluded from R&D.

On the other hand, R&D may be carried out by units normally engaged in other functions (e.g. a marine survey ship used for hydrological research, a geological survey team may be directed to work in a certain area in order to provide data for a geophysical research project). Such effort is part of an R&D project and, again, so far as is practical, the costs should be assigned to R&D expenditures.

ltem 1. In-house R&D R&D performed by personnel of the reporting program. It may include R&D carried out on behalf of another program on a cost-recovery basis.

Item 2. Contracts – payments to organizations or individuals outside the federal government for the conduct of R&D by the recipient or to provide support for the federal government's in-house R&D programs. Contracts to other federal government departments should be reported as a transfer of funds in question 6 of the questionnaire.

  • a) R&D contracts – contracts to an outside institution or individual to fund R&D performed by the institution or individual. The criterion is: would the performer report the contract as intramural government-funded R&D if asked? If the answer is yes the activity would be an R&D contract, if no it would be an intramural supporting contract.
  • R&D contracts can also be an intramural R&D activity, for example when a consultant is hired from outside the Federal Government to perform R&D activities within your premises.
  • b) Supporting contracts – contracts to an outside institution or individual to provide goods or services necessary to support the in-house R&D program. Examples are contracts with data processing firms for computing services, maintenance contracts for R&D facilities, or procurement contracts for specialized equipment which is not considered capital. The total amount reported for this activity should be reported under the intramural column in questions 1A, 1B and 1C of the questionnaire.

Contracts for related scientific activities (RSA) should continue to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 3. R&D grants and contributions – awards to organizations or individuals for the conduct of R&D and intended to benefit the recipients rather than provide the program with goods, services or information. These funds are normally identical to that portion of the budgetary "grants and contributions" line object of expenditure which is devoted to R&D activities.

Grants and contributions for related scientific activities (RSA) are to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 4. Research fellowships – awards to individuals for advanced research training and experience. Awards intended primarily to support the education of the recipients should be reported as education support.

Item 5. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e. R&D or RSA.

Item 6. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

II. Related scientific activities

Related scientific activities are concerned with the generation, dissemination and application of scientific and technological knowledge. The kinds of related scientific activities for the natural sciences and engineering are described below.

Item 7. Scientific data collection – the gathering, processing, collating and analyzing of data on natural phenomena. These data are normally the results of surveys, routine laboratory analyses or compilations of operating records.

Data collected as part of an existing or proposed research project are charged to research. Similarly, the costs of analyzing existing data as part of a research project are R&D costs, even when the data were originally collected for some other purpose. The development of new techniques for data collection is also to be considered a research activity. Examples of RSA scientific data collection are: routine geological, hydrographic, oceanographic and topographic surveys; routine astronomical observations; maintenance of meteorological records; and wildlife and fisheries surveys.

Item 8. Information services – all work directed to recording, classifying, translating and disseminating scientific and technological information as well as museum services. Included are the operations of scientific and technical libraries, S&T consulting and advisory services, the Patent Office, the publication of scientific journals and monographs, and the organizing of scientific conferences. Grants for the publication of scholarly works are also included.

General purpose information services or information services directed primarily towards the general public are excluded, as are general departmental and public libraries. When individual budgets exist, the costs of libraries which belong to institutions otherwise entirely classified to another activity, such as R&D, should be assigned to information services. The costs of printing and distributing reports from another activity, such as R&D, are normally attributable to that activity.

Sub category under Information services:

Museum services – the collecting, cataloguing and displaying of specimens of the natural world or of representations of natural phenomena. The activity involves a systematic attempt to preserve and display items from the natural world; in some ways it could be considered an extension of information services. The scientific activities of natural history museums, zoological and botanical gardens, aquaria, planetaria and nature reserves are included. Parks which are not primarily restricted reserves for certain fauna or flora are excluded. In all cases the costs of providing entertainment and recreation to visitors should be excluded (e.g. restaurants, children's gardens and museums).

When a museum also covers not only natural history but also aspects of human cultural activities, the museum's resources should be appropriated between the natural and social sciences. However, museums of science and technology, war, etc., which display synthetic or artificial objects and may also illustrate the operations of certain technologies, should be considered as engaged in museum services in social sciences.

Item 9. Special services and studies – work directed towards the establishment of national and provincial standards for materials, devices, products and processes; the calibration of secondary standards; non-routine quality testing; feasibility studies and demonstration projects.

Sub categories under Special services and studies include:

Testing and standardization – work directed towards the establishment of national and international standards for materials, devices, products and processes, the calibration of secondary standards and non-routine quality testing. The development of new measures for standards, or of new methods of measuring or testing, is R&D and should be reported as such. Exclude routine testing such as monitoring radioactivity levels or soil tests before construction.

Feasibility studies – technical investigations of proposed engineering projects to provide additional information required to reach decisions on implementation. Besides feasibility studies per se, the related activity of demonstration projects are to be included. Demonstration projects involve the operation of scaled-up versions of a facility or process, or data on factors such as costs, operational characteristics, market demand and public acceptance. Projects called "demonstration projects" but which conform to the definition of R&D should be considered R&D. Once a facility or process is operated primarily to provide a service or to gain revenue, rather than as a demonstration, it should no longer be included with feasibility studies. In all demonstration projects, only the net costs should be considered.

Item 10. Education support – grants to individuals or institutions on behalf of individuals which are intended to support the post-secondary education of students in technology and the natural sciences. General operating or capital grants are excluded. The activity includes the support of foreign students in their studies of the natural sciences at Canadian or foreign institutions. Grants intended primarily to support the research of individuals at universities are either R&D grants or research fellowships.

Awards intended primarily to support the education of the recipients should be reported as education support.

Item 11. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e.R&D or RSA.

Item 12. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

III. Performers

Intramural includes costs incurred for scientific activities carried out by in-house personnel of units assigned to the program; the related acquisition of land, buildings, machinery and equipment for scientific activities; the administration of scientific activities by program employees and the purchase of goods and services to support in-house scientific activities.

The intramural expenditures reported for scientific activities are those direct costs, including salaries, associated with scientific programs. The costs should include that portion of a program's contribution to employee benefit plans (e.g., superannuation) which is applicable to the scientific personnel within the program.

Non-program ("indirect") costs such as the value of services provided by other departments without charge and accommodation provided by the reporting program are to be excluded. Support services (i.e. administration, finance) provided by the reporting program, proportional to S&T expenditures should be included.

Extramural performers are groups being funded for S&T activities by the federal government sector. In this survey the extramural performers include:

Business enterprise – business and government enterprises including public utilities and government-owned firms. Incorporated consultants providing scientific and engineering services are also included. Industrial research institutes located at Canadian universities are considered to be in the higher education sector.

Higher education – composed of all universities, colleges of technology and other institutes of post-secondary education, whatever their source of finance or legal status. It also includes all research institutes, experimental stations and clinics operating under the direct control of, or administered by, or associated with, the higher education establishments.

Canadian non-profit institutions – charitable foundations, voluntary health organizations, scientific and professional societies, and other organizations not established to earn profits. Non-profit institutions primarily serving or controlled by another sector should be included in the controlling sector.

Provincial and municipal governments – departments and agencies of these governments. Government enterprises, such as provincial utilities are included in the business enterprise sector, and hospitals in the Canadian non-profit institutions sector.

Foreign performers – all foreign government agencies, foreign companies (including foreign subsidiaries of Canadian firms), international organizations, non-resident foreign nationals and Canadians studying or teaching abroad.

Other performers – include provincial research councils, and individuals or organizations in Canada not belonging to any of the above sectors.

2. Personnel

Intramural expenditure data should be supported by data on the personnel devoted to scientific activities by all the employees engaged in these activities.

Full-time equivalent ( FTE ) – a measure of the time actually devoted to the conduct of scientific activities. An employee who is engaged in scientific activities for half a year has a full-time equivalence of 0.5. Personnel data reported should be consistent with expenditure data.

Scientific and professional – people in jobs that require at least one academic degree or nationally recognized professional qualification (e.g., Professional Engineer P.Eng.), as well as those with equivalent experience.

Technical – people in jobs that require specialized vocational or technical training beyond the secondary level (e.g., community colleges and technical institutes) as well as those with experience equivalent to this training.

Other – clerical, secretarial, administrative, operational and other support personnel.

In regard to personnel resources there are two caveats:

  • where the S&T activities are a part of the program being reported, only auxiliary staff relevant to the S&T activities are reported on a prorated basis;
  • whenever financial and administrative support is provided from another program, that support is allocated to the S&T resources for the program being reported.

3. Sources of funds for total scientific and technological activities

This question identifies the sources of funds for expenditures on scientific activities reported for all three years. It will help to ensure that work funded from outside the department is not overlooked.

Departmental S&T budget – that portion of the total departmental budget which was spent on natural science and engineering activities.

Revenues to / from other federal departments – money transferred from this program to another federal department or money transferred into this program from another federal department for activities in the natural sciences and engineering.

Provincial government departments – all funds from the provincial government used for natural science and engineering activities. The funds are referred to as payments, contributions, transfers, etc. Also include provincial portions of federal-provincial cost sharing programs performed by the department program.

Business enterprises – all funds from business enterprises used for natural science and engineering activities performed by the department.

From other sources – all funds for natural science and engineering activities from sources not specified above.

4. Scientific and technological expenditures by socio-economic objectives

Socio-economic objectives allow departments to classify their S&T resource allocations according to the purpose for which the expenditure is intended. The objectives are listed on the questionnaire at the highest level of aggregation with sub-levels given here for clarification of categories. In many cases, projects have multiple objectives and a department should assign its expenditures consistent with the stated objectives of the department. Care must be taken to avoid "double counting".

The objectives are based on the Nomenclature for the Analysis and Comparison of Scientific Programmes and Budgets (NABS) produced by the Statistical Office of the European Communities (Eurostat).

1. Exploration and exploitation of the Earth – scientific activities with objectives related to the exploration of the Earth's crust and mantle, seas, oceans and atmosphere, and scientific activities on their exploitation. It also includes climatic and meteorological research, polar exploration (under various headings, as appropriate) and hydrology.

Examples:

  • General scientific activities
  • Mineral, oil and natural gas prospecting
  • Exploration and exploitation of the sea-bed
  • Earth's crust and mantle excluding sea-bed and studies of soil for agriculture (objective 6)
  • Hydrology – excludes scientific activities on: water supplied and disposal (objective 2) and water pollution (objective 3)
  • Sea and oceans
  • Atmosphere
  • Other scientific activities on the exploration and exploitation of the earth

Excludes: scientific activities on pollution (objective 3), soil improvement (objective 2), land-use and fishing (objective 6).

2. Infrastructure and general planning of land use – scientific activities on infrastructure and land development, including research on the construction of buildings. More generally, it covers all scientific activities relating to the general planning of land-use. This includes scientific activities into protection against harmful effects in town and country planning but not scientific activities into other types of pollution (objective 3).

2.1 Transport systems – covers scientific activities on transport systems, including road accident prevention and ancillary services such as electronic traffic aids and radar stations. Also included is general scientific activities on transport systems, road and rail traffic, inland waterway and sea transport, air traffic, pipeline transport systems, works transport systems, combined transport systems and scientific activities on the potential effects on the environment of the planning and operation of transport systems. Scientific activities on transport equipment is included only when it forms part of the co-ordinated programmes for the development of improved and safer transport systems, otherwise, such research is classified in objective 7.

2.2 Telecommunications systems – covers scientific activities on telecommunications services and the planning and organization of telecommunications networks. It includes, in particular, general scientific activities on telecommunications systems, telephones, telex, data transmission, radio and television (including cable TV).

2.3 Other scientific activities – covers scientific activities on the infrastructure and general planning of land-use.

Examples:

  • General scientific activities
  • General planning of land-use
  • Construction and planning of buildings
  • Civil engineering – excludes scientific activities on building materials and industrial processes (objective 7)
  • Water supply

3. Control and care of the environment – covers scientific activities into the control of pollution, aimed at the identification and analysis of the sources of pollution and their causes, and all pollutants, including their dispersal in the environment and the effects on man, species (fauna, flora, microorganisms) and biosphere. Development of monitoring facilities for the measurement of all kinds of pollution is included. The same is valid for the elimination and prevention of all forms of pollution in all types of environment.

Examples:

  • General scientific activities on the environment
  • Protection of atmosphere and climate
  • Protection of ambient air
  • Solid waste
  • Protection of ambient water
  • Protection of soil and groundwater
  • Noise and vibration
  • Protection of species and habitats
  • Protection against natural hazards
  • Radioactive pollution
  • Other scientific activities on the environment

4. Protection and Improvement of human health – scientific activities aimed at protecting, promoting and restoring human health broadly interpreted to include health aspects of nutrition and food hygiene. It ranges from preventative medicine, including all aspects of medical and surgical treatment, both for individuals and groups, and the provision of hospital and home care, to social medicine and pediatric and geriatric research.

Examples:

  • General scientific activities
  • Medical scientific activities, hospital treatment, surgery
  • Preventive medicine
  • Biomedical engineering and medicines
  • Occupational medicine
  • Nutrition and food hygiene
  • Drug abuse and addiction
  • Social medicine
  • Hospital structure and organization of medical care
  • Other medical scientific activities

5. Production, distribution and rational utilization of energy – covers scientific activities into the production, storage, transportation, distribution and rational use of all forms of energy. It also includes scientific activities on processes designed to increase the efficiency of energy production and distribution, and the study of energy conservation.

Examples:

  • Fossil fuels and their derivatives
  • Nuclear fission
  • Radioactive waste management including decommissioning with regard to fuel/energy
  • Nuclear fusion
  • Renewable energy sources
  • Rational utilization of energy

6. Agricultural production and technology – covers all scientific activities on the promotion of agriculture, forestry, fisheries and foodstuff production. It includes: scientific research on chemical fertilizers, biocides, biological pest control and the mechanization of agriculture; research on the impact of scientific activities in the field of developing food productivity and technology.

6.1 Agriculture – covers scientific activities on animal products, veterinary medicine, crops, food technology and other scientific activities on agricultural production and technology.

6.2 Fishing – covers scientific activities on fishing, salting, drying and initial freezing of products (but not on preparation and canning (7)), scientific activities on fish-farming, exploration of new fishing grounds, exploration and development of new and unconventional sources of seafood.

6.3 Forestry – covers scientific activities into the ecological and economic aspects of forestry and timber production.

7. Industrial production and technology – covers scientific activities on the improvement of industrial production and technology. It includes scientific activities on industrial products and their manufacturing processes except where they form an integral part of the pursuit of other objectives (e.g. defence, space, energy, agriculture).

Examples:

  • Increasing economic efficiency and competitiveness
  • Manufacturing and processing techniques
  • Petrochemical and coal by-products
  • Pharmaceutical products
  • Manufacture of motor vehicles and other means of transport
  • Aerospace equipment manufacturing and repairing
  • Electronic and related industries
  • Manufacture of electrical machinery and apparatus
  • Manufacture of non-electronic and non-electrical machinery
  • Manufacture of medical and surgical equipment and orthopaedic appliances
  • Manufacture of food products and beverages
  • Manufacture of clothing and textiles and leather goods
  • Recycling

8. Social structures and relationships – scientific activities on social objectives, as analysed in particular by social and human sciences, which have no obvious connection with other objectives. This analysis includes quantitative, qualitative, organizational and forecasting aspects of social problems.

Examples:

  • Education, training, recurrent education and retraining
  • Cultural activities
  • Management of businesses and institutions
  • Improvement of working conditions
  • Social security system
  • Political structure of society
  • Social change, social processes and social conflicts
  • Other scientific activities with regard to society

9. Exploration and exploitation of space – all civil space scientific activities. Corresponding scientific activities in the defence field is classified in objective 12. (Although civil space research is not, in general, concerned with particular objectives, it frequently has a specific goal, such as the increase of general knowledge (e.g. astronomy), or relates to particular applications (e.g. telecommunications satellites)).

Examples:

  • General scientific activities
  • Scientific exploration of space
  • Applied research programs
  • Launch systems
  • Space laboratories and space travel
  • Other research on the exploration and exploitation of space

10. Non-oriented research – basic activities motivated by scientific curiosity with the objective of increasing scientific knowledge. It also includes funding used to support postgraduate studies and fellowships.

Examples:

  • Mathematics and Computer Sciences
  • Physical Sciences
  • Chemical Sciences
  • Biological Sciences
  • Earth and Related (Environmental) Sciences (environment)
  • Engineering Sciences
  • Medical Sciences
  • Agricultural Sciences
  • Social Sciences
  • Humanities

11. Other civil research – civil scientific activities which cannot (yet) be classified to a particular objective.

12. Defence – covers scientific activities for military purposes. It also includes basic research and nuclear and space research financed the department of defence. Civil scientific activities financed by ministries of defence, for example, in the fields of meteorology, telecommunications and health, should be classified in the relevant objectives.

5. Expenditures and personnel of scientific and technological establishment engaged in activities in the natural sciences and engineering, by region

Since 1978, Statistics Canada has been collecting detailed expenditure and person year data on intramural scientific activities of federal government departments and agencies by region. These data, coupled with data from other surveys, have been used by policy planners in federal and provincial governments, research managers and the media to assess the provincial distribution of science activities in Canada.

Again this year, we are asking for the information at the regional level. We are also asking for information in both natural science and engineering establishments as well as those performing activities in the social sciences and humanities, as international gross domestic expenditures on research and development (GERD) statistics include activities in both science fields.

The Canada total expenditures and personnel reported for the actual year must be consistent with data reported on intramural expenditures, column one and total personnel.

6. Transfers for natural sciences and engineering activities

Include payments or recipients for contracts, transfers and joint programs from / to other federal government departments. Please identify the amount and names of the origination and recipient programs.

Please forward the completed questionnaire and listing of extramural performers by January 9, 2015 directly to:

Operations and Integration Division, Statistics Canada
2nd Floor, Section B-17, Jean Talon Building, 150 Tunney's Pasture Driveway, Ottawa, Ontario, K1A 0T6
Phone Number: toll free at 1-888-659-8229
Fax number: toll free at 1-800-755-5514
Email: infotechsurv@statcan.gc.ca

Your participation is greatly appreciated and will contribute to providing useful information on federal S&T expenditures. You will be able to access these results through "The Daily" and CANSIM table358-0142 to 358-0151 and CANSIM table358-0163 to 358-0166 on Statistics Canada's web site. The data will also be available on Science.gc.ca. THANK YOU FOR YOUR CO-OPERATION.

Federal Science Expenditures and Personnel, Activities in the social sciences and humanities

Table of contents

Skip to text

Introduction
General

Text begins

Introduction

This introduction is intended to provide an overview of the process of collecting science expenditure data; definitions of and explanatory notes on natural sciences and engineering, social sciences and humanities, scientific and technological activities, performance sectors, and other terms used are given in subsequent sections.

The collection of science expenditure data is organized by the Business Special Surveys and Technology Statistics Division (BSSTSD) of Statistics Canada. This exercise was formerly conducted under the aegis of the Treasury Board Secretariat but is now solely a Statistics Canada survey.

Collection is undertaken to gather essential data describing the recent, current and proposed state of the federal resources allocated to science. Federal science expenditures data are provided to Industry Canada who in turn use the data in the development of advice to the Assistant Deputy Ministers' Steering Committee on the Management of S&T, their Minister and the Treasury Board Secretariat, as well as in policy development and in monitoring the implementation of science policies. Statistics Canada maintains historical expenditure series in natural sciences and engineering dating back to 1963 and to 1971 in the social sciences and humanities. These data are available through the Business Special Surveys and Technology Statistics Division (BSSTSD) or through special requests.

The basic reporting unit is the budgetary program of a department or agency. Each budgetary program forms the subject of separate scientific expenditure reports for the natural and for the social science activities within it. Both the program and the program activities within it may be scientific in whole or in part only. Only expenditures on the scientific components of a program or its activity are reported. In some programs it will be difficult to distinguish between the natural and social sciences. However, some allocation must be made and in determining this allocation, the dominant orientation of the projects and the area of expertise of the personnel involved must be considered. Detailed definitions are given on the following pages.

On the questionnaires, the identified expenditures are looked at from several different viewpoints and in various subdivisions. Expenditures on research and development (R&D) and related scientific activities (RSA) are subdivided to provide an indication of the "what" of a department's scientific effort. Expenditures in each category of scientific activity are further subdivided into "current" and "capital" segments. Current expenditures are additionally subdivided by sector, to indicate the "where" and "by whom" the activity is performed (e.g., in business enterprise, in higher education).

The human resources allocated to scientific activities are summarized in terms of the involved categories of personnel (scientific and professional, technical, etc.) and the principal focus of their efforts (R&D, RSA, administration of extramural programs).

When completed, checked for consistency with previous reports, entered into the database and totaled along the various dimensions, these data provide snapshots of the federal resources allocated to science, supporting not only the work of central agencies but also the submissions of departments and agencies requesting resources.

General

This guide consists of definitions/explanations for terms used in the questionnaire.

The term social sciences is to be regarded as synonymous with social sciences and humanities and thus embraces all disciplines involving the study of human actions and conditions and the social, economic and institutional mechanisms affecting humans. Included are such disciplines as anthropology, business administration and commerce, information and knowledge management, criminology, demography, economics, geography, history, languages, literature and linguistics, law, library science, philosophy, political science, psychology, religious studies, social work, sociology, and urban and regional studies.

The natural sciences and engineering consist of disciplines concerned with understanding, exploring, developing or utilizing the natural world. Included are the engineering, mathematical, life and physical sciences.

1. Expenditures by activity and performer

The questionnaire covers three consecutive fiscal years and the headings of all three are identical. One set of definitions/explanations therefore suffices.

Actual and planned expenditures on scientific and technological activities are to be classified according to the type of scientific activity and the performance sector in which the activities were or will be conducted.

Scientific and technological (S&T) activities are required for the generation, dissemination or initial application of the new S&T knowledge. The central activity is scientific research and experimental development (R&D). In addition there are a number of activities closely related to R&D, and are termed related scientific activities (RSA). Those identified as being appropriate for the federal government in the social sciences and humanities are: general purpose data collection, information services, special services and studies and education support.

The performer is equivalent to the sector in which the scientific activity is conducted. The basic distinction is between intramural and extramural performance. Extramural payments are classified on the basis of the performance sectors to which they are made. The appropriate extramural performers are business enterprise, higher education, Canadian non-profit institutions, foreign performers, provincial and municipal governments, and other performers.

I. Research and experimental development

Research and experimental development – creative work undertaken on a systematic basis in order to increase the stock of scientific and technical knowledge including knowledge of humans, culture and society and the use of this stock of knowledge to devise new applications.

R&D requires the acquisition of knowledge and not just information. New knowledge involves the integration of newly acquired information into existing hypotheses, the formulation and testing of new hypotheses or the re-evaluation of existing observations.

An R&D project generally has three characteristics:

  • a substantial element of uncertainty, novelty and innovation;
  • a well-defined project design;
  • a report on the procedures and results of the projects.

Examples:

  1. Investigation of the factors determining regional variations in economic growth.
  2. Studies of the effects of an urban development scheme on family group cohesiveness.
  3. Investigation of the variables affecting the educational performance of children drawn from different social and ethnic groups.
  4. Development of reward systems which take into account the different motives, attitudes and perception of management and workers.

Both "research" and "development" are often used with different meanings in the government. For example, it is increasingly common to hear that a person is "researching" something (i.e. the person is looking for information about something). Similarly, there are many units with either "research" or "development" or both terms in their titles which are concerned primarily with information gathering, speech writing, preparation of position papers or departmental organization. These should be excluded from the scientific activity of R&D.

Many social scientists perform work in which they bring the established methodologies and facts of the social sciences and humanities to bear upon a particular problem, but which cannot be classified as research. The following are examples of work which might be included in this category and are not R&D: interpretative commentary on the probable economic effects of a change in the tax structure using existing economic data; forecasting future changes in the pattern of the demand for social services within a given area arising from an altered demographic structure; operations research as a contribution to decision-making, e.g. planning the optimal distribution system for a factory; the use of standard techniques in applied psychology to select and classify industrial and military personnel, students, etc., and to test children with reading or other disabilities.

ltem 1. In-house R&D R&D performed by personnel of the reporting program. It may include R&D carried out on behalf of another program on a cost recovery basis.

Item 2. Contracts – payments to organizations or individuals outside the federal government for the conduct of R&D by the recipient or to provide support for the federal government's in-house R&D programs.

  • a) R&D contracts – contracts to an outside institution or individual to fund R&Dperformed by the institution or individual. The criterion is: would the performer report the contract as intramural government-funded R&D if asked? If the answer is yes the activity would be an R&D contract, if no it would be a supporting contract. Contracts to other federal government departments should be reported as a transfer of funds on page 14 of the questionnaire.

  • b) Supporting contracts – contracts to an outside institution or individual to provide goods or services necessary to support the in-house R&D program. Examples are contracts with data processing firms for computing services, maintenance contracts for R&D facilities, or procurement contracts for specialized equipment which is not considered capital. The total amount reported for this activity should be reported under the intramural column on pages 4 to 6.

Contracts for related scientific activities (RSA) should continue to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 3. R&D grants and contributions – awards to organizations or individuals for the conduct of R&D and intended to benefit the recipients rather than provide the program with goods, services or information. These funds are normally identical to that portion of the budgetary "grants and contributions" line object of expenditure which is devoted to R&D activities.

Grants and contributions for related scientific activities (RSA) are to be reported in the appropriate activity and performance sector spaces provided on the questionnaire.

Item 4. Research fellowships – awards to individuals for advanced research training and experience. Awards intended primarily to support the education of the recipients should be reported as "education support".

Item 5. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e. R&D or RSA.

Item 6. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

II. Related scientific activities

Related scientific activities are concerned with the generation, dissemination and application of scientific and technological knowledge. The kinds of related scientific activities for the social sciences and humanities are described below.

Item 7. General purpose data collection – the routine gathering, processing, collating, analysis and publication of information on human phenomena using surveys, regular and special investigations and compilations of existing records. It excludes data collected primarily for internal administrative purposes (e.g. departmental personnel statistics) as well as the collection of data as part of an R&D project.

Data collected as part of an existing or proposed research project are charged to research. Similarly, the costs of analyzing existing data as part of a research project are R&D costs, even when the data were originally collected for some other purpose. The development of new techniques for data collection is also to be considered a research activity. The institutions involved are generally the statistical bureaus of Canadian governments and the statistical sections of departments and agencies. If there are units whose principal activity is R&D, their costs and personnel should be assigned to R&D; specialized libraries with separate budgets should be assigned to information services.

Item 8. Information services – all work directed to recording, classifying, translating and disseminating scientific and technological information as well as museum services. Included are the operations of scientific and technical libraries, S&T consulting and advisory services, the Patent Office, the publication of scientific journals and monographs, and the organizing of scientific conferences. Grants for the publication of scholarly works are also included.

General purpose information services or information services directed primarily towards the general public are excluded, as are general departmental and public libraries. When individual budgets exist, the costs of libraries which belong to institutions otherwise entirely classified to another activity, such as R&D, should be assigned to information services. The costs of printing and distributing reports from another activity, such as R&D, are normally attributable to that activity.

Sub category under Information services:

Museum services – the collecting, cataloguing and displaying of specimens and representations relating to human history, social organization and creations. The activity involves a systematic attempt to preserve and display the works of human beings and to provide information on their works, history, and nature. The scientific activities of historical museums, archeological displays, and art galleries are included. In all cases the costs of providing entertainment and recreation to visitors should be excluded (e.g. restaurants, children's gardens and museums).

When a museum also covers aspects of natural history, the museum's operation should be divided between the social and natural sciences. However, museums of science and technology, war, etc., which display synthetic or artificial objects and may also illustrate the operations of certain technologies, should be considered as engaged in museum services in social sciences.

Item 9. Special services and studies – systematic investigations carried out in order to provide information needed for planning or policy formulation. Demonstration projects are also included.

The work is usually carried out by specialized units in some government departments, by consultants, by royal commissions, and by task forces. The activity is similar to R&D since it may require innovative analyses and a high degree of scientific ability. However, such studies are not intended to acquire new knowledge but to provide specific answers to specific problems (generally immediate, localized and perhaps temporary). The day-to-day operations of units concerned with departmental planning, organization or management are not normally included (i.e. administrative records kept by departments of education) but special projects may be relevant.

Sub categories under Special services and studies include:

Economic and feasibility studies – investigations of the socio-economic characteristics and implications of specific situations. Such studies are generally limited to a specific problem and involve the application of established social science techniques and methodologies.

Operations and policy studies – the analysis and assessment of departmental programs, policies and operations, the activities of units concerned with the continuing analysis and monitoring of external phenomena (e.g. foreign economic statistics, defence and security information) as well as studies to provide an information base for policy development. The work is carried out by specialized units in some government departments, by consultants, by royal commissions and by task forces.

Item 10. Education support – grants to individuals or institutions on behalf of individuals which are intended to support the post-secondary education of students in technology and the social sciences. General purpose grants to educational institutions are excluded. The activity includes the support of foreign students in their studies of the social sciences at Canadian or foreign institutions. Grants intended primarily to support the research of individuals at universities are either R&D grants or research fellowships.

Awards intended primarily to support the education of the recipients should be reported as "education support".

Item 11. Administration of extramural programs – the costs of identifiable units engaged in the administration of contracts and grants and contributions for scientific activities that are to be performed outside the federal government. These expenditures should be broken down by the type of scientific activity supported, i.e. R&D or RSA.

Item 12. Capital expenditures – expenditures on construction, acquisition or preparation of land, buildings, machinery and equipment are capital expenditures. All other expenditures are current expenditures.

III. Performers

Intramural includes costs incurred for scientific activities carried out by in-house personnel of units assigned to the program, the related acquisition of land, buildings, machinery and equipment for scientific activities; the administration of scientific activities by program employees and the purchase of goods and services to support in-house scientific activities.

The intramural expenditures reported for scientific activities are those direct costs, including salaries, associated with scientific programs. The costs should include that portion of a program's contribution to employee benefit plans (e.g., superannuation) which is applicable to the scientific personnel within the program.

Non-program ("indirect") costs such as the value of services provided by other departments without charge and accommodation provided by the reporting program are to be excluded. Support services (i.e. administration, finance) provided by the reporting program, proportional to S&T expenditures should be included.

Extramural performers are groups being funded for S&T activities by the federal government sector. In this survey the extramural performers include:

Business enterprise – business and government enterprises including public utilities and government-owned firms. Incorporated consultants providing scientific and engineering services are also included. Industrial research institutes located at Canadian universities are considered to be in the higher education sector.

Higher education – composed of all universities, colleges of technology and other institutes of post-secondary education, whatever their source of finance or legal status. It also includes all research institutes, experimental stations and clinics operating under the direct control of, or administered by, or associated with, the higher education establishments.

Canadian non-profit institutions – charitable foundations, voluntary health organizations, scientific and professional societies, and other organizations not established to earn profits. Non-profit institutions primarily serving or controlled by another sector should be included in the controlling sector.

Provincial and municipal governments – departments and agencies of these governments. Government enterprises, such as provincial utilities are included in the business enterprise sector, and hospitals in the Canadian non-profit institutions sectors.

Foreign performers – all foreign government agencies, foreign companies (including foreign subsidiaries of Canadian firms), international organizations, non-resident foreign nationals and Canadians studying or teaching abroad.

Other performers – include provincial research councils, and individuals or organizations in Canada not belonging to any of the above sectors.

2. Personnel

Intramural expenditure data should be supported by data on the personnel devoted to scientific activities by all the employees engaged in these activities.

Full-time equivalent ( FTE ) – a measure of the time actually devoted to the conduct of scientific activities. An employee who is engaged in scientific activities for half a year has a full-time equivalence of 0.5. Personnel data reported should be consistent with expenditure data.

Scientific and professional – people in jobs that require at least one academic degree or nationally recognized professional qualification, as well as those with equivalent experience.

Technical – people in jobs that require specialized vocational or technical training beyond the secondary level (e.g., community colleges and technical institutes) as well as those with experience equivalent to this training.

Other – clerical, secretarial, administrative, operational and other support personnel.

In regard to personnel resources there are two caveats:

  • where the S&T activities are a part of the program being reported, only auxiliary staff relevant to the S&T activities are reported on a prorated basis;
  • whenever financial and administrative support is provided from another program, that support is allocated to the S&T resources for the program being reported.

3. Sources of funds for total scientific and technological activities

This question identifies the sources of funds for expenditures on scientific activities reported for all three years. It will help to ensure that work funded from outside the department is not overlooked.

Departmental S&T budget – that portion of the total departmental budget which was spent on social science and humanities activities.

Revenues to / from other departments – money transferred into this program from another federal department or money transferred from this program to another federal department for activities in the social sciences and humanities.

Provincial government departments – all funds from the provincial government used for social science and humanities activities. The funds are referred to as payments, contributions, transfers, etc. Also include provincial portions of federal-provincial cost sharing programs performed by the department program.

Business enterprises – all funds from business enterprises used for social science and humanities activities performed by the department.

Other – all funds for social science and humanities activities from sources not specified above.

4. Scientific and technological expenditures by socio-economic objectives

Socio-economic objectives allow departments to classify their S&T resource allocations according to the purpose for which the expenditure is intended. The objectives are listed on the questionnaire at the highest level of aggregation with sub-levels given here for clarification of categories. In many cases, projects have multiple objectives and a department should assign its expenditures consistent with the stated objectives of the department. Care must be taken to avoid "double counting".

The objectives are based on the Nomenclature for the Analysis and Comparison of Scientific Programmes and Budgets (NABS) produced by the Statistical Office of the European Communities (Eurostat).

1. Exploration and exploitation of the Earth – scientific activities with objectives related to the exploration of the Earth's crust and mantle, seas, oceans and atmosphere, and scientific activities on their exploitation. It also includes climatic and meteorological research, polar exploration (under various headings, as appropriate) and hydrology.

Examples:

  • Mineral, oil and natural gas prospecting
  • Exploration and exploitation of the sea-bed
  • Earth's crust and mantle excluding sea-bed and studies of soil for agriculture (6)
  • Hydrology – excludes scientific activities on: water supplied and disposal (2) and water pollution (3)
  • Sea and oceans
  • Atmosphere

Excludes: scientific activities on pollution (objective 3), soil improvement (objective 2), land-use and fishing (objective 6).

2. Infrastructure and general planning of land use – scientific activities on infrastructure and land development, including research on the construction of buildings. More generally, all scientific activities relating to the general planning of land use. This includes scientific activities into protection against harmful effects in town and country planning but not scientific activities into other types of pollution (objective 3).

2.1 Transport systems – covers scientific activities on transport systems, including road accident prevention and ancillary services such as electronic traffic aids and radar stations. Also included is general scientific activities on transport systems, road and rail traffic, inland waterway and sea transport, air traffic, pipeline transport systems, works transport systems, combined transport systems and scientific activities on the potential effects on the environment of the planning and operation of transport systems. Scientific activities on transport equipment is included only when it forms part of the co-ordinated programmes for the development of improved and safer transport systems, otherwise, such research is classified in objective 7.

2.2 Telecommunications systems – covers scientific activities on telecommunications services and the planning and organization of telecommunications networks. It includes, in particular, general scientific activities on telecommunications systems, telephones, telex, data transmission, radio and television (including cable TV).

2.3 Other scientific activities – covers scientific activities on the infrastructure and general planning of land use.

Examples:

  • General scientific activities
  • General planning of land-use
  • Construction and planning of buildings
  • Civil engineering – excludes scientific activities on building materials and industrial processes (objective 7)
  • Water supply

3. Control and care of the environment – covers scientific activities into the control of pollution, aimed at the identification and analysis of the sources of pollution and their causes, and all pollutants, including their dispersal in the environment and the effects on man, species (fauna, flora, microorganisms) and biosphere. Development of monitoring facilities for the measurement of all kinds of pollution is included. The same is valid for the elimination and prevention of all forms of pollution in all types of environment.

Examples:

  • Protection of atmosphere and climate
  • Protection of ambient air
  • Solid waste
  • Protection of ambient water
  • Protection of soil and groundwater
  • Noise and vibration
  • Protection of species and habitats
  • Protection against natural hazards
  • Radioactive pollution
  • Other scientific activities on the environment

4. Protection and improvement of human health – scientific activities aimed at protecting, promoting and restoring human health broadly interpreted to include health aspects of nutrition and food hygiene. It ranges from preventative medicine, including all aspects of medical and surgical treatment, both for individuals and groups, and the provision of hospital and home care, to social medicine and pediatric and geriatric research.

Examples:

  • Medical scientific activities, hospital treatment, surgery
  • Preventive medicine
  • Biomedical engineering and medicines
  • Occupational medicine
  • Nutrition and food hygiene
  • Drug abuse and addiction
  • Social medicine
  • Hospital structure and organization of medical care

5. Production, distribution and rational utilization of energy – covers scientific activities into the production, storage, transportation, distribution and rational use of all forms of energy. It also includes scientific activities on processes designed to increase the efficiency of energy production and distribution, and the study of energy conservation.

Examples:

  • Fossil fuels and their derivatives
  • Nuclear fission
  • Radioactive waster management including decommissioning with regard to fuel/energy
  • Nuclear fusion
  • Renewable energy sources
  • Rational utilization of energy

6. Agricultural production and technology – covers all scientific activities on the promotion of agriculture, forestry, fisheries and foodstuff production. It includes: scientific activities on chemical fertilizers, biocides, biological pest control and the mechanization of agriculture; research on the impact of scientific activities in the field of developing food productivity and technology.

6.1 Agriculture – covers scientific activities on animal products, veterinary medicine, crops, food technology and other scientific activities on agricultural production and technology.

6.2 Fishing – covers scientific activities on fishing, salting, drying and initial freezing of products (but not on preparation and canning (7)), scientific activities on fish-farming, exploration of new fishing grounds, exploration and development of new and unconventional sources of seafood.

6.3 Forestry – covers scientific activities into the ecological and economic aspects of forestry and timber production.

7. Industrial production and technology – covers scientific activities on the improvement of industrial production and technology. It includes scientific activities on industrial products and their manufacturing processes except where they form an integral part of the pursuit of other objectives (e.g. defence, space, energy, agriculture).

Examples:

  • Increasing economic efficiency and competitiveness
  • Manufacturing and processing techniques
  • Petrochemical and coal by-products
  • Pharmaceutical products
  • Manufacture of motor vehicles and other means of transport
  • Aerospace equipment manufacturing and repairing
  • Electronic and related industries
  • Manufacture of electrical machinery and apparatus
  • Manufacture of non-electronic and non-electrical machinery
  • Manufacture of medical and surgical equipment and orthopaedic appliances
  • Manufacture of food products and beverages
  • Manufacture of clothing and textiles and leather goods
  • Recycling

8. Social structures and relationships – scientific activities on social objectives, as analysed in particular by social and human sciences, which have no obvious connection with other objectives. This analysis includes quantitative, qualitative, organizational and forecasting aspects of social problems.

Examples:

  • Education, training, recurrent education and retraining
  • Cultural activities
  • Management of businesses and institutions
  • Improvement of working conditions
  • Social security system
  • Political structure of society
  • Social change, social processes and social conflicts
  • Other scientific activities with regard to society

9. Exploration and exploitation of space – all civil space scientific activities. Corresponding scientific activities in the defence field is classified in objective 12. (Although civil space research is not, in general, concerned with particular objectives, it frequently has a specific goal, such as the increase of general knowledge (e.g. astronomy), or relates to particular applications (e.g. telecommunications satellites).

Examples:

  • General scientific activities
  • Scientific exploration of space
  • Applied research programs
  • Launch systems
  • Space laboratories and space travel
  • Other research on the exploration and exploitation of space

10. Non-oriented research – basic activities motivated by scientific curiosity with the objective of increasing scientific knowledge. It also includes funding used to support postgraduate studies and fellowships.

Examples:

  • Mathematics and Computer Sciences
  • Physical Sciences
  • Chemical Sciences
  • Biological Sciences
  • Earth and Related (Environmental) Sciences
  • Engineering Sciences
  • Medical Sciences
  • Agricultural Sciences
  • Social Sciences
  • Humanities

11. Other civil research – civil scientific activities which cannot (yet) be classified to a particular objective.

12. Defence – covers scientific activities for military purposes. It also includes basic research and nuclear and space research financed by ministries of defence. Civil scientific activities financed by ministries of defence, for example, in the fields of meteorology, telecommunications and health, should be classified in the relevant objectives.

5. Expenditures and personnel of scientific and technological establishment engaged in activities in the social sciences and humanities, by region

Since 1978, Statistics Canada has been collecting detailed expenditure and person year data on intramural scientific activities of federal government departments and agencies by region. These data, coupled with data from other surveys, have been used by policy planners in federal and provincial governments, research managers and the media to assess the provincial distribution of science activities in Canada.

Again this year, we are asking for the information at the regional level. We are also asking for information in both natural science and engineering establishments as well as those performing activities in the social sciences and humanities, as international GERD statistics include activities in both science fields.

The Canada total expenditures and personnel reported for the actual year must be consistent with data reported on intramural expenditures, column one and total personnel.

6. Transfers for social sciences and humanities activities

Include payments or recipients for contracts, transfers and joint programs from / to other federal government departments. Please identify the amount and names of the origination and recipient programs.

Please forward the completed questionnaire and listing of extramural performers by March 31, 2011 directly to:

Operations and Integration Division, Statistics Canada
2nd Floor, Section B-17, Jean Talon Building, 150 Tunney's Pasture Driveway, Ottawa, Ontario, K1A 0T6
Phone Number: 613-951-2591 or toll free at 1-800-387-0479
Fax number: 613-951-0709 or toll free at 1-800-755-5514
Email: infotechsurv@statcan.gc.ca

Your participation is greatly appreciated and will contribute to providing useful information on federal S&T expenditures. You will be able to access these results through "The Daily" and the publication "Federal Scientific Activities", Catalogue no 88-204-X on Statistics Canada's web site. The data will also be available on Science.gc.ca. Thank you for your co-operation.