Dr Eliot Phillipson

Is it time for innovation in research funding?

By Dr Eliot Phillipson

The discovery of new knowledge, like all creative human activity, remains dependent on the “basic unit of research,” the human mind. Nevertheless, the organizational approach to discovery has changed dramatically in recent years. Consider the increasing scientific, ethical, and legal complexity of research questions, the convergence of disparate disciplines in advancing the frontiers of knowledge, the sheer volume of information and size of research databases being generated, the speed of communication of research findings, and the competitiveness of the research environment.

One of the most profound changes in the conduct of research has been the ascendancy of multidisciplinarity and interdisciplinarity as dominant approaches to investigating important questions of the day. This transformation in the organization of the research enterprise was taking place at the same time that the Government of Canada was committing itself to an enhanced research and innovation agenda in the late 1990s. One result of this commitment was creation of a highly innovative vehicle for investing in research infrastructure in Canadian universities, colleges, research hospitals, and research institutions.

That vehicle was the Canada Foundation for Innovation (CFI), established in 1997. The CFI model is unique in several respects, but three are particularly noteworthy. First, CFI’s mandate extends across all domains of research and technology development — the natural sciences, engineering, health sciences, social sciences, and humanities. Thus, CFI is able to focus on projects that bring disciplines together in new and creative relationships, recognizing that the most important and innovative advances in knowledge are often found at the boundaries between disciplines.

Second, CFI was mandated to deal with institutional partners, rather than with single investigators or groups of investigators, and to fund projects that reflect institutional priorities. This approach catalyzed strategic planning by institutions, and enhanced their specialization and differentiation. In so doing, it also promoted inter-institutional collaborations, examples of which are several regional networks of high-performance computing that bring together multiple universities in highly effective partnerships.

Finally, perhaps the most innovative feature of CFI has been the mechanism by which it receives its funding. Specifically, from time to time, the Government of Canada has allocated blocks of funding to CFI, with the directive that these funds are to be disbursed (on the basis of merit) to recipient institutions over a period of 5-7 years, in accordance with an agreement between the Government and CFI. This approach facilitates an application and assessment cycle of 18-24 months – which the complexity of large infrastructure projects requires –and removes the uncertainty that would be inherent in multi-year projects if they were dependent on an annual budget process.

Indeed, institutions would be reluctant to undertake large infrastructure projects whose planning, design, and construction may require several years to complete, without the security of knowing in advance that funds, once approved for a project by CFI, will be disbursed when needed, even beyond the year in which they are originally awarded.

In addition, because CFI disburses the funds only when required and only when specific conditions have been met, it is able to exert a level of funds management and accountability that is not feasible once money has been transferred to the institution. Furthermore, the funds held by CFI prior to disbursement are invested in accordance with government guidelines, and income generated by this investment allows the funding of additional infrastructure projects.

The success of the CFI model of infrastructure funding is indicated by the profound impact that the advent of CFI has had on the research landscape in Canada. The capacity of Canadian research institutions to conduct leading-edge research has been enhanced dramatically, and the “brain drain” of the 1980s and 1990s has been reversed. There is now an unprecedented level of optimism within members of the Canadian research community and an enthusiasm to contemplate research undertakings that they previously would not have dared to dream about.

Even more telling perhaps is the growing international recognition of Canada’s innovative research support programs, particularly the CFI and the Canada Research Chairs program. The fact that several foreign jurisdictions have taken a keen interest in these programs and are currently developing similar initiatives speaks volumes about the “buzz” that these programs have generated.

CAN CFI MODEL BE SUCCESSFULLY REPLICATED?

The success of the CFI model of research infrastructure funding raises the question of whether the time has come for government to consider a similar approach to funding of research in general. The uncertainties of year-to-year funding that are inherent in an annual budget allocation process — and in the context of shifting political priorities — limit the ability of research agencies that function in such a system to undertake definitive multi-year planning. This uncertainty, in turn, may restrict the willingness of research institutions to invest in programs that are particularly innovative but of higher risk; and stifles the creativity of researchers whose funding remains insecure from one grant year to the next.

If the message to the research community in the 21st century is that “business as usual” will no longer suffice in the conduct and organization of research, then surely the quid pro quo is equally true — that “business as usual” in funding the research agenda may also no longer be appropriate. The Government of Canada demonstrated outstanding leadership in establishing the Canada Foundation for Innovation and the Canada Research Chairs program. Perhaps the time has come for the Government to consider equally innovative approaches to funding the entire research enterprise.

Dr Eliot Phillipson is president and CEO of the Canada Foundation for Innovation.