Peer Review Manual 2009-10

• Complete 2009-10 Peer Review Manual

This manual is designed as a guide for Evaluation Group (EG) members for Research Grants Programs. It outlines activities to be undertaken by members and section chairs for each period of the year, and also describes the policies, guidelines and deliverables relevant to these activities. The manual is updated every year. A paper version is distributed to new members only, and an electronic version is posted on the EG Extranet for continuing members. To make it easier for continuing members to identify this year’s revisions, all changes of importance are indicated in italics.

Most EG members are appointed from the Canadian academic community and are familiar with the Natural Sciences and Engineering Research Council's (NSERC) mandate, structure and programs. For new members appointed from other sectors, you may access an overview of these topics on our Web site. More detailed information can be found in the Program Guide for Professors.

Although we have tried to cover most topics, questions will certainly arise. These should be directed to your NSERC Program Officer or your section chair, who will be glad to help.

Special thanks to Dr. Jon Muzio of the University of Victoria for his contribution to editing this document.

Contents

1. Activities for June
   1. Nomination of New Members to the Evaluation Groups
   2. Roles, Responsibilities and Important Dates for EG Members
   3. Extension of Your Discovery Grant
   4. Evaluation Group Extranet
2. Activities for July and August
   1. University Information Sessions
   2. Preparations for Competition
   3. List of Contacts
3. Activities for September
   1. Posting of Information to the Extranet
   2. Assignment of Reviewers
   3. Referees
   4. Instructions on How to Complete and Submit Your Referee Suggestions
   5. Form 180 – Notification of Intent to Apply for a Discovery Grant
   6. Information Sessions at Universities
   7. EG Membership
      1. EG Chairs
4. Activities for November
   1. Policy Meetings/Discussions for Evaluation Group Members
      1. Policy Meeting
      2. Orientation Session for New Members
   2. Assignment of Applications to Evaluation Groups (EGs)
      1. General Principles
      2. Chairs’ Meeting
      3. Cross-Assignments
      4. Eligibility of the Subject Matter
      5. Late Identification of inappropriately assigned applications
      6. Incomplete Applications
   3. Assignment of Reviewers for Research Tools and Instruments (RTI)–All Categories
5. Activities for December and January
   1. Posting of Applications, Reprints and Other Documents on the Evaluation Group’s Extranet
   2. Travel Arrangements for the Competition Session
   3. How to Organize Your Review Activities
   4. Legal and Ethical Issues
      1. Canadian Environmental Assessment Act
      2. Confidentiality of Application Material
      3. Communication with Applicants
      4. Code of Ethics and Business Conduct
      5. Privacy Act
      6. Canadian Human Rights Act
      7. Official Languages Act
      8. Policy on Integrity
      9. Procedures for evaluation group/Panel Members under Investigation
      10. Ethical and Other Considerations
6. Discovery Grant Applications
   1. Contact Points
   2. Program Objectives
   3. Program Description
   4. Nature of Research Supported
   5. Eligible Expenses
   6. Eligibility of Individuals
   7. CatEgories of Researchers
   8. Evaluation of Applications
      1. Selection Criteria
         1. Scientific or Engineering Excellence of the Researcher(s)
         2. Merit of the Proposal
         3. Contribution to the Training of Highly Qualified Personnel
      2. Evaluation of Early Career Researchers
      3. Special Considerations
         1. Delays in Research and Dissemination of Research Results
         2. Uniqueness of the Research Environment
         3. Adjunct and Emeritus Professors
         4. Evaluation Group Members
      4. Relative Cost of Research
         1. Assessing the Relative Cost of Research
   9. Policies and Guidelines
      1. Conflict of Interest
      2. Framework for Funding Recommendations
      3. Duration of Grants
   10. Time Commitment
   11. Deliverables
       1. Integration of Referee Comments and Past Message to Applicant
       2. Preparing the Message to the Applicant
   12. Rating Form – Discovery Grant Applications
   13. Discovery Grant Evaluation Indicators
7. Review of Research Tools and Instruments Grant Applications
   1. Contact Points
   2. Objectives
   3. Description
   4. Conflict of Interest
   5. Criteria for Evaluation
   6. Eligible Expenses
   7. Policies and Guidelines
   8. Deliverables
   9. Review of RTI – Categories 2 and 3 Applications
   10. Use of Rating Form
   11. Rating Form – Research Tools and Instruments Grant Application
8. Review of Major Resources Support Grant Applications
   1. Contact Points
   2. Objective
   3. Description
   4. Conflict of Interest
   5. Criteria for Evaluation
   6. Eligible Expenses
   7. Ineligible Expenses
   8. Application Procedures
   9. Review Procedures
   10. Duration and Conditions
   11. Guidelines for Reduced Funding Recommendations
   12. Deliverables
   13. Use of the Rating Form
   14. Preparing Comments to Applicants
   15. Rating Form – Major Resources Support Grant
9. Activities for February
   1. Logistics for Competition Session
      1. Agenda
      2. Physical Arrangements
   2. Roles and Responsibilities for Committee Members and NSERC Staff
   3. Group Dynamics
   4. Late Transfers and Consultations
   5. Procedures for Presenting Applications
   6. Managing the Budget Envelope
   7. Policy Meeting
   8. Membership Recommendations
   9. Confidentiality of EG Funding Recommendations
10. Activities for March and April
    1. Communication with Applicants
    2. Finalization of Messages to Applicants
    3. Annual Report
    4. Membership
    5. Appeals

• Appendix 1 Guidelines Governing Membership of Selection Committees and Panels
• Appendix 2 Statement on Ethics for NSERC Selection Committees and Panels
• Appendix 3 Guidelines on Conflicts of Interest
• Appendix 4 Travelling on Behalf of NSERC
• Appendix 5 Policy and Guidelines on the Assessment of Contributions to Research and Training
• Appendix 6 Guidelines for the Preparation and Review of Applications in Engineering and the Applied Sciences
• Appendix 7 Guidelines for the Preparation and Review of Applications in Interdisciplinary Research
• Appendix 8 Research Grants Staff
• Appendix 9 List of Evaluation Groups (EG)