Going Global Case Study

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Going Global Case Study

Introduction

Throughout Module 2 to Module 6 you will be doing some interactive case study exercises using the
"Going Global" example.

The Department of Foreign Affairs and International Trade (DFAIT) manages the Going Global Science
and Technology Program (Going Global S&T program). The Treasury Board of Canada Secretariat
approved the updated terms and conditions for contributions to this program on June 16, 2000. The
objective of the Going Global S&T program is:

To assist Canadian researchers to identify and establish new collaborative research and
development (R&D) initiatives with foreign partners.

Going Global S&T particularly seeks to support projects that establish mechanisms for exploring
international R&D collaborative opportunities with major foreign partners or international programs.
Emphasis is given to projects that build on Canada's S&T and foreign policy priorities, facilitate access
of Canadian researchers to major international research networks, and help Canadian companies gain
access to cutting edge research and technologies not available in Canada.

In this Module you can Click on the Going Global Case Study (look on the right hand side of your page
under Tips, Links & References) to assist you in building a profile and a logic model!



Profile: Going Global Science and Technology Program

Origin of the Program

On June 16, 2000, the Treasury Board of Canada Secretariat (TBS) approved the updated terms and
conditions for contributions to the Going Global Science and Technology Program (within this
document, hereafter referred to as "Going Global S&T"). The program is managed by the Department of
Foreign Affairs and International Trade (DFAIT). The approved terms and conditions apply for a period
of almost five years, ending March 31, 2005.

Approval of the contribution is conditional on conformity to TBS policy which now includes the
required use by program managers of a Results-Based Management and Accountability Framework
(RMAF). The RMAF presented in this document responses to this request from TBS.




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Government of Canada contributions for this program were established as part of the multi-million
dollar Going Global Initiative submitted to Cabinet in fiscal 1989/90. This was a multi-pronged trade
and economic strategy consisting of a series of initiatives to generate long-term economic growth and
prosperity for Canada in face of opportunities and challenges posed by the new Free Trade Agreement
(FTA). Contributions for a Japan Science and Technology Fund (JSTF), and for the Science and
Technology with European Partners (STEP), were part of this overall initiative. As a result of program
restructuring and budget reductions, this funding was subsequently scaled back. By 2000, much smaller
programs were being funded with $300,000 annually for the JSTF and $90,000 for the STEP.

For the last eight years of the JSTF program, a significant portion of its funds was spent on the Co-op
Japan Program (CJP), supporting the placement of Canadian engineering and science university students
on co-op work assignments in Japan. The Department decided to phase out its support to CJP at the end
1999/2000 as it was no longer considered to be consistent with the Department's particular science and
technology priorities nor with the stated objectives of the JSTF.

The STEP program was managed by TBR and administered by the Association of University and
Colleges of Canada (AUCC). The purpose of STEP was to stimulate and facilitate the development of
cooperative research projects between Canada and European private sector and research communities.

These programs, JSTF and STEP, were consolidated in June 2000. When the two programs were first
established, Canada's international science and technology activities were primarily focussed on
Western Europe, the USA and Japan. Since then the interests of Canadian researchers have diversified
widely and now important potential locations include countries such as Chile, Russia, China, Korea, and
India. The consolidation of the two programs into one Going Global Science and Technology Program,
was intended to allow the department to respond to this growing diversity of Canada's international
collaborative research interests. Consolidation is also expected to help facilitate improved results-based
management of the fund and sharpen its strategic focus.

The program is administered within DFAIT's International Business Development (IBD) business line.
The mandate of this business line is to contribute to the creation of employment and prosperity in
Canada by assisting the Canadian business community in taking full advantage of international business
opportunities and facilitating investment and technology flows.

Aligned with this business line mandate, the objective of the Going Global S&T program is:

To assist Canadian researchers to identify and establish new collaborative research and
development (R&D) initiatives with foreign partners.

Going Global S&T particularly seeks to support projects that establish mechanisms for exploring
international R&D collaborative opportunities with major foreign partners or international programs.
Emphasis will be given to projects that build on Canada's S&T and foreign policy priorities, facilitate
access of Canadian researchers to major international research networks, and help Canadian companies




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gain access to cutting edge research and technologies not available in Canada.



Delivery Approach

Marketing for Going Global S&T is informal with word of mouth used to promote its objectives.
Program awareness is also facilitated through the TBR Going Global S&T website that is part of the
DFAIT Info-Export website. The site includes an application form which must be completed by the
Project Leader applying to the program. The application must be approved by the Project Leader's
Faculty head, Dean, or Employer, and must list the names and positions of the other Canadian
participants and their proposed foreign counterparts. The standard application form helps to clarify
program requirements, ensures consistency in the types of information collected, and facilitates the
project assessment process. Informal dialogue between TBR, the applicants, and external experts
enables TBR Officers to assess the eligibility and merit of each proposal against project selection
criteria.

The merit of each proposal will be assessed against the following criteria:

      proposal is supported by his/her institution;
      potential effectiveness of the proposal based on the credibility of the methodology used, the
      people involved, and the detailed work plan proposed;
      potential for establishing new and significant collaborative R&D projects with foreign
      counterparts;
      potential to facilitate access of Canadian researchers to major international research networks;
      demonstrate that the 50% of eligible expenses not covered by Going Global S&T will come from
      other sources (institutions involved in the project, funding organizations, partners, etc.)
      demonstrate that sources of funding for subsequent stages of the project are being investigated
      (e.g., to cover the actual research costs);
      potential to engage other Canadian participants in the project;
      coherence with Canada's bilateral S&T agreements (France, Germany, Japan, Israel, and the
      European Union), or with Canadian research and development policies and priorities;
      potential to help Canadian companies gain access to cutting edge research and technologies not
      available in Canada;
      potential commercial benefits to Canada.

Approval of a project application follows discussions and a consensus between the two Deputy
Directors and the Director of TBR. A detailed Application, Review, and Approval Process Flowchart is
used to assure that each application is treated in a fair and consistent manner. Approval The assessment




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process specifically addresses project risk by completing background checks on foreign counterparts and
analysing the situation of the country relevant to the application. Documentation of the assessment of a
project and justification for approval decisions is kept on file. A Going Global S&T Records
Management Guide is used to ensure that a complete file is kept by TBR for each application. The file
includes: initial inquiries from potential applicants, initial recommendations, consultations, project
evaluations and risk assessment, TBR memoranda providing justification and approving support, the
final project report, and accounting records.

Approval for projects is documented with the signing of an internal Project Authorization Form by
either the Director or one of the Deputy Directors. This is followed by the signing of a Contribution
Agreement with the applicant. These legally binding agreements detail the role of DFAIT, the amount of
the contribution, project requirements, recipient obligations including reporting, payment schedules, an
audit clause, and the signature of the Director or one of the Deputy Directors.

At the conclusion of each funded project, and a condition of payment is a report from the Project Leader.
This report must itemize the expenditures covered by Going Global S&T and by other sources, the
international collaborative R&D projects resulting from the initiative supported, the foreign counterparts
identified, and the next steps anticipated to flow from the start-up collaborative initiative supported by
Going Global S&T.3.



Resources

The annual budget available to Going Global S&T is $390,000 or $1,170,000 for the three remaining
fiscal years April 2002 to March 2005. Actual disbursements during the year will depend on the
individual contributions approved and then the further approval of the specific expenditures submitted
by the recipients. Any annual budget that is not used is returned to general revenue and cannot be carried
forward to the following year. Presently, TBR allocates the entire Going Global S&T budget to
successful project applicants. No budget is reserved for operations or management costs. This may
change in the future. To take one example, a portion of the budget may be used to support monitoring
and evaluation work.

Although not presently tracked, the entire program is estimated to require one TBR full-time equivalent
annually to manage and administer. The levels of effort required by TAM and SMFH are additional to
this. The single full-time equivalent required by TBR is spread out between the division's Director,
Deputy Directors, Officers and the Administrative Coordinator, who all have many other responsibilities
beyond Going Global S&T.

The program operates on a cost-shared basis with approved contributions expected to help defray costs
associated with international activity by Canadian researchers. The relevant TBS policy for financial
management of this class of contributions has been effective since August 22, 2000. The following
funding conditions apply for recipients:




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      Contributions are expected to serve as seed money for new collaborative R&D initiatives and are
      limited to 50 percent of total eligible costs with a maximum contribution of $50,000 per
      application. The size of an approved contribution depends on the nature of the event being
      supported, for example, the number of individuals involved, the duration and distance of travel,
      and the other eligible expenses involved.
      Eligible expenses include all non-research costs in Canada and abroad related to the establishment
      of collaborative R&D, for example, workshop or seminar costs, displays, translation, hospitality,
      travel, living expenses, accommodation etc.
      Costs that are not eligible include actual research costs (stipends to students for R&D, technicians,
      samples, equipment acquisition, etc.), costs of transportation and warehousing of samples and
      equipment, technology or equipment development costs, and salaries and honoraria of
      participating applicants.

Program Officers compare the approved budget for each contribution, detailed by the recipient as part of
the application process, with actual itemized expenses as submitted to TBR after the event. Itemized
expenditures are scrutinized, actual expenditures covered by other sources are also examined, and then
payment is authorized. Payments are approved in accordance with departmental delegated financial
authorities and Treasury Board Policy. Any overpayment, disallowed disbursement, or unexpended
balances from an advance payment at the end of a contribution agreement, requires repayment, via
DFAIT, to the Receiver General.



Primary Intended Clients

Recipients eligible for funding are non-Federal Government researchers who require support to explore
opportunities for collaborative R&D projects through visits abroad or other non-research activities.
Recipients of contributions must be groups of two or more applicants representing various research
organizations. Such organizations include universities, colleges with research capabilities, provincial
organizations, not-for-profit S&T organizations, and for-profit R&D entities with preference given to
small and medium-size companies.

Indirect beneficiaries include, to some extent, the foreign partners that the Canadian researchers are
collaborating with. Stakeholders include federal government research institutions and granting councils.
The National Research Council (NRC) is a stakeholder since it too is interested in Canadian government
support to collaborative international research. The NRC is often directly involved in assessing the
suitability of applications to Going Global S&T. The Trade Commissioner Service and S&T
Counsellors are also often directly involved in assessing and even monitoring projects.

No public office holder who is not in compliance with the post-employment provisions of the conflict of
interest and Post-Employment Code for Public Office Holders can benefit from an Going Global S&T
contribution. Additionally, Federal Government employees will not be eligible to receive contribution




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funds.



Planned Results/Final Outcomes

The key results expected for Going global S&T are:

         Raised applicant awareness of S&T services provided by the Canadian Government;
         Enhanced networking related to internal R&D business opportunities;
         New collaborative internal R&D projects launched that have a potential economic benefit; and
         Clients are provided with incremental and shared risk support to explore international business
         opportunities.

In line with the strategic objectives, Going Global S&T should open significant markets for Canadian
products and services and increase visibility of Canadian products and services abroad.



Governance Structure

One Director and two Deputy Directors of TBR are responsible for overall management of the program
and have authority to approve all contributions made under the program. They are involved to some
degree in identifying and assessing applications. The Deputy Directors oversee the production of an
annual results-based performance report for the program. This report is received by the Director who
then monitors the implementation of any significant adjustments recommended by the report.

Seven Officers in the Division (the exact number can vary) and an Administrative Coordinator report to
the two Deputy Directors. These TBR Officers do the bulk of the work in marketing the program,
identifying potentially successful applicants, verifying information provided in applications, assessing
eligibility, evaluating the strength of an application against assessment criteria, and monitoring approved
projects until they are completed. These Officers seek the views of other

Experts when appropriate. They also receive and scrutinize requests for payment from the recipients,
and collect a final report for each project that has been completed. Experts outside the Division are
consulted by TBR officers on an as-needed basis for their specific scientific and technical expertise.
NSERC or National Research Council experts, especially those within the International Research
Assistance Program (IRAP), are frequently consulted, as are Science and Technology Counsellors and
other professionals within the Trade Commissioner Service (TCS). External experts can be used to help
vet an application and assess its merit. The TCS is sometimes involved during the actual implementation
of a project, for example attending an activity that is supported by the Going Global S&T program.

Applicants to the program, Canadian researchers, non-Federal Government research institutions, and



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companies, must use a standard application form. Applicants that are approved by the program, are
asked to sign a Contribution Agreement with DFAIT. A designated Project Leader representing the
recipient is required to produce a Project Report that must document expenditures, activities, outputs,
and short-term outcomes from the initiative supported.

Contracting specialists from the Financial, Compensation and Contracting Services Division (SMFH)
review each Contribution Agreement prepared by one of the TBR Officers before it is signed by a TBR
Director or Deputy Director.

Financial specialists in the Area Management Office - International Business (TAM) issue cheques to
the contribution recipient. Recipients send their requests for payment to TBR with supporting
documentation. Once reviewed by TBR Officers and approved by the responsible Deputy Director, this
documentation is sent to (TAM) for processing and payment. TBR relies on TAM to retain invoice and
payment documentation. TAM has delegated authority for financial payment of these contributions.




Going Global Logic Model




Narrative Text Accompanying Logic Model




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The logic model presented below graphically illustrates the internal logic of Going Global S&T. This
internal logic is based on a sequence of cause and effect relationships perceived to exist between the
investment of resources in program activities, the subsequent production of outputs, and the
achievement of short-term outcomes that are a logical consequence of output use by implementation
partners and beneficiaries. This chain of causality, from resources and activities, to program outputs, to
the key commitments of two short-term outcomes and one medium-term outcome serves as the
program's delivery model. The expected results presented in this logic model should be viewed from the
perspective of a program with a limited scope of intervention and a planned duration of at least three
more years (April 2002 to March 2005).

The logic model shows three immediate outcomes, and one intermediate outcome as the key results
expected for Going Global S&T. Because management of the program will focus on the achievement of
these key results commitments, each one is further explained below.

Intermediate Outcome
This outcome represents the highest level of result commitment made by Going Global S&T. This result
could reasonably be attributed to the program within its 4-year plus time frame. It is expected to be
achieved as a logical consequence of the immediate outcome achievements by the program. Going
Global S&T is managed within the IBD and is being re-focussed to align more closely with the strategic
priorities of the IBD business line. For this reason, the expected medium-term outcome expected from
Going Global S&T is almost identical to one of the four medium-term outcomes expected from the IBD
Business line. The only change is that "exporters," as the indirect beneficiary, has been replaced with the
broader term "clients". This reflects the reality that collaborative R&D initiatives encouraged by Going
Global S&T do not always have future exports as an objective. In fact, often the long term objective is to
import knowledge not presently available in Canada.

The intermediate outcome reflects the program's attempt to ensure that projects supported do have
international business opportunities in mind. In other words, the program will prioritize projects that
seek to explore R&D projects with clear commercial application and market access so that economic
benefit to Canada will occur in at least some cases.

Immediate Outcomes
Going Global S&T has at least three expected immediate outcomes that represent the program's second
level of key result commitments. These outcomes are expected to be directly attributable to program
resources invested in activities and subsequent output production, and reflect the expected benefits
accrued to intended beneficiaries from output use.

The first immediate outcome is raised applicant awareness of S&T services provided by the Canadian
government and especially by DFAIT and the TCS. This reflects the new information, intelligence,
contacts, and advice that applicants to the program can receive during the application and project
implementation process. It is expected that most applicants will gain this new awareness based on
visiting the website (and related DFAIT links), and talking to TBR and other Going Global S&T
stakeholders. By vetting their ideas with TBR, preparing a proposal that meets the Going Global S&T




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eligibility criteria, getting feedback on their proposal, and preparing the project completion report,
applicants awareness of government S&T services is expected to increase.

The second immediate outcome is enhanced networking related to international R&D business
opportunities. This reflects the opportunities presented to the Canadians who participate in events
supported by Going Global S&T. While participating in workshops and missions, direct beneficiaries of
the program are expected to network with foreign counterparts (e.g. researchers, designers, regulators,
investors, etc.) who may immediately or eventually become essential contacts and partners.

The third immediate outcome is new collaborative international R&D projects launched that have
potential commercial application. This reflects the objective of Going Global S&T to bring people
together and catalyse this type of collaboration. The program will especially be interested in supporting
collaboration that has potential business application with real foreseeable economic benefits to Canada.



  Date Modified: 1993-10-15




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