Research Strategy Checklist

Knowledge areas 	Research Strategy	
Research context	•	Where does my research fit in relation to the priorities of the university and local and national funding bodies?
•	Which funding bodies are likely to find my research proposal attractive?  Are there ways in which I could adjust the approach to better align it with the current priorities?
•	How does my research fit in with the University’s strategy?
•	Are there research centres or other researchers with complementary discipline knowledge and skills with whom I can link?
•	How will this piece of research contribute to the development of a body of work and an international reputation?	
Scoping the concept	•	Who can I talk with about my idea to test whether it is exciting and realistic?  Have I listened carefully to the feedback?
•	Can I compete with others in the field in pursuing funding for this proposal?  Do I have access to colleagues with the ability to undertake different aspects of the project?
•	Who would support the proposal?
•	What are the potential funding bodies for this idea?	
© Shelda Debowski. Used with permission

Project Management:  Design Checklist

Knowledge areas 	Design Phase Checklist	
Scope management	•	Has the project scope been defined? Does it match your research capacity?
•	What is the evidence for the project need and likely value?
•	What are the project objectives and deliverables? 
•	Are your deliverables realistic?
•	What are the requirements of your stakeholders? What are your requirements and those of your team?
•	How does the project fit with the strategic plan of the school, faculty and / or university?
•	Can you seek input from other parties as to your project plan? (Seek early feedback if possible.)
•	If you have an established project team, seek their input and ideas.
	
Time management	•	Estimate the total time for the research by developing  a high level WBS to identify all likely processes and major demands.
•	Identify any milestones to be achieved.
•	Do you have sufficient time ease for unexpected contingencies?
•	Identify the broad estimates of timing to be costed in your project.
	
Cost management	•	Estimate the costs of the major research activities, likely staff costs, equipment, travel, rental of offices, etc. Prepare the cost estimate early and revise regularly as new costs emerge.
•	Is there a project costing template you can apply? 
•	Are you applying for research funding? What is your university process? 
•	Are there supplemental funding opportunities you might be able to tap into? 
•	Have you allowed for university overheads in your costings?
	
Quality management	•	Do you need to seek ethics approval? Get started as soon as possible to ensure compliance.
•	Should you establish an advisory group to oversee the research? Who should you invite?
•	What processes and systems should you establish? Do you need to add time and cost estimates to cover the establishment or maintenance of these processes?
	
Research management	•	Do you have pilot data or previous research  that can assist in this new project?
•	Develop a broad project plan showing the key stages, outcomes and main relationships between the contributors.  
•	Review the project plan to make sure you have covered all elements of your project. 
•	Do you need help to plan the research? Seek assistance from your university experts and agencies, including your local school / centre sources.
	
Risk management	•	Is there capacity to undertake the project?
•	Is there sufficient capacity to lead / manage the project?
•	Is the budget sufficient?
•	How will you manage non-delivery by research partners?
•	Are you reliant on others? How will you ensure they remain engaged with your research project?

Human resources management	•	Develop profiles of each researcher in your team for use in your proposal and to encourage greater familiarity across the team. Place them on your website if already active.
•	Seek feedback from your team members on the proposed project. Is the idea feasible? The best option? Are the proposed timeframes achievable?
•	Establish who else might contribute to your project.  Is there an opportunity to involve others? Can you involve higher degree students?
•	Establish your project management team as soon as possible to contribute to the project planning.
•	Set up a regular meeting schedule to progress the project. 
•	Develop a policy on publication authoring  (see the NHMRC Guidelines for assistance: http:/www.nhmrc.gov.au/funding/policy/researchprac.htm#6/).
•	Ensure all team members are aware of the project design and outcomes.
•	Encourage contributions from all team members into the project design and proposals.
•	What training will your team require? Is there sufficient capacity to support high demand project periods?
	
Stakeholder management	•	Who are the stakeholders? What do they expect of the project?
•	If you are seeking an industry partner, how will the project operate? Do you have a good relationship established? How can you strengthen those relationships?
•	How will a partnering organisation benefit from the research? What are the implications for the research processes?
•	Do you need support from the faculty or university? Consider preparing a one page outline of the project to assist with any discussions.
•	Clarify how infrastructure will be shared in cross-institutional projects.
•	Have you engaged early enough with stakeholders? Do you need to undertake a pilot project for proof of concept?
•	Have you marketed the benefits of the project and the talents of your research team to your collaborators?
•	Have you defined roles, expectations and contributions?
•	Has IP and dissemination of research findings been clearly agreed?
•	Do research collaborators understand the nature of HDR students and their needs?
•	Has confidentiality been satisfactorily addressed?
	
Communications management	•	How often do you plan to meet with your research team, partners and stakeholders? Have you scheduled these in your WBS?
•	Do you have virtual team members? How will they be kept engaged with your project?
•	Can reporting be managed through an online website? How will that be organised?
•	Develop a communication protocol to explain who will be responsible for which elements.
•	Consider the media strategy that you will apply over the project. 
	
Procurement management	•	Do you have somewhere to do the research? Can the research be accommodated in existing facilities? Speak to your head of school about the facility implications of your research proposal.
•	What equipment do you need? What is already available in your faculty / university? If you plan to share available equipment, how will that be managed?
•	Are you better to buy in bulk for the whole project?
•	Who will be responsible for managing the resources?

Integration management	•	Who is involved in the project? How will you coordinate their efforts?
•	Where are likely pressure points for the research project? How can you pull in additional resources to assist with those high demand periods?
•	Are you reliant on others to perform elements of the research? How will you liaise and ensure they are ready to support your research when you need it?
	
© Shelda Debowski. Used with permission

Project Management: Planning checklist
Knowledge areas 	Planning Phase Checklist	
Scope management	•	Review the scope and objectives of the research and confirm they are still appropriate. Revise your project plan accordingly. 
•	Prepare a detailed WBS outlining the key tasks, contributors and roles. 
•	Review and confirm your milestones and deliverables.
	
Time management	•	Estimate the total time for the research.
•	Identify any milestones which should be included in the plan. 
•	Review the WBS time elements to identify any activities that require careful management.
•	Check that the research team are able to devote the appropriate amount of time to achieve the deliverables.
	
Cost management	•	Examine the WBS and estimate the costs of the major research activities.
•	Estimate the costs of equipment, travel, rental of offices, etc
•	Prepare a preliminary budget based on the agreed breakdown of costs.
•	Set up the project fund account and identify the budget to be committed to each element. 
•	Establish protocols for expenditure, with 1-2 people maintaining oversight of the budget. 
•	Plan for regular reports on expenditure and regular reviews of project costs for particular components.
	
Quality management	•	Identify quality assurance requirements and develop strategies to monitor quality and risk. 
•	Develop a process for team members to follow.
•	Train research team members to follow the process.
•	Audit the team members to ensure they are following the process.
•	Establish a protocol to deal with incomplete / unsatisfactory or unsuccessful outcomes. 
	
Research management	•	Review the conditions of the grant and ensure any reporting or deliverables are included in your project planning.
•	Make contact with your research services to discuss the project and its management. Check what processes need to be completed to gain the funding into your project grant. 
•	Liaise with your legal services to ensure all necessary contracts and grant documents are signed off. Follow up on these if they are not completed in a timely manner.
•	Obtain all ethical clearances for the conduct of your research from the Research Integrity Office.
•	If you plan to include HDR students in your project, liaise with the graduate research office to identify requirements or issues to be addressed.
	
Risk management	•	Is confidentiality an issue? Speak with legal services and your university’s commercial arm.
•	Is your research using dangerous processes or chemicals? Is fieldwork involved? Contact your safety and health office if there are issues that need to be managed.
•	Establish a risk log and encourage all members to identify potential risks that require consideration.

Human resources management	•	Contact Human Resources for advice on recruitment and selection processes. 
•	Recruit and appoint staff based on Human Resources policies and protocols. Ensure you are appointing your researchers at the right level and to the correct role. 
•	Organise contracts for research team members as soon as possible. 
•	Conduct an induction of all team members, including an overview of the Conditions of Award and team / project processes. 
•	Conduct an initial performance development meeting with each individual team member. Identify member strengths and development needs. 
•	Review relative contributions, expectations and roles of each member. How will changes be managed and controlled?
•	Clarify IP understanding with all members. In the case of students, a confidentiality agreement may need to be signed. Contact legal services if advice is required.
•	Establish reporting and timeline expectations.
•	Confirm principles for team culture, interaction, support and quality control.
•	Clarify project goals and outcomes.
•	Conduct a project orientation / planning session with all team members. 
•	Agree on timelines, procedures and protocols.
•	Confirm budgeting processes, expectations and controls. 
•	Celebrate the grant success with team members and stakeholders.
	
Stakeholder management	•	Confirm the project scope, milestones and deliverables.
•	Finalise expectations regarding meetings, reporting and outcomes.
•	Confirm dissemination of the findings, IP and communication strategy. 
•	If you need a steering or advisory group, determine terms of reference, role and responsibilities of members. Appoint an executive officer to work with the group. 
•	Liaise with your school / faculty contacts to keep them abreast of your program. 
•	Finalise issues relating to ownership of IP and outcomes of the project.
	
Communications management	•	Document all conversations with the granting body and keep on file. 
•	Maintain a file of email correspondence.
•	Set up your website for the project, including staff profiles, an overview of the project and contact details.
•	Identify all necessary meetings / milestone reviews and schedule them into the WBS to ensure they are planned well ahead.
	
Procurement management	•	Check the university’s systems for procurement. 
•	If you are setting up a new facility, consider accessing stored furniture and fittings that are being held by the university to reduce fit-out costs.
•	Consider whether computers should be hired or leased. 
•	Seek support from your school manager with respect to procurement.
	
Integration management	•	Commence a record of the research project development in a log book / file. Consider how you will ensure that all team members can access the research records and document their progress. 
•	Is your research experiment based? Consider establishing some procedures and templates for recording the results and observations so that you have a consistent approach and documentation? 
•	Set up templates for reports, progress logs and other processes. 
•	Ensure all members of your team have a good understanding of the WBS and its implications for their work outcomes and processes.
•	Set up regular meetings with your junior staff and HDR students to ensure they receive appropriate guidance and supervision. 
•	Identify key dates where the team should meet and review progress. Book these meetings into their calendar now to ensure they are able to attend. 
•	Finalise your project management systems and processes e.g. for tracking, timelines and dependencies.
	
© Shelda Debowski. Used with permission

Project Management: Implementation Checklist

Knowledge areas 	Implementation Phase Checklist	
Scope management	•	Maintain control over the project scope.
•	Set up a system for recording interesting / new research possibilities that are beyond the project scope. 
•	Address issues as they arise. 
•	Regularly affirm the desired outcomes and milestones to the research team. 
•	Review the out-of-scope areas that have emerged and consider whether these are areas suitable for new grant submissions.
•	Revise your WBS and project plan if the scope has changed. 
	
Time management	•	Monitor progress against timelines and milestone completions.
•	Meet with groups and individuals to explore whether the timeline is reasonable. 
•	Review the timeline if necessary and outline the changes to the team.
•	Implement corrective actions if slippage is evident.
•	Adjust the project plan to reflect revised timelines. 
	
Cost management	•	Is the budget on track, particularly with respect to staffing costs (including leave entitlements)? 
•	Ensure all funds are spent according to the agreed budget and conditions of award. Request carry-forward of any residual funds through your Research Grant Office if you have not expended your allocation in a given year.
•	Review the budget monthly and update as needed.
•	Address budget over-runs promptly.
•	Ensure financial statements are prepared and reflect the necessary requirements of the funding body.
•	Monitor that full expenditure of the funding has occurred prior to grant closure. 
	
Quality management	•	Are quality assurance processes being followed? (e.g. reports; research practice; team communication) 
•	Are project changes being addressed or logged?
	
Research management	•	Plan for publication and presentation as part of the project cycle. Acknowledge industry partners / sponsors in any publications.
•	Ensure HDR students are progressing with their theses and reporting. 
•	Is the research on track?  Does it still match the grant agreement?
•	If the study is not prospering how should it be addressed? Should you continue? Talk to your research office.
	
Risk management	•	Are safety and health requirements being met?
•	Is the project conforming to the ethics agreement? 
•	Is the project team working as a cohesive and productive work group? 
•	Monitor emerging risks and address them.
•	If a problem arises, review the issue, why it occurred and how to avoid it next time. Document this discussion in the risks log to ensure the same mistake is not repeated again. Consider whether additional training may be needed. Do you need to cover this in future induction processes?
	
Human resources management	•	Celebrate milestones.
•	Acknowledge team member contributions / achievements.
•	Ensure all team members are contributing to quality assurance.
•	Mentor young researchers and ensure they receive opportunities to publish, present, shadow and take responsibility.
•	Discuss postdoctoral fellowships with HDR students and identify the goals they need to achieve to be well-placed for these opportunities.
•	Conduct regular performance review meetings with each individual.
•	Set development goals as well as project goals.
•	Explore how the team can be rewarded for major achievements. (Hint: something as simple as cake has strong impact!)
•	Are staff taking their annual leave? (You can’t afford a leave liability at the end of the project and members need time out to renew their energy.)
	
Stakeholder management	•	Be clear about accountabilities and what is expected. Place report requirements etc into timelines.
•	Work on your stakeholder relationships as a high priority. 
•	Schedule regular meetings with the stakeholders. 
•	Prepare stakeholder progress reports. 
•	Meet with stakeholders to review progress. Provide regular updates on process, publications and outcomes. 
•	Monitor stakeholder satisfaction with the progressive outcomes. 
•	Explore and identify the potential for further investment into new areas of research with stakeholders.
•	Commence planning for follow-on projects with the stakeholders.
•	Monitor stakeholder satisfaction with the outcomes. 
	
Communications management	•	Contact your public affairs / media arm to promote breakthrough outcomes – involve the stakeholders in this process.
•	Maintain a record of media releases.
•	Prepare reports for use by stakeholders.
	
Procurement management	•	Monitor supplies and ensure resources are sufficient to support the research.
•	Check for equipment maintenance / upkeep.
	
Integration management	•	Maintain regular meetings with the team. 
•	Check work flows for highly integrated activities: is there a bottleneck that is holding up the research or a potential risk evident? Address it urgently!
•	Review the project plan at meetings to affirm completed activities and highlight coming project requirements.
	
© Shelda Debowski. Used with permission

Project Management: Evaluation/Closeout Checklist

Knowledge areas 	Evaluation/Closeout Phase Checklist	
Scope management	•	Evaluate the achievement of the project milestones. What work is still to be completed?
•	Is there an opportunity to further collaborate with your partners?
.	
Time management	•	Review the timeline and plan and ensure all necessary tasks will be completed prior to project closure. 
	
Cost management	•	Update the budget summary. Aim for full expenditure of the grant by the conclusion of the funding period.
	
Quality management	•	Prepare the final report for the granting body. Submit via your research grants office for closeout of your project. 
•	Prepare a final summary of the project, lessons learned, expenditure, time management and other observations to apply to subsequent projects. 
	
Research Management	•	Copy all data files to CD and other storage devices.
•	Ensure confidential records are secure. 
•	Continue writing publications from the project – keep your stakeholders apprised of these. 
•	Monitor project impact over the coming years.
•	Clean up records and prepare an archival file to be stored in the university.
	
Risk management	•	Summarise lessons learnt from the project. Share with other researchers.	
Human resources management	•	Celebrate the project’s successes.
•	Review the project and identify learning that has been drawn from the project experience.
•	Ensure staff have expended their leave allocation prior to project closure.
•	Assist team members in planning for transition to new roles.
•	Plan for redeployment  or transfer of team members to other projects or roles.
•	Interview project team members on their project experience and suggestions for future projects. 
•	Conduct an exit interview for each team member to review their contributions, affirm their achievements and assist in exiting the project.
	
Stakeholder management	•	Celebrate the project successes. Invite relevant local colleagues and stakeholders.
•	Canvass stakeholder feedback on the benefits of the project and its potential impact. 
	
Communications management	•	Present a seminar on the project outcomes to interested parties and peers.
•	Develop a media release on the project and its value.
•	Update your website to profile the outcomes. 
•	Continue to maintain your media archive. 
•	Communicate the project closure to all stakeholders and provide a forwarding contact address.
	
Procurement management	•	Dispose of equipment and resources. 
•	Ensure confidential material is not accessible by subsequent users of the equipment. 
	
Integration management	•	Ensure the final stages of the project are understood by all team members and assist them in completing their agreed commitments. 
	
© Shelda Debowski. Used with permission