Strategic Planning for Research and Development Projects

1. IFI8109 Planning and Running Research and Development ProjectsPlanning and Drafting Research projects • Peeter Normak

2. Plan • Reflection to the seminar • Determination of an objective + reflection. • Determination of subgoals/research questions/hypotheses. • Research methodology. • Theoretical background, analysis of previous studies. • Description of expected outcomes/results, their possible application and follow-up activities (research and/or development). • Resources. • Schedule and budget. • Drafting a research project.

3. Reflections from the seminar • Presentations should strongly (meaning - exactly) follow the time limit. Why? • For short presentations with given/specified topics (in this case: the problem, objective, outcome, necessity, innovativeness, applications) it is suggested to structure the presentations accordingly. • Focus on few aspects only: few will be remembered. • Use slides are supportive items, not for reading. • For overcrowded slides, bring important words/sentences forward. • Leave time for feedback.

4. Determination of the objective (fundamental, as the objective determines completely subsequent planning and completion of the project)

5. Interpretation of SMART requirements The general SMART requirements for objectives: • Specific – states the exact purpose of the project. • Measurable – concrete criteria for measuring progress/outcome. • Agreed (Attainable)– stakeholders recognize its importance. • Realistic (Relevant) – enough resources are available. • Time-bound (timed) – grounding within a time frame. • The weight of these requirements are different for R&D projects.

6. Discussion • How the requirement • “Research objective should be agreed/relevant” • can be interpreted?

7. Agreed/Relevant I • Agreed as a priority and fixed in relevant documents. • The levels pf priority: • International (examples – UNESCO, Europe) • National • Institutional (examples – TLU general areas topics • Subdivision’s (faculty/institute) • Relevant documents: • Strategies / Development plans • Implementation plans • Programmes

8. Agreed/Relevant II • Deals with critical/important or actual/topical or widely discussed problems. • Answers a question/solves a problem posed by an eminent researcher or official or opinion leader. • Fills some important gaps in a problem area. • Developes a new methodology/approach/model which allows considerably adwance the academic field. Examples: various subjects in natural sciences

9. Determination of research objective – recommendations • The research objective should be related to your prior research, a logical consequence from it. • The research objective should be realistic in the given context, especially considering the capacity of researchers (should not be too ambitious). • The wording of research objectives should be simple, understandable to non-experts in this field.

10. Determination of subgoals/research questions/hypotheses

11. Research questions – general principles • Research questions / sub-goals should be closely correlated with the overall objective, that is: • Answering these questions should lead to achievement of the research objective, i.e. they cover all important issues necessary for achievement of the research objective. • No research question is superfluous, i.e, all research questions are necessary and reasonable. • The SMART requirements are applicable to the research questions / sub-goals as well; the clarity of formulations is particularly important. • Expected results are new and substantial, i.e. not trivial. • Examples: e-learning natural sciences history

12. The role of hypotheses in the context of research questions • Hypothesis is defined as a realistic claim truth of which is not correctly proved. • Scientific hypotheses are assumed to meet certain additional conditions, such as: • The validity of the hypothesis shoulb be testable, i.e. there should exist methods suitable for checking the accuracy of the hypothesis. • The answer obtained by checking the hypotheses should be important, ie, clarify the nature of the phenomenon under investigation (for example, to draw conclusions that did not follow from the results of prior research). • Answer to a hypothesis should enable to formulate new research problems / open new research directions. • The scope of the hypothesis should be reasonably wide, without too many assumptions. Example:

13. Structure of subobjectives, research questions and hypotheses • Research questions and hypotheses may be formulated on the level of sub-objectives as well as on the level of overall objective: • Sub-objective • Research question 1 • Hypothesis 1 • Research question 2 • Hypothesis 2 • … • NB! For small-scale research projects, the research questions and hypotheses are normally formulated on the level of overall objective.

14. Determination of research questions/sub-objectives – recommendations • The number of sub-objectives and/or research questions should generally be in the range of 3-5. • Refrain from trivial (obvious) hypothesis and from composite hypotheses (one claim consists in fact two or more hypotheses). • Sub-objectives / research questions / hypotheses must be justified and logically related. • It is often useful to consider the issue on conceptual/fundamental level for formulating the sub-orjectives or research questions.

15. Research methodologyContent: Research Methodology course

16. Examples: research objectives (various subjects) • To reveal interactions within the complex set of factors contributing to individual academic and personal development, based on the longitu-dinal study of the representative sample of Estonian schools and Brazilian-Estonian cross-cultural study of adults with different levels of education, including a sample of adults with no formal education (IUT3-3). • To define and conceptualize the general competencies that are described in the State Curriculum for Basic Schools and to develop tools for their assessment (MoHE target project). • To develop signal conversion (including, but not limited by analog-to-digital and digital-to-analog converters) and processing ( Fourier, wavelet and other transforms, filtering etc ) algorithms by using of oversampled and modulated representation of signals- for having solutions with significantly reduced number of bits at improved resolution and performance (ETF8905).

17. Example: objectives of research projects • To identify the timing of storminess changes using ecological, sedimentary and geo-morphological records and evaluate their effects on the coastal evolution, vegetation and land use in Estonia in the last several millennia. • To develop a theoretical basis for various manifestations of stochastic processes and their applications to inter-disciplinary spheres and to generate new ideas to understand stochastic mesoscale dynamics of complex systems. • Estimate the total amount of organic carbon buried in sediments of selected small lakes during the Holocene. • Assess the extent to which recent human activities have affected organic carbon accumulation over the last 100 years in different landscapes and land use practices.

18. Example (e-learning): objective and subobjectives • Objective:to develop an integrated learning process and learning environment design model which would support self-directed learning in distributed e-learning environments, and that makes use of the technical opportunities of Web 2.0. • Subobjectives: • The development of a pedagogical pattern language suitable for design and evaluation of e-learning processes and environments, as well as design and evaluation of its analysis and application methods. • The development of a pedagogical design model of integrated learning process and learning environment for self-directed individual as well as collaborative learning and teaching processes in distributed e-learning environment. • The development of design and application principles as well as prototypes of distributed learning environments derived from the pedagogical design model, their application and evaluation in the learning process.

19. Example (natural sciences): objective and subobjectives • Objective: to provide quantitative estimates of functionality and dynamics of the Estonian wetland ecosystems (coastal areas, mires and lake ecosystems) in view of human-induced changes in land-cover/land-use and climate. • Subobjectives: • 1. Determine the relationships between the changes in direction, frequency and magnitude of extreme storm events and their impacts on the intensity of shore processes and to forecast the trends of coastline development, depending on site-specific exposure to the open sea. • 2. Determine the relationships of natural and human-induced processes and their cumulative impact on the evolution of coastal landscape and identify the key factors, which have changed the landscape pattern. • 3. Identify the traces of extreme storm events in the past and analyze their impact on the coastal environment.

20. Example (history): objective and research questions • Objective: to identify the role of new social, political, religious, cultural and economic institutions in formation of political and economic system in Livonia from the 12th to the 17th century. • Research questions: • What was the role of religious orders in the making of Livonia? In what ways did the networks of religious orders (especially Cistercians and Dominicans) contribute to the integration of Livonia into Western Christianity? • What was the role of military orders, in particular of the Teutonic Order, in the making of Livonia? How did the ideas, objects, agents, and technologies circulate inside of the international network of the Teutonic Order? • What was the role of commercial and social networks (Hanseatic League, urban guilds, etc) in the making of Livonia? • What has been the reception of medieval actors and institutions in modern and contemporary Estonia?

21. Reaching sub-objective through hypotheses • Sub-objective: Assess the extent to which recent human activities have affected organic carbon accumulation over the last 100 years in different landscapes and land use practices. • Hypothesis 1: Human induced changes in water balance and trophic status of Estonian small lakes have no effect on organic carbon burial rate over the previous periods. • Hypothesis 2: Effect of the human impact depends on local land use practices and industrial activity.

22. Example: trivial composite hypothesis • Pedagogical pattern language is effective, valid and reliable instrument for analysing and formalizing e-learning processes, as well for designing learning environments and evaluating their didactical qualities.

23. Example: general R&D priorities of Tallinn University • Development of interdisciplinary international level research groups and development centers, and consequently increasing the share of R&D in the university’s budget. • Deploying research-based learning, with the emphasis on internationally competitive doctoral studies. • The enrichment of society through knowledge sharing/transfer in different forms. • Formation of supportive work environment for increasing and realization of R&D potential. • Increasing and diversifying financial instruments for R&D.

24. Example: priority R&D areas of Tallinn University • Cultural change: new mechanisms of meaning-making. • Changes in education and lifelong learning. • An individual's academic and personality development. • Digital learning ecosystems. • Nano- ja mesosystems in physics and analytical biochemistry. • Function and evolution of wetland ecosystems. • Methods of natural sciences in archeology. • Formation of Livonia in the Middle Ages and Early Modern Age. • Major demographic trends of Estonian population.

25. Example: priority R&D topics of Tallinn University • Change and Adaptation in Estonian society from Early Modern Ages until the 20th century. • Social change in sociological perspective. • Cultures in Estonia (Comparative Approach) • The genesis of literary culture in Estonia. • Acquisition, teaching, usage and interaction of Estonian, Russian and English languages in Estonia. • Learning policy in times of globalization.

26. Example of a strategy • Estonian Information Society Strategy 2013*: • Action field II: Development of knowledge-based economy • Measure 1: Promotion of ICT uptake by enterprises. • Action: Re-organization of general, vocational and higher education so as to ensure conformity of labour skills to the requirements of knowledge-based economy. The objective is to provide workers of all professions with ICT skills and competence in order to cope in the knowledge- based economy. • * http://www.riso.ee/sites/default/files/elfinder/article_files/estonian-information-society-strategy_2013.pdf

27. Example of an implementation plan • The Implementation Plan of Estonian Information Society Strategy 2013 for years 2012-2013. • Measure 1: Promotion of ICT uptake by enterprises. • Action: In collaboration with partners and stakeholders in the development of a national program to support innovative ICT products and services, to help strategically important areas such as energy, transport and logistics, e-health, industrial and manufacturing resources to achieve tangible savings.

28. Example of an ICT programme • EU Structural Funds measure “Supporting research and development in ICT”. • Objective: to promote excellence in ICT research and development, international cooperation, innovation and increase competitiveness of the Estonian R&D. • Example of a project: LEARNMIX, The re-conceptualization of the e-Textbook as aggregations of both professionally developed and user-contributed content accessible through a wide range of devices.

29. Theoretical background, analysis of previous studies • Discussion: • what is the purpose of theoretical background in research proposals?

30. The purpose of theoretical background • In problem setting: explain the nature of the research problem. • In analysis of previous studies: demonstrate the applicant's awareness of the work done so far (for not inventing the wheel). • In describing the prior research of the applicant: demonstrate the applicant's capability to successfully carry out the research project.

31. Theoretical background – problem setting • Purpose: explain the nature of the research problem • Elements: • Identification of research object, defining them as correctly as possible. • Describes evolvement of the research problem, bringing out possible causes of the problems. • Highlights the difficulties / disadvantages / problems arising from the fact that the research problem has not yet been solved. • Highlight preconditions / tools / theories that would make it possible to solve the problem. • In the case of interdisciplinary research, specifies the subject area of the research.

32. Theoretical background – analysis of previous studies • Purpose: demonstrate the applicant's awareness of the work done so far (for not inventing the wheel). • Elements (not all elements should necessarily be present): • Marking the models / frameworks / paradigms / theories / concepts that serve as bases for research done so far. • Highlight the limitations of cited models / frameworks / … • Brief description of the prior research on the problem(s) conducted by other authors (NB! with references), and highlight the problems encountered. • Description of the priority of the research topic provided it should not be done elsewhere.

33. Theoretical background – prior research of the applicant(s) • Purpose: demonstrate the applicant's capability to successfully carry out the research project. • Elements: • Marking the trends that point to necessity for having in-depth new knowledge in a given problem area. • Brief description (NB! With references) of the relevant research of the applicant and the problems encountered, with highlighting the need for continuing research. • Applicants' participation in the relevant (preferably international) R & D projects and networks, including the involvement of other institutions undertakings.

34. Theoretical background – recommendations • Focus strongly on the research problem, avoid discussing loosely related aspects. • Be objective and do not criticize what has been done previously by others. On the contrary, if possible, highlight the positive (NB! A criticized person may become a reviewer). • Discuss only the essential and distinctive - uninformative text just annoys (normally very busy) reviewers.

35. Description of expected outcomes/results, their possible application and follow-up activities (research and/or development)

36. Outcomes and their possible application • The expected results are described by nouns, possibly accompanied by appropriate explanations/specification. • Application may consist in: • Using the outcome directly for creating new or improve existing artifacts or processes. • Using the outcome indirectly for creating new or improve existing artifacts or processes. • Composition of outcomes based texts (scientific articles, textbooks, teaching materials etc.) or courses. • Acquired competence and partnership/collaboration experience. • Follow-up activities are described by assumption that the objective of the project will be achieved. These can be described by quite general terms.

37. Outcomes and their possible application – recommendations • Outcomes must be clearly in line with the objectives of the project. • It would be good to illustrate application of the results with some earlier success story of your own. • Dissemination of the knowledge/experience acquired during the project can also be considered as application of the outcomes.

38. Planning of resources (incl. human resources)

39. Planning of resources • Purpopse: convince the reviewers that necessary resources for successful completion of the project are available and will be used adequately. • Elements: • Infrastructure (laboratories, workplaces) • Tools (equipment, software, supplies, ...) • Staff (academic staff, graduate students, support staff) • NB! Resources include also working hours that the staff members are able to devote to the project (Example: IUT of rectors). • NB! Usage of resources must be sustainable (see Lecture 2, slide 25).

40. Planning of resources – recommendations • Usage of resources must be effective. For example, if you plan to buy expensive tools, its sufficient usage must be shown. • It is advisable to show that the largest possible proportion of the required resources are already in place (this is a capability indication of the project team). If usage of the resources of some other institution is planned, this should be certified by a written agreement. • If the project is a short-term (less than two years), it is advisable to rent the equipment.

41. Schedule and budget

42. Schedule and budget • For long-term projects, schedule is composed normally by years – first year in more detail, the following years somewhat less detailed. Examples: detail less detail • Schedule and budget is normally drawn up after general design of the research. • The budget structure is normally predetermined and contain normally the following positions: staff costs, scholarships/stipends, equipment, travel expenses, other expenses. • The expenditures should be planned even if the budget is formula based and should not be submitted.

43. Schedule and budget – recommendations • Take into account interfering factors in composing the schedule – vacations, parental leave, composition of new proposals and reports to other projects etc. • The budget should be - at least for the first year – quite detailed. For example, the costs for visiting the conferences adequately estimated. • Salaries should be realistic; full-time research staff is preferred.

44. Drafting a research project

45. Drafting a research project I • A project proposal is an indicator of applicant’s correctness and accuracy. Correctness and accuracy are inevitable requirements of science. • It is especially important to elaborate the components that will be made public – the name and summary of the project. • Project name should possibly adequately express the content/objective of the project. • It may be convenient to use also an acronym of the project’s title. Why? • A summary should include: 1) the objective and sub-objectives or research questions, 2) a brief description of research (methodology), 3) a brief description of the expected results.

46. Drafting a research project II • Any research programme / supporting institution may require coverage some additional. For example: • Prior cooperation with the partners/staff members. • Contribution to the development of research area. • The importance of the expected results to the Estonian economy and culture.

47. Drafting a research project – recommendations • For form-based applications, follow strictly the subdivisions of a form – otherwise an important aspect of the proposal may remain unnoticed by a reviewer (was not there where expected). • The text should be logical and easy to read (each sentence / paragraph follows from the preceding), and contain necessary definitions). • Read the complete text through before submitting/posting, text being in the final format. • The final language check should be made by a native speaker.

48. Home assignment • Find a strategy, programme, development plan or a policy that points out your research area as an important one. • Compose a short (one page) analysis of research done by other authors (main results, research methodology used) and list problems/issues that need more research. • Compose a project proposal according to the structure and size limits given in the file Research_project_form.doc. • Prepare a 4 minute presentation (NB! Exactly four minutes) about the presence of the topic in the documents found under task No 1, and possible applications of the outcome of your research.

49. Next class: Tuesday, February 25, at 12:00Seminar: priority of the topic and possible applications of the outcome of your research

50. Example: determination of a research object • The current research studies distributed e-learning environments that support self-directed learning in making use of the technical opportunities of Web 2.0 (allow application interoperable modules for realizing services) on one hand, and are integrated with the studyinformation systems and learning management systems of educational institutions on the other hand.