Navigating Partnerships: CIHR’s Plan for Successful Collaborations
Table of Contents
- Part I: Introduction
- Part II: CIHR Partnership Management Strategy
- Part III: CIHR Organizational Structure
- Appendix A: Partnerships at CIHR – Context and History
Part I: Introduction
Purpose
The purpose of this document is to provide CIHR staff with a clear and shared understanding of CIHR's approach to domestic partnerships, including the operational aspects of fostering and implementing effective relationships.
Audience
The primary audience for this document is CIHR staff who interact with partners; however, it will also be useful for partners as it clarifies the roles and responsibilities of all participants throughout the lifecycle of the partnership.
Sections of this Document
This document is divided into the following sections.
- Part I - Introduction
- Part II - Partnership Management Strategy
- Part III - Operational Implications of Partnering
- Appendix A – Context and History
- Appendix B – Objectives and Actions
Background
This document was created in response to the need for improvement in the creation, management, and sustainability of CIHR's domestic partnerships. It is the product of extensive internal and external consultations, followed by careful collaborative refinement, and is intended to address the needs of both CIHR staff and external Partners. CIHR staff wish to be better informed about partnership activities across the organization, while external Partners wish to be engaged earlier in the process and to collaborate as equal members throughout the life of a partnership. This plan is designed to provide a clear statement of CIHR's approach to partnering and the benefits that all parties can gain by investing time and energy into cultivating meaningful relationships.
It is important to note that this document is not intended to provide strategic direction as to whether or not we should partner. Several funding programs, such as the Regional Partnerships Program (RPP), the Small Health Organizations Partnership Program (SHOPP) and Partnerships for Health System Improvement (PHSI), have strategic direction for partnerships embedded into their objectives. The responsibility to partner strategically and to achieve the outcomes listed in CIHR's Health Research Roadmap (CIHR's Strategic Plan for 2009-2014), lies with the individual Institutes and Branches and will be integrated into the implementation of the strategic plan.
Similarly, guidelines for engaging in International Partnerships are included in CIHR's International Framework and, as such, they are not the focus of this document. They will, however, be linked as much as possible, and some operational implications will be highlighted when relevant. Please note that CIHR's objectives in the international arena will be further articulated in a new International Strategy that will be released separately from this document.
Part II: CIHR Partnership Management Strategy
Purpose of the Strategy
This strategy is intended to guide CIHR Branches and Institutes in better managing partnerships with Canadian organizations. The bulk of partnership activity happens at the operational level, but this strategy is designed to help clarify CIHR's partnership approaches, thereby enabling the organization to be responsive to strategic opportunities that may arise. This strategy is designed to recognize the unique aspects of partnerships across CIHR and provide sufficient flexibility and discretion for those involved in managing Partner relations.
Vision
CIHR's vision for partnerships is to "engage in partnerships that maximize the collective impact of knowledge creation and its application to improve the health of Canadians and the global community."
Why does CIHR partner?
CIHR was created in 2000 with the recognition that the organization would need to form strong ties nationally and internationally in order to promote the health research enterprise in Canada.
The CIHR Act states that CIHR will achieve its mission by "fostering collaboration with the provinces and with individuals and organizations in or outside Canada that have an interest in health or health research" and by "creating health-research institutes that engage voluntary organizations, the private sector and others in or outside Canada with complementary research interests." CIHR is also committed to forging an integrated health research agenda across disciplines, sectors and regions that supports health policy decision-making and reflects the evolution of the health system and the emerging health needs of Canadians. This task cannot be accomplished without the collaboration and support of various Partners across the country working closely with CIHR and its 13 virtual institutes. Partnerships are an important mechanism for moving ahead on key initiatives of common interest and, consequently, investing time and energy in managing those relationships will help CIHR to achieve its goals.
“CIHR aims to support both federal and provincial governments in their efforts to integrate research knowledge into policies that affect health and the health system. We will continue to strengthen its relationships with government partners to support evidence-informed policy making, build linkages with researchers and promote the conduct of research needed by government partners.”
-CIHR’s Health Research Roadmap (2009-2014)
The importance of partnerships for health research is further defined in the Government of Canada's S&T Strategy, Mobilizing Science and Technology to Canada's Advantage. The strategy and its policy commitments are guided by four core principles, including one entitled "Encouraging Partnerships", which states that "partnerships are essential to lever Canadian efforts into world-class successes and to accelerate the pace of discovery and commercialization in Canada. Through partnerships, the unique capabilities, interests, and resources of various and varied stakeholders can be brought together to deliver better outcomes." To achieve this, the S & T strategy also outlines two policy commitments that address partnerships:
- Strengthening public-private research and commercialization partnerships through programs such as the Networks of Centres of Excellence (NCE) program and the Centres of Excellence in Commercialization and Research (CECRs); and
- Promoting Canada as a world leader through stronger domestic and international partnerships, a closer working relationship with provincial and territorial governments, and by strengthening ties to the global supply of ideas, talent and technology.
“CIHR is responsible for "forging an integrated health research agenda across disciplines, sectors and regions that reflects the emerging health needs of Canadians and the evolution of the health system and supports health policy decision-making" (CIHR Act). This task cannot be accomplished without the collaboration and support of various partners across the country working closely with CIHR and its 13 virtual institutes. CIHR's partnership practices will be enhanced to ensure that they support and promote health research and knowledge translation activities in this way. In particular, Governing Council emphasized the importance of partnering with the provinces in finding research-based solutions to health and health system delivery challenges.”Building on this recognition of the need for partnerships and the unique contributions that they can make to the Canadian scientific community, The State of the Nation 2008 report by the Science, Technology and Innovation Council further highlights the growing role that collaborations across universities, firms, and governments play in the innovation cycle. The document also emphasizes the challenges of evaluating the impact and success of these collaborations, and of the need for all stakeholders to continually evaluate the partnership process and their participation in it.
-CIHR’s Health Research Roadmap (2009-14)
Finally, the value of partnership is also highlighted in CIHR's Health Research Roadmap, CIHR's Strategic Plan for 2009-2014. In particular, CIHR's Governing Council has emphasized the importance of partnering with the provinces to find research-based solutions to health system and health care delivery challenges. The Strategic Plan expresses CIHR's commitment to promoting interdisciplinary and international innovation with other countries that have a reputation for scientific excellence, and outlines how those connections will help solve some of the most pressing health questions with speed and efficiency. The plan also includes a commitment to "achieve organizational excellence" in all areas of CIHR, including the management of partnerships. In fact, "Building Partnerships" is a core competency requirement in every role profile for CIHR staff.
Principles of Partnering
CIHR's Core Values guide and influence all aspects of the organization and its relationship with others, and can be found in CIHR's Health Research Roadmap document. In addition to those values, there are five elements that are central to our partnership activities, and are intended to ensure sound stewardship, accountability and governance. These include:
1. Fairness and Impartiality
Successful partnerships are just and mutually beneficial. CIHR will be unbiased in choosing to work with Partners of exemplary reputation and will be honest in its dealings with them
2. The Public Good
The public interest is of paramount importance in the creation and translation of knowledge for all types of research and related activities.
3. Communication and Dialogue
Open and two-way communication with Partners is used to achieve positive results desired by each Partner, to solve problems as early as possible, and to build trust. Information is shared in a timely fashion.
4. Accountability and Transparency
Partnership activities are open, fair, reputable and able to bear public scrutiny.
5. Prudence
CIHR and Partners will be vigilant with respect to ethical risks and conflicts of interest.
Defining Partnerships
The term "partnership" has been used in various contexts within CIHR to represent very different types of relationships. At times, this lack of specificity has created confusion among CIHR staff about what resources or processes to use for partnership management. Clarification will prove tremendously valuable in the management of existing and future partnerships.
What is a Partner?
A Partner is considered to be any organization with which CIHR has a relationship that is characterized by mutual cooperation, collaboration and a shared responsibility to achieve a specific health research goal. In this relationship, each organization has a separate identity and independent accountabilities, and all parties share a clear understanding or agreement of the goal, objectives, and terms of the arrangement.
The formality of these relationships may vary, but they all must be grounded in trust, mutual respect, and effective communication. CIHR's inclusive approach to the term "Partner" welcomes other organizations that share CIHR's commitment to the creation of new knowledge and its translation into improved health for Canadians and the global community. These collaborations may range from open, working relationships through committee work or meetings (for example, with the Health Charities Coalition of Canada), to the more formal, documented collaborations for funding opportunities, as noted below. Here are two definitions to better explain these partnerships:
1. Congruent Partners
Congruent Partners are organizations that work closely with CIHR on projects that involve sharing best practices and lessons learned. These partnerships do not necessarily involve funding programs. They include initiatives such as CIHR's work with the provincial funding agencies to obtain bibliometric data, or the collaboration between CIHR, the Health Charities Coalition of Canada and others to share best practices for communicating the impact of health research. It should be noted that this knowledge exchange and overarching support of health research flows both ways: CIHR values the input and support of its Partners, but is also available to share expertise and lessons learned.
Congruent Partners can become Competition Partners (see below) if a funding opportunity is developed.
2. Competition Partner
Competition Partners collaborate with CIHR on specific health research funding opportunities, contributing financially or in-kind to the cause. While the principles of trust, respect, and communication also apply to this category of Partner, the relationship goes a formal step further by documenting roles, responsibilities, contributions, and competition dates in signed Agreements1. All Partners in a funding initiative share the benefits, outcomes, and risks associated with the initiative; all those engaged in the partnership also provide and gain additional value from the relationship that might not have been achieved separately.
It is hoped that, after the conclusion of the funding initiative, a Competition Partner will become a Congruent Partner (see above).
CIHR in Partner-led Initiatives
Although CIHR plays a prominent role in funding health research and in the creation of knowledge translation activities, it also recognizes that it is but one of many interested organizations in this area. Consequently, occasions arise when CIHR does not lead an initiative and is, instead, invited to participate as a contributor to another organization's funding opportunity. While CIHR recognizes the expertise and experience of all our Partners, it is still important to ensure that the initiative in question is in keeping with CIHR's values, commitment to excellence and its partnership vision (see above). In order to ensure CIHR's commitment to excellence, some points to consider under such situations include checking that the Partner respects the spirit of the CIHR principles of peer review, and that the Partner's peer review guidelines are CCIP-compliant.Beyond the scope of funding grants and awards, CIHR welcomes opportunities to participate in Partner-led conferences, workshops, and knowledge translation activities.
What is not a CIHR partnership?
While the definitions of Partners that are provided above are quite inclusive, there are specific scenarios in which CIHR does not consider its relationship with specific groups to be a partnership for reporting and management purposes. These include:
1. Applicant Partners
Applicant Partners are organizations identified by the applicants themselves that contribute cash and/or in-kind resources to specific projects of research, according to terms negotiated by the applicants. There is no formal relationship between CIHR and Applicant Partners.
Applicant Partners are permitted in most CIHR research proposals and there are some CIHR programs for which this is a specific eligibility requirement (e.g. Partnerships for Health System Improvement, Rx&D Collaborative Research Program, and Proof of Principle II Program). Possible outcomes of allowing Applicant Partners include obtaining additional funding and/or in-kind support and expanding the reach of research outcomes, all of which ultimately help strengthen the research proposal.
CIHR's role is limited at this time to reporting on these relationships (if the information is included in the database), and only if it is a program requirement.
2. Auxiliary Partners
Auxiliary Partners are organizations that have a financial relationship with a CIHR competition Partner. The CIHR Partner is dependent on that relationship in order to meet its financial commitments to a CIHR funding opportunity (e.g. the Canadian Institute for the Relief of Pain and Disability receives funding from AUTO 21 for certain research programs). There is no formal relationship between CIHR and Auxiliary Partners.
Once again, CIHR's role is limited to reporting on these relationships and only if the information is included in the database.
3. CIHR Institute/Institute, Institute/Branch or Branch/Branch relationship
CIHR's Institutes and Branches will frequently work collaboratively with other parts of CIHR in order to achieve a specific common goal. CIHR does not consider these relationships to be a "partnership" in the formal sense. Although these working relationships are vital mechanisms for breaking down internal "silos", these internal relationships (that do not involve an external Partner) are not documented in CIHR's Electronic Information System (EIS) and, essentially, involve moving funds within the structure of CIHR. Whenever these do occasions arise, they do not use a collaborative agreement or support from the PCE Branch; they are instead directed to Institute Affairs.2
4. Scenarios involving "Flow Through" $$
The Natural Sciences and Engineering Research Council of Canada (NSERC), the Social Sciences and Humanities Research Council of Canada (SSHRC), and the CIHR work together on a variety of initiatives; however, they also work together on more narrowly defined joint funding programs that are directed by the Federal Government, such as the Canada Research Chairs (CRCs) and the Networks of Centres of Excellence (NCEs). Parliament provides funding to each agency for its respective share of these programs, but the three agencies deliver and administer them jointly through the NCE Secretariat. Due to the specific circumstances of these initiatives, they are not considered to be true "partnerships" because no financial or in-kind contributions are leveraged (i.e., the money is just "flowing" from Parliament to be administered for the specific initiative), and the councils are not in positions to negotiate the amounts allocated.
5. Scenarios involving Directed Grants
In certain situations, funds are used to support the activities of a pre-identified candidate (or group of candidates) for highly specialized research and knowledge translation activities. The support of these activities does not fit well with CIHR's existing peer review-based competition processes and program models, but uses Grants and Awards money.
In the past, CIHR often used a collaborative agreement to transfer the funds to the pre-identified candidate(s), but these candidates are now considered to be "grantees" and not Partners. For example, CIHR's Ethics Office may support operational activities of the National Council on Ethics in Human Research (NCEHR) with grant funds; this situation would not use a collaborative agreement or support from the PCE Branch, but would instead be directed to Finance for approval and administration.
Types of Partner Organizations
Sectors
CIHR initiates partnerships with (and is also approached by) a number of domestic and international organizations that have complementary interests in health research. These organizations can help CIHR's Branches and Institutes meet their strategic objectives, and CIHR can also help its Partners meet their own health research goals.
These organizations come from four different sectors:
1. The Private Sector
Private sector Partners (e.g. pharmaceutical or medical device companies and industry associations) allow CIHR to support enhanced research activities, predominantly in biomedical research. CIHR envisions expanding its private sector Partner base in order to support CIHR's growing knowledge translation efforts, commercialization endeavours, and research priorities beyond the biomedical theme.
2. The Public Sector
Engaging with public sector Partners (e.g., provincial health research funding bodies, provincial/territorial governments, federal departments and agencies) allows CIHR to stay connected to federal, provincial and territorial strategies in health research, and to influence them when these strategies may affect the delivery of health services. CIHR envisions strengthening relationships within this sector, particularly with the provinces.
CIHR works closely with its colleagues in the Health Portfolio (including a number of Branches in Health Canada and the Public Health Agency of Canada), and with its sister Tri-Council agencies, the Natural Sciences and Engineering Research Council (NSERC), and the Social Sciences and Humanities Research Council (SSHRC).
3. The Voluntary Sector
Connections with voluntary sector Partners (e.g., foundations, health charities and other non-governmental organizations) with complementary research interests allow CIHR to build support for health research in Canada by broadening its scope and reach. This sector was instrumental in the establishment of CIHR in 2000 and continues to support its mandate and advocate on its behalf.
The voluntary health sector organizations typically have grassroots connections to the public and play a key role in the knowledge translation cycle. CIHR envisions continued engagement and strengthened knowledge translation activities with this sector as well as an increased link to the Citizen Engagement Framework.
4. Academia
Research institutes, teaching hospitals, and even several individual Networks of Centres of Excellence (NCEs) have provided their expertise and in-kind or financial contributions to a wide variety of CIHR's strategic initiatives. As host institutions, Canadian universities further support the research enterprise by supporting NCEs and by contributing resources to health research events (including conferences, workshops, and symposia) and other knowledge translation activities. Moving forward, CIHR envisions continued engagement and strengthened communication with this sector.
Each of these sectors has its own culture and characteristics. As the strategic approach to working with these sectors may vary, the PCE Branch has "sector experts" among its Senior Advisors. Currently, the Branch has three Senior Advisors dedicated to the Public, Private, and Voluntary sectors; they are responsible for facilitating sector-specific partnerships and for keeping up-to-date on relevant issues.
Note: For International Partners please contact the Policy and International Relations (PIR) Branch for support. The PIR Branch is responsible for co-ordinating and monitoring the implementation of the International Framework.
Contribution
CIHR leverages its available funding for specific health research initiatives by establishing relationships with external organizations that may be able to provide:
- in-kind support that may include
- access to specialized research equipment and expertise;
- peer review;
- access to a specific community of interest or a network of specialized researchers;
- opportunities to leverage knowledge translation and accelerate the benefits of health research;
- research funding; and/or
- knowledge translation funding.
What is the value of partnerships?
The value of partnerships cannot be denied. By investing in partnerships and developing healthy relationships with external organizations, CIHR and its Partners reap the direct benefits noted above, but may also gain:
- greater synergy with the health research community, thus reducing duplication of research activities in specialized areas and achieving greater economy of effort;
- increased capacity and knowledge-sharing;
- more effective dissemination of research results to the appropriate organizations and individuals;
- access to knowledge about the needs and priorities of consumers, patients and health system users, or to specialized networks that allow for an enhancement of uptake of knowledge;
- better training for the next generation of researchers;
- improved assistance for Canadian researchers seeking to establish their reputation through participation in highly credible initiatives, thereby achieving domestic and international recognition for their work;
- participation in research (i.e. clinical trials);
- superior attraction and retention of health researchers in Canada;
- the ability to address health issues that are not easily resolved independently; and/or
- opportunities to set the Canadian health-research agenda.
Notwithstanding the significant resources and effort that may be required, the benefits of Partner relations greatly exceed the challenges involved in their establishment and support. Partnerships are sustained by nurturing a relationship wherein the tangible value (identified above) is continuously exchanged between the Partners. The examples listed above are not meant to represent the specific measures by which partnerships will be evaluated, but serve as some examples of non-financial benefits.
What do we aim to achieve?
The purpose of the Partnership Management Strategy is to:
- clarify why CIHR engages in partnerships and what we want to achieve through them;
- who our Partners are, and
- what the benefits of partnering will be.
This clarity will ensure that all CIHR staff members share an understanding of the environment of partnerships in health research and use a shared vocabulary for developing and supporting them. Measurable objectives and actions for each goal have been identified and are listed in Appendix B.
This strategy also underscores the need for clear and consistent internal and external communication, which is a key component of the operational best practices (outlined in Part III) and the CIHR Partnership Handbook (to be developed as a separate, accompanying document).
Part III: CIHR Organizational Structure: Operational Implications of Partnering
Operational Implications of Partnering
Partnerships involve building relationships, an activity that requires significant time and energy. Challenges will arise during any type of partnership, and every relationship must establish effective communication and respect from the beginning.
It is tremendously valuable to designate specific points of contact within each organization to facilitate the development of any relationship between CIHR and its Partners. With clearly defined roles and responsibilities, CIHR staff will be able to manage Partner relations more consistently, and CIHR's Partners will know where to turn throughout the lifecycle of the partnership.
It is important to recognize that the overall direction for partnerships flows from Governing Council. This document is a direct result of a directive given from GC that CIHR needed to "partner better."
Partnership Initiation and Support
Fig. 3.1: Partnership Initiation and Support
This diagram (above) is a visual representation of the overall domestic partnership roles and responsibilities at CIHR (described in greater detail below). As shown in the diagram, partnerships may be initiated in a number of ways, ranging from contact between CIHR's President and an external organization to discussions between CIHR's Institutes/Branches and potential Partners. Note that communication, both internal and external, is specifically depicted to underscore the importance of sharing information.
Roles and Responsibilities
Each stakeholder in the partnering process has a number of roles and responsibilities that they must perform throughout the partnership lifecycle (see Fig. 3.1 above). Below is a matrix model of high level responsibility areas. This is followed by a detailed list of partnership stakeholders and their respective roles and responsibilities. Note that the colour of each heading corresponds to a group in Fig. 3.1.
x = primary responsibility for the action
| Setting Strategic Direction including direction for Partnerships | Initiating Discussions with Partners | Negotiating Details with Partners | Maintaining the relationship with Partners | Managing the Partnership (including ongoing communications, follow-up, writing agreements, developing tools and resources etc.) | Evaluating the Partnership | |
| Governing Council | x | |||||
| President | x | x | ||||
| Scientific Directors /Scientific Council | x | x | x | |||
| Strategic Leads | x | x | x |
x (with Evaluation Branch who have a 5 year evaluation plan) | ||
| Partnerships & Citizen Engagement Branch | x | x | x | |||
| Program Delivery & Finance |
x (for specific information as needed and/or delegated) |
|||||
| Partnerships & Citizen Engagement Branch facilitates all stages of the Partnership Lifecycle | ||||||
Partner Organizations
Throughout the partnership lifecycle, Partner organizations are responsible for maintaining clear and frequent communication with CIHR Institutes or Branches and their staff. This means that Partner organizations are encouraged to:
- Share ideas, best practices, and partnership opportunities with specific CIHR Institutes or Branches;
- Provide necessary information and documentation in a timely manner to CIHR contacts; and
- Keep CIHR staff informed about their strategic priority areas.
Furthermore, Partner Organizations are also encouraged to be active in all aspects of the Partnership Lifecycle by:
- Contributing to the development of funding opportunities from the outset, and helping to define areas of research priority and focus;
- Negotiating, if applicable, all aspects of the collaborative agreement with the CIHR lead;
- Working with CIHR Institute/Branch staff, or with the appropriate Portfolio staff, in order to manage research activities (e.g. conduct relevance reviews, conduct peer reviews, follow-up with researchers, etc.); and
- Leveraging resources, expertise and/or access to networks whenever possible to enhance knowledge translation opportunities.
CIHR President
The Office of the CIHR President will communicate regularly with the Director, Partnerships and Citizen Engagement (PCE), to provide PCE Branch staff with feedback from Partners and news about partnership opportunities.
The President will:
- Listen to issues raised by external Partners and engage the PCE Branch, or the Policy and International Relations (PIR) Branch, as well as the respective Institute or Branch to ensure that issues are being addressed;
- Network with external organizations to identify partnership opportunities, share best practices, and develop or maintain ongoing partnerships; and
- Relate information on potential domestic partnership opportunities to the CIHR Partnerships and Citizen Engagement Branch (PCE).
CIHR Staff Engaged in Partnerships (including Institute Scientific Directors & Scientific Council)
All CIHR staff who are engaged in partnerships, including Institute Scientific Directors, will ensure that they:
- Reach out to external organizations to develop partnership opportunities and keep them informed of areas of strategic importance;
- Establish relationships with external organizations (e.g. participate if possible in their strategic planning process and invite them to participate in ours) and continue building and nurturing the relationship beyond the lifecycle of any particular project;
- Negotiate, if applicable, all aspects of the collaborative agreement with the CIHR lead, and coordinate sign-off with all relevant Parties;
- Ensure that all information has been approved, that the pertinent information has been entered in CIHR's database, and that it has been shared with relevant CIHR colleagues (e.g. PCE, Records, Finance, etc.);
- Work collaboratively with the Research Portfolio in order to manage the competition (e.g., peer review, follow-up with researchers, engage Partners, evaluate program). Typically, the Institute/Branch lead acts as the point of contact with Partners, but this responsibility can be delegated to the Program designate for issues related to the competition process; and
- Collaborate with the PCE team throughout the lifecycle of a given partnership and ultimately share lessons learned and best practices.
“In terms of developing partnership agreements, we would like to see these done in a timely way and not rushed or done at the very last minute…We need to start working on the agreement as soon as the partnership is established. The agreement needs to be nailed down before the RFA goes up, so that we know exactly what is happening.”
Comment from a partner organization (during consultation for this document)
Research Portfolio
Throughout the partnership lifecycle, the Research Portfolio will:
- Manage the competition(s) and the associated administration;
- Work with Partners through the peer review and (if applicable) relevance review processes;
- Potentially contact Partners directly regarding competition management (if this responsibility has been delegated by the Institute/Branch strategic lead); and
- Provide necessary information and documentation in a timely manner to Institutes/Branches and Partners, as applicable.
Resource Planning and Management Portfolio
The Research Planning and Management Portfolio will:
- Provide necessary information and documentation in a timely manner (eg. issuing invoices, preparing financial payments); and
- Contact Partners directly regarding financial issues (if this responsibility has been delegated by the Institute/Branch strategic lead).
CIHR Partnerships and Citizen Engagement Branch
The CIHR Partnerships and Citizen Engagement Branch has many roles and responsibilities in providing the foundation for partnership management across CIHR.
Firstly, it will provide central coordination and support for external Partners in liaison with the appropriate CIHR Institute(s) or Branch(es). This support and coordination role will include:
- Building and nurturing existing relationships with Partners;
- Acting in an advisory or problem-solving role in situations that are less straightforward, or as a convenor to provide opportunities for CIHR and Partners to meet in order to discuss issues and opportunities of common interest;
- Providing central coordination and support to Institutes and other CIHR Branches, especially for pan-institute initiatives involving more than one unit of CIHR, where the partnership opportunity has been initiated through the PCE Branch, or by the President;
- Linking Partners to specific research to encourage knowledge translation; and
- Maintaining effective communication with Partners in order to inform them of relevant activities and upcoming deadlines.
[It is] difficult to establish the trust needed to sustain a partnership when having to deal with so many people at CIHR.”
Comment from a partner organization (during consultation)
Secondly, the CIHR Partnerships and Citizen Engagement Branch will ensure that Partner-related policies and practices are current and effective. They will:
- Lead in the development of new Partner-related policies and practices , such as the collaborative agreements, or sign-off procedures for internal accountability;
- Work closely with the CIHR Evaluation Branch in order to develop measurable partnership indicators;
- Improve existing tools and mechanisms designed to support partnerships based feedback from external organizations and from CIHR staff (e.g., develop umbrella agreement with Partners that regularly work with CIHR, organize a Partnership Forum every two years, etc.);
- Capture information from across CIHR Institutes and Branches regularly and report on overall CIHR partnership activities;
- Provide training or learning sessions for internal staff and external organizations that are interested in partnering with CIHR; and
- Conduct periodic reviews of partnering tools and guidelines.
Finally, the CIHR Partnerships and Citizen Engagement Branch will also:
- Engage with Provincial Health Research Organizations to help with the coordination of regional activities and increase communication with the various Institutes and Branches;
- Collect and disseminate information on best practices and guidelines to effectively manage partnerships;
- Supply supporting information on benefits of health research to help provincial research associations and voluntary sector organizations with substantial funding requests to provincial authorities or donors; and
"Partnerships are not coordinated. Although we are tapped out financially, we still get approached by six institutes to participate in other partnerships.”
Comment from partner organization (during consultation)
Operate in a timely fashion, providing necessary information and documentation to CIHR colleagues and Partners so that they can prepare and respond to information and requests in a meaningful way.
Conclusion
All parties are strongly encouraged to invest time and effort in cultivating a respectful and productive relationship throughout the lifecycle of the partnership (from initial contact through to the completion of the common goal), in order to pave the way for future collaboration. The bulk of this effort will rest with the partnership leads (from both CIHR and the external partner), but the benefit of the additional ideas, expertise, contacts, and enthusiasm that arise out of collaboration can lead to a greater overall impact in both the Canadian health research and global communities.
“I would like to see more engagement at the conceptual level. It is just not happening as much as it could. A central approach and a consistent philosophy are required to achieve this.”
Comment from partner organization (during consultation)
Appendix A: Partnerships at CIHR - Context and History
An Overview
Partnerships are central to CIHR's goals and operating philosophy, but they require significant time and energy to manage. While only a portion of research activities funded by CIHR in general are done through partnerships, this portion becomes more significant when one looks at Institute-led targeted initiatives or specific partnership programs which require a funding ratio. Working with external organizations to move forward on strategic research activities reinforces CIHR's ability to deliver on its mission of "fostering collaboration with the provinces and with individuals and organizations in or outside Canada that have an interest in health or health research".
This is accomplished by:
- identifying new high value research projects;
- reaching out to broader communities of researchers;
- attracting more resources for knowledge translation; and
- obtaining additional funding and in-kind support from external Partners to support research projects.
The Issue
In the past, the Institutes and Branches typically initiated partnerships based on a process rather than a relationship. The tendency was to define research issues needing to be addressed, contact potential Partners to obtain funding support, and then provide funding to the researchers who had submitted successful proposals. With this approach, and the diversity of interests involved, many partnership issues have emerged since CIHR's inception. Fortunately, the natural evolution of the relationships between CIHR and its Partners has solved some of these issues; others, however, remain to be addressed.
Partners across all sectors agree that CIHR partnerships are beneficial to the health research community and the health sector in general, and they remain eager to engage with CIHR to advance their mandate and research needs. Partners often find, however, that partnership activities consume precious time and limited resources and that the quality of the relationship with CIHR could be improved.
Similarly, there have been challenges with managing the partnerships within CIHR. A lack of coherent communication and coordination of effort have, at times, impeded effective partnership management. For example, while Institutes and some Branches are principally responsible for managing partnerships, there are instances where central coordination would be helpful when more than one Institute or Branch is involved in a given partnership. Previous attempts to develop a CIHR Partnership Plan to address these issues are recognized by Partners, who are willing to acknowledge the progress that has been made, but they remain adamant that further improvements on how partnerships are created and managed are essential. These views are shared by CIHR staff, who also believe that a more complete implementation of a CIHR Partnership Plan is required in order to achieve the degree of effectiveness desired by all.
The Solution
Navigating Partnerships: CIHR's Plan for Successful Collaborations was created to address those concerns and solve those issues through the promotion of relationship management, effective communication and improved efficiency. As one of the 2008/09 corporate projects supported by CIHR's president, Dr. Alain Beaudet, and the members of the Executive Management Committee, CIHR's Plan for Successful Collaborations represents the results of rigourous consultation with internal and external stakeholders, followed by collaborative refinement and the ongoing development of a Strategy Implementation Plan. It is hoped that these solutions will correct the current shortfalls and create the economy of time and effort needed to energize the inherent value derived from a more dynamic working relationship between CIHR and external Partners.
Objectives
CIHR's Plan for Successful Collaborations is intended to assist Partners and CIHR staff by providing an overview of CIHR's approach to domestic partnerships. It is hoped that this mutual understanding and shared vocabulary will help all stakeholders communicate clearly and effectively in order that:
1. Partners
- Understand CIHR's partnering process and their roles and responsibilities; and
- Are aware of where to go for information and where to offer their views and ideas (i.e. sharing of best practices).
2. CIHR Institutes and Branches
- Recognize what is expected of them and why; and
- Have access to the key messages, the appropriate knowledge and the right skills to effectively manage Partner relationships in both CIHR-led and stakeholder-led initiatives.
3. CIHR Partnerships and Citizen Engagement (PCE) staff
- Know what is expected of them and why;
- Provide timely and accurate information on partnership activities through agreed-upon reporting and data collection mechanisms;
- Are aware of partnership activities across the organization;
- Provide the foundation for partnership management across CIHR; and
- Facilitate the sharing of information and best practices between Partners, CIHR Institutes and Branches.
This plan will also help CIHR staff and Partners to:
- Work efficiently by making optimal use of time, resources and effort;
- Leverage best practices and use common tools and processes when appropriate; and
- Collaborate effectively throughout the lifecycle of a partnership.
The Creation of CIHR's Plan for Successful Collaborations
The following sections will describe the process of creating CIHR's Plan for Successful Collaborations, from the methodology involved in the initial data collection to an account of the collaborative refinement. The findings and recommendations of the study are also included, divided according to the feedback provided by internal and external stakeholders.
Overview of Methodology for Data Collection and Gathering Stakeholder Feedback
The following describes the approach that was used to investigate and devise this plan, and to identify the means to implement it within the organization.
Phase 1 – Planning and Design
The goals of this first phase were to:
- review previous work and documentation related to CIHR Partnerships;
- clarify the scope and intended outcomes of the Plan;
- scan for best practices (primarily nationally and, to a limited extent, internationally); and
- define a high-level plan to move forward with the development of CIHR's Plan for Successful Collaborations.
Three consultants from The Intersol Group and four Partnerships & Citizen Engagement (PCE) Branch staff worked together to develop a project charter (available separately). It was agreed that, in addition to the plan, this initiative needed to be supported by an implementation plan to ensure that all elements identified in CIHR's Plan for Successful Collaborations would be put into operation across the organization.
The project charter was officially presented to key internal CIHR staff during the "Kick-Off Meeting" held on November 26, 2008.
Phase 2 – Implementation and Delivery of Consultations
From December 2008 to February 2009, consultations with a cross-section of external Partners and internal CIHR groups or individuals were conducted to identify the key issues related to CIHR partnerships, and to obtain input on the elements needed to create this plan. To facilitate the consultation process, a Consultation and Communication Plan was created to identify which external Partners and internal groups would be interviewed, and to determine the lines of inquiry used to direct the interviews.
External Consultations
A cross-section of 40 external Partners was created, identifying potential people that could be contacted throughout the process. The intent was to consult stakeholders with diverse points of view, based on a broad cross-section of partnership experiences. The potential interviewees included Partners that:
- had long-standing relationships with CIHR or were new to CIHR partnerships;
- represented large and small organizations, or were from the private sector, public sector, or voluntary sector;
- were located in different parts of the country; and
- worked with different Institutes or CIHR Branches (i.e., from different research areas).
These Partners were then invited to participate in the interviews. 21 interviews were scheduled and completed.
Internal Consultations
Consultations were conducted internally during CIHR Meetings scheduled in Ottawa to take advantage of meeting face-to-face with individuals from across the country. The following summarizes those consultations:
1. January 2009 Institute Round-Table Meeting
To set the context for the discussion, initial results from the interviews with external Partners were shared with participants. Participants were then asked to provide their input on the following questions:
- What would be the ideal outcomes of a mutually beneficial partnership?
- Is there anything CIHR needs to do differently?
- How and when should Partners be engaged? What are the potential benefits and challenges of engaging Partners at the outset of any new partnership initiative?
- What would be an appropriate level of standardization across CIHR when dealing with Partners? What steps, if any, would be relevant to increasing the efficiency of supporting and coordinating partnerships?
- What mechanisms or next steps should be used to implement a Partnership Strategy for CIHR?
2. January 2009 Sub-Committee on Planning and Partnership (SPP) Meeting
Initial results from the interviews with external Partners and from the IRT Meeting were shared during the January 2009 Sub-Committee on Planning and Partnership (SPP) meeting. The sub-committee provided additional advice for the creation of the CIHR's Plan for Successful Collaborations.
3. Interviews with Scientific Directors and Staff from Institutes.
Two interviews with scientific directors (SDs), and one interview with an SD and Institute staff who could not participate during the IRT Meeting, were also scheduled. The first interview was conducted with an SD who had several years of experience with CIHR and the second was conducted with an SD who had recently joined CIHR, but who had experience with CIHR partnerships. A fourth interview took place in March 2009.
Analysis and Coding
Results from all interviews were coded into thematic areas that were then used to highlight the potential elements of this document. The results also provided the basis for two collaborative workshops designed to expand and refine CIHR's Plan for Successful Collaborations.
Phase 3 – Collaborative Refinement the Document
Two collaborative workshops were organized to refine the supporting concepts and key elements of this plan, based on the input received during Phase 2.
During the first workshop, the core team from the Partnerships and Citizen Engagement Branch identified strategies to address the issues and gaps that emerged during the consultations with internal and external stakeholders. It was suggested that these strategies should be presented to a broader group of key internal stakeholders.
A second workshop was held with additional internal stakeholders who provided additional input and new ideas, both on the proposed strategic elements and an achievable plan to implement the strategy. The first working draft of the plan was developed following this meeting.
Additional efforts were made to collaboratively engage internal and external Partners for the development of this plan.
Internally, the following additional steps were taken:
- Meetings with Core Team ;
- Presentation to the SPP (Subcommittee on Planning and Partnerships);
- Presentation to IRT (Institute Round Table);
- Presentation to EMC (Executive Management Committee); and
- Meeting with CIHR President.
Phase 4 – Collaborative Development of an Implementation Plan and a Communication Plan
In order to continue to address the concerns raised during stakeholder consultations, the following steps will be undertaken by the PCE Branch:
- an Implementation Plan for this plan will be created;
- a Communication Plan will be developed; and
- CIHR's Tools and Guidelines for Partnerships document will be completely revised to create a new CIHR Partnership Handbook (and will include the addition of an evaluation component).
Findings and Recommendations
This section presents a summary of the findings and recommendations identified during the interviews with external organizations and internal CIHR stakeholders.
Feedback from External Partners
Value
During the consultations with external organizations, the value of partnerships was acknowledged. Those engaged in the consultations noted that partnerships were valuable in:
- Establishing linkages and connections to improve the Canadian research network;
- Maximizing the effectiveness of research funding, human resource capacity and time usage; and
- Contributing to the improvement of health research by finding innovative solutions to health-related issues.
Strengths
The following were identified as CIHR strengths that external organizations appreciate and would like to see continued:
- Notable improvements have been made since CIHR started establishing partnerships;
- The promotion of mutually beneficial partnerships by the new President of CIHR; however, as noted below, PCE should be engaged to track and follow through on partnership activities (see "Challenges");
- CIHR's leadership role in health research funding in Canada and its flexibility, despite some constraints due to government policies;
- Helpful, competent and dedicated CIHR staff that are open to feedback;
- The range of quality tools and processes provided by CIHR (e.g. Confidentiality and Conflict of Interest Policy (CCIP), ethics guidelines, peer review process, etc.); and
- Expansion of funding for research activities from basic research to additional research areas.
Challenges
The following were identified as the main challenges related to partnerships that must be improved by CIHR. CIHR needs to:
- Create a clear definition of partnerships and more standardized practices across CIHR. There are differences in how the Institutes and CIHR Branches perceive and manage partnerships;
- Expend more effort in consulting Partners throughout the process. This includes seeking and considering input from Partners, allowing Partners more time to respond to requests and consultations (e.g., advanced notice of RFA), and providing opportunities for face-to-face consultations;
- Allow Partners to be more engaged in the relationship so that they feel like an equal Partner that is able to work with CIHR to identify and set research priorities;
- Consider the needs of their Partners and to be less directive;
- Streamline Business processes that are slow and cumbersome so that they are responsive to the needs of Partners. Some proposed changes include:
- Providing a dedicated single-point of contact;
- Increasing the speed of the peer review process, but not at the cost of quality;
- Align the CIHR funding cycle more closely with the budget cycle in industry, and be more responsive to the business cycle of Partners; and
- Allow research projects to begin before the funding decision has been announced.
- Overcome apparent distrust of private sector Partners;
- Be more sensitive to Partners during communication activities by improving on the timeliness of communications and providing more ongoing communication of partnership activities;
- Make an effort to recognize the contributions of Partners in a tangible, visible and direct way; and
- Provide dedicated, specialized resources to develop, manage and maintain partnerships.
It should also be noted that during many interviews, it was mentioned that Partners may directly contact CIHR's President to resolve issues. Although this can be seen as positive, it can also become a challenge if the PCE Branch and CIHR staff are not engaged in the follow-up activities.
Opportunities
External Partners also identified some opportunities that CIHR and Partners should seize. They are:
- Increasing efforts to achieve greater knowledge translation of the research results;
- Leveraging NAPHRO and the Funder's Forum to extend the dialogue between Partners and CIHR;
- Engaging Partners at the earliest opportunity to help identify research opportunities with CIHR;
- Supporting the appropriate and viable contribution of private sector support to health research; and
- Providing supporting information on benefits of health research to help provincial research associations and voluntary sector organizations with substantial funding requests to provincial authorities.
Recommendations and Suggestions for Improvement
Consultations with external Partners have revealed a high degree of respect for the health research and knowledge exchange that is being enabled through partnership opportunities. External Partners displayed a great willingness to actively engage with CIHR to improve the quality and the manageability of partnerships, and they felt that a collaborative effort based on mutual respect would certainly lead to desirable changes. In particular, the Partners advised that it would be helpful if CIHR acted as a "convener" to:
- Support the established role of the appropriate CIHR Institutes and Branches as being primarily responsible for managing Partner relationships;
- Establish a clear, single point of contact within CIHR for overall partnership opportunities and /or issues; and
- Provide greater central coordination of efforts to facilitate timely communication and ensure the exchange of best practices between Partners, Institutes and appropriate CIHR Branches.
Feedback from Internal Consultations
Consultations with CIHR staff revealed a high degree of willingness to collaborate in the ways requested by Partners, such as increasing the role of the Partnerships and Citizen Engagement (PCE) Branch to provide central coordination and support, or developing a communication piece that describes the key roles and responsibilities of those engaged in partnerships. Staff members also acknowledged that the changes being proposed didn't seem to be in conflict with the important role of CIHR as a steward of public funds and that their implementation could be feasible.
It also became apparent during the internal consultations that the establishment of the CIHR PCE Branch to fulfill the central coordination role has yet to be fully recognized by senior management. As a result, the PCE Branch's mandate and functions are not fully operational, effectively inhibiting it from acting as the centre of partnership expertise at CIHR. Overcoming the lack of awareness about the PCE Branch's role and implementing the necessary integrated processes for improving communication and coordination are crucial to the achievement of the objectives of this plan.
Value
Internal stakeholders agreed with external Partners about the value of partnerships. Those engaged in the consultations also noted that partnerships were valuable for:
- accomplishing a common goal while fulfilling both parties' mandates;
- broadening the community of research and reaching out to new researchers;
- accessing more resources (including databases, networks of research, specialized research facilities, etc.);
- leveraging resources more effectively and reducing duplication;
- engaging Partners in identifying and setting research priorities in a given field; and
- increasing capacity and funding for research and knowledge translation
They noted that CIHR should continue to partner with organizations that have similar goals and with more organizations that have a knowledge translation mandate.
Challenges
During the internal consultations, stakeholders identified the following issues as the main challenges related to partnerships:
- Establishing a more coordinated and consistent approach to managing partnerships. Despite previous attempts to establish common practices and guidelines, Institutes and CIHR Branches continue to use different approaches to partnerships. While Institutes and CIHR Branches prefer to have more flexibility given the differences in the partnerships in which they are engaged, it was noted that guidelines and sharing of best practices would be useful;
- Engaging Partners earlier in the process and ensuring better understanding of expectations from the beginning;
- Fostering a culture of collaboration, being more inclusive, and encouraging greater reciprocity both internally and externally;
- Ensuring a better understanding of process, roles and responsibilities between CIHR and Partners, and within CIHR itself;
- Increasing communication among Institutes and Branches;
- Working with limited staff while ensuring adequate communication with Partners; and
- Reducing workload.
Recommendations and Suggestions for Improvement
During the internal consultation, a number of recommendations were made. First, it was suggested that role of the PCE branch required clarification. It was suggested that the PCE Branch should:
- Provide central coordination and support. This would require a strong understanding of the whole organization, the culture of each Institute, and key activities happening across the organization. By having an overview of the partnership activities, and by better understanding each Institute, the PCE Branch would be in an improved position to direct new partnership opportunities to the right Institute or Branch within CIHR. The PCE Branch should facilitate the establishment of partnerships, but they should not direct how these should be done;
- Create more effective communications around the use of existing documents outlining guidelines and principles for establishing and managing partnerships;
- Document and disseminate best practices and lessons learned throughout the organization;
- Develop a communication piece that describes the key roles and responsibilities of those engaged in partnerships. The PCE Branch should then help potential Partners better understand how to partner with CIHR; and
- Improve the website to make it more user-friendly.
For partnership initiation and support, it was recommended that:
- Institutes and CIHR Branches be primarily responsible for establishing and managing partnerships, as they created relationships with their communities and understand their needs;
- A lead Institute or Branch is identified when there is more than one Institute or Branch involved in a partnership agreement. In these scenarios, additional communication is required among the Institutes and Branches. This can be done through the Scientific Council and at the Scientific Director Level, although additional linkages might be required at the working level. It was also noted that in some cases establishing an advisory committee facilitated this process;
- The process of establishing partnerships be simplified and improved. Suggestions that were offered include improving the negotiation process or establishing umbrella agreements with organizations that often partner with CIHR. For example, a pilot umbrella agreement should be created with the Heart & Stroke Foundation. Once the umbrella agreement is established, new partnerships can be created with these organizations by identifying the terms specific to the initiative. Since these umbrella agreements will likely span over multiple years, they will facilitate the relationship between the Institutes and the Partners even if the individuals within the Institutes or partner organization change. It was also suggested that less complex agreements might be used for smaller and shorter engagements;
- Institutes and Branches should continue to build a relationship with their Partners and gain a better understanding of the various organizations involved in partnerships;
- Communication be improved between CIHR and the Partners. Communication responsibilities should be given to experienced individuals who are responsible for communicating with the Partners on a regular basis;
- A Partnerships roadmap be produced that is flexible enough to fit the wide variety of Partners and partnership, and existing policies and rules should be re-examined in light of this document to ensure that it is fully integrated within all aspects of the organization;
- CIHR staff be trained in how to write and speak to senior officials in Partner organizations to establish good relationships and not be adversarial;
- Applicants are informed that research abstracts are sent to Partners for their funding approval. Abstracts therefore need to be more substantial without containing identifying information. Partners were very concerned about the scarcity of information on which they are being asked to make substantial contributions;
- CIHR demonstrate the impact and influence of the research being conducted by actively helping Partners translate research into policy (e.g., the Provincial Engagement Strategy);
- Consideration is given to having a selection of key Partners on the Advisory Boards of certain institutes; and
- An online database be created containing the names, histories and contact information of all major Partners for the use of the Institutes.
Conclusion
Internal and external consultations both revealed the need to improve CIHR's communication practices and partnership approach. The purpose of CIHR's Plan for Successful Collaborations is to clarify why CIHR engages in partnerships, what we want to achieve through them, who our partners are, and what the benefits of partnering will be. This clarity will ensure that all CIHR staff members share an understanding of the environment of partnerships in health research and how they can develop new partnerships and support existing ones. By emphasizing CIHR's commitment to collaboration, communication and mutual respect, this plan is attempting to navigate the complexity of partner relations and establish the groundwork for successful, rewarding partnerships between CIHR and all of its partners that are beneficial to health research in Canada, and around the world.
Appendix B: Purpose of the Partnership Management Strategy
Purpose of the Partnership Management Strategy
As presented in Part II of Navigating Partnerships: CIHR's Plan for Successful Collaborations.
Goal: Clarify Why We Partner & What We Hope to Achieve
| Objective | Actions |
|---|---|
| 1. Engage in partnerships that meet our strategic objectives. |
|
| 2. Enhance the methodology used to evaluate partnerships. |
|
Goal: Clarify Who Are Our Partners
| Objective | Actions |
|---|---|
| 1. Develop and maintain a broad base of partners across the full spectrum of health research. |
|
| 2. Ensure that management practices are sensitive to the needs of each sector. |
|
Goal: Clarify the Benefits of Partnering
| Objective | Actions |
|---|---|
| 1. Ensure that there is a clear understanding within the organization about the benefits of partnering |
|
| 2. Ensure that the partners clearly understand what they can achieve working with us. |
|
