CAURA West December 4, 2009

1. CAURA WestDecember 4, 2009 Writing Successful CFI Proposals: Enabling Researchers to Maximize Their Chances of Success

2. Session Overview • Background • Two Stages: Preparation and Drafting • Why a Fresh Approach is Needed • Managing Application Development and Applicants • Training, Counseling and Supporting Researchers • Characteristics of Successful Applications • CFI Myths • Building a Research Program • Iterative Writing Phases • Discussion

3. Background The Butlers & Associates is a partnership providing advice, mentoring and writing services to research intensive institutions and to individual researchers. Since 1996, The Butlers & Associates has: • Contributed to the conception, rationale and framework of several hundred research initiatives across all disciplines • Contributed to successful grant applications totaling over $1B • Aided in the re-engineering of researcher support processes at institutions across Canada • Impacted over 2,000 researchers from all 10 Canadian provinces, Europe, Asia, Africa, Australia and the United States

4. Why a CFI ApplicationRequires a Fresh Approach • Traditional researcher training does not cover how to address the issues raised by a CFI application • Researchers often find it tough to embrace CFI rules • Many myths and misinformation about what works or does not work • Researchers often distracted by external factors • Application development is onerous. Attrition is high • CFI limits the number of applications and $ requested • Emergence of national/regional platform/network applications. The need for early planning and networking • Each competition more competitive than the last

5. Why a CFI ApplicationRequires a Fresh Approach • Government context for research has changed • Government invests in research to realize social, cultural, health, environmental and economic benefits to Canada. This is the return on investment to the Canadian Taxpayer • Changing culture of funding agencies towards assessing how well research realizes this return • CFI represents this shift in culture in its review process and application format • Other agencies are reflecting this shift in new programs and making changes to review processes and application formats.

6. Managing CFI Application Development • Managing applicants. High attrition. Contingency planning. Training • Managing and tracking status of multiple applications is complex • Managing internal pressures. ‘Reverse-engineered’ applications often fail • Managing institutional risk. Successful applications need to be sustainable over the long-term. Post award finalization • Managing internal communications. Many areas of a campus impacted: President, VPR, research office, departments, faculties, campus planning, purchasing, finance • Managing external communications: CFI, other institutions, partners, provincial government, other agencies

7. Managing CFI Application Development • Analyze past support process, application successes and failures • External review process will be used to strengthen research program • Internal review process will mirror diversity of CFI review committee and is used to:- Track progress of application development- Identify strengths and weaknesses- Rank applications, if necessary • Researcher participation in review process • Use of internal early stage review panels, mentors, external resources: architects, engineers, project managers, scientific advisors, strategic advisors, business advisors, writers, budgets and finance, management, government advisors • VPR leadership and engagement

8. Managing CFI Applicants • Approach strategically • Engage researchers: act as a coach, catalyst, facilitator, mentor • Assess status of researcher or team: where they want to go, what they want to achieve, what they need to get there • Assess needs early • Assess barriers to success early • Strategize how to overcome barriers • Provide training and access to successful applications and applicants • Provide access to resources for applicants • Dates and timelines: proactive versus reactive • Communicate realistic investment of time required • Communicate external deadlines, internal deadlines

9. Training Potential CFI Applicants in:Understanding CFI Concepts • Benefits to Canada • Translational Research Models • Training Models • Partnership Models • Collaborative Team Models • Management Models • Performance (for LEF) is more than publishing • Need for Infrastructure • Determining the mechanism/pipeline/conduit through which the Benefits to Canada will be realized • The Application Form: text, budgets, attachments • Eligibility rules, Definitions

10. Counseling Potential CFI Applicants to:Embrace Culture Shift • A CFI application is a hybrid between a grant application and a business plan that communicates convincingly to both expert and non-expert reviewers • Realizing social, cultural, health, environmental and economic impacts is the goal. Research is at its core. Infrastructure acts as the catalyst. Everything else needs to be in place • Communications: multi-disciplinary reviewers • Sustainability beyond CFI • Institutions as partners with researchers • Researchers as social entrepreneurs driving positive change

11. Training Potential CFI Applicants in:Characteristics of Successful Applications • Balance ambitious vision and long-term thematic framework with substantive research • Complement existing initiatives nationally and internationally • Evolve existing networks and collaborative initiatives • Integrate researchers beyond your institution, province and Canada • Research must be multi-disciplinary • Translational versus basic research models • Integrate partner organizations where appropriate • Address CFI review criteria • Refresh the research vision if unsuccessful in past

12. Counseling Potential CFI Applicants in: Myths Concerning CFI Applications • The application is a glorified equipment grant • CFI does not fund basic/exploratory/discovery/standard research • The high level Project Summary is not important • A Performance Report (for LEF applications) that focuses solely on high quality publications will be reviewed well • A lack of institutional commitment can be glossed over • The principal investigators all have to be from one institution • The research is a series of incremental projects • The research can be a big idea devoid of project detail • Researchers need to fill the text with references • The research team is a series of loosely integrated groups • Need for the infrastructure is based on what others have that I do not

13. Counseling Potential CFI Applicants in: Myths Concerning CFI Applications • Training focuses on quantity rather than quality • Many partners and collaborators means success • Benefits to Canada means commercialization • Management plans are unimportant • Budgets are secondary • Notices of intent are unimportant • The quality of other applications from my institution are unimportant • Once I get the funding I can do what I like • I can cut and paste from other grants • I can submit letters of support and appendices

14. Training Potential CFI Applicants to:Develop a Program of Research • Separate development of long-term research vision from application development process • Outcome is a research plan that acts as the foundation for all grant applications. Plan ahead of deadlines • Applies whether it’s the next phase of established research initiative or launch of a new initiative • Researchers stay true to their vision • Develop the research blueprint and application framework early • Seeking partners and collaborators • Contingency planning • Enable The Research Initiative to have momentum beyond CFI

15. Training Potential CFI Applicants to: Develop a Program of Research • Embrace paradigm shift from the beginning • Allow yourself to think about legacies and career milestones • Think of international leadership in your field • Develop blueprint for research early • Do not cut and paste from other sources • Notice of Intent is a distillation of a mature plan • Work collaboratively with colleagues, partners and the institution • Enable research initiative to have momentum beyond CFI • Prepare for multiple iterations of application drafts • Do not underestimate the time commitment needed • Do not sacrifice research on the altar of CFI

16. Training Early Career Researchers in:How to Build a Research Program • Read the literature to determine state-of-the-art in your field • Attend the best, relevant conferences to determine current state-of-the-art and to assist in choosing a research focus • Attend any orientation workshops and program-specific workshops • Make sure you have a very clear understanding and ability to communicate the “value”/relevance of your research and how to “mobilize” the knowledge you create • Keep abreast of funding news and opportunities. Look out for conferences/calls for papers or proposals in the field • Look for opportunities to collaborate • Apply for internal research grants that will fund work establishing the results needed to apply to one of the granting councils • Federal granting councils are still the “gold standard” in Canada. Apply, but do it strategically • Ensure you always have robust internal dept./faculty/research office peer review of all of your proposals

17. Training Researchers in: Building the Research Framework • Start early. Be proactive rather than reactive • Develop a program of research as opposed to one-off research projects • Develop a plan that builds on your research track record but also identifies the pipeline by which benefits and impacts return back to the research plan • Identify gaps in partners and collaborators and start networking • Team with the institution: seek out knowledge among colleagues, administrators, facilitators. Importance of peer review • Recognize and overcome silos, barriers and vacuums • Keep CV up to date • Research is the keystone • Prepare for many hours of effort over a long period of time

18. Training Researchers in:Building the Research Framework • Start early, several months in advance • Map out the big picture: goals, objectives, contributions, world-wide growth/impacts • Stay true to what is important to you and your research vision • Planning: long-term versus short-term • Phasing: identifying potential problems • Research program: how it fits with other research • Evaluate your plan: basic research versus translational, incremental versus quantum leap, partnerships and collaborations, outcomes • Identify what you need: funding, time, partnerships, collaborations, recruitment, etc. • Figuring out the research focus in advance versus determining it during the grant writing process • Iterative writing process • Don’t write in a vacuum: using colleagues and university administrators as reviewers

19. Training Potential CFI Applicants in: Early Stage Networking • Be enterprising • Network with the internal research catalysts: research facilitators, associate deans of research, deans of research, department heads, chairs • Network with scholars you aspire to emulate, locally, nationally and internationally • Network with relevant institute directors, research centre leaders, network leaders, MCRI leaders • If you are in a technologically rich area of research, network with potential industry partners and local technology transfer personnel • Attend conferences, join professional societies • Source mentors from the above • Be open to new collaborative opportunities: e.g., NSERC and CIHR researchers are often looking for SSHRC researchers for multi-disciplinary proposals

20. Training Researchers in:Preparing To Write • Review the application form, instructions and program guide • Assess the review criteria: does what they are looking for match what the proposal will be judged on? • Review panel composition: who is the target audience? • Review proposal structure • Review key sections • Review instructions and guidelines for key sections • Draft your own framework in advance of addressing key points • Intelligence gathering from colleagues and research administrators • Review copies of both successful and failed proposals • Internal peer review process: administrative check versus competitive process; do internal criteria mesh with external criteria?

21. Training Researchers:Creating the First Draft • Research Model • Training Model • Collaboration/Partnership Models • Management Model • Outcomes and Impacts • Intellectual Property Management • Commitment from Academic and External Partners • Executive/Lay Summary • Budget

22. Supporting Researchers in:Creating the First Draft • Focus on developing a solid foundation of clarity, direction and significance of proposal. If developing the summary first helps with this then do so, otherwise leave until the end • Work section by section. Using the instructions, create a framework structure for each section. Address each instruction • Once you have a bullet text, turn it into prose • Start with the research program • Use of references • Individual researchers versus research team • CVs • Past performance versus future plans • Uniqueness: new knowledge, product, discipline approach, system • Budgets • Budget text • Quotes and expenses

23. Supporting Researchers:Creating the Second Draft • Integrate sections • Revisit proposal Summary • Consistency • Interpreting feedback • Third drafts and final drafts • Internal review by peers • Internal review mirroring agency review process

24. Training Researchers:Writing Style • Consistency • One Voice • Third Person • Tenses • Density of text • Presentation • Acronyms • Spelling • Punctuation

25. Managing Researchers:Submission • Timing and project planning • Internal deadlines • Collating signatures, CVs • Cover letters • Project management mode versus writing mode

26. Managing CFI Applicants:After the Deadline • Continuity of application and other documents/applications • Contingency planning • Face-to-face meetings • Provincial matching forms • Results: processing feedback • Success or failure • Award finalization • Managing funds • Progress reporting • Sustainability: avoiding disaster once funded

27. CFI Application: Conceptual Overview Research and Researchers Social Environmental Economic and Health Benefits to Canada Partnerships Collaborations Training Innovative Research Researchers Infrastructure Investment from CFI Return on Investment to Canadians

28. Open Discussion Thank You