ARCHIVED - NRC Governance Overview

Archived - This content has been developed for the transition binder for the NRC President, December 2020

Slide 1

National Research Council
Governance Overview
March 2020

Slide 2

Acronyms for slide 3

BMSC – Business Management Support Committee
DAC – Departmental Audit Committee
ESC – Environmental Stewardship Committee
EXCO – Executive Committee
FMC – Financial Management Committee
HRPC – Human Resources Promotion Committee
IMC – Investment Management Committee
IRAP – Industrial Research Assistance Program
MGT – NRC managers (Directors to VPs)
NCOSH – National Committee on Occupational Safety and Health
PMEC – Performance Measurement and Evaluation Committee
PRC – Program Review Committee
PREAC – President's Research Excellence Advisory Committee
RC – Research Centre
RCOC – Research Centre Operations Committee
SEC – Senior Executive Committee

Slide 3

NRC Governance

Slide 4

The NRC Council

Chair: Doug Muzyka

As stated in the NRC Act, the NRC Council comprises:

• the NRC President;
• a Chairperson (to be appointed by the Governor in Council); and
• not more than 10 additional members (to be appointed by the Governor in Council).

Mandate: The NRC Council acts as a governance body, providing a challenge function and an independent perspective based on the knowledge and expertise of each NRC Council member. At its meetings, members may seek to influence the President in how the President will discharge his or her primary duty to supervise and direct the work of the NRC.

Key Activities

• Provides advice on strategic direction for the NRC;
• Provides advice to ensure sound financial management;
• Receives reports from the NRC DAC on the NRC's risk management, control and governance systems;
• Assesses the NRC's performance annually and the performance of the NRC President, if requested by Ministers;
• Provides advice on the appointment of senior officers; and
• Members act as ambassadors for the NRC.

Slide 5

NRC Departmental Audit Committee

Chair: Richard Dicerni

Mandate: The Departmental Audit Committee (DAC), established pursuant to the Financial Administration Act, provides objective advice and recommendations to the President regarding the sufficiency, quality and results of assurance on the adequacy and functioning of the NRC's risk management, control and governance frameworks and processes (including accountability and auditing systems).

Key Activities
The key areas of responsibility of DAC members are as follows:

• Values and ethics;
• Risk management;
• Management control framework;
• Internal audit function;
• External assurance providers;
• Follow-up on management action plans;
• Financial statements and Public Accounts of Canada reporting; and
• Accountability reporting

Slide 6

NRC's 15 Advisory Boards

Chair: Various

Mandate: The NRC's 14 Research Centres all have advisory boards as does IRAP. All advisory boards are comprised of external members from across the research centres (RCs) or IRAP's major stakeholders, industry subsectors, and communities of interest.

Key Activities

• An RC advisory board provides strategic advice to the RC Director General and, through the Chairperson, reports to the R&D Vice-President responsible for the RC on the RC's programs, non-program activities and overall strategic direction, while helping ensure these remain aligned with the NRC's results areas of supporting business innovation, supporting government policy decisions and advancing scientific knowledge.
• IRAP's advisory board ensures IRAP's activities are aligned with the NRC and the government of Canada's objective of supporting the growth and competitiveness of small and medium-sized enterprises (SMEs) through innovation.

Slide 7

Existing internal governance committees
(In place prior to the pandemic and currently under review)

Slide 8

Senior Executive Committee (SEC) – Slide 1 of 2

Chair: NRC President

Mandate: As the primary internal decision-making body in all matters pertaining to the NRC's operations, SEC ensures the achievement of the NRC's performance, objectives and outcomes; maintains compliance with policy and regulatory requirements; and maximizes the impact of the NRC's investments in compliance with the NRC's mandate and priorities.

Key Activities

• Establishes overall strategic direction, including the approval of multi-year strategic plans;
• Approves the NRC's high-level overarching frameworks, strategies and plans related program design and delivery and operational matters;
• Approves annual corporate priorities and the corporate risk profile;
• Approves progress reports on the implementation of corporate priorities and risk response strategies; and
• Approves the NRC's Investment Plan, investment performance measurement and reporting frameworks.

Slide 9

Senior Executive Committee (SEC) – Slide 2 of 2

Key Activities

• Monitors all Areas of Management of the Management Accountability Framework (MAF);
• Approves management responses to audit reports;
• Approves the NRC's annual operating plan and annual division-level operational budgets, monitors progress and initiates corrective measures as necessary, including in-year financial adjustments recommended by the Financial Management Committee;
• Approves investments in assets and major capital projects;
• Approves major change to the NRC's organizational structure;
• Approves internal financial, HR and other administrative policies;
• Acts as the NRC Performance Measurement and Evaluation Committee (PMEC);
• Provides general coordination among the responsibility areas of its members; and
• Provides linkages to the NRC Council.

Note: In a week when there is no formal SEC meeting, a VP meeting is held – this is an informal meeting, no decisions, no minutes. The President attends when available.

Slide 10

Investment Management Committee (IMC)

Chair: Dale MacMillan, VP of Corporate Services and Chief Financial Officer

Mandate: Advisory to the President and ensures effective management of the NRC's 5-year Investment Plan.

Key Activities

• Provides a review mechanism and a challenge function for proposed projects over $350K;
• Reviews and prioritizes projects across asset classes and NRC-wide resulting in a recommendation to the President on the projects to be included in the Investment Plan;
• Ensures investment priorities identified in the Investment Plan meet the criteria and are prioritized in accordance with a consistent evaluation methodology;
• Ensures that financial resources are allocated/re-allocated to capital requirements that clearly support NRC priorities and account for risk; and
• Monitors project plans and makes recommendations regarding significant variances.

Slide 11

Financial Management Committee (FMC)

Chair: Dale MacMillan, VP of Corporate Services and Chief Financial Officer

Mandate: Advisory to the President and SEC on matters concerning the NRC's financial resources.

Key Activities

• Provides an objective review mechanism and a challenge function for opening budgets (including revenue targets) as well as in-year and out-year proposed changes;
• Reviews the recommendations from other committees and working groups as applicable to ensure an enterprise approach to financial management;
• Ensures financial pressures and available funds are identified in a timely manner, for both in-year and future years, and makes recommendations for managing these considered in line with organizational priorities and risk; and
• Promotes the prudent use of financial resources to achieve results and to ensure that public resources are managed with due regard to effective stewardship practices.

Slide 12

R&D Program Review Committee (PRC)

Chair: François Cordeau, VP of Professional Business Services

Mandate: Advisory to SEC on the lifecycle, approval and performance review of the NRC's R&D programs.

Key Activities

• Reviews, assesses and recommends the processes for each stage of the NRC's research program lifecycle;
• Makes recommendations concerning any aspect of the program lifecycle;
• Undertakes a review of program proposals prior to their approval by SEC to comment on the feasibility of the resourcing and program plan;
• Reviews the quality of due diligence, whether it was addressed in the program proposal and make recommendations on how proposals could be strengthened; and
• Makes recommendations regarding program approvals and associated funding levels.

Slide 13

Intellectual Property Oversight Committee (IPOC)

Chair: François Cordeau, VP of Professional Business Services

Mandate: Advisory to SEC and oversees all form of IP matters at the NRC.

Key Activities

• Reviews and recommends changes to the IP portfolio management framework or processes;
• Steers the development and updating of the NRC's IP strategy;
• Receives regular reports from Research Centre IP committees on management and
  performance of IP within the centre;
• Recommends changes to the NRC's approach to IP licensing or IP assignment/sale;
• Makes recommendations regarding the IP award framework and processes, as well as
  receives award recommendations from the IP Awards Adjudication Committee;
• Oversees an appeals process for IP Awards, including the final decision; and
• Oversees communications regarding the overall management of IP within the NRC.

Slide 14

International Governance Committee (IGC)

Co-Chairs: Serge Bijimine, Secretary General and David Lisk, VP of IRAP

Mandate: Supports the NRC International Innovation Office in managing and delivering the NRC's international engagement.

Key Activities

• Oversees implementation of the international strategy;
• Members serve as international ambassadors for the NRC, and internally, identify opportunities to leverage external capabilities;
• Ensures coordination across R&D units and IRAP, and resourcing of international activities;
• Provides the President and SEC with bi-annual updates on international engagement;
• Identifies opportunities and makes recommendations for effective delivery of priority economy strategies and operational plans; and
• Provides a review and challenge function for any major initiatives under the NRC international strategy.

Slide 15

Environmental Stewardship Committee (ESC)

Chair: Dale MacMillan, VP of Corporate Services and Chief Financial Officer

Mandate: Advisory to the President and SEC. Champions environmental initiatives and projects and provides oversight (monitors overall progress).

Key Activities

• Takes final decisions on any recommendations from environmental reports prepared by consultants that cannot be resolved at lower levels;
• Keeps SEC apprised of its activities and arising significant issues;
• Makes recommendations to SEC on matters such as significant resource
  commitments, variances from plans, and reputational risks;
• Establishes environmental objectives, and acts as decision maker for related routine
  matters;
• Provides guidance on risk management; and
• Promotes best practices in environmental management and operations, including
  an educational role for promoting environmental sustainability across the NRC.

Slide 16

National Committee on Occupational Safety and Health (NCOSH)

Chair: Geneviève Tanguay, VP of Emerging Technologies

Mandate: Promotes internal responsibility for occupational health and safety at the NRC. Monitors health and safety issues that have a Council-wide impact.

Key Activities

• Participates in the development of health and safety policy instruments;
• Addresses health and safety matters referred to the Committee;
• Participates in the development and monitoring of a hazard prevention program and a personal protective equipment program;
• Participates to the extent considered necessary in inquiries, investigations, studies and inspections pertaining to occupational health and safety;
• Monitors data on work place accidents, injuries and hazards; and
• Participates in the planning and implementation of changes that might affect occupational health and safety, including work processes and procedures.

Slide 17

Human Resources Promotion Committee (HRPC)

Chair: Dan Wayner, Departmental Science Advisor and Chief Science Officer

Mandate: Review Degree 3 and Degree 4 promotion cases and provide recommendations to the Chair of the HRPC and/or President concerning their approval.

Key Activities

• The HRPC meets twice a year (in June for promotions effective July 1 and in December for promotions effective January 1).
• A meeting normally takes a full day.

Note: The compensation system for the NRC's Research Officer (RO) and Research Council Officer (RCO) classification group measures and rewards employees based on their level of contribution in specific areas. It is a system where the appointment level or promotion/increment reflects the state of professional development of the individual, as evidenced by achievements, in comparison with the requirements (promotion criteria) for appointment to each of the levels in the system. Employees in these categories represent approximately 46% of the NRC workforce.

Slide 18

Committee on Equity Diversity and Inclusion (EDI)

Chair: Emily Harrison, VP of Human Resources

Mandate: Advisory to the VP Human Resources and SEC. The committee will discuss and provide input on issues related to Equity, Diversity, and Inclusion (EDI) at the NRC.

Key Activities
The Committee provides guidance on the NRC's EDI Strategy through the following:

• Provides strategic advice and recommendations to shape the NRC's EDI plan and priorities;
• Identifies barriers within the NRC's programs, policies and practices, as well as opportunities and practical solutions for fostering EDI across the organization;
• Facilitates communication and networking opportunities to build EDI awareness; and
• Identify emerging EDI issues.

Slide 19

Committee on the Recruitment and Retention of Women (CRRW)

Co-Chairs: Emily Harrison, VP of Human Resources and Geneviève Tanguay, VP of Emerging Technologies

Mandate: Advisory to the VP of Human Resources and SEC, the Committee provides leadership in the overall implementation of NRC's Recruitment and Retention of Women Strategy

Key Activities

• Advises on the communication strategy, employee engagement strategies, and pilot options;
• Actively communicates implementation of activities across the NRC;
• Advises on evaluation approaches to determine impact;
• Promotes horizontal integration and harmonization with other related initiatives and plans within and outside of the NRC; and
• Reviews progress in achieving results and identifying gaps needing increased attention and resources.

Slide 20

Learning Advisory Committee (LAC)

Chair: Emily Harrison, VP of Human Resources

Mandate: Advisory to the VP of Human Resources and SEC. LAC determines the NRC's learning and development agenda (L&D) and ensures the effective management, delivery and quality of L&D at the NRC.

Key Activities

• Provides recommendations and strategic advice to determine the NRC's annual L&D agenda;
• Reviews business cases for new L&D initiatives and offerings and provide recommendations;
• Provides advice, guidance and input on NRC frameworks for career and professional development;
• Brings forward emerging learning requirements needed to support business outcomes; and
• Provides insight into current and pressing priorities of the organization as well its ability to absorb and apply new knowledge or behaviours relevant to its current context.

Slide 21

Outstanding Achievement Awards Adjudication Committee (OAA)

Co-Chairs: Secretary General and an R&D DG

Mandate: Advisory to SEC regarding the adjudication of nominations for the annual employee Outstanding Achievement Awards categories.

Key Activities

• Receives nominations under the OAA policy and recommends to SEC the recipients for all annual employee awards (except for the NRC Research and Technology Breakthrough Award category for which the recipient is recommended by the R&D VPs).

Note: This committee meets once per year for the purpose of identifying the OAA recipients.

Slide 22

Additional Governance
(To support the NRC response to COVID-19)

Slide 23

Business Management Support Committee (BMSC)

Chair: Dale MacMillan, V P of Corporate Services and Chief Financial Officer

Mandate: Provide coordinated guidance to support the NRC workplace – both onsite and offsite.

Key Activities

• Develops and disseminates workplace guidance and direction;
• Coordinates and supports research centres and branches in the development and execution of their return to onsite work and/or new Covid-19 projects; and
• Provides strategic direction, support, guidance, and oversight to NRC support services, as they work with research centres, branches and IRAP to implement support measures to facilitate a safe and controlled return of their operations.

Note: The core responsibilities of the Incident Command Team remain in place to deal with any emergency situations that may arise.

Slide 24

Research Centre Operations Committee (RCOC)

Chair: Geneviève Tanguay, VP of Emerging Technologies

Mandate: To coordinate Research Centre issues arising from continuing operations while managing safety during the COVID-19 crisis.

Key Activities

• Addresses operational issues; sharing best practices; and
• Establishes new operational norms.

Note: As the pandemic has progressed, the RCOC has evolved to consider matters of common interest to the NRC's research community. (The membership of this committee includes all Research Centre DGs.)

Slide 25

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