Peeter Normak

1. Planning and Running Research and Development Projects (IFI8109)Drafting research project proposals • Peeter Normak

2. Plan for 2.03 • Reflection to the seminar • Structure of research proposals • Theoretical background, analysis of previous studies. • Objective – interpretation of the criteria. • Determination of subgoals/research questions/hypotheses. • Description of expected outcomes/results, their possible application and follow-up activities (research and/or development). • Resources. • Schedule and budget.

3. Reflections from the seminar • Structure the presentation according to the topics discussed (in this case: the problem, objective, expected outcome, necessity, innovativeness, possible applications, …). • Focus on few – the most important – aspects only: few will be remembered. • Use slides for supporting purposes, not for reading. For overcrowded slides, bring important words/sentences forward. • Use graphics where relevant: “picture is worth of 1000 words”. • Formulate questions you want to get feedback from the audience. • Leave time for discussions/feedback.

4. Drafting a research project – general aspects • A project proposal is an indicator of applicant’s understanding of the topic, correctness and accuracy. These are inevitable requirements in science. • The length of the text should be as short as possible, but as long as necessary. The text should be readable, with necessary explanation of the main concepts, invoking interest and confidence. Repetitions should be avoided. • Appendices can be used for presenting necessary details (tables of statistical data, maps, results of a preliminary analysis etc). • The components that will be made public should be especially elaborated – the name/title and summary of the project.

5. About the structure of research proposal

6. The structure – general principles • The structure of R&D project proposals is in most cases predetermined. Why? • The proposals are mostly form based. • The text area for each aspect is in the case of web-forms limited. • In the case of digital (not web-based) forms the size of text is not limited, but a recommended upper limit is normally given. • Should the structure of proposals be not given, then the proposal should have at least the following: • All necessary components (next slide) • All aspects that will be taken into account in evaluation of the proposals • Aspects that is considered as important in the research area.

7. Necessary components of a R&D project proposal* • Proposal summary/abstract • Problem description • Theoretical background/historical overview of prior research (what has been done) • Objective of the project (can be structured to general objective and specific objectives) • Research questions and/or hypotheses • Research methodology • Work plan • Budget • References • * Proposal can be structured differently, for example 2+3+4+5 = Introduction.

8. Possible additional aspects • A research programme / supporting institution may require coverage of some additional aspects. 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.

9. Name/title and summary/abstract • 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? • Summary normally includes: 1) the objective/aim and sub-objectives and/or research questions and/or hypotheses, 2) a brief description of research methods/methodology, 3) a brief description of the expected results. • Possible additional aspects: 1) statement of the problem, 2) institutions/people involved, 3) duration … • Maximal length of a summary – 1 page.

10. Theoretical background, analysis of previous studies

11. Discussion • What is the purpose of theoretical background in research proposals?

12. 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.

13. Problem description and historical overview of prior research This section should give answers to several questions like the following: • What problem will be addressed? • Why the problem is important to be studied? • What has been done previously in studying the problem (literature review)? • What are the major gaps in knowledge? • Why is it important to fill in these gaps? • What you are going to do in filling in the gaps? • What theoretical/conceptual framework you are going to base on? • What are the possible limitations? • ...

14. 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. • Highlights 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.

15. 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.

16. 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.

17. Theoretical background – recommendations • Focus strongly on the research problem, avoid discussing loosely related aspects. • Be honest 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 of your project proposal). • Discuss only the essential and distinctive - uninformative text just annoys (normally very busy) reviewers.

18. Objective – interpretation of the criteria

19. 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.

20. Discussion • What does • “Research objective should be agreed and relevant” • mean?

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

22. 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

23. Determination of research objective – recommendations • The research objective should be related to researcher’s prior research, a logical consequence of 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.

24. Determination of subgoals/research questions/hypotheses

25. Research questions – general principles • Research questions / sub-objectives 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. • Every research question is necessary and reasonable, no research question is superfluous. • The SMART requirements are applicable to the research questions / sub-objectives 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

26. 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 should 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:

27. 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.

28. 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-objectives or research questions.

29. Research methodologyContent: Research Methodology course

30. 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).

31. 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.

32. 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.

33. 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.

34. 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?

35. 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.

36. 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.

37. Smart Specialization (growth areas) for Estonia • Information and communications technology (ICT) horizontally via other sectors (use of ICT in industry, incl. automation and robotics; cyber security; software development). • Health technology and services (biotechnology; e-medicine). • More efficient use of resources (materials science and industry; development of the ‘smart house’ concept; food that supports health). • http://www.arengufond.ee/en/smart-specialization/overview/ • http://www.arengufond.ee/wp-content/uploads/2013/04/Estonia_Smart_Specialisation_Qualitative_Analysis.pdf

38. 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.

39. 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.

40. 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.

41. Example of a strategy • Digital Agenda 2020 for Estonia*: • Sub-objective: Smarter governance and public administration • Measure 1: Development of better public services by using ICT. • Example of an action line (out of 5): The development and implementation of sectoral ICT projects will be supported (joint projects between different sectors and government levels, pilot projects to test and implement innovative solutions and technologies, projects designed to make cultural heritage available to the public etc). • * https://www.mkm.ee/sites/default/files/digital_agenda_2020_estonia_engf.pdf

42. Example of an implementation plan • The Implementation Plan of Digital Agenda 2020 for Estonia for years 2015-2018 (in Estonian): • https://www.mkm.ee/sites/default/files/infoyk_rak_plaan_012015.xlsx

43. 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.

44. Description of expected outcomes/results, their possible application and follow-up activities

45. Discussion • What are possible applications of the outcomes of a research project?

46. Outcomes and their possible application • The expected results are described by nouns, possibly accompanied by appropriate explanations/specification. • Application of the research outcome 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 (Example: LEARNMIX for new e-textbooks). • Composition of outcomes based texts (scientific articles, textbooks, teaching materials etc.) or courses. • Acquired competence and partnership/collaboration experience (Example: LEARNMIX-based Cloudler). • Follow-up activities are described by assumption that the objective of the project will be achieved.

47. 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.

48. Planning of resources (incl. human resources)

49. Planning of resources • Purpose: 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 27).

50. Workplan • The workplan depends directly from the structure/phases of the project and the methodology (the algorithms for solving the research questions) to be used. • General observations: • Work distribution does not always correspond to the competences of the team members: technical work is for technical staff. Do not waste the competence of researchers! • Possible synergy with other projects/activities is not always planned. For example, using incoming visits to discuss the project. • Workplan does not always take into account other roles and affiliations of the team members. Example: EV.