DRR 2018-19 Supplementary Information Tables

Astronomy is a global science. The increasing cost of leading-edge observatories and the scarcity of ideal observation sites have led to a greater focus on international collaboration for large-scale astronomy projects which lead to advances in our knowledge and understanding of the universe.

The NRC, in collaboration with other international bodies, provides financial contributions to support the management and operations of offshore ground-based observatories and their related facilities, including the Canada-France-Hawaii Telescope (CFHT), the twin telescopes of the Gemini Observatory and the Atacama Large Millimeter Array (ALMA). The NRC participates in the oversight and direction of these facilities and their research capabilities. The NRC also represents Canada in the Square Kilometre Array (SKA) consortium for the pre-construction phase of the telescope. In 2015, Canada joined the international partnership to participate in the Thirty Meter Telescope (TMT). The NRC, on behalf of Canada, provides both financial and in-kind contributions.

International agreements governing these observatories are long-term commitments that specify contributions to support preconstruction design and development, construction, operation and maintenance, capital improvements (e.g., development of new astronomical instruments and other facility upgrades) and decommissioning of the international ground-based observatories and their related facilities. In addition, they include commitments to support the university-based user communities to ensure a fair and progressive use of these observatories. The NRC participates in the governance of these international facilities on behalf of the Canadian astronomy research community and provides appropriate support, including sophisticated data management services and instrumentation. Through the NRC's financial and in-kind contributions, the Canadian astronomy community is assured merit-based access to these facilities with appropriate support.

Recipients are not required to repay funds obtained under this transfer payment program.

• Demand by astronomers for international telescope access continued to exceed the time available by a factor ranging from 2.08 to 5.9, depending on the telescope. This is a reliable indicator of the relevance of the observatory and of its instrumentation. 416 scientific papers were published by users based on data obtained using the Canada-France-Hawaii Telescope (CFHT) and the Gemini Observatory. 398 scientific papers were published based on data obtained using ALMA.
• The NRC, in collaboration with various national and international partners, supported the development and deployment of a new Near-infrared spectropolarimeter for the CFHT - Spectropolarimètre Infrarouge – SPIRou. SPIRou collected the first calibration images with its science-grade array, passed formal Final Acceptance Review and began full science operations.
• The NRC continued to support the highly successful CHIME telescope which was featured in the Nature International Journal of Science for detecting the second known repeating Fast Radio Burst (FRB).
• The joint, multi-year HAA/CPFC Microwave Monolithic Integrated Circuit (MMIC) development project passed a key milestone in February reaching performance objectives at room and cryogenic temperatures. MMIC technology is the overall moniker for the integration and miniaturization of high-frequency electronic systems that can be fabricated onto a single computer chip and supports mass-production.
• NRC-Herzberg Astronomers & Astrophysicists published 151 refereed journal articles, 129 non-refereed publications and made 58 presentations at national & international institutes, conferences and workshops. This included presentations at the prestigious SPIE Astronomical Telescopes and Ground-based Instrumentation conference.
• The NRC supported the NASA New Horizons space probe that reached and photographed Kuiper Belt object 2014 MU69, also known as Ultima Thule. NRC scientists used images from the CFHT to create a map of the stars whose positions were known to extreme precision which enabled the New Horizons space probe to re-direct and fly to Ultima Thule.
• The Canadian Astronomy Data Centre (CADC) houses over 1250 terabytes (TB) of the world's astronomical data. From these collections, the CADC delivered over 239 million files comprising 2178 TB (18 TB from the space-based observatories) to the world-wide astronomical research community.
• Canadian researchers at the Dominion Radio Astrophysical Observatory supported the US National Radio Astronomy Observatory (NRAO) in preparation for the next generation Very Large Array (ngVLA) project. Canada provided the reference design for new 15m single-piece composite antennas that will be used in the ~$1.9B USD ngVLA project to build a new radio telescope comprised of an array of 244 antennas each 18m in diameter. The ngVLA will directly image the formation of Star Systems and earth-like planets.
• NFIRAOS, the first-light TMT Adaptive Optics system, passed its Final Design Review (19-21 June 2018). The review panel found that the team had performed "impressive state of the art work" and that NFIRAOS had an "excellent project team with high levels of expertise."
• The NRC participated in the pre-construction phase of the next generation radio telescope - the SKA. NRC's contributions were significant having led the SKA Central Signal Processing (CSP) consortium to a very successful "unconditional pass" Critical Design Review, and supplied technology for the sub-reflectors and receiver Low Noise Amplifiers for the precursor telescope – MeerKAT – in South Africa. The CSP converts digitised astronomical signals detected by SKA receivers into the vital information needed to make detailed images of deep space astronomical observations.
• 2018 marked the 100th anniversary of the Dominion Astrophysical Observatory in Victoria, B.C., whose Plaskett Telescope was Canada's first publicly funded major science project. The telescope has contributed significantly to astronomical research, including exploring the structure of the Milky Way, binary stars, stellar X-ray sources and stellar-mass black holes. The Plaskett telescope continues to provide observations and data for important projects such as the tracking of moving objects in the vicinity of the Earth and the mapping of complex magnetic fields at the surface of very active stars.

TRIUMF is Canada's particle accelerator centre. The laboratory is one of Canada's key investments in large-scale research infrastructure. It provides world-class facilities for research in sub-atomic physics, accelerator science, life sciences, and materials science. A consortium of 20 Canadian universities (14 full members and 6 associate members) owns and operates TRIUMF. TRIUMF receives its federal operational funding through the NRC in five year allocations via a contribution agreement. The NRC plays an important oversight and stewardship role for TRIUMF on behalf of the Government of Canada. Recipients are not required to repay funds obtained under this transfer payment program.

• TRIUMF contributed to the publication of 324 manuscripts in scientific journals.
• TRIUMF researchers made significant contributions to the first observation by ATLAS of the Lyman-alpha transition in antihydrogen, a key step in understanding fundamental concepts in physics, astronomy and our universe. ATLAS is a collaborative project involving over 3,000 physicists from over 175 institutions in 38 countries.
• TRIUMF's theory group played a key role in addressing a long-standing puzzle in the β (beta)-decay probability of atomic nuclei. (https://www.triumf.ca/research-highlights/triumf-theory-group-contributes-solution-long-standing-beta-decay-puzzle).The results may serve to improve how physicists characterize heavy element synthesis in neutron star mergers and to improve predictions for the predicted neutrino-less double-β-decay.
• TRIUMF made significant progress on completing the ARIEL facility, which will produce rare isotopes for science, business and medicine. This included advancing the commissioning of the electron linear accelerator, the CANREB EBIS charge breeder system, and the RIB beamlines connecting ARIEL and ISAC, as well as continuing the design of ARIEL's unique target stations and hot cells. Further work on critical components of the facility will allow for the simultaneous operation of multiple experiments.
• In support of research collaborations and partnerships, TRIUMF hosted 1,002 scientific visitors, students, and users, 606 of which came from international institutions.
• To promote the availability of global talent, TRIUMF trained 254 highly qualified personnel, including undergraduate and graduate students, and post-doctoral researchers.
• The Institute for Advanced Medical Isotopes (IAMI) – a project supported by the Government of Canada, Province of British Columbia, BC Cancer, University of British Columbia, and TRIUMF – was formally announced in November 2018 during a visit by Prime Minister Justin Trudeau. Valued at over $50M, this state-of-the-art facility will significantly strengthen TRIUMF's capabilities for research and development in the life sciences and has attracted more than $18M in philanthropic donations to the BC Cancer Foundation to support the development of next-generation treatments.
• TRIUMF and TRIUMF Innovations announced a strategic partnership with Canadian Nuclear Laboratories (CNL) to produce Ac-225, a new isotope that could enable new treatment options for patients with currently untreatable cancers.
• TRIUMF and TRIUMF Innovations are also partnering with adMare (formerly known as the Centre for Drug Research and Development) to work on developing new therapeutic drugs to treat cancer.
• TRIUMF launched an ambitious slate of programming in support of TRIUMF's 50th Anniversary. Among these events was a historical symposium that attracted 210 registrants from around the world. Other important occasions that took place during this period included a number of high-profile public lectures and events, such as visits from the Governor General and the Prime Minister of Canada.
• After extensive community consultation, TRIUMF released a Five-Year Plan 2020-2025 which outlines goals and objectives for the laboratory around three dimensions: Science and Technology; People and Skills; and Innovation and Collaboration.
• TRIUMF's organizational structure was updated to better align research and operational responsibilities under the two deputy directors.
• A new HR Director was recruited to advance and modernize human resource practices with a focus on Equity, Diversity, and Inclusion, elements now built into TRIUMF's core values and which have been bolstered by improvements stemming from data captured during a recent survey exercise that will help guide future initiatives.
• Adding additional rigor into the management of research and commercial partnerships, TRIUMF has established a new Research Services Office to help manage agreements, as well as hired a Compliance Officer to ensure alignment with export control regulations.

Evaluation completed in 2018-19. The next evaluation is scheduled for 2022-23.

TRIUMF addresses the needs of a growing research community, in particular by providing necessary equipment and facilities, which are not available elsewhere in Canada.

TRIUMF has been important to Canada's position on the global stage in TRIUMF-related fields. This is in part due to the facilities it provides to researchers, which enables their research, as well as the international collaborations TRIUMF has facilitated. TRIUMF has also contributed to Canada's positive reputation through its own scientific achievements, including its contributions to important work such as the discovery of the Higgs Boson at CERN and elucidation of neutrino properties by the T2K experiment in Japan. TRIUMF also contributes to the scientific community by fostering the training of HQP and attracting HQP to Canada.

TRIUMF has made a number of changes to increase efficiencies and are planning many others. They have addressed the issues identified in the previous evaluation and introduced a number of new mechanism to increase efficiencies. They are also currently undergoing a transformation of their governance structure which will streamline their Board of Management and broaden its scope. Lastly, TRIUMF's strategic plan for 2020-2025 demonstrates its vision for the next phase of the laboratory and was found by the IPRC to be ambitious, yet achievable.

The NRC chairs the Agency Committee on TRIUMF (ACT), which includes the federal agencies that fund and oversee activities at TRIUMF, providing TRIUMF management the opportunity to present progress and discuss future directions for the facility.

The NRC also manages the Advisory Committee on TRIUMF (ACOT), composed of international experts within disciplines that span the research and technology activities of TRIUMF. ACOT reports its findings to NRC and TRIUMF senior management twice annually, making recommendations on programs and management as well as reporting on the scientific and technological achievements of TRIUMF programs and facilities. Observer representatives from the National Sciences and Engineering Research Council of Canada (NSERC), the Canadian Institute of Nuclear Physics, and the Canadian Institute of Particle Physics ensure that TRIUMF's directions are well aligned with the research community's needs and that TRIUMF is working with all constituencies across the Canadian subatomic physics community. The Committee considers all aspects of the TRIUMF program, with a particular emphasis on science and technological issues to ensure the relevance, impact, and world-class standing of TRIUMF's activities.

The NRC also maintains an ex officio presence on TRIUMF's Board of Management and on TRIUMF's Audit Committee.

Dialogue is maintained between the NRC and the recipient to ensure that Government of Canada investments are optimal, and that the NRC provides a vehicle for feedback on the transfer payment management process.

TRIUMF has numerous programs aimed at young people, students, teachers, and the general public to ensure that as many as possible share the wonder of discovery and experience the excitement generated by one of Canada's premier laboratories. In addition, TRIUMF offers a suite of programs to aide in the growth and development of professional skills for its graduate students and postdocs.

The Program contributes to the growth and prosperity of Canadian small and-medium sized enterprises (SMEs) by stimulating innovation, adoption and/or commercialization of technology-based products, services, or processes in Canada. This is done through: 1) technical and related business advice and networking facilitated by a cross-Canada network of field professional staff; 2) cost-shared merit-based contributions; and 3) contributions supporting employment of post-secondary graduates. This Program has the following streams: Contributions to Firms; Contributions to Organizations; and Youth Employment Program (YEP).

NRC IRAP supports the placement of graduates in SMEs through its participation in the delivery of YEP sponsored by Employment and Social Development Canada's Youth Employment Strategy (YES).

Recipients are not required to repay funds obtained under this transfer payment program.

Audit completed in 2018-19. Audit of IRAP Recipient Audit Framework.

Audit Objective
The objective of the audit was to provide assurance that IRAP has developed and implemented an adequate recipient audit framework to support the delivery of the IRAP program and that the framework is working as intended.

Strengths
Governance structures have been established to ensure that IRAP's formally documented recipient audit framework is approved by Management and disseminated to all key individuals. The framework applies a risk-based approach through sampling and audit procedures, which are performed by an independent audit agent that has been selected based on the criteria recommended in the Treasury Board Secretariat Guideline on Recipient Audits. Recipient audit results are shared with key stakeholders, including IRAP management, Finance and NRC's Departmental Audit Committee and Management action plans are developed for findings requiring attention.

Areas for Improvement
Opportunities were identified to improve the recipient audit framework, specifically by clarifying the intent and expected conclusions to be reached from the recipient audit and fully documenting all sampling procedures. This will ensure that the sampling approach is properly applied to support the conclusion and potential management decisions to be drawn. Further, the framework should define the expected timeline for each phase of the audit, as well as the frequency and ways in which audit progress, results and management action plans should be presented and monitored. Finally, internal resource availability and associated responsibilities should be reviewed and responsibilities adjusted, if required, to ensure all recipient audit responsibilities are fulfilled in a timely manner.

Recommendations

1. The Vice-President of IRAP (VP, IRAP) should coordinate with the Vice President, Corporate Services and Chief Financial Officer (VP, CS & CFO) to update the framework to include:
   1. The timeline for each phase of the recipient audit, and
   2. The frequency and ways in which audit progress, results and subsequent management action plans are presented and monitored.
      [Priority: Moderate]
2. The VP, IRAP should:
   1. Clarify the intent and expected conclusions to be reached from the recipient audit, and
   2. Ensure the sampling practice is fully documented and aligned with the intent to support the conclusion and potential management decision to be drawn.
      [Priority: High]
3. The VP, IRAP, in consultation with the VP, CS & CFO, should:
   1. Review resource availability and the associated responsibilities, and
   2. Adjust the responsibilities if required, to ensure all recipient audit responsibilities are fulfilled in a timely manner.
      [Priority: Moderate]

Audit Conclusion
The majority of key elements of IRAP's recipient audit framework have been established to support the delivery of recipient auditing activities. While the conduct of the recipient audit activities is in compliance with the Treasury Board Policy on Transfer Payments, improvements are needed, as set out in the audit report.

NRC IRAP is a national program managed on a regional basis with 255 Industrial Technology Advisors (ITAs) located in approximately 120 offices across the country, who provide customized advice to technologically innovative small and medium-sized enterprises (SMEs). ITAs are engaged with client SMEs throughout the entire contribution management process, from building project proposals through to project completion.

At the end of their funded project, recipients are required to complete an online Post-Project Report. This assessment captures information on the recipient's experience with NRC IRAP and, along with published service standards, is used by the program to develop continuous program improvements.

NRC IRAP has an Advisory Board composed of 10 to 12 members from the industry sector and industry associations. This Board provides advice to NRC IRAP management and brings an external perspective on the strategic directions and management of the program.

NRC IRAP is actively engaged with Treasury Board Secretariat Grants and Contributions Reform. Participation in workshops and constant alignment with recent Treasury Board Secretariat policy and guidelines has enabled the program to steadily move toward principles such as a Recipient Engagement Strategy.

CAIP funding contributed to:

• Early-stage firms' increased access to innovation support services
• The improvement of early-stage firms' readiness for investment; and
• Wealth creation in Canada

In November 2018 a summative evaluation, which assessed the extent to which the CAIP program achieved expected results was conducted. Client firms who received CAIP funding and services reported significant growth in revenue, equity, and number of staff. Overall, evaluation findings suggest CAIP services and funding contributed to the growth of Canadian small and medium sized-businesses and, by extension, job creation and the Canadian economy.

A Summative evaluation of CAIP was completed in 2018-19.

CAIP continues to align with evolving government priorities related to support for innovative SMEs. CAIP is also aligned with recent priorities such as providing a broader range of support to SMEs and strengthening Canada's network of accelerators and incubators.

Available data suggests that CAIP-funded A/Is have increased their numbers of client firms, which in many cases have evolved from small, early-stage firms to more mature firms.

CAIP-funded A/Is have delivered new or expanded services which surveyed client-firms have valued. In fact, CAIP allowed funded A/Is to provide a wide range of new or expanded services to their clients that would not have been possible without the program. Overall, client-firms have found the services useful and they have incurred numerous benefits as a result.

Available data suggests that CAIP funding and the resulting assistance provided to A/I client-firms have contributed to wealth creation in Canada. Client firms, as a group, have grown significantly in revenue and equity investment.

The delivery of CAIP was challenging and resulted in some valuable lessons learned. For instance, the cost to deliver CAIP is more than double the amount planned at the onset of the program. This is in part due to the complexity of the program which led to unforeseen challenges (e.g., longer process of due-diligence and negotiation when setting up the CAs, complex and time-consuming claim review process, and difficulty in collecting performance data from CAIP recipients.). Also, there was insufficient time to understand the program and develop efficient delivery mechanisms at the onset of the program. It took some time for IRAP to adapt their processes to align with the parameters required by CAIP. Finally, overcoming delivery challenges has required a considerable level of effort. As a result, there are many learnings that should be considered for any future similar program.

CAIP supports SMEs' access to best-in-class business accelerators and incubators with the goal of helping these organizations expand their overall service offerings. Organizations were selected based on CAIP specific eligibility criteria and selection guidelines. CAIP is a direct result of extensive consultations, undertaken by Finance Canada in 2012, which revealed that, in addition to the availability of venture capital, entrepreneurs also require access to specialized innovation resources to succeed.