Writing Successful CFI Proposals: Enabling Researchers to Maximize Their Chances of Success

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CAURA WestDecember 4, 2009

• Writing Successful CFI Proposals Enabling
  Researchers to Maximize Their Chances of Success
  

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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

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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

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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

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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.

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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

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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

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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

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Training Potential CFI Applicants
inUnderstanding 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

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Counseling Potential CFI Applicants toEmbrace
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

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Training Potential CFI Applicants
inCharacteristics 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

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Counseling Potential CFI Applicants in Myths
Concerning CFI Applications

• The application is a glorified equipment grant
• CFI does not fund basic/exploratory/discovery/stan
  dard 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

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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

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Training Potential CFI Applicants toDevelop 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 its 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

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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

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Training Early Career Researchers inHow 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

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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

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Training Researchers inBuilding 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
• Dont write in a vacuum using colleagues and
  university administrators as reviewers

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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

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Training Researchers inPreparing 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?

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Training ResearchersCreating 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

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Supporting Researchers inCreating 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

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Supporting ResearchersCreating 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

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Training ResearchersWriting Style

• Consistency
• One Voice
• Third Person
• Tenses
• Density of text
• Presentation
• Acronyms
• Spelling
• Punctuation

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Managing ResearchersSubmission

• Timing and project planning
• Internal deadlines
• Collating signatures, CVs
• Cover letters
• Project management mode versus writing mode

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Managing CFI ApplicantsAfter 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

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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
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Open Discussion

• Thank You