Audit Report

March 2018
Project Number: 80590‑104

• Executive summary
• Conformance with Professional Standards
• Introduction
  • Background
  • Audit objectives
  • Scope
  • Approach and methodology
  • Authority
• Findings, Recommendations and Management Response
  • Governance, oversight and risk management for HR planning
  • HR planning strategies and processes
• Appendices
  • Appendix A: Audit Criteria
  • Appendix B: Initialisms

Executive summary

Human resources planning is the process of identifying current and future human resources needs for an organization to achieve its goals. HR planning serves as a link between HR management and the overall strategic plan of an organization.

Over the last year, Statistics Canada has been implementing a new vision of a modernized workplace culture and approach to producing and collecting statistics, which has resulted in greater and faster access to statistical products for Canadians. HR is at the centre of modernization efforts, since key skills and competencies will be critical to supporting this corporate vision.

Because Statistics Canada is in the process of implementing this new direction, many HR processes have been transformed, including processes related to HR planning and the governance of HR management activities.

Building on a solid HR planning foundation, Statistics Canada is in a prime position to leverage opportunities to improve or enhance many of the existing processes in alignment with the goals of the modernization initiative.

Why is this important?

Statistics Canada is in the process of implementing a modernization initiative, and HR will be critical in supporting this corporate objective. HR will look ahead and put the necessary steps in place today to meet current and future HR needs.

Key findings

Governance processes over HR planning are in place to provide direction and oversight. Committees and subcommittees are designed to address all areas of HR management and provide support to the modernization initiative.

Roles and responsibilities for HR planning are clearly defined and documented throughout the organization. Additionally, key risks to meeting HR modernization objectives have been defined and mitigation strategies have been identified in order to effectively manage these risks.

HR planning processes are in place with many of the key components needed to develop an integrated HR and business plan.

Objectives and business goals have been defined and work has begun to develop an understanding of the environment and identify skill gaps. The Human Resource Branch works with programs and committees to identify and address short and long term needs in order to develop recruitment and staffing options.

Some HR strategies have been developed to meet new and emerging agency-wide critical skill sets but have not yet been finalized in an overarching consolidated plan. This is largely because the organization is transitioning to support the new modernization agenda. There are opportunities to improve the structured and integrated approach of the planning process by creating a plan and tools for obtaining more granular information in the future that will allow for more precise identification of HR needs in the modernization context.

Lastly, as the organization develops its long-term vision for HR planning, it should develop monitoring approaches with concrete targets to measure the success of this strategy.

Overall conclusion

Statistics Canada has established an HR planning framework to address current HR business needs. HR planning processes for longer-term business needs in the new context of modernization have not yet been developed agency-wide.

Conformance with Professional Standards

The audit was conducted in accordance with the Internal Auditing Standards for the Government of Canada, which includes the Institute of Internal Auditors (IIA) International Standards for the Professional Practice of Internal Auditing.

Sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the findings and conclusions in this report and to provide an audit level of assurance. The findings and conclusions are based on a comparison of the conditions as they existed at the time, against pre-established audit criteria. The findings and conclusions are applicable to the entity examined, and for the scope and time period covered by the audit.

Steven McRoberts
Chief Audit and Evaluation Executive

Introduction

Background

Human resources (HR) planning is the process of identifying current and future HR needs for an organization to achieve its goals. HR planning serves as a link between HR management and the overall strategic plan of an organization. At Statistics Canada, HR planning and staffing is a shared responsibility between program managers and the Human Resources Branch (HRB).

Program managers are directly accountable for staffing decisions, while HR advisors support program managers by identifying possible staffing strategies, taking into account established rules and regulations.

Over the last year, Statistics Canada has been implementing a new vision of a modernized workplace culture and approach to producing and collecting statistics, which has resulted in greater and faster access to statistical products for Canadians. HR is at the centre of modernization, since key skills and competencies will be critical to supporting this corporate vision.

Because Statistics Canada is in the early stages of this new direction, many HR processes are in a state of transition, including processes related to HR planning and governing HR management activities.

As a result, Statistics Canada is in a prime position to leverage opportunities to improve or enhance many of the existing governance structures, policies, and processes, while ensuring they are aligned with the goals of the modernization initiative.

Audit objective

The objective of the audit was to provide assurance to the Chief Statistician and Statistics Canada’s Departmental Audit Committee that

• there is an HR planning framework in place that aligns with the organization’s current and future business needs.

Scope

The scope included an examination of Statistics Canada’s HR planning activities for coordinating and managing staffing activities, as well as a review of how well HR planning activities are supported by an appropriate governance structure that defines accountabilities and objectives aligned with broader corporate strategies and plans. The period covered by the audit was from April 1, 2017 to December 31, 2017.

Approach and methodology

The audit work included an examination of documents, testing, and interviews with the Human Resource Branch, Field Managers and a sample of divisions. The audit tested for compliance with relevant Treasury Board of Canada Secretariat (TBS) and Statistics Canada policies and guidelines (see Appendix A: Audit Criteria for details).

The audit was conducted in accordance with the Internal Auditing Standards for the Government of Canada, which include the Institute of Internal Auditors (IIA) International Standards for the Professional Practice of Internal Auditing.

Authority

The audit was conducted under the authority of the approved Statistics Canada Integrated Risk-based Audit and Evaluation Plan 2017/2018 to 2019/2020.

Findings, recommendations and management response

Governance, oversight and risk management for HR planning

Governance processes for HR planning are in place to provide direction and oversight. Committees and subcommittees are designed to address all areas of HR management and provide support to the modernization initiative.

Roles and responsibilities for HR planning are clearly defined and documented throughout the organization.

Key risks to meeting HR modernization objectives have been defined, and mitigation strategies have been identified in order to effectively manage these risks.

Governance processes provide oversight and direction for HR planning. They define the objectives for the planning process, the policies and procedures for carrying out the work, and the monitoring of the implementation. An effective risk management process over HR planning includes the identification of risks to the achievement of HR objectives and mitigation strategies.

Governance processes are well-defined and provide oversight and direction for HR planning

The overall direction for Statistics Canada's HR planning is provided by the Senior Management Review Board (SMRB) and the Corporate Planning Committee (CPC).

Membership of the SMRB include the Chief Statistician, assistant chief statisticians and directors general (DGs). The SMRB meets on a biannual basis to set the direction for the agency and define its long-term investment strategy. The CPC meets on a monthly basis and is responsible for overall corporate reporting, resourcing, people and investment.

The CPC previously reported to the Executive Management Board, but was realigned in September 2017 after changes to the Statistics Canada's governance structure. The EMB was restructured to ensure that decision making is made at the right level and that employees are empowered to make decisions to better support the modernization initiative. It was replaced with the following three committees: the Strategic Management Committee, the CPC and the Operations Committee. The membership of the CPC includes the Chief Statistician, the Chief of Staff, all Assistant Chief Statisticians, the Chief Audit and Evaluations Officer, and the DGs responsible for service areas.

The CPC is provided with HR information through the agency's Human Resources Committee (HRC). The HRC's role is to provide the CPC with advice and strategic direction on workforce and workplace measures regarding the acquisition, training, deployment, career development and retention of employees at Statistics Canada. In addition, the HRC serves as an oversight committee of the HR Talent Acquisition (Plan, Attract and Recruit), Talent Engagement and Workplace Wellness (Welcome, Engage and Enable) and Talent Development (Grow, Develop and Support) subcommittees.

Description of Figure 1

The diagram is a visual representation of the overall human resource governance structure in place at Statistics Canada. There are a total of six boxes used to demonstrate the human resource governance structure. The structure is headed by the Corporate Planning Committee (box 1 - parent), below is a reporting line pointing downward to the Human Resources Committee (box 2 – child) and then further divided below into three sub-committees (from left to right): Talent Engagement and Wellness Subcommittee (box 3), Talent Development Subcommittee (box 4) and HR Talent Acquisition Subcommittee (box 4). Also, a dotted line (on right side of box 1) identifies the Senior Management Review Board (box 6).

The membership of the HR committees includes a cross-section of DGs, directors and assistant directors representing all fields in the organization, as well as members of the Statistics Canada’s Young Professionals Network, the Chiefs network and Employment Equity groups. Members are responsible for communicating issues to the committee and decisions back to their colleagues. These subcommittees were only recently established and have only begun to develop their Terms of References and propose HR work plans for the agency.

Interviews and reviews of committee meeting minutes revealed that this network of committees is responsible for setting HR strategic directions, identifying current and future HR needs and developing corporate strategies and priorities.

Roles and responsibilities of key stakeholders involved in HR planning are clearly defined and documented in various documents published by TBS and Statistics Canada. Job descriptions from the level of Assistant Chief Statistician down to the level of Chief specifically include the responsibility for developing long-term plans and allocating HR requirements to meet those plans.

Overall, the agency has defined governance structures to provide direction and oversight for HR planning. Processes are in place and roles and responsibilities are clearly defined.

It is important to note that many of these committees are relatively new and have only been recently realigned to support modernization efforts. Therefore, limited information has been shared or made available on whether strategic direction provided by senior management committees is being effectively operationalized and carried out. There will be opportunities for these committees to develop a strong monitoring function in order to review the success of the strategies to meet the modernization objectives. Monitoring is discussed further in the next section of the report.

Key risks to HR management have been defined and mitigation measures have been identified

Key risks to HR planning are identified through the agency's Corporate Risk Profile (CRP). The CRP identifies the DG Human Resources Branch (HRB) and the Human Resources Committee (HRC) as owners of the HR risks.

A review of documents was performed for the modernization vision as it relates to modern workforce and flexible workplace, which found the following outcome defined: Statistics Canada will have the talent and environment required to fulfill current business needs, and will remain open and nimble to adapt to future demands. This outcome is linked to HR risks identified in Statistics Canada's 2017–2018 Corporate Risk Profile (CRP), that is, ''the inability to recruit employees with the required skills and expertise.''

Mitigation Strategies have been identified for these HR risks. Strategies include using the Integrated Strategic Planning Process (ISPP) to ensure HR needs are aligned with financial resources, and using specific key competencies as developed for all levels of the Mathematics (MA), Economics and Social Science Services (EC) and Computer Systems (CS) groups.

Interviews with the HRB and a review of documents tabled during the ISPP indicate that these mitigation strategies are currently being implemented. THE HRB is providing the SMRB with key activities and status updates during the ISPP. Inventories of competencies for each group have been developed. Critical skill gaps across the organization have not yet been developed.

The audit team reviewed the 2018–2019 CRP process, which is currently underway. A review of the risks identified in each field indicates that HR risks are considered in the analysis. This includes risks of limited resources to address emerging data needs and the unavailability of certain skill sets.

These risks and their mitigation strategies are tied to the higher-level corporate risk of credibility and reputation, which states that because of the scope and complexity of the significant transformations under the modernization initiative, there is a risk that the objectives of the initiative and the heightened expectations of users will not be fully met, resulting in a loss of credibility and reputation.

Overall, there is a risk management process in progress that will help to identify HR risks related to achieving program objectives.

HR planning strategies and processes

HR planning processes are in place with many of the key components needed to develop an integrated HR and business plan.

Objectives and business goals have been defined and work has begun to develop an understanding of the environment and identify skill gaps. The Human Resource Branch works with programs and committees to identify and address short and long term needs in order to develop recruitment and staffing options.

Some HR strategies have been developed to meet new and emerging agency-wide critical skill sets but have not yet been finalized in an overarching consolidated plan. This is largely because the organization is transitioning to support the new modernization agenda. There are opportunities to improve the structured and integrated approach of the planning process by creating a plan and tools for obtaining more granular information in the future that will allow for more precise identification of HR needs in the modernization context.

Lastly, as the organization develops its long-term vision for HR planning, it should develop monitoring approaches with concrete targets to measure the success of this strategy.

The most recent TBS Integrated Planning Handbook for Deputy Ministers and Senior Managers identified a five-step approach for developing an integrated planning process: determining objectives and business goals, scanning the environment, conducting a gap analysis between current and future needs, setting HR priorities to achieve business goals, and measuring, monitoring and reporting on progress.

HR planning processes are in place to address short-term staffing needs. Processes and tools to identify, integrate and monitor long-term critical skill sets have not been fully developed.

Determining objectives and business goals

The ISPP is used to identify objectives and business goals for the agency, which establish a long-term investment outlook for financial, information technology (IT) and human resources. This process ensures that the decisions and directions of the organization are integrated and aligned with corporate strategic priorities, while also taking into consideration financial, IT, and, most importantly, HR requirements and capacities.

The overall objective of Statistics Canada's HR planning process has been identified as the acquisition and retention of a competent, motivated and flexible workforce that can meet the agency's changing needs^{Footnote 1}. Interviews and the review of documents have confirmed that this objective has been communicated and is well-defined as part of the modernization initiative.

Scanning the environment and conducting a gap analysis

The environmental scan and gap analysis is done mainly through an agency-wide analysis that is prepared by the HRB and includes workforce and labour market assessments. The results of this analysis are reported in an HR dashboard, which is provided to divisions and tabled at senior management committees.

It was noted through interviews with program managers that this data may be too high-level for their purposes. As a result, many program managers opt to conduct their own analysis. Interviews with HRB indicated that it can conduct detailed analysis on the data to a level useful for field managers, but this has not been communicated to divisions.

To develop the agency-wide gap analysis, the HRB consults with Field Planning Boards on competencies and needs. This leads to the identification of recruitment processes and of needs for collective staffing processes.

In addition, the HRB is also involved in Monthly Financial Reviews in partnership with programs and financial officers. The financial officers lead managers in reviewing and updating budgets and short-term staffing requirements, while also tracking the financial impact of anticipatory staffing activities.

The HRB indicated, that while planning discussions take place with fields on current and future vacancies, that there were limited consultations with individual divisions around critical skill sets.

Additionally, interviews confirmed that there are no guidance documents or tools for conducting short and long-term HR planning. Direction on planning is being provided by senior management through governance committees and field planning boards.

In the absence of tools or guidance, only a few divisions included in the audit sample had reviewed and formally documented their long-term business needs. One of the fields developed long-term plans including a review of their business requirements. This is a practice that could be shared across the organization for an integrated and consistent approach.

The current planning process helps to identify divisional needs to fill vacancies at each classification level and the organization has a proactive approach to have pre-qualified pools of employees to meet their needs. However, given the new skill sets required to support modernization, this may no longer be sufficient to support long-term planning.

There are opportunities for the HRB to develop an integrated and structured approach to identifying long-term staffing needs in order to successfully identify, develop, recruit and retain the critical skill sets needed to reach long-term modernization objectives.

Setting HR priorities

Long-term HR planning activities are performed by the HRB. The HRB is responsible for developing the Integrated Business and Human Resource Plan (IBHRP). The IBHRP operationalizes the direction provided in the strategic planning processes and sets the HR priorities. The plan was last prepared in 2015, and covers the period from 2016 to 2018, and outlines key priorities in internal and external staffing, workforce development and improvements to HR services at Statistics Canada over a period of three years.

The IBHRP has yet to be updated to reflect Statistics Canada's current business requirements and, more specifically, modernization initiatives. Interviews with the HRB indicated that an updated and redesigned IBHRP will be developed in fiscal 2018/2019, and incorporate the latest strategies.

Measure, monitor and report on progress

The audit team reviewed the HR monitoring processes in place at both the corporate level and the divisional level to measure whether HR strategies are reaching the desired outcome.

Monitoring HR progress against the HR Strategy is mainly done through the Staffing Monitoring Plan (SMP), which was presented to and approved by the HRC (January 2017) and senior management (May 2017).

Review of the SMP revealed that there are measurable indicators for monitoring organizational staffing trends to ensure that staffing activities conducted by the HRB remain effective.

The data collected under the SMP are classified under three categories:

1. Effectiveness of staffing enabling Statistics Canada’s transformation: measures in this category include the ability to attract talent from outside the organization, efficient pool management, quality of hires, staff mobility and critical skill sets.
2. Effectiveness of the new direction in staffing: measures include the appropriate use of non-advertised appointments, the overall atmosphere of the HR system (staffing component), the implementation of lowered sub-delegation levels, access to selection processes and the overall health of Statistics Canada staffing system.
3. Quality control—Compliance with the legislative framework: measures include the application of the Veterans Hiring Act and priority entitlements, staffing file compliance, appropriate use of non-imperative staffing and appropriate use of the Public Service Official Languages Exclusion Approval Order.

Other monitoring tools within divisions include HR dashboards and the organizational charts in the ORG PLUS database. These tools provide divisions with information to manage current staffing needs.

Overall, there are tools to measure and report staffing and short-term HR planning. However, the success of HR modernization strategies, such as a modern and flexible workplace and a renewed approach to recruitment, are not yet being measured and reported against. As the organization develops the IBHRP, consideration should be given to how it will measure, monitor and report the performance of HR strategies. This includes the development of concrete targets.

Recommendations

It is recommended that the Assistant Chief Statistician, Corporate Services and Chief Financial Officer ensure that:

• there is an updated Integrated Business and Human Resources Plan with HR priorities, as identified through the Strategic Planning Process
• the Human Resources Branch consults and communicates with divisions on HR needs and develops tools and guidance for the creation of short and long-term plans as part of the Integrated Business and Human Resources Plan
• there is an approach to measure and report on the progress of achieving long-term HR modernization goals.

Management response

The organization has a solid and long-standing foundation of human resources planning. This approach has served the organization very well through the years and provides insights and tools to proactively manage the cyclical nature and complexity of its programs over time. The modernization journey in which the organization is embarking on and the new types of competencies and skill sets to meet these priorities have been at the center of our continuous improvement to be responsive to these needs in an even more integrated and strategic way. To this effect, a number of new strategies have been developed and are being implemented. The final step is now to consolidate these strategies into an overarching and Integrated Business and Human Resource plan for 2018-2019 and beyond.

Management agrees with the recommendations and will take the following actions:

In 2017/18, the HR Branch integrated planning into its priorities and activities in order to build a strong foundation to support departmental modernization needs and efforts. Over the past year, HRB:

• Stabilized Director positions (EX-01/EX-02 process to staff 4 vacant positions)
• Re-organized workload and capacity to address gaps and additional pressure points such as Phoenix
• Established HRC sub-committees (TAC, TDC, TEWMC) to set the strategic direction, the identification of current and future needs, the confirmation of requirements, and the development of corporate strategies and priorities
• Used an HR business analytics lens to establish a baseline of HR information in the areas of talent management needs, competency and skill requirements, potential partnerships with academic institutions, recruitment strategies etc.
• Building an internal HR business partner model that matches a client (i.e. ACS) with one senior HR advisor who acts as the main contact for a wide-range of HR services and advice.

In 2018-19, HRB will build on the success achieved in 2017-18 by developing an updated Integrated Business and Human Resources Plan (IBHRP) that elaborates on:

• Key HR priorities to support modernization
• Evidence based and metric driven HR strategies
• HR Governance
• Measuring and reporting on results.

Within the IBHRP, HRB will develop a framework to ensure ongoing communication and consultation with divisions on HR needs to support HR planning and develop tools and guidance for divisions to support HR planning.

As an annex to the IBHRP, HRB will develop a measurement framework to measure and report on the progress in achieving long-term HR modernization goals.

Deliverables and Timelines:

The DG, HR will:

• Draft the IBHRP and present it to HRC for feedback. The IBHRP will be submitted to SMC for final approval and published on ICN and communicated to all staff by June 30, 2018.
• Draft the communication and consultation framework within the IBHRP by June 30, 2018.
• Draft the measurement framework with reporting timelines as an annex of the IBHRP by June 30, 2018.
• Implement the IBHRP framework and communicate to divisions about existing tools and develop new tools as required by March 31, 2019.

Appendices

Appendix A: Audit Criteria

Appendix A: Audit Criteria
Table summary
The table in Appendix A

Control objectives / Core controls / Criteria	Sub-criteria	Policy instruments / Sources
Objective: Ensure there is a human resource planning framework in place that aligns with the organization’s current and future business needs.
1.1 Governance structures, mechanisms and resources are in place at Statistics Canada to manage HR planning activities.	1.1.1 Governance and oversight bodies are established at the appropriate levels of the organization to ensure HR planning activities are aligned with corporate priorities. HR plans are based on a clear understanding of the organization’s HR risks and senior management risk tolerance. 1.1.2 Current policies, procedures and guidance provide clear direction to all stakeholders involved in the HR planning process. 1.1.3 Roles and responsibilities of key stakeholders in the HR planning process are clearly defined, documented, communicated and understood.	Relevant Treasury Board of Canada Secretariat (TBS) legislative and regulatory requirements and Statistics Canada policies and procedures, such as Values and Ethics Code for the Public Service (TBS) Policy Framework for People Management (TBS) Integrated Planning Handbook for Deputy Ministers and Senior Managers (TBS, 2008) Strategic Human Resource Planning (HR Council) Management Accountability Framework (TBS)
1.2 HR planning is aligned with strategic and business planning.	1.2.1 Current and future resource requirements at the division and branch levels are identified in the HR planning process and a gap analysis against existing competencies and capacities is performed. 1.2.2 HR planning strategies are developed based on the results of the gap analysis and a corporate document is produced.
1.3 Management monitors and assesses the effectiveness of the HR planning on a regular, scheduled basis.	1.3.1 The HR planning strategy is actively monitored to produce regular and timely reports to support effective HR planning and is communicated to senior management and other key decision makers.

Appendix B: Initialisms

CPC

Corporate Planning Committee

CS

Computer Systems

CRP

Corporate Risk Profile

CSP

Corporate Staffing Plan

HR

Human Resources

EC

Economics and Social Science Services

EMB

Executive Management Board

FPB

Field Planning Board

HRB

Human Resources Branch

HRC

Human Resources Committee

IBHRP

Integrated Business and Human Resource Plan

ISPP

Integrated Strategic Planning Process

IT

Information Technology

MA

Mathematics

MFR

Monthly Financial Reviews

TBS

Treasury Board of Canada Secretariat

SMP

Staffing Monitoring Plan

Integrated Business Statistics Program (IBSP)

Reporting Guide

This guide is designed to assist you as you complete the 2017 Annual Survey of Research and Development in Canadian Industry. If you need more information, please call the Statistics Canada Help Line at the number below.

Help Line: 1-800-972-9692

Your answers are confidential.

Statistics Canada is prohibited by law from releasing any information it collects which could identify any person, business, or organization, unless consent has been given by the respondent or as permitted by the Statistics Act.

Statistics Canada will use information from this survey for statistical purposes.

Note:

1. If this business performs in-house research and development (R&D) and outsources R&D, complete all questions.
2. If this business performs in-house (R&D) and does not outsource R&D, complete questions 1-5, 8-19.
3. If this business outsources (R&D) and does not perform in-house R&D, complete questions 1-3, 5-7, 12, 16-19.
4. If this business does not perform in-house (R&D) and does not outsource R&D, complete questions 1-3, 5, 12, 16, 17 & 19.

Difference between Scientific Research and Experimental Development (SR&ED) tax incentive program and this survey

Include the following in this survey:

• capital R&D expenditures
• R&D expenditures in the social sciences and humanities
• payments for R&D performed by other organizations outside Canada.

For this survey

'In-house R&D' refers to

Expenditures within Canada for R&D performed within this business by:

• employees (permanent, temporary or casual)
• self-employed individuals or contractors who are working on-site on this business's R&D projects.

'Outsourced R&D' refers to

Payments made within or outside Canada to other organizations, companies or individuals to fund R&D performance:

• grants
• fellowships
• contracts.

Reporting period information

Here are some examples of common fiscal periods that fall within the targeted dates:

• May 1, 2016 to April 30, 2017
• July 1, 2016 to June 30, 2017
• August 1, 2016 to July 31, 2017
• October 1, 2016 to September 30, 2017
• December 1, 2016 to November 30, 2017
• January 1, 2017 to December 31, 2017
• February 1, 2017 to January 31, 2018
• March 1, 2017 to February 28, 2018
• April 1, 2017 to March 31, 2018

Here are other examples of fiscal periods that fall within the required dates:

• September 18, 2016 to September 15, 2017 (e.g., floating year-end)
• June 1, 2017 to December 31, 2017 (e.g., a newly opened business)

Definitions and Concepts

Research and experimental development (R&D) comprise creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of available knowledge.

R&D is performed in the natural sciences, engineering, social sciences and humanities. There are three types of R&D activities: basic research, applied research and experimental development.

Activities included and excluded from R&D

Inclusions

Prototypes

Include design, construction and operation of prototypes, provided that the primary objective is to make further improvements or to undertake technical testing. Exclude if the prototype is for commercial purposes.

Pilot plants

Include construction and operation of pilot plants, provided that the primary objective is to make further improvements or to undertake technical testing. Exclude if the pilot plant is intended to be operated for commercial purposes.

New computer software or significant improvements/modifications to existing computer software

Includes technological or scientific advances in theoretical computer sciences; operating systems e.g., improvement in interface management, developing new operating system or converting an existing operating system to a significantly different hardware environment, programming languages, and applications if a significant technological change occurs.

Contracts

Include all contracts which require R&D. For contracts which include other work, report only the R&D costs.

Research work in the social sciences

Include if projects are employing new or significantly different modelling techniques or developing new formulae, analyzing data not previously available or applying new research techniques, development of community strategies for disease prevention, or health education.

Exclude:

• routine analytical projects using standard techniques and existing data
• routine market research
• routine statistical analysis intended for on-going monitoring of an activity.

Exclusions

Routine analysis in the social sciences including policy-related studies, management studies and efficiency studies

Exclude analytical projects of a routine nature, with established methodologies, principles and models of the related social sciences to bear on a particular problem (e.g., commentary on the probable economic effects of a change in the tax structure, using existing economic data; 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).

Consumer surveys, advertising, market research

Exclude projects of a routine nature, with established methodologies intended for commercialization of the results of R&D.

Routine quality control and testing

Exclude projects of a routine nature, with established methodologies not intended to create new knowledge, even if carried out by personnel normally engaged in R&D.

Pre-production activities such as demonstration of commercial viability, tooling up, trial production, and trouble shooting

Although R&D may be required as a result of these steps, these activities are excluded.

Prospecting, exploratory drilling, development of mines, oil or gas wells

Include only if for R&D projects concerned with new equipment or techniques in these activities, such as in-situ and tertiary recovery research.

Engineering

Exclude engineering unless it is in direct support of R&D.

Design and drawing

Exclude design and drawing unless it is in direct support of R&D.

Patent and license work

Exclude all administrative and legal work connected with patents and licenses.

Cosmetic modifications or style changes to existing products

Exclude if no significant technical improvement or modification to the existing products has occurred.

General purpose or routine data collection

Exclude projects of a routine nature, with established methodologies intended for on-going monitoring of an activity.

Routine computer programming, systems maintenance or software application

Exclude projects of a routine nature, with established methodologies intended to support on-going operations.

Routine mathematical or statistical analysis or operations analysis

Exclude projects of a routine nature, with established methodologies intended for on-going monitoring of an activity.

Activities associated with standards compliance

Exclude projects of a routine nature, with established methodologies intended to support standards compliance.

Specialized routine medical care such as routine pathology services

Exclude projects of a routine nature, with established methodologies intended for on-going monitoring of an activity.

In-house R&D expenditures within Canada (Q4 - Q7)

In-house R&D expenditures are composed of current in-house R&D expenditures and capital in-house R&D expenditures.

Current in-house R&D expenditures

Include:

• wages, salaries, benefits and fringe benefits, materials and supplies
• services to support R&D, including on-site R&D consultants and contactors
• necessary background literature
• minor scientific equipment
• associated administrative overhead costs.

a. Wages, salaries of permanent, temporary and casual R&D employees

Include benefits and fringe benefits of employees engaged in R&D activities. Benefits and fringe benefits include bonus payments, holiday or vacation pay, pension fund contributions, other social security payments, payroll taxes, etc.

b. Services to support R&D

Include:

• payments to on-site R&D consultants and contractors working under the direct control of your business
• other services including indirect services purchased to support in-house R&D such as security, storage, repair, maintenance and use of buildings and equipment
• computer services, software licensing fees and dissemination of R&D findings.

c. R&D materials

Include:

• water, fuel, gas and electricity
• materials for creation of prototypes
• reference materials (books, journals, etc.)
• subscriptions to libraries and data bases, memberships to scientific societies, etc.
• cost of outsourced (contracted out or granted) small R&D prototypes or R&D models
• materials for laboratories (chemicals, animals, etc.)
• all other R&D-related materials.

d. All other current R&D costs including overhead

Include administrative and overhead costs (e.g., office, post and telecommunications, internet, insurance), prorated if necessary to allow for non-R&D activities within the business.

Exclude:

• interest charges
• value-added taxes (goods and services tax (GST) or harmonized sales tax (HST)).

Capital in-house R&D expenditures

Capital in-house R&D expenditures are the annual gross amount paid for the acquisition of fixed assets that are used repeatedly, or continuously in the performance of R&D for more than one year. Report capital in-house R&D expenditures in full for the period when they occurred.

Include costs for software, land, buildings and structures, equipment, machinery and other capital costs.

Exclude capital depreciation.

e. Software

Include applications and systems software (original, customized and off-the-shelf software), supporting documentation and other software-related acquisitions.

f. Land acquired for R&D including testing grounds, sites for laboratories and pilot plants.

g. Buildings and structures that are constructed or purchased for R&D activities or that have undergone major improvements, modifications, renovations and repairs for R&D activities.

h. Equipment, machinery and all other capital

Include major equipment, machinery and instruments, including embedded software, acquired for R&D activities.

Outsourced (contracted out or granted) R&D expenditures (Q8 - Q11)

Include payments made through contracts, grants donations and fellowships to another company, organization or individual to purchase or fund R&D activities.

Exclude expenditures for on-site R&D contractors.

1. Parent and subsidiary companies are companies connected to each other through majority ownership of the subsidiary company by the parent company. Affiliated companies are companies connected to a parent through minority ownership of the affiliated companies by the parent.
2. Companies include all incorporated for-profit businesses and government business enterprises providing products in the market at market rates.
3. Private non-profit organizations include voluntary health organizations, private philanthropic foundations, associations and societies and research institutes. They are not-for-profit organizations that serve the public interest by supporting activities related to public welfare (such as health, education, the environment).
4. Industrial research institutes or associations include all non-profit organizations that serve the business sector, with industrial associations frequently consisting of their membership.
5. Federal government includes all federal government departments and agencies. It excludes federal government business enterprises providing products in the market.
6. Provincial or territorial governments include all provincial or territorial government ministries, departments and agencies. It excludes provincial or territorial government business enterprises providing products in the market.
7. Provincial or territorial research organizations are organizations created under provincial or territorial law which conduct or facilitate research on behalf of the province or territory.
8. Other organizations – individuals, non-university educational institutions, foreign governments including ministries, departments and agencies of foreign governments.

Sources of funds for in-house R&D expenditures in 2017 (Q16)

Include Canadian and foreign sources.

Exclude:

• payments for outsourced (contracted out or granted) R&D, which should be reported in question 9
• capital depreciation.

a. Funds from this business

Amount contributed by this business to R&D performed within Canada (include amounts eligible for income tax purposes, e.g., Scientific Research and Experimental Development (SR&ED) program, other amounts spent for projects not claimed through SR&ED, and funds for land, buildings, machinery and equipment (capital expenditures) purchased for R&D).

b. Funds from parent, affiliated and subsidiary companies

Amount received from parent, affiliated and subsidiary companies used to perform R&D within Canada (include amounts eligible for income tax purposes, e.g., Scientific Research and Experimental Development (SR&ED) program, other amounts spent for projects not claimed through SR&ED, and funds for land, buildings, machinery and equipment (capital expenditures) purchased for R&D).

c. Federal government grants or funding

Funds received from the federal government in support of R&D activities not connected to a specific contractual deliverable.

d. Federal government contracts

Funds received from the federal government in support of R&D activities connected to a specific contractual deliverable.

e. R&D contract work for other companies

Funds received from other companies to perform R&D on their behalf.

f. Provincial or territorial government grants or funding

Funds received from the provincial or territorial government in support of R&D activities not connected to a specific contractual deliverable.

g. Provincial or territorial government contracts

Funds received from the provincial or territorial government in support of R&D activities connected to a specific contractual deliverable.

h. R&D contract work for private non-profit organizations

Funds received from non-profit organizations to perform R&D on their behalf.

i. Other sources

Funds received from all other sources not previously classified.

In-house R&D expenditures by fields of research and development in 2017 (Q18)

Exclude:

• payments for outsourced (contracted out or granted) R&D, which should be reported in question 9
• capital depreciation.

Natural and formal sciences

Mathematics, physical sciences, chemical sciences, earth and related environmental sciences, biological sciences, other natural sciences.

Exclude computer sciences, information sciences and bioinformatics (to be reported at lines s and t).

1. Mathematics: pure mathematics, applied mathematics, statistics and probability.
2. Physical sciences: atomic, molecular and chemical physics, interaction with radiation, magnetic resonances, condensed matter physics, solid state physics and superconductivity, particles and fields physics, nuclear physics, fluids and plasma physics (including surface physics), optics (including laser optics and quantum optics), acoustics, astronomy (including astrophysics, space science).
3. Chemical sciences: organic chemistry, inorganic and nuclear chemistry, physical chemistry, polymer science and plastics, electrochemistry (dry cells, batteries, fuel cells, metal corrosion, electrolysis), colloid chemistry, analytical chemistry.
4. Earth and related environmental sciences: geosciences, geophysics, mineralogy and palaeontology, geochemistry and geophysics, physical geography, geology and volcanology, environmental sciences, meteorology, atmospheric sciences and climatic research, oceanography, hydrology and water resources.
5. Biological sciences: cell biology, microbiology and virology, biochemistry, molecular biology and biochemical research, mycology, biophysics, genetics and heredity (medical genetics under medical biotechnology), reproductive biology (medical aspects under medical biotechnology), developmental biology, plant sciences and botany, zoology, ornithology, entomology and behavioural sciences biology, marine biology, freshwater biology and limnology, ecology and biodiversity conservation, biology (theoretical, thermal, cryobiology, biological rhythm), evolutionary biology.
6. Other natural sciences: other natural sciences.

Engineering and Technology

Civil engineering, electrical engineering, electronic engineering and communications technology, mechanical engineering, chemical engineering, materials engineering, medical engineering, environmental engineering, environmental biotechnology, industrial biotechnology, nanotechnology, other engineering and technologies.

Exclude software engineering and technology (to be reported at line r).

7. Civil engineering: civil engineering, architecture engineering, municipal and structural engineering, transport engineering.
8. Electrical engineering, electronic engineering and communications technology: electrical and electronic engineering, robotics and automatic control, micro-electronics, semiconductors, automation and control systems, communication engineering and systems, telecommunications, computer hardware and architecture.
9. Mechanical engineering: mechanical engineering, applied mechanics, thermodynamics, aerospace engineering, nuclear-related engineering (nuclear physics under Physical sciences), acoustical engineering, reliability analysis and non-destructive testing, automotive and transportation engineering and manufacturing, tooling, machinery and equipment engineering and manufacturing, heating, ventilation and air conditioning engineering and manufacturing.
10. Chemical engineering: chemical engineering (plants, products), chemical process engineering.
11. Materials engineering: materials engineering and metallurgy, ceramics, coating and films (including packaging and printing), plastics, rubber and composites (including laminates and reinforced plastics), paper and wood and textiles, construction materials (organic and inorganic).
12. Medical engineering: medical and biomedical engineering, medical laboratory technology (excluding biomaterials, which should be reported under Industrial biotechnology).
13. Environmental engineering: environmental and geological engineering, petroleum engineering (fuel, oils), energy and fuels, remote sensing, mining and mineral processing, marine engineering, sea vessels and ocean engineering.
14. Environmental biotechnology: environmental biotechnology, bioremediation, diagnostic biotechnologies in environmental management (DNA chips and bio-sensing devices).
15. Industrial biotechnology: industrial biotechnology, bioprocessing technologies, biocatalysis and fermentation bioproducts (products that are manufactured using biological material as feedstock), biomaterials (bioplastics, biofuels, bioderived bulk and fine chemicals, bio-derived materials).
16. Nanotechnology: nano-materials (production and properties), nano-processes (applications on nano-scale).
17. Other engineering and technologies: food and beverages, oenology, other engineering and technologies.

Software-related sciences and technology

Software engineering and technology, computer sciences, information technology and bioinformatics.

18. Software engineering and technology: computer software engineering, computer software technology, and other related computer software engineering and technologies.
19. Computer sciences: computer science, artificial intelligence, cryptography, and other related computer sciences.
20. Information technology and bioinformatics: information technology, informatics, bioinformatics, biomathematics, and other related information technologies.

Medical and health sciences

Basic medicine, clinical medicine, health sciences, medical biotechnology, other medical sciences.

21. Basic medicine: anatomy and morphology (plant science under Biological science), human genetics, immunology, neurosciences, pharmacology and pharmacy and medicinal chemistry, toxicology, physiology and cytology, pathology.
22. Clinical medicine: andrology, obstetrics and gynaecology, paediatrics, cardiac and cardiovascular systems, haematology, anaesthesiology, orthopaedics, radiology and nuclear medicine, dentistry, oral surgery and medicine, dermatology, venereal diseases and allergy, rheumatology, endocrinology and metabolism and gastroenterology, urology and nephrology, and oncology.
23. Health sciences: health care sciences and nursing, nutrition and dietetics, parasitology, infectious diseases and epidemiology, occupational health.
24. Medical biotechnology: health-related biotechnology, technologies involving the manipulation of cells, tissues, organs or the whole organism, technologies involving identifying the functioning of DNA, proteins and enzymes, pharmacogenomics, gene-based therapeutics, biomaterials (related to medical implants, devices, sensors).
25. Other medical sciences: forensic science, other medical sciences.

Agricultural Sciences

Agriculture, forestry and fisheries sciences, animal and dairy sciences, veterinary sciences, agricultural biotechnology, other agricultural sciences.

26. Agriculture, forestry and fisheries sciences: agriculture, forestry, fisheries and aquaculture, soil science, horticulture, viticulture, agronomy, plant breeding and plant protection.
27. Animal and dairy sciences: animal and dairy science, animal husbandry.
28. Veterinary sciences: veterinary science (all).
29. Agricultural biotechnology: agricultural biotechnology and food biotechnology, genetically modified (GM) organism technology and livestock cloning, diagnostics (DNA chips and biosensing devices), biomass feedstock production technologies and biopharming.
30. Other agricultural sciences: other agricultural sciences.

Social sciences and humanities

Psychology, educational sciences, economics and business, other social sciences, humanities.

31. Psychology: cognitive psychology and psycholinguistics, experimental psychology, psychometrics and quantitative psychology, and other fields of psychology.
32. Educational sciences: education, training and other related educational sciences.
33. Economics and business: micro-economics, macro-economics, econometrics, labour economics, financial economics, business economics, entrepreneurial and business administration, management and operations, management sciences, finance and all other related fields of economics and business
34. Other social sciences: anthropology (social and cultural) and ethnology, demography, geography (human, economic and social), planning (town, city and country), management, organization and methods (excluding market research unless new methods/techniques are developed), law, linguistics, political sciences, sociology, miscellaneous social sciences and interdisciplinary, and methodological and historical science and technology activities relating to subjects in this group.
35. Humanities: history (history, prehistory and history, together with auxiliary historical disciplines such as archaeology, numismatics, palaeography, genealogy, etc.), languages and literature (ancient and modern), other humanities (philosophy (including the history of science and technology)), arts (history of art, art criticism, painting, sculpture, musicology, dramatic art excluding artistic "research" of any kind), religion, theology, other fields and subjects pertaining to the humanities, and methodological, historical and other science and technology activities relating to the subjects in this group.

In-house R&D personnel in 2017 (Q70 - Q72)

R&D personnel

Include:

• permanent, temporary and casual R&D employees
• independent on-site R&D consultants and contractors working in your business's offices, laboratories, or other facilities
• employees engaged in R&D-related support activities.

Researchers and research managers are composed of:

1. Scientists, social scientists, engineers and researchers are professionals engaged in the conception or creation of new knowledge. They conduct research and improve or develop concepts, theories, models, techniques instrumentation, software or operational methods. They may be certified by provincial or territorial educational authorities, provincial, territorial or national scientific or engineering associations.
2. Senior research managers plan or manage R&D projects and programs. They may be certified by provincial or territorial educational authorities, provincial, territorial or national scientific or engineering associations.

R&D technical, administrative and support staff are composed of:

3. Technicians and technologists and research assistants are persons whose main tasks require technical knowledge and experience in one or more fields of engineering, the physical and life sciences, or the social sciences, humanities and the arts. They participate in R&D by performing scientific and technical tasks involving the application of concepts, operational methods and the use of research equipment, normally under the supervision of researchers. They may be certified by provincial or territorial educational authorities, provincial, territorial or national scientific or engineering associations.
4. Other R&D technical, administrative support staff include skilled and unskilled craftsmen, and administrative, secretarial and clerical staff participating in R&D projects or directly associated with such projects.

On-site R&D consultants and contractors are individuals hired 1) to perform project-based work or to provide goods at a fixed or ascertained price or within a certain time or 2) to provide advice or services in a specialized field for a fee and, in both cases, work at the location specified and controlled by the contracting company or organization.

Full-time equivalent (FTE)

R&D may be carried out by persons who work solely on R&D projects or by persons who devote only part of their time to R&D, and the balance to other activities such as testing, quality control and production engineering. To arrive at the total effort devoted to R&D in terms of personnel, it is necessary to estimate the full-time equivalent of these persons working only part-time in R&D.

FTE (full-time equivalent): Number of persons who work solely on R&D projects + the time of persons working only part of their time on R&D.

Example calculation: If out of four scientists engaged in R&D work, one works solely on R&D projects and the remaining three devote only one quarter of their working time to R&D, then: FTE = 1 + 1/4 + 1/4 + 1/4 = 1.75 scientists.

Technology and technical assistant payments in 2017 (Q73 - Q75)

Definitions (equivalent to the Canadian Intellectual Property Office)

a. Patent

Government grant giving the right to exclude others from making, using or selling an invention.

b. Copyright

Legal protection for literary, artistic, dramatic or musical works, computer programs, performer's performances, sound recordings, and communication signals.

c. Trademark

A word, symbol or design, or combination of these, used to distinguish goods or services of one person or organization from those of others in the marketplace.

d. Industrial design

Legal protection against imitation of the shape, pattern, or ornamentation of an object.

e. Integrated circuit topography

Three-dimensional configurations of the elements and interconnections embodied in an integrated circuit product.

f. Original software

Computer programs and descriptive materials for both systems and applications. Original software can be created in-house or outsourced and includes packaged software with customization.

g. Packaged or off-the-shelf software

Packaged software purchased for organizational use and excludes software with customization.

h. Databases

Data files organized to permit effective access and use of the data.

i. Other

Technical assistance, industrial processes and know-how.

Energy-related R&D by area of technology (Q22 - Q69)

Fossil Fuels

Crude oils and natural gas exploration, crude oils and natural gas production, oil sands and heavy crude oils surface and sub-surface production and separation of the bitumen, tailings management, refining, processing and upgrading, coal production, separation and processing, transportation of fossil fuels.

a. Crude oils and natural gas exploration

Include development of advanced exploration methods (geophysical, geochemical, seismic, magnetic) for on-shore and off-shore prospecting.

b. Crude oil and natural gas production and storage, include enhanced recovery natural gas production

Include on-shore and off-shore deep drilling equipment and techniques for conventional oil and gas, secondary and tertiary recovery of oil and gas, hydro fracturing techniques, processing and cleaning of raw product, storage on remote platforms (e.g., Arctic, off-shore), safety aspects of offshore platforms.

c. Oil sands and heavy crude oils surface and sub-surface production and separation of the bitumen, tailings management

Include surface and in-situ production (e.g., SAGD), tailings management.

d. Refining, processing and upgrading of fossil fuels

Include processing of natural gas to pipeline specifications, and refining of conventional crude oils to refined petroleum products (RPPs), and the upgrading of bitumen and heavy oils either to synthetic crude oil or to RPPs. Upgrading may be done at an oil sands plant, regional merchant upgraders or integrated into a refinery producing RPPs.

e. Coal production, separation and processing

Include coal, lignite and peat exploration, deposit evaluation techniques, mining techniques, separation techniques, coking and blending, other processing such as coal to liquids, underground (in-situ) gasification.

f. Transportation of fossil fuels

Include transport of gaseous, liquid and solid hydrocarbons via pipelines (land and submarine) and their network evaluation, safety aspects of LNG transport and storage.

Renewable energy resources

Solar photovoltaics (PV), solar thermal-power and high-temperature applications, solar heating and cooling, wind energy, bio-energy – biomass production, bio-energy – biomass conversion to fuels, bio-energy – biomass conversion to heat and electricity, other bio-energy, small hydro (less than 10 MW), large hydro (greater than or equal to 10 MW), other renewable energy.

a. Solar photovoltaics (PV)

Include solar cell development, PV-module development, PV-inverter development, building-integrated PV-modules, PV-system development, other.

b. Solar thermal-power and high-temperature applications

Include solar chemistry, concentrating collector development, solar thermal power plants, high-temperature applications for heat and power.

c. Solar heating and cooling

Include daylighting, passive and active solar heating and cooling, collector development, hot water preparation, combined-space heating, solar architecture, solar drying, solar-assisted ventilation, swimming pool heating, low-temperature process heating, other.

d. Wind energy

Include technology development, such as blades, turbines, converters structures, system integration, other.

e. Bio-energy – Biomass production and transport

Include improvement of energy crops, research on bio-energy production potential and associated land-use effects, supply and transport of bio-solids, bio-liquids, biogas and bio-derived energy products (e.g., ethanol, biodiesel), compacting and baling, other.

f. Bio-energy – Biomass conversion to transportation fuel

Include conventional bio-fuels, cellulosic-derived alcohols, biomass gas-to-liquids, other energy-related products and by-products.

g. Bio-energy – Biomass conversion to heat and electricity

Include bio-based heat, electricity and combined heat and power (CHP), exclude multi-firing with fossil fuels.

h. Other bio-energy

Include recycling and the use of municipal, industrial and agricultural waste as energy not covered elsewhere.

i. Small hydro – (less than 10 MW)

Include plants with capacity below 10 MW.

j. Large hydro – (greater than or equal to 10 MW)

Include plants with capacity of 10 MW and above.

k. Other renewable energy

Include hot dry rock, hydro-thermal, geothermal heat applications (including agriculture), tidal power, wave energy, ocean current power, ocean thermal power, other.

Nuclear fission and fusion

Materials exploration, mining and preparation, tailings management, nuclear reactors, other fission, fusion.

a. Nuclear materials exploration, mining and preparation, tailings management

Include development of advanced exploration methods (geophysical, geochemical) for prospecting, ore surface and in-situ production, uranium and thorium extraction and conversion, enrichment, handling of tailings and remediation.

b. Nuclear reactors

Include nuclear reactors of all types and related system components.

c. Other fission

Include nuclear safety, environmental protection (emission reduction or avoidance), radiation protection and decommissioning of power plants and related nuclear fuel cycle installations, nuclear waste treatment, disposal and storage, fissile material recycling, fissile materials control, transport of radioactive materials.

d. Fusion

Include all types (e.g., magnetic confinement, laser applications).

Electric Power

Generation in utility sector, combined heat and power in industry and in buildings, electricity transmission, distribution and storage of electricity.

a. Electric power generation in utility sector

Include conventional and non-conventional technology (e.g., pulverised coal, fluidised bed, gasification-combined cycle, supercritical), re-powering, retrofitting, life extensions and upgrading of power plants, generators and components, super-conductivity, magneto hydrodynamic, dry cooling towers, co-firing (e.g., with biomass), air and thermal pollution reduction or avoidance, flue gas cleanup (excluding CO2 removal), CHP (combined heat and power) not covered elsewhere.

b. Electric power - combined heat and power in industry, buildings

Include industrial applications, small scale applications for buildings.

c. Electricity transmission, distribution and storage

Include solid state power electronics, load management and control systems, network problems, super-conducting cables, AC and DC high voltage cables, HVDC transmission, other transmission and distribution related to integrating distributed and intermittent generating sources into networks, all storage (e.g., batteries, hydro reservoirs, fly wheels), other.

Hydrogen and fuel cells

Hydrogen production for process applications, hydrogen production for transportation applications, hydrogen transport and storage, other hydrogen, fuel cells, both stationary and mobile.

a. Hydrogen production for process applications

b. Hydrogen production for transportation applications

c. Hydrogen transport and storage

d. Other hydrogen

Include end uses (e.g., combustion), other infrastructure and systems R&D (refuelling stations).

e. Stationary fuel cells

Include electricity generation, other stationary end-use.

f. Mobile fuel cells

Include portable applications.

Energy efficiency

Industry, residential and commercial, transportation, other energy efficiency.

a. Energy efficiency applications for industry

Include reduction of energy consumption through improved use of energy and/or reduction or avoidance of air and other emissions related to the use of energy in industrial systems and processes (excluding bio-energy-related) through the development of new techniques, new processes and new equipment, other.

b. Energy efficiency for residential, institutional and commercial sectors

Include space heating and cooling, ventilation and lighting control systems other than solar technologies, low energy housing design and performance other than solar technologies, new insulation and building materials, thermal performance of buildings, domestic appliances, other.

c. Energy efficiency for transportation

Includes analysis and optimisation of energy consumption in the transport sector, efficiency improvements in light-duty vehicles, heavy-duty vehicles, non-road vehicles, public transport systems, engine-fuel optimisation, use of alternative fuels (liquid and gaseous, other than hydrogen), fuel additives, diesel engines, Stirling motors, electric cars, hybrid cars, air emission reduction, other.

d. Other energy efficiency

Include waste heat utilisation (heat maps, process integration, total energy systems, low temperature thermodynamic cycles), district heating, heat pump development, reduction of energy consumption in the agricultural sector.

Other energy-related technologies

Carbon capture, transportation and storage for fossil fuel production and processing, electric power generation, industry in end-use sector, energy systems analysis, all other energy-related technologies.

a. Carbon capture, transport and storage related to fossil fuel production and processing

b. Carbon capture, transport and storage related to electric power production

c. Carbon capture, transport and storage related to industry in end-use sector

Include industry in the end-use sector, such as steel production, manufacturing, etc. (exclude fossil fuel production and processing and electric power production).

d. Energy system analysis

Include system analysis related to energy R&D not covered elsewhere, sociological, economical and environmental impact of energy which are not specifically related to one technology area listed in the sections above.

e. All other energy technologies

Include energy technology information dissemination, studies not related to a specific technology area listed above.

For use with DVS 2017/2018, reporting data for 2017/2018 and previous academic years

Tourism and the Centre for Education Statistics

August 2018

Postsecondary Student Information System (PSIS)
Record Layout, Files and Data Element Descriptions

Data Submission Information at a Glance

This information is collected under the authority of the Statistics Act, Revised Statutes of Canada, 1985, Chapter S-19.

Completion of this questionnaire is a legal requirement under this act.

Survey Purpose

The Postsecondary Student Information System (PSIS) is a national survey that enables Statistics Canada to provide detailed information on enrolments and graduates of Canadian public postsecondary institutions in order to meet policy and planning needs in the field of postsecondary education. The information may also be used by Statistics Canada for other statistical and research purposes.

Confidentiality

Statistics Canada is prohibited by law from releasing any information it collects which could identify any person, business, or organization, unless consent has been given by the respondent or as permitted by the Statistics Act. Statistics Canada will use the information from this survey for statistical purposes and research purposes.

Please note that in the following record layout, words designating the masculine gender include the feminine gender.

PSIS Database Structure

The PSIS database holds data at two (2) levels: (1) institution, program and course data; and (2) student data. The institution, program and course data includes a list of all public postsecondary institutions in Canada, and an inventory of all programs and courses offered through these institutions. The student data contains demographic, program, and course information for students registered at these institutions.

The information required to feed the PSIS database is stored in the six (6) PSIS data files, which are loaded by the reporting institution via the DVS Data Verification System (DVS) and transmitted to Statistics Canada. The six (6) files describe either the student, or the institution and its available programs. The files and their interrelationships can be described as follow: The Institution Description file is linked to the Institution Program and Institution Course files whereas the Student Description file is linked to the Student Program and Student Course files. In addition, the Student Program file is linked to the Institution Program file and the Institution Course file is linked to the Student Course file.

Note to user: Data elements not in bold are those required to identify a unique record (each column corresponds to a file). Data elements required to link the files between them are identified by row. For example, the data elements required to link the ID and the SC files are: 1005/1000, 1025, 1035 and 1036.

Six (6) PSIS Input Files and File Description

Listed below are six (6) PSIS input files which you will need to submit in your annual report cycle (due by February 1^st, 2019). A brief description of each file is also outlined below.

1. Institution Description (ID) file
2. Institution Program (IP) file
3. Institution Course (IC) file
4. Student Description (SD) file
5. Student Program (SP) file
6. Student Course (SC) file

Institution Metadata

1. Institution Description (ID) file

(Postsecondary institution metadata; number of elements = 5; length = 132 bytes)
The Institution Description (ID) file lists and describes the different periods of academic activity by which programs and courses are organized. Specifically, the records contained on the ID file describe how a postsecondary institution divides its year into periods (sessions, terms, or other components) during which courses are commonly offered. Postsecondary institutions provide one (1) ID record for each period that begins or ends during the twelve (12) month report cycle. (For more detailed information, please refer to the Institution Description (ID) file section of this document.)

Please note that the information contained on the ID file is used to validate the Institution Code (element ID1025) provided to all of the six (6) PSIS files. It is also used to validate the period in which student courses are offered (element ID1035). Each period in which courses are reported on the Student Course (SC) file must also be present on the ID file.

2. Institution Program (IP) file

(Postsecondary institution metadata; number of elements = 11; length = 314 bytes)
The Institution Program (IP) file contains program code and program name (IP2000, IP2020), program duration (IP2070 and IP2071), credential type (IP2010) and other characteristics of each program offered by the postsecondary institution. The IP file is an inventory of the programs offered by the postsecondary institution. It contains one (1) IP record for each program offered during the twelve (12) month cycle.
Please note that there is a logical link between this file and the Student Program (SP) file. The SP file contains one (1) record for each combination of student and program. Each program code reported on the SP file must be present on the IP file. (For more detailed information, please refer to the Institution Program (IP) file section of this document.)

3. Institution Course (IC) file

(Postsecondary institution metadata; number of elements = 7; length = 260 bytes)
The Institution Course (IC) file contains course code and course name (IC3000, IC3020), course credits normally awarded and course credit units (IC3090, IC3091) and other characteristics of each course offered by the postsecondary institution. The IC file is an inventory of the courses offered by the postsecondary institution. One (1) IC record for each of the courses offered during the twelve (12) month cycle should be reported.
Please note that there is a logical link between this file and the Student Course (SC) file. The SC file contains one (1) record for each combination of student and course. Each course code reported on the SC file must be present on the IC file. (For more detailed information, please refer to the Institution Course (IC) file section of this document.)

Student Metadata

4. Student Description (SD) file

(Student metadata; number of elements = 37; length = 1018 bytes)
The Student Description (SD) file contains demographic and other descriptive information about the students attending the various postsecondary institutions. Among others, it contains student name (SD4040 to SD4050), birth date (SD4230), gender (SD4240), Social Insurance Number (SIN) (SD4020), contact information (SD4060 to SD4180), and characteristics such as whether or not the student has self-identified as an Aboriginal person (SD4210).This file contains one (1) record per student per postsecondary institution.

Please note that there is a logical link between this file and the Student Program (SP) file. The SD file contains one (1) record per student enrolled in a program or who has graduated from a program. (For more detailed information, please refer to the Student Description (SD) file section of this document.)

5. Student Program (SP) file

(Student metadata; number of elements = 17; length = 402 bytes)
The Student Program (SP) file contains one (1) record for each program in which the student was enrolled during the reporting cycle. The student program record includes the original dates in which the student started/ended a program (SP5010, SP5090), student status in program at end of report cycle (SP5100), specialization or major field of study (SP5015 and SP5016), total transfer credits (SP5220), cumulative credits for program (SP5230) and other characteristics of the student's program as recorded by the postsecondary institution.

Please note that there is a logical link between this file and the Institution Program (IP) file. Each program code reported on the SP file must be present on the IP file. In addition, there is a logical link between this file and the Student Description (SD) file. Each student record reported on the SD file must be associated with at least one (1) program record on the SP file. (For more detailed information, please refer to the Student Program (SP) file section of this document.)

6. Student Course (SC) file

(Student metadata; number of elements = 10; length = 258 bytes)
The Student Course (SC) file contains one (1) record for each course in which the student was enrolled during the reporting cycle. Also, include one (1) course record for students that are registered either in a CO-OP work term, writing a thesis, or performing any other academic activities related to their program but not structured as a course. The student course record includes the dates which the student started/ended the course (SC6020, SC6021) and status in course at end of report cycle (SC6030).

Please note that there is a logical link between this file and the Institution Course (IC) file. Each course code reported on the SC file must be present on the IC file. In addition, there is a logical link between this file and the Student Program (SP) file. Each program in which the student was enrolled (SP file) must be associated with at least one (1) course record on the SC file. The SP record for a student who graduates during the report cycle and for which the student did not have any course registrations during the report cycle (e.g., the student applies for and is granted a credential during the current report cycle for work completed in an earlier cycle) should not have an associated SC record. (For more detailed information, please refer to the Student Course (SC) file section of this document.)

Postsecondary Student Information System (PSIS)
Institution Description (ID) File

The following data elements are required to identify unique records: Start date of report cycle (ID1005), Institution Code (ID1025), Period Code (ID1035), and Sub-period Code (ID1036)

Record Layout, Files and Data Element Descriptions

First, select your start date of report cycle and store it in element ID1005. Please see the description of ID1005 for guidance on how to select your report cycle.

The Institution Description (ID) file lists and describes the different periods of academic activity by which programs and courses are organized. Specifically, the records contained on the ID file describe how a postsecondary institution divides its year into periods (sessions, terms, or other components) during which courses are commonly offered. Postsecondary institutions provide one (1) ID record for each period that begins or ends during the twelve (12) month report cycle. Periods can be of any length (although not many courses span twelve (12) consecutive months or more). Periods include the time allocated for exams. Your periods can begin before your report start date and can extend beyond the end of your report cycle. See data element ID1035, (Period Code) for suggestions on how to report periods.

Institution Code (element 1025 on all six (6) PSIS files)

You will find your code(s) on the list of postsecondary institution codes supplied by Statistics Canada.

Each eight (8)-digit code comprises a two (2)-digit province, a three (3)-digit postsecondary institution and a three (3)-digit campus. The list contains one (1) code for the parent postsecondary institution and one (1) for each campus. The parent institution code has 000 in the last three (3) digits, while the campuses are numbered sequentially beginning with 001. Postsecondary institutions without campuses have only a parent institution code. Examples: Postsecondary institution XXX in province P1 has two (2) campuses and postsecondary institution YYY in province P2 has none. Their codes would appear on the code list as follows: Postsecondary institution XXX includes P1XXX000 for Parent Institution; P1XXX001, Campus 1; P1XXX002; Campus 2; and Postsecondary institution YYY includes P2YYY000 for Parent Institution.

If your postsecondary institution has campuses, you can choose to report your PSIS data at the campus level or at the parent (000) level depending on how you store your postsecondary institution metadata and student metadata on your own administrative systems. We recommend reporting at the lowest level available, as more detailed analysis can potentially be done.

The following combinations of reporting level and file type are valid. Choose one (1) reporting level for all three (3) postsecondary institution metadata files and one (1) for all three (3) student metadata files; (i.e., do not combine parent- and campus-level reporting within the three (3) postsecondary institution metadata files or within the three (3) student metadata files).

Postsecondary institution metadata (ID, IP, IC) Parent Institution and Campus is paired with Student metadata (SD, SP, SC) Parent Institution and Campus.

Postsecondary Student Information System (PSIS)
Institution Program (IP) File

The following data elements are required to identity unique records: Year of Start of Report Cycle (IP1000), Institution Code (IP1025), Program Code (IP2000), and Credential Type (IP2010)

Record Layout, Files and Data Element Descriptions

The Institution Program (IP) file contains program code and program name (IP2000, IP2020), program duration (IP2060 to IP2071), credential type (IP2010, IP2011), educational entrance requirements (IP2150 to IP2155) and other characteristics of each program offered by the postsecondary institution. The IP file is an inventory of the programs offered by the postsecondary institution. It contains one (1) IP record for each program offered during the twelve (12) month cycle.

There is a logical link between this file and the Student Program (SP) file. The SP file contains one (1) record for each combination of student and program. Each program code reported on the SP file must be present on the IP file.

If students are taking courses without registration in a program, create as many non-program records on the IP file for each of the non-program categories appropriate to your institution (see element IP2015). This will involve:

1. putting a program name in element IP2020;
2. putting a program code in element IP2000;
3. putting a value of "98 - Not applicable" in element IP2010;
4. assigning the students to this program in the SP file; and
5. following the instructions in the other elements for the assignment of "Not Applicable" code for this non-program record.

Please refer to the "Program type" and "Non-credit" entries of the Reporting Guide for Program Type and Credential Type for additional information on the non-programs.

Universities that store their program data with separate fields for degree and specialization(s) or major field(s) of study may be able to report just the degree code in element SP2000 and the student's specialization(s) or major field(s) of study in elements SP5015, SP5016 and SP5017 on the SP file. For example, if all BA programs have the same duration, credit requirement, provincial funding code, entrance requirements, on-the-job training (OJT) components, etc., then you could report only one (1) IP record for all BA's, with element IP2000 = "BA", and then show the different majors on the SP records of individual students. But if some of the BA programs have different durations or credit requirements, etc., then you must provide separate IP records for them. In these cases, you could combine the degree code and the specialization(s) or major field(s) of study in element IP2000 of the IP and SP records.

For programs that award two (2) credentials, please refer to the "Joint credential program" entry of the Reporting Guide for Program Type and Credential Type.

For programs that may lead to the option of several qualifications in terms of successful outcomes, such as one program (same code) which leads to a certificate or a diploma, please refer to the "programs with multiple exit options" entry of the Reporting Guide for Program Type and Credential Type.

For apprenticeship programs, provide one (1) IP record for each year or level of the program.

For the entire reporting period, describe all the programs offered during the twelve (12) months beginning on your Report Cycle Start Date.

Postsecondary Student Information System (PSIS)
Institution Course (IC) File

The following data elements are required to identify unique records: Year of Start of Report Cycle (IC1000), Institution Code (IC1025), and Course Code (IC3000)

Record Layout, Files and Data Element Descriptions

The Institution Course (IC) file contains course code and course name (IC3000, IC3020), course duration and course duration units (IC3080, IC3081), course credits normally awarded and course credit units (IC3090, IC3091) and other characteristics of each course offered by the postsecondary institution. The IC file is an inventory of the courses offered by the postsecondary institution. One (1) IC record for each of the courses offered during the twelve (12) month cycle should be reported.

There is a logical link between this file and the Student Course (SC) file. The SC file contains one (1) record for each combination of student and course. Each course code reported on the SC file must be present on the IC file.

For the entire reporting period, describe all the courses offered during the twelve (12) months beginning on your Report Cycle Start Date.

Postsecondary Student Information System (PSIS)
Student Description (SD) File

The following data elements are required to identity unique records: Year of Start of Report Cycle (SD1000), Institution Code (SD1025), and Institution's Student Identifier (SD4000)

Record Layout, Files, and Data Elements Descriptions

The Student Description (SD) file contains demographic and other descriptive information about the students attending the various postsecondary institutions. Among others, it contains student name (SD4040 to SD4050), birth date (SD4230), gender (SD4240), Social Insurance Number (SIN) (SD4020), contact information (SD4060 to SD4180), and characteristics such as whether or not the student has self-identified as an Aboriginal (SD4210). This file contains one (1) record per student per postsecondary institution.

You are requested to provide one (1) record for each student registered at the postsecondary institution at any time between your Start Date of report cycle (ID1005) and the end of your winter term, or the end of your academic year if your postsecondary institution does not have a winter term. Also, include one (1) SD record for a student who graduates during the report cycle, even if the student did not have any course registrations during the report cycle (e.g., the student applies for, and is granted a credential during the current report cycle for work completed in an earlier cycle).

Also, include any students who were last registered in the previous report year and whose status in the program was "Unknown" at the time the previous year's Report was produced. The "Unknown" status refers to element SP5100 on the SP file: Status was unknown (under review or not yet determined or dependent on the completion or grading of courses that normally would have ended by the end of the report cycle). These students should be included in the Report to ensure that Statistics Canada can update their end status.

If the student was registered in more than one (1) program during the report cycle, provide only one (1) SD record and multiple Student Program (SP) records.

There is a logical link between this file and the Student Program (SP) file. The SD file contains one (1) record per student enrolled in a program or who has graduated from a program in the current reporting year.

Postsecondary Student Information System (PSIS)
Student Program (SP) File

The following data elements are required to identity unique records: Year of Start of Report Cycle (SP1000), Institution Code (SP1025), Institution's Student Identifier (SP4000), Student's Program Code (SP2000), Credential Type (SP2010), and Original Start Date in Program (SP5010)

Record Layout, Files, and Data Elements Descriptions

The Student Program (SP) file contains one (1) record for each program in which the student was enrolled during the reporting cycle. The student program record includes the original dates in which the student started/ended a program (SP5010, SP5090), student status in program at end of report cycle (SP5100), specialization or major field of study (SP5015 to SP5021), total transfer credits (SP5220), fees billed (SP5190 to SP5200), cumulative credits for program (SP5230) and other characteristics of the student's program as recorded by the postsecondary institution.

Report one (1) SP record for each program in which the student is registered at any time during the report cycle. Also, include one (1) SP record for a student who graduates during the report cycle, even if the student did not have any course registrations during the report cycle (e.g., the student applies for and is granted a credential during the current report cycle for work completed in an earlier cycle).

If the student was registered in more than one (1) program during the report cycle, provide only one (1) SD record and multiple Student Program (SP) records.

There is a logical link between this file and the Institution Program (IP) file. Each program code reported on the SP file must be present on the IP file. In addition, there is a logical link between this file and the Student Description (SD) file. Each student record reported on the SD file must be associated with at least one (1) program record on the SP file.

Universities that store their program data with separate fields for degree and specialization(s) or major field(s) of study should report the student's degree in element SP2000 and the student's specialization(s) or major field(s) of study in elements SP5015, SP5016 and SP5017.

For programs that award two (2) credentials, please consult the "Joint credential program" entry of the Reporting Guide for Program Type and Credential Type.

If the student is taking courses without being registered in a program, do not omit the student from the SP file. Create one (1) SP record with a non-program code in element SP2000 to match the non-program record created on the IP file. Follow the instructions in the other elements of the SP file for the assignment of "Not applicable" codes for this non-program record. Please refer to the "Program type" and "Non-credit" entries of the Reporting Guide for Program Type and Credential Type for additional information on the non-program records.

Postsecondary Student Information System (PSIS)
Student Course (SC) File

The following data elements are required to identity unique records: Year of Start of Report Cycle (SC1000), Institution Code (SC1025), Institution's Student Identifier (SC4000), Student's Course Code (SC3000), Date Student Started Course (SC6020), and Number or Code of Student's Course Section (SC6070)

Record Layout, Files, and Data Elements Descriptions

The Student Course (SC) file contains one (1) record for each course in which the student was enrolled during the reporting cycle. Also, include one (1) course record for students that are registered either in a CO-OP work term, writing a thesis, or performing any other academic activities related to their program but not structured as a course. The student course record includes the dates which the student started/ended the course (SC6020, SC6021), status in course at end of report cycle (SC6030), the credits student would receive for course (SC6060), tuition fees billed for course (SC6040) and other characteristics of the student's course as recorded by the postsecondary institution.

Report one (1) SC record for each course in which the student is registered at any time during the report cycle after the final day for course additions and deletions (as defined by your postsecondary institution: usually about two (2) weeks after classes begin). Exclude courses for which the student is wait listed. Also, exclude courses for which the student was not registered and did not actually attend, even if the student received credit for the course by means of a challenge or by some other administrative method.

There is a logical link between this file and the Institution Course (IC) file. Each course code reported on the SC file must be present on the IC file. In addition, there is a logical link between this file and the Student Program (SP) file. Each program in which the student was enrolled (SP file) must be associated with at least one (1) course record on the SC file. The SP record for a student who graduates during the report cycle and for which the student did not have any course registrations during the report cycle (e.g., the student applies for and is granted a credential during the current report cycle for work completed in an earlier cycle) should not have an associated SC record.