Train-The-Trainer

RESEARCH PROPOSAL WRITING

AND GRANTS MANAGEMENT
CAPACITY BUILDING WORKSHOP
GUIDEBOOK
by

TTT-2022 COHORT

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 TABLE OF CONTENTS

About the
Guidebook……………………………………………………………………….3
Introduction………………………………………………………………………………..
…4

MODULE 1
• Workshop Overview an Expectations............................................................5

MODULE 2
• Understanding the Role of R&D, Innovation in Nation Building...................9

MODULE 3
• Understanding the TETFund R&D Intervention-Paradigm shift for the 21st
century TEI’s.......................................................................................................24

MODULE 4
• Planning and Developing a Fundable Research Project................................34

MODULE 5

• Writing a Fundable Research proposal........................................................43

MODULE 6

• Grants Strategy,Administration and Management.......................................64

MODULE 7

• Strategies for Global Ranking and Competitiveness.....................................71

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About the Guidebook
This guidebook is specifically designed to assist academics to seek and successfully
acquire research funding and as a manual for TRAIN-the-TRAINERS in public
institutions. It provides guidelines and suggestions for the development, preparation, and
submission of proposals to funding organizations in particular the TERTIARY
EDUCATION TRUST FUND (TETFund).
The needs and demands for solution-driven research continue to increase on local,
regional, and global scales. Yet, the resources for this research are almost always limited
and must be aggressively sought after, often outside of the researcher's home institution,
organization, or country. Although many potential sources of research funding exist to an
individual research scientist, the competition for such funding is exceedingly high, and
only well-conceived and well-packaged research proposals are likely to be successful.
Poor research ideas are not likely to be funded, regardless of how aesthetically pleasing a
research proposal appears. But on the other hand, good, relevant research ideas may fail
to get funded if the proposal package doesn't convince the reviewers because it is poorly
presented. The contents of this guidebook are intended to help you improve the
conceptual, developmental, and writing skills that are important to put together succinct,
focused, and significant research proposals. As you proceed through the topics you will
find specific examples and tips on addressing specific components of a research proposal.

As TRAIN-THE-TRAINNER MANUAL it outlines an easy-to-use process for

transforming research project ideas into grant-winning proposals. It is designed to help
individuals understand the process by which Tertiary Education Trust Fund (TETFund)
supports research activities on our nation’s public institutions in a d d i t i o n to
explaining the conditions under which the funds can be accessible.

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Introduction

TETFund awards significant funds annually to support academic/research

activities in Nigerian Higher Education Institutions (HEIs). However, it has
been documented that many early-career academics in Nigerian HEIs are
unable to access the funds due to an inability to produce high impact research
proposals. Hence, the utilization of research funds has not been at its full
potential. One major factor that obstructs the securement offunds by the
academic community is lack of adequate knowledge and skills on how to
design and implement a high-impact research project. To circumvent this
issue, it is crucial to train the academics in Nigerian HEIs with current
knowledge and skills required to write a fundable research proposal. The
acquired skills will enable them to access and effectively utilize available
research funds. The outcome of the Capacity Building Program could also
lead to knowledge transfer betweenHEIs and Industries providing a solid
platform for national development. TETFund, a government agency wants to fund
and support projects that hold the greatest promise of making a real contribution to
national development or advancing the frontiers of knowledge. Consequently, it is
important to propose a well thought out project will result in an outcome that can be
objectively measured.

About Train-the -Trainer Workshop

Over the past several years, TETFund conducted at various international locations
Capacity Building Programs (CBPs) for the enhancement of research activities in the
Nigerian’s public Higher Education Institutions (HEIs). These involved delivery of
high-quality training in research proposal writing and grants management skills that
meets international standards. The trained staff were to return to Nigeria to deliver
training to their colleagues in their respective institutions. The Train-The-Trainer
(TTT) Capacity Building Workshop as conceptualized by the Fund is aimed at
training a pool of Academics selected from Beneficiary Institutions, who, in turn, are
expected to cascade the training to their colleagues for a wider coverage of the
knowledge acquired from the Workshop. Workshop will also enable Academics to
develop the skills of disseminating the research findings in an impactful manner.
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 MODULE 1: Setting the Scene-

Workshop Overview and Expectations

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1.1 Training vs Workshop

TRAINING: acquisition of knowledge,

skills, and competencies as a result of the teaching of
vocational or practical skills and knowledge that relates to
specific useful skills.

WORKSHOP: discussion group,

emphasizes exchange of ideas and the demonstration and
application of techniques, skills, etc. It emphasizes
problem-solving, hands-on training, and requires the
involvement of the participants.

1.2 THE FACILITATOR-The Trainer

This training course delivery requires at least two facilitators because they can take turn
in introduce about exercise, group discussion, and taking note of any important results
from group discussion and plenary presentation.
• Facilitators should be on the same page and be ready on group work exercise and
other sections of the course.
• In case the facilitators could not respond to the question by participants, facilitator
should not feel shy or afraid of saying “I don’t know”. The facilitators and
participants could try to find some better idea to respond to the question together or
facilitator could try to respond in next day of the course.

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1.3 Structure of content delivery

A variety of methods will be incorporated into the training

including:

Interactive sessions: Where various competencies will be

outlined, described and explored by the participants.
PLANNED
STRUCTURE Small group discussions: The participants will be broken
OF THE down into small groups with specific topics to discuss and
address.
WORKSHOP
Active summaries: A spokesperson will be nominated from
an interactive learner- each small group to provide feedback to the workshop
centered approach. participants as a whole.

Q&A sessions: There will be short Q&A sessions dispersed

throughout the workshop to ensure two-way interactions
between the trainers and participants.

Conducting the Workshop: Suggested flow:

1. Plenary session/ Facilitator Presentation

2. Brainstorming
3. Small Group Discussion
4. Group Games (ice breakers)

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Plenary session/ Facilitator Presentation:

During plenary session the whole group stays together and discusses a certain topic. Plenary
discussions are often used at the beginning and end of the workshop. They assist in getting the
whole group moving, making sure that everybody has the information required and summing up
the most important issues of workshop. Usually after the presentation the facilitator allows for
questions and discussion of the topic.

Brainstorming:

Participants are asked to “brainstorm” _i.e., to generate ideas about a particular subject.
• Every suggestion is accepted without criticism or comment and written down on the flip
chart.
• The group then discusses the ideas when all suggestions have been recorded.
• Where necessary and relevant the facilitators provide additional input and make sure that
the session ends with the correct information.

Small Group Discussion:

Small group discussions are to encourage people to share experience and knowledge and to
develop a co-operative approach to working.

• During the discussion, walk around to ensure participants on the right track, fully
participations from group members, and to share more idea in case they needed.

Games:

Games and exercises can help to sort out problems, to create a group identity and to build trust
within the group. Different types and exercises are used: icebreakers, energizers, knowledge
games which give information to the players.

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1.4 GET TO KNOW OURSELVES!

ICE BREAKER 1

Steps

1) Ask the participants to write down their names on paper

with markers.
2) Ask to stick on their shirts or blouses.
3) When everyone has written, ask them to stand in a circle
with these stickers.

4) Give three to five minutes depending on the size of the participants.

5) Then the facilitator asks them to take out their stickers.

Distribute the name tags randomly. Make sure that
nobody gets their name tag. Tell them to look for the
owner of the name tag they get.

6) If everybody can find the owner of the name tag they

get, ask them to sit in their place. If a participant cannot
find the owner of the name tag, the class can ask
him/her to do some funny things

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 MODULE 2:

Understanding the Role of R&D and Innovation

in Nation Building
Imperative for solution -driven research agenda in TEIs
This module is meant to create awareness on the challenges facing the nation!
Need for focused research.

• Objective is to get an idea for Research Proposal of national impact

• As Trainer within your zone, think of issues/ challenges within your zone
that can have national significance

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2.1 Why invest in R&D?

v Innovative research and its subsequent commercialization

(R&D) is the driver that moves and nurture the engine of
economic growth

v The R&D generated by higher education, has contributed to

the rise and expansion of the world knowledge economy

Why Invest in v The nature and demands of the modern economy is the
R&D? fundamental stimulus for university –industry relationships.
The investment in research and development, human capital
is imperative for economic success.

R&D Units would be the catalyst for nurturing the emergence of

TETFund Centers of Excellence, which will serve as the innovation hubs
for national development.

Our Nation’s economic growth depends on our capacity to educate,

innovate and build.

Figure 1. Mechanism of influence among R&D investment, technological innovation,

and economic growth.

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 Korea leads in R&D intensity at 4%,
followed by Japan at 3.4%

R&D expenditure as a
percentage of GDP
(aka)

R&D intensity
an INDICATOR of
the importance a
country has placed Korea and China have focused on expanding
on innovation and heavy investment into R&D over the past
decade
future growth

Korea leads in R&D intensity at 4%,

followed by Japan at 3.4%

Korea and China have focused on expanding

heavy investment into R&D over the past
decade

Africa currently has 198 researchers per million people,

compared with 428 in Chile and over 4,000 in the UK and US

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2.2 AFRICA- Opportunity for Innovation
Africa:
• Produces only 3 % of
• More than half of global population global GDP,
growth between now and 2050 is • accounts for less than 3 %
expected to occur in Africa. of international trade
(mainly primary
commodities and natural
Africa is the world's second-largest and resources), and shoulders
second-most populous continent. 25 % of the global disease
burden.
The African continent represents 20% of • Africa contributes just 2 %
the earth’s surface of world research output,
accounts for only 1.3 % of
research spending, and
produces 0.1 % of all
patents.

But, like many regions globally, the

African continent is undergoing
dramatic social and economic
It boasts 60% of the world’s arable lands, changes that present some exciting
30 % of the world’s reserve of minerals opportunities.

OPPORTUNITY FOR INNOVATION

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 African countries with the
African countries with the
highest Gross Domestic
highest Gross Domestic
Product (GDP)
Product (GDP) per capita

2021(in 1,000 U.S. dollars)

2.3 Understanding the Nigeria Challenge!

• A key regional player in West Africa, Nigeria

accounts for about half of West Africa’s
population.
• one of the largest populations of youth in the
world.
• With an abundance of natural resources, it is
Africa’s biggest oil exporter
• has the largest natural gas reserves on the
continent.

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These challenges-TEI’s Opportunities to explore!!

R&D ACTIVITIES IN ALL TEIs and programs

Economic sector destinations of graduates in different fields of study, EU-28, 2013

Source: European Union Labour Force Survey, 2013.

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 Field of education of the innovative workforce, by sector of activity

the innovative workforce represents on average 55.6% of tertiary-educated professionals in the countries surveyed: Austria, Belgium, the Czech
Republic, Estonia, Finland, France, Germany, Hungary, Italy, Japan, Lithuania, the Netherlands, Norway, Poland, Portugal, Slovenia, Spain,
Switzerland, Turkey and the United Kingdom.
Source: Avvisati, Jacotin and Vincent-Lancrin, 2013.

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 # %

Micro Enterprise (1-9 employees) 36,994,578 99.8034986

Small Enterprise(10-49employees) 68,168 0.18390276

Medium Enterprise(50-200employees) 4670 0.01259867

TOTAL MSME's 37,067,416 100

Faith-Based Organisation Other SME'S OWNERSHIP

5%
cooperative 1%
1%
Private LLC
14%

Partnership
6%

Sole Proprietorship
73%

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 The challenges and opportunity of Nigeria

2005 Energy Consumption by Sector

60

50

40

30
%

20

10

0
Industry Transport Household Services

Trends in Sector Growth

50 Projected Energy need (MTOE) support

40 the GDP growth
30 250

20 200

10 2030 150
2015
0 100
Industry Transport Household Services
50

0
2015 2030 2015 2020 2025 2030
Central Bank of Nigeria (CBN) (1990), Federal Office of Statistics (FOS) (2002).These projections are based on the Model for the
Analysis of Energy Demand (MAED) of the IAEA. The projections are also based on the preferred scenarios of development for the
country, where industry would make the highest contribution to GDP

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 RENEWABLE ENERGY POTENTIAL

Resource Capacity comment

Large Hydropower 11,500 MW Only 1972 MW exploited
Small Hydropower 3,500 MW Only about 64.2 MW exploited
Solar 3.5 kW/m/day – 7.0 kW/m/day (4-7.5)hrs of sunshine/day
Wind 2-4 m/s @ 10m Electronic Wind Information
disk (WIS)
Biomass
o Fuelwood 11 million hectares of forest and woodland
o Animal Waste 245 million assorted in 2001
o Energy Crops and Agric Residue 72 million hectares of Agric
Sources: (i) National Petroleum Corporation (NNPC) 2007) (ii)Renewable Energy Masterplan (REMP) 2005 (iii)Ministry of Mines and
Steel Development (2008

Small group discussions 1

Develop SWOT profile for the country ( your geographic zone, your research ecosystem)

Instructions:

• Each Individual write those 3 things in each of the quadrant of the SWOT
ANALYSIS- 10mins
• Form a group of not more than 10 to share the input and group. The group then list
their input.
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2.4 Understanding the need for a Culture of Innovation

Repositioning TEIs for the

paradigm shift-

Culture of Innovation

v culture of innovation, one that will encourage

academics to perform breakthrough researches.

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 FACILITATOR: ensure you communicate clearly what the culture is.. you can have
several other examples

Culture of innovation-encourages academics to

perform breakthrough research.
Culture is the net effect of shared behaviors, and therefore
adopting innovative behaviors must come first. You change
the culture by becoming more innovative — not the other
way around.

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 How do you get (what should you do) from status quo
to your new desired point….

• 3 Ways to Build a Culture of Innovation

• Analyze your existing culture around your

thematic area.
• Challenge the status quo (expand your thoughts)
• Get comfortable with discomfort

SIX elements of Innovation:

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 Develop Principles of Innovative Thinking
Success directly correlates to the path we’ve developed. This innovation
effort should not be be different, so a train yourself to build upon a set of
important principles:
• Start with why
• See “problems” as challenges
• Convert challenges to opportunities
• Fail with pride
• Be open to new ideas
• Be willing to take some risks

What truly creates an innovative culture is

open-mindedness to allow for new ideas,
failure, and learning from the process.
people can have a fixed mindset (closed, not
open to change) or a growth mindset. Teach
yourself a growth mindset and allow for
innovation to thrive.

Cultivate the seeds of ideation

Time must be spent to plant and cultivate the seeds of ideation and cooperation,
to remove barriers and work through resistance, to establish a mindset receptive
to change and innovation, and to nurture a steady flow of creativity.

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 Collaborate and Share Knowledge
Networking for young academics is pivotal in building and strengthening
relationships with highly experienced researchers in both the academia and
industry
TEACHING
DEPTS/PROGRAMS Human Capital Development
collaborations TALENT

RESEARCH & TECH. DEV

Creative works, EXTENSION SERVICES
Problem-solving
Strategic Community – connections
Technology Incubation
Engagements
and Entrepreneurship ENABLING
INNOVATION Institutional and Organizational Linkages
ENVIRONMENT

Collaboration should be across your ecosystem in order to successfully deliver on a

solution-driven research project.

COLLABORATIVE TEAM WORK-NOT SILOS

Networking for young academics is pivotal in building and strengthening relationships
with highly experienced researchers in both the academia and industry

Asimov said, "What is needed is not only people with a good background in a
particular field, but also people capable of making a connection between item
one and item two which might not ordinarily seem connected."

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Using Innovative solution driven approach, how will you use the strength and opportunity
from discussions 1 to solve the threats or weakness?

SO=WT ANALYSIS

Small group
discussions 2

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 MODULE 3 Understanding TETFund Intervention Platforms
Know the Funding Agency and the FUND!!!

TETFund’s Mandate
• Provision of essential physical infrastructure for teaching and learning
• Provision of instructional materials and equipment
• Research, book development and publication (journals, et al.)
• Academic staff training and development
• Any other need, which in the opinion of the Board of Trustees, is critical and
essential for the improvement of quality and maintenance of standards in the
educational institutions.

To drive this initiative, the Fund raised the vigor in promoting the institutionalization of R&D in
tertiary institutions beginning with funding Research in Public Tertiary Institutions. In line with
the commitment of the Fund to achieve its mandate of promoting and supporting Research and
Publications in Nigerian Public Institutions, TETFund introduced the Institution-Based Research
(IBR) and the National Research Fund (NRF) with N20 and N50 million maximum celling
respectively per award.

The IBR was established with the objective of resuscitating research activities in the Public
Tertiary Institutions in Nigeria. This early career fund is expected to facilitate the revival of
quality research among the lecturers and assist them to build capacity for higher research.

26
The NRF on the other hand, is one of the five Special Intervention Areas introduced with a view
to realise the objective of addressing the critical need for high quality manpower to drive the
Nation's economy and its developmental aspirations towards attaining the Nation's Vision
20:2020 and beyond.
GRANT

• is a non-repayable cash award or anything of value provided to a recipient under a written

agreement to solve a public problem.
• is when one party grants funds to another party to do something, in reasonable
hopes that the task can be accomplished.
CONTRACT: A contract on the other hand a legally binding document in
which the parties make promises to deliver a product or service in exchange for
consideration (usually money).
COOPERATIVE AGREEMENT: A cooperative agreement is an award of financial assistance
that is used to enter the same kind of relationship as a grant but is distinguished from a grant in
that it provides for substantial involvement between the federal agency and the recipient in
carrying out the activity contemplated by the award.

The Grant Phases

PHASE I – PROPOSAL PHASE II – PROPOSAL PHASE III – AWARD

PREPARATION AND PROCESSING AND PROCESSING
SUBMISSION REVIEW

• TETFund’s Website • Reviewers Selected • Business Review:

• Select Newspapers • Peer Review Verifcation of
• Communication Process information
with Office of • Program Officer • Finance and Budget
Director of recommendation. Review
Researchers in • Division Director • Recommendation
TEI’s. Review to BOT
• Concept Note – • AWARD
Preliminary
Proposal
Submission

PHASE I – Pre-Proposal
1. Opportunity Announced with submission Guidance for all funding
opportunities are announced via:
• TETFund’s website
• Select newspapers
• communication with office of Director of Researchers in TEI’s, to guide the writers on the
Requests for Proposals (RFP).
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Concept Note – Preliminary proposal Submission
A concept note is not a binding document. The predominant reason for its use is to help
TETFund program staff gauge the size and range of the competition, enabling earlier
selection and better management of reviewers and panelists. In addition, the information
contained in a concept note is used to help avoid potential conflicts of interest in the
review process.

1. Preliminary Proposal Received. Proposals are received and are assigned to the
appropriate intervention areas for acknowledgement. Some request proposals
require concept notes prior to completing the full application.

PHASE II – Proposal Processing and Review

• Reviewers Selected. Reviewers are selected based on their specific and/or broad
knowledge of the fields; their broad knowledge of the infrastructure and its
educational activities; and to the extent possible, diverse representation within
the review group.
• Peer Review. All TETFund proposals are reviewed through use of these two
merit review criteria: Intellectual Merit and Broader Impacts. Some
solicitations may have additional review criteria. External reviewers’ analyses
and evaluation of the proposal provide information to the TETFund’s
Program Officer in making a recommendation regarding the proposal.
• Program Officer Recommendation. After programmatic review, the TETFund’s
Program Officer recommends to the Division Director whether the proposal
should be recommended for an award or declined for funding.
• Division Director Review. If the decision is made to decline the award,
the organization/individual is notified, and review information is then
available in the System. If the decision is to award, the recommendation is
submitted to a Grants & Agreements Officer in the FINANCE division

PHASE III– Award Processing

• Business Review. The Grants and Agreements Officer in the FINANCE Division
conducts a review of business, financial, and policy implications.
• Award Finalized. The award is comprised of an award notice, budget, proposal,
applicable TETFund conditions, and any other documents or requirements
incorporated by reference into the agreement. Each TETFund award notice
specifically identifies certain conditions that are applicable to, and become part
of, that award.

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 ACCESSING THE INSTITUTION BASED RESEARCH (IBR)

The IBR was established with the objective of

Research Proposal
resuscitating research activities in the nation’s
tertiary institutions in Nigeria. The culture of
Institutions'
research over the years has been dwindling in most
Award Committee on
Research (ICR) of the higher Institutions in the country. The
outcome would be the revival of quality research
among lecturers in tertiary institutions.
Recommendation to TEFund's Screening
BoT •
Adhoc CommitteeTETFund gives allocation for IBR
annually. This allocation however is domiciled in
the TETFund account and only released for execution of the project after the
proposal has been approved.
• The approved fund shall be disbursed in total of 100%areas
• There is no restriction in the thematic areas under IBR- Arts, Humanities,
Science and Technology, Education
• All lecturers in all public tertiary institutions in Nigeria are eligible to access the funds
• The research must be conducted in the Institution where the lecturer is an employee.
Researchers must ensure that all required documents are attached, as non-inclusion may
delay the process or lead to rejection.

1. Research proposals shall be submitted to the Institutions’ Committee on Research

(ICR) where they are screened and approved. Approved proposals shall be duly
signed by the Chairman of the Committee as having satisfied the Committee
based on a scoring criteria.

2. Submission of ICR-Approved Proposals to TETFund by

Researcher(s) Checklist for Submissions:

• Cover letter to TETFund by the Principal Researcher through the Head of the Department, the
Chairman (ICR) and the Head of Institution or his representative requesting funding for the
approved proposals.
• Minutes of the meeting of the (ICR) in which the proposal was approved.
• Evidence of approval for proposed research project by the ICR – an approval page
which clearly states that the research proposal has been screened and considered
worthy of funding by TETFund and is hereby approved by the committee (this page
must be signed by the Chairman of the Committee before the proposal can be
considered by TETFund for funding).

3. Screening by TETFund

The proposals will be further screened to ensure that the format followed, the required
documentations provided and that the content and quality of the proposal is sufficient. This
will be done by an ad-hoc Committee in TETFund.use of prescribed format,

• Proposal does not exceed the funding limits set by researchers,

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• Cost of approved proposals do not exceed the maximum allocation to the
Institution (where the Institution’s submissions exceed their allocation, the
checklist becomes a critical factor whether the proposal is funded or not).

30
 ACCESSING THE NATIONAL RESEARCH FUND (NRF)

• Every lecturer in tertiary institutions in Nigeria is eligible. Multi-disciplinary research projects

comprising of researchers from various disciplines are encouraged. The lead researcher, where
there are multiple researchers, is called the Principal Researcher/Investigator (PI).
• The PI will be personally and actively responsible for conducting the research and must be
considered eligible by the Research Fund Screening and Monitoring Committee.
• The PI must be institution-based

Submission of Research Proposals

Thematic Areas: defined within each major category

NATIONAL RESEARCH FUND (NRF)

Main Categories Call for concept Evaluation of Call for FULL

notes concept notes PROPOSALS

Humanities&
Social Sciences
(HSS)

Proposal Defense Evaluation

Feedback
Stage 3 Stages 1A, 1B, 2
Science ,
Engineering, Cross Cutting
Technology (CC)
(SET)

On-site verification Recommendation

AWARD
and validation to BOT

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Proposal Evaluation and Assessment
Stage 1A: Pre-screening – Those proposals that have met submission guideline criteria are recommended to the
second stage of processing

Stage 1B: Proposals are sent to external reviewers and screened for appropriateness.

Stage 2: Critical reviews of the proposals by both internal and external reviewers takes place

Main Categories and Thematic areas

Cutting

Security Creation

Transportation Development

Governance

Information Technology,

Studies
National Research Fund
Engineering

Tourism

Development

Inclusion

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 PROPOSAL PROCESSING AND REVIEW GUIDELINES

Pre-screening. Proposals received by TETFund are assigned to the appropriate TETFund program and are
assessed to ensure that they meet TETFund compliance requirements. All compliant proposals are then
carefully reviewed by a scientist, engineer, or educator serving as a TETFund Program Officer and a
team of reviewers. The TETFund guidelines for the selection of reviewers are designed to ensure a
selection of experts who can provide Program Officers the proper information needed to make
recommendations. Optimally, reviewers should have:

1. special knowledge of the core thematic areas and subfields involved in the proposals to be
reviewed to evaluate competence, intellectual merit, and utility of the proposed
activity. Within reasonable limits, reviewers’ fields of specialty should be complementary within a reviewer
group.
2. broader or more generalized knowledge of the thematic area and subfields involved in the
proposals to be reviewed to evaluate the broader impacts of the proposed activity. Reviewers
with broad expertise are required for proposals involving substantial size or complexity, broad
disciplinary or multidisciplinary content, or significant national or international
implications.
3. broad knowledge of the infrastructure of the thematic area’s enterprise and its
educational activities to evaluate contributions to societal goals, scientific and
engineering personnel, and distribution of resources to organizations and geographical
areas.
REVIEWS PRINCIPLES AND CRITERIA
TETFund strives to invest in a robust and diverse portfolio of projects that creates new knowledge and
enables breakthroughs in understanding across all thematic areas. To identify which projects to support,
TETFund relies on a merit review process that incorporates consideration of both the technical aspects of a
proposed project and its potential to contribute more broadly to advancing national development.

Merit Review Principles. Given that TETFund is the primary Federal agency charged with nurturing and
supporting excellence in research and education in TEIs, the following three principles apply to all
Intervention projects:

• Highest quality and have the potential to advance, if not transform, the frontiers of
knowledge.
• In the aggregate, should contribute more broadly to achieving societal goals.

33
 • Meaningful assessment and evaluation of funded projects should be based on appropriate
metrics, keeping in mind the likely correlation between the effect of broader impacts and the
resources provided to implement projects. If the size of the activity is limited, evaluation of
that activity in isolation is not likely to be meaningful. Thus, assessing the effectiveness of
these activities may best be done at a higher, more aggregated, level than the individual project.
Thus, individual projects should include clearly stated goals, specific descriptions of the activities
that the PI intends to do, and a plan in place to document the outputs of those activities.

2. Merit Review Criteria

• Intellectual Merit. The Intellectual Merit criterion encompasses the potential to advance
knowledge; and
• Broader Impacts. The Broader Impacts criterion encompasses the potential to benefit society
and contribute to the achievement of specific, desired societal outcomes.
Criteria are to be given full consideration during the review and decision-making processes; each
criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both
criteria. When evaluating TETFund’s proposals, reviewers will be asked to consider what the proposers:
want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and
what benefits could accrue if the project is successful.

These issues apply both to the technical aspects of the proposal and the way in which the project may make broader
contributions. Reviewers will be asked to evaluate all proposals against the two criteria. The following elements
should be considered in the review for both criteria: What is the potential for the proposed activity to:

• Advance knowledge and understanding within its own field or across different fields
(Intellectual Merit); and

• Benefit society or advance desired societal outcomes (broader impacts)?

• To what extent do the proposed activities suggest and explore creative, original, or potentially transformative
concepts?
• Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound
rationale?
• Does the plan incorporate a mechanism to assess success?
• How well qualified is the individual, team, or organization to conduct the proposed activities?
• Are there adequate resources available to the PI (either at the home organization or through collaborations) to
carry out the proposed activities?

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 REVIEW PROCESS
• To evaluate competence, intellectual merit, and utility of the proposed
activity.
• To evaluate the broader impacts of the proposed activity.
• To evaluate contributions to societal goals and distribution of resources to
organizations and geographical areas.

Merit Review Principles Merit Review Criteria

• Highest quality and have the • Intellectual Merit: The
potential to advance, if not Intellectual Merit criterion
transform, the frontiers of encompasses the potential to
knowledge. advance knowledge
• In the aggregate, should • Broader Impacts: The
contribute more broadly to Broader Impacts criterion
achieving societal goals. encompasses the potential to
• Meaningful assessment and benefit society and
evaluation of funded projects contribute to the
should be based on achievement of specific,
appropriate metrics desired societal outcomes.

TETFund Innovation Ecosystem

FRAMEWORK FOR A SUSTAINABLE ECONOMIC

DEVELOPMENT MODEL

National
RFP’s priorities
TETFund /
National
Office of TETFund R&D Dept ERGP National Needs
R&D Foundation
Research
Programs

Management
Community
TEI of Tertiary
Partnership Workforce
RESEARCHERS Institutions Development

Innovative
Quality
Solution-Driven Technology Industries product
Transfer output
Socio Economic
RESEARCH Growth

35
 MODULE 4:

Planning and Developing a Fundable Research Project

4.1: Developing an Innovative idea for a project

Session 4.2: Project Design and implementation outline (logic
model)
Session 4.3: Elements of a Winning Proposal

36
 4.1 Proposal Planning and Development

A proposal does not stand alone. It must be part of a process of planning, research, outreach.
Relevant background information must first be gathered about a proposed idea. The data gathering
process will make writing the proposal much easier. Further, by involving other stakeholders in the
process, it helps key stakeholders seriously consider the project’s value to the organization.
Gathering Background Information: Three fundamental areas to get clarity
• Concept – How does the project fit with the mission and vision of your organization? Is there a definite
need?
• Program – Description of the project and how it will be conducted, timetables for project
activities, anticipated outcomes and evaluation plans, and staffing needs
• Expenses – Sketch a broad outline of expenses to assess if the costs are reasonable to the outcomes
anticipated (a detailed budget will evolve after the program details have been worked out).
How to Develop an Innovative Idea for your Proposal Application
FIVE essential elements are needed to write a competitive proposal:

1). Can-do-Positive Attitude

2). Innovative idea,
3). Time and
4). Strong level of commitment.
5). A collaborative winning Team
Most of those who write grants lack sufficient commitment to make the time (plan) and take the necessary steps
(guidelines) required of them. Innovative ideas are usually the product of a step-by-step developmental process.

a. Problem Definition
• Statement of work - Define the problem that you intend to address within the scope of your research
interest, select a niche that is not over worked.
• Be interested in an area with potential that can systematically and vertically be developed by you.
• Identify long-term goals you have within the niche area. Set achievable and measurable goals. This is
typically more than what can be accomplished within the time of a single funding period. Do not be so
ambitious as it will appear unattainable.
• Conceptualize the step-by-step continuum of the type of research that will be required to attain the
long-term goal you have identified.

a. Assessment of Potential for Success

Researchers’ capability- Regardless of how useful your idea is, it must be one that is within your capability
to pursue.

• Will you have sufficient time to commit to the project?

• Will you and your collaborators have the expertise to accomplish the work?
• Does your institution have the resources that will be required to pursue the kind of research required by the
project?
Seek Constructive Criticism

Success of any grant application is so fundamental that you need to do “everything possible”

seek critical feedback from knowledgeable colleagues. Look for:

• the persons you have absolute trust- in, ones that won’t take your ideas and run with it,
• subject - matter experts in the “idea” areas you are proposing,
• those who can provide you with real constructive criticism should it be needed.

4.2 Project Design and implementation outline (logic model)

Proposal Planning Process

 DETERMINE YOUR PROPOSAL FOCUS
Basic or Applied Research?

BASIS FOR BASIC RESEARCH APPLIED RESEARCH

COMPARISON

(NRF)
Meaning Basic Research refers to the study that is
Applied Research is the scientific study
aimed at expanding the existing base of
scientific knowledge. that is designed to solve specific real-life
problems or answer certain questions.

Nature Theoretical
Practical
Utility Universal
Limited to the specific problem
Concerned with Developing scientific knowledge and
Development of technology and
predictions
technique with the help of basic science
Goal To add some knowledge to the existing one.
To find out solution for the problem
under consideration

IDEATION STRATEGY BASED ON Type of intended research proposal

Type of What’s the difference? What to consider

research
Basic vs Basic research aims to develop Do you want to expand scientific
applied knowledge, theories and predictions, understanding or solve a practical
while applied research aims to develop problem?
techniques, products and procedures.

Exploratory vs Exploratory research aims to explore How much is already known about
explanatory the main aspects of an under- your research problem? Are you
researched problem, while explanatory conducting initial research on a
research aims to explain the causes newly identified issue, or seeking
and consequences of a well-defined precise conclusions about an
problem. established issue?

Inductive vs Inductive research aims to develop a Is there already some theory on

deductive theory, while deductive research aims your research problem that you can
to test a theory. use to develop hypotheses, or do
you want to propose new theories
based on your findings?

4.3 THE SCIENTIFIC METHOD OF PROBLEM DEFINTION AND ASSESSMENT

A thorough understanding of the steps to apply the scientific method will provide considerable value in
preparation of a research proposal, since these steps are fundamental to choose researchable problems,
formulate testable hypotheses, test hypotheses (with appropriate tools), construct conclusions, and modify
scientific theory (adapted from Schafersman,1997)
Step 1. Identify a significant problem or ask a meaningful question in such a way that there is a
conceivable answer.
Step 2. Attempt to answer the question posed in step 1 by gathering relevant information and making observations.
Step 3. Propose a solution to the problem or answer to the question as a scientific hypothesis.
Step 4. Test the hypothesis to allow corroboration and establishment of validity.
Step 5. Accept, reject, abandon, or modify the hypothesis.
Step 6. Construct, support, or cast doubt on a scientific theory.

The goal of all scientists should be the formulation of scientific theory, regardless of whether the research is
fundamental or applied.
 LOGIC MODEL

WHAT IS LOGIC MODEL?

Basically, a logic model is a systematic and visual way to present and share your
understanding of the relationships among the resources you have to operate
your research project, the activities you plan (PLANNED WORK) and the
changes or results you hope to achieve (INTENDED RESULTS).

The Purpose and Practical Application

The purpose of a logic model is to:
• Provide stakeholders with a road map describing the sequence of related
events connecting the need for the planned program with the program’s
desired results.
• Mapping a proposed program helps you visualize and understand how
human and financial investments can contribute to achieving your intended
program goals and can lead to program improvements.

The Logic Model Approach

 How to read the Logic Model
Preferably to be “read” from left to right, logic models describe program basics over time from
planning through results. Reading a logic model means following the chain of reasoning or
“If...then...” statements which connect the program’s parts. The figure below shows how the basic
logic model is read.

RESOURCES / INPUTS
• Certain resources are needed to operate your program

ACTIVITIES
• IF you have access to them, then you can use them to accomplish your planned
activities

OUTPUTS
• IF you accomplish your planned activities, then you will hopefully deliver the
amount of product and/or service that you intended.

OUTCOMES
• IF you accomplish your planned activities to the extent you intended, then your
participants will benefit in certain ways.

IMPACT
• IF these benefits to participants are achieved, then certain changes in
organizations, communities, or systems might be expected to occur.

Example

42
 How Logic Models Better Position Programs for Success
Thinking about a program in logic model terms prompts the clarity and specificity required for
success, and often demanded by funders and your community. Using a simple logic model
produces 1) an inventory of what you have and what you need to operate your program; (2) a
strong case for how and why your program will produce your desired results; and (3) a method
for program management and assessment.
Program Design and Planning:
The Logic Model serves as a planning tool to develop program strategy and enhance your ability
to clearly explain and illustrate program concepts and approach for key stakeholders,
including funders. During the planning phase, developing a logic model requires stakeholders to
examine best practice research and practitioner experience considering the strategies and
activities selected to achieve results.

• Problem or Issue Statement: Describe the problem(s) your program is attempting to solve or
the issue(s) your program will address.
• Community Needs/Assets: Specify the needs and/or assets of your community that led your
organization to design a program that addresses the problem.
• Desired Results (Outputs, Outcomes and Impacts): Identify desired results, or vision of the
future, by describing what you expect to achieve near- and long-term.
• Influential Factors: List the factors you believe will influence change in your community.
• Strategies: List general successful strategies or “best practices” that have helped
communities like yours achieve the results your program promises.

• Assumptions: State the assumptions behind how and why the change strategies will work in
your community.
Using the logic model during program implementation and management requires focused
energies on achieving and documenting results. Logic models helps to consider and prioritize
the program aspects most critical for tracking and reporting and adjusting as necessary.
Elements of Implementations:

• Outputs: For each program activity, identify what outputs (service

delivery/implementation targets) you aim to produce.
• Outcomes: Identify the short-term and long-term outcomes you expect to achieve for each
activity.
• Impact: Describe the impact you anticipate in your community in 7 to 10 years with each
activity as a result of your program.
• Activities: Describe each of the activities you plan to conduct in your program.
• Resources: Describe the resources or influential factors available to support your program
activities.
Logic Models
Clear ideas about what you plan to do and why, as well as an organized approach to capturing, documenting, and
disseminating program results – enhance the case for investment in your program.

43
 Building a Logic Model by Basic Program Components
As you conceptualize your program, begin by describing your basic assumptions and then
add the following program components in the order that they should occur.

1. Factors are resources and/or barriers, which potentially enable or limit program
effectiveness. Enabling protective factors or resources may include funding, existing
organizations, potential collaborating partners, existing organizational or
interpersonal networks, staff and volunteers, time, facilities, equipment, and supplies.
Limiting risk factors or barriers might include such things as attitudes, lack of
resources, policies, laws, regulations, and geography.
2. Activities are the processes, techniques, tools, events, technology, and actions of
the planned program. These may include products – promotional materials and
educational curricula; services – education and training, counseling, or health
screening; and infrastructure – structure, relationships, and capacity used to
bring about the desired results.
3. Outputs are the direct results of program activities. They are usually described in
terms of the size and/or scope of the services and products delivered or produced
by the program.
They indicate if a program was delivered to the intended audiences at the intended
“dose.” A program output, for example, might be the number of classes taught,
meetings held, or materials produced and distributed; program participation rates
and demography; or hours of each type of service provided.

4. Outcomes are specific changes in attitudes, behaviors, knowledge, skills, status, or level
of functioning expected to result from program activities and which are most often
expressed at an individual level.
5. Impacts are organizational, community, and/or system level changes expected to result
from program activities, which might include improved conditions, increased
capacity, and/or changes in the policy arena.

44
 MODULE 5:
Writing a Fundable Research proposal

45
5.1 CHARACTERITISTICS OF SUCCESSFUL GRANTS

• Excites the reviewers

• Includes easy to read and understand
• Contains an appropriate literature review
• Clear rationale & objectives that fit program priorities
• Provide a clearly stated hypotheses or research questions – for research proposals
• Possess clearly stated learning objectives and expected outcomes such as impacts for
education and extension portion of the project (What will be different as a result of the
proposed work?)
• Have specific and measurable goals and objectives, methods, work plan, etc. for
research, education, and extension components – for integrated proposals
• Clearly provides well-communicates the importance of topic and potential contributions of
work
• Provides a detailed project description - methods, sample selection, analysis,
educational program delivery, instructional materials development, etc.
• Discusses the expected outcomes
• Addresses potential pitfalls, including short-comings of data and amelioration plans
• Contains a good plan for dissemination of results and use of research results in
education programs
• Covers appropriate expertise of the Project Director(s) and/or PIs.
COMMON REASONS
Common reasons why proposals are not funded

A. Problem (Significance) B. Approach C. Investigator

• The problem is not of sufficient • The description of the approach • The investigator does not have
importance or is unlikely to is too diffuse and lacking in adequate experience or training
produce any new or useful clarity to permit adequate for this research.
information. evaluation.
• The investigator appears to be
• The problem is more complex • The overall design of the study unfamiliar with recent
than the investigator appears to has not been carefully thought pertinent literature or methods.
realize. out.
• The investigator's previously
• The problem is scientifically • The statistical aspects of the published work in this field
premature and warrants, at approach have not been given does not inspire confidence.
most, only a pilot study. sufficient consideration.
• The investigator proposes to
• The research as proposed is • Controls are either rely too heavily on insufficiently
overly involved, with too many inadequately conceived or experienced associates.
elements under simultaneous inadequately described.
investigation. • The investigator is spreading
• The equipment contemplated is themselves too thin; they will
• The description of the nature of outmoded or otherwise be more productive if they
the research and of its unsuitable concentrate on fewer projects.
significance leaves the proposal
nebulous and diffuse and • The investigator needs more
without a clear research aim liaisons with colleagues in this
field or in collateral fields.
WHY

PROPOSALS ARE NOT FUNDE

46
5.2 THE GRANT PROPOSAL “DOS” AND “DON’TS":

DO:

• Respond directly to the priorities of the funder and make the connection clear (do not assume the
sponsor will change the guidelines just because you have a good idea that falls outside of them).
• Follow the guidelines explicitly both in content and format.
• Positively represent your capabilities, e.g., "We have a strong academic program, but we
want to reach more students” vs "We do not have any resources."
• Present evidence that (a) this issue is significant in the field (based on literature review, statistics,
stakeholder opinions, etc.), and (b) your project is likely to succeed (e.g., preliminary data or pilot
study).
• Make sure you have described adequate expertise on your team and physical resources to do the
work.
• Make sure you have an evaluation plan for project proposals (e.g., measure outcomes in the
classroom or in the community).
• Use foundation funds to leverage other funding and at minimum show sustainability of the program.
• Publish results of all funding.
• Write clearly, succinctly; follow an outline; and support your assertions with references or data.
DO NOT:

• Ignore submission guidelines. If the RFP requires a proposal letter before submitting, only send
proposal letter and not the full proposal.
• Try to do too much considering your experience and skills, the budget, the time allotted,
your access to study participants (e.g., subjects), and your resources. Being “too ambitious” is a
common rookie mistake.
• Duplicate other funded projects.
• Resubmit a proposal without revisions in response to reviewer’s comments.
• Submit a large research proposal without a publication history in the area.
• Write a budget that is either too small (skimping) or too large (padding) for the proposal work.

5.3 Organizing Your Writing Approach

CHARACTERITISTICS OF SUCCESSFUL GRANTS
• Study and follow the TETfund's guidelines. Mark them as you study, noting such things as
funder’s priorities, eligibility requirements, formatting details, deadline, content
idiosyncrasies, review criteria, etc. The guidelines will probably specify certain topics or
questions that must be addressed. If possible, use the sponsor's exact phrases as your headings.
You may even wish to borrow some of the language of the guidelines if it fits naturally into

47
 the framework of your proposal. For example, if the sponsor is looking for a
“transdisciplinary" approaches to the problem, you would do well to use that term rather
than “interdisciplinary” to describe the same activities.
• Check with your research administrator - if there are sections that are either too vague or
too specific for comfort. This way you will also alert the administrator to your intent to
submit and allow them to plan the process.
• Break the proposal up into small and simple subsections – especially if more than one person
will be writing. Give each subsection headings and subheadings (referring again to the
guidelines) and write slavishly to this outline. Using subheadings liberally will not only help
you organize your material but will also guide reviewers through your project description.
• Compare your budget and your text to insure that for every cost figure, a
corresponding activity is mentioned and justified in the text.
• Pay special attention to the abstract. Having rushed through the project description, you will
find that careful construction of the abstract will serve both as a summary of what you
intend to do and as a check on whether you have omitted any essential topics. Don’t just copy
and paste your Aims or Significance section. Make this section fresh, informative and
engaging; remember that the reviewer may go directly to your Project Description after
reading the Abstract, so avoid redundant language.

GRANT WRITING BASICS

Academic Writing: thesis, dissertation, scholarly papers, journal articles

Grant Writing: completely different set of writing skills necessary to “win” grants

ACADEMIC GRANT

Scholarly Pursuit Sponsor Goals

• Individual passion • Service attitude
• Advance your career • Adapt expertise

Past Oriented Future Oriented

Work that has been done • Work that should be done
Theme-Centered Project-Centered
• Theory & thesis • Objectives & activities
• Realm of ideas • World of action
• Examine issue • Accomplish goals
• Final conclusions • Expected outcomes
Expository Rhetoric Persuasive Rhetoric
• Explaining • Selling
• Logical progression • Strong pitch

48
Impersonal Tone Personal Tone
• Objective • Conveys excitement
• Dispassionate • Active voice
Individualistic Team-Focused
• Solo activity • Feedback needed
Few Lengths Constraints Strict Length Constraints
• Verbosity rewarded • Brevity rewarded
• Sentence, paragraph, paper • Clear, concise
Specialized Terminology Accessible Language
• Insider jargon • Easily understood
• Inflated prose • Generalist audience

You probably learned everything you need to know before high school!

— Begin with an outline (use solicitation)

— Subject and verb
— One main idea per paragraph
— Avoid lengthy sentences
— Use commas & semi-colons
— Spelling & grammar matter

ANATOMY OF A WINNING
PROPOSAL
• What do you want to do, how much will it cost,
and how much time will it take?
• How does the proposed project relate to the
• Writing a research project proposal for sponsor's interests?
funding is a problem “thing” of persuasion.
• What difference will the project make to: your
field, the state, the nation, or whatever the
• You need to assume: that your reader is faced
appropriate categories are?
with many more requests than he/she can
grant, or even read thoroughly. • What has already been done in the area of your
project?
• Such a reader wants to find out quickly and
• How do you plan to do it?
easily the answers to some these questions.
• How will the results be evaluated or analyzed?
• Why should you, rather than someone else, do
this project?

Bottom line: The principal investigator needs to keep in mind that a Grant Proposal is as
much a marketing document as an intellectual document.

49
 Primary Components of a Research Proposal

Proposals generally follow a similar format; variations depend upon whether

the proposer is seeking support for a research grant, a training grant, or a
conference or curriculum development project.

• The following outline covers the primary components of a research

proposal. Your proposal will be a variation on this basic theme.

1.Title Page
2. Abstract
3.Table of Contents
4.Introduction
5.Background
6.Description of Proposed Research
7.Description of Relevant Institutional Resources
8.List of References
9.Personnel
10.Budget

The CONCEPT NOTE

GUIDANCE CONTENT FORMAT

• Present the problem the project • Title of Proposed Research

• The Quality of the Concept Note will focus on • Thematic Area
is most vital. • Background to the Research
• Describe the project objectives • Statement of the Problem
• In the Concept Note you will • Objectives of the Research
submit an analysis of current • Describe all groups that will • Research Questions
situation and a chosen strategy. benefit from the project • Literature Review
• Theoretical Framework
• Your project idea, however, • Discuss the project results (or • Research Methodology
should be well thought through what is expected to be
before you start completing the • Expected Results
accomplished through the
Concept Note. project • Innovation: How different it is
• Describe the type of activities from other or earlier projects?
• This is very important. So take that are planned within the • Estimated budget
the time to develop the project project • References (not more than 5)
idea as well as you can. • Research Team
• State the estimated funding (Name/Rank/Highest
requested from NRF Qualification/Area of
specialization)

50
 TITLES

The title is the part of a paper that is read

the most, and it is usually read first.
• If the title is too long -it usually contains
too many unnecessary words, e.g., "A
Study to Investigate the...."
• On the other hand, a title which is too
short often uses words which are too
general. For example, "African Politics"
could be the title of a book, but it does
not provide any information on the focus
of a research paper.
SUBTITLES

Subtitles are quite : Examples of why you may include a subtitle:

Explains or provides additional context, e.g., "Linguistic Ethnography and the

Study of Welfare Institutions as a Flow of Social Practices: The Case of
Residential Child Care Institutions as Paradoxical Institutions."
1.Adds substance to a literary, provocative, or imaginative title, e.g., "Listen to
What I Say, Not How I Vote: Congressional Support for the President in
Washington and at Home."
2.Qualifies the geographic scope of the research, e.g., "The Geopolitics of the
Eastern Border of the European Union: The Case of Romania-Moldova-Ukraine."
3.Qualifies the temporal scope of the research, e.g., "A Comparison of the
Progressive Era and the Depression Years: Societal Influences on Predictions of
the Future of the Library, 1895-1940."
4.Focuses on investigating the ideas, theories, or work of a particular
individual, e.g., "A Deliberative Conception of Politics: How Francesco Saverio
Merlino Related Anarchy and Democracy."

51
The title should: Examples of good titles are:

• match interests of reviewers; • “Applications of the xxxxxxx,”

• use appropriate key words;
• be specific to the work to be • “Advancing engineering
accomplished; education through xxxxx,”

A good title is usually a compromise • “Structural controls of

between conciseness and explicitness. One functional receptor and
good way to cut the length of titles is to antibody binding to viral
avoid words that add nothing to a reader's capsids,”
understanding, such as
• “Active tectonics of the
• "Studies on...," Africa-Eurasia zone of plate
• "Investigations...," or interaction in the Western
• "Research on Some Problems in....” Mediterranean.”

MAIN CATEGORIES AND THEMATIC AREAS

Science , Engineering, Technology Cross Cutting
Humanities & Social Sciences (HSS)
(SET) (CC)
• National Integration and National • Agriculture and Food Security • Entrepreneurship & Wealth
Security Creation
• Health and Social Welfare
• Education and Training • Environment, Housing & Urban
• Transportation Development
• Economic Development
• Energy and Power • Resource Governance
• History, Culture and Religion
• Information Technology, Computing • Science, Technology and Innovation
• Language, Literature and Media & Telecommunications System Management

• Social Development and Welfare • Space Science and Technology • Cross-Cutting Issues in Sustainable
Development Goals
• Population Studies • Geosciences
• Guidelines for Accessing the
National Research Fund
• Politics, Law and Governance • Engineering

• Tourism • Water & Sanitation

• Sports and Recreational

Development

• Gender, Equity and Social Inclusion

52
 Abstract-Executive Summary

• The abstract forms the reader’s initial impression

of the work, and therefore plays a big role on
whether the application is funded.
• To present the essential meaning of the proposal,
the abstract should summarize the significance of
the research, what is to be accomplished and
how, and the potential impact of the work.
• Though it appears first, the abstract should be
edited last, as a concise summary of the proposal
• It should generally be written in a manner that is
understandable both to a layman and to the
scientific community.

The Proposal Summary: This needs to be the best-worded, most

concise, and most appealing part of the entire proposal.

The summary should provide the reader with an encapsulation of

what is to be found in the rest of the proposal. It should summarize
all the key information and convince the reader of the significance
and potential contribution of the proposed research It is strongly
recommended that you do not write the summary until you have
completed writing the rest of your document.

53
Goals of the Introduction
the introduction’s primary goal is to
demonstrate the importance,
interest and originality of your
research project. A vague, disorganized, or error-
it should include a statement of the filled introduction will: create a
research question that your project
investigates. This statement should negative impression, whereas,
give readers a broad sense of the
current research on your topic, a concise, engaging, and well-
what’s at stake in learning more
about the topic and how your written introduction will: start
specific project changes what your readers off thinking highly
people know about the topic. The of your analytical skills, your
introduction’s tone should be
confident without being arrogant or writing style, and your research
dismissive. Finally, the introduction approach.
should define key terms you’ll use
throughout the study, as well as map
out the rest of the dissertation.

Goals of the Background Be sure to:

The background section is often • Make clear what the research problem
called the literature review. “The is and exactly what has been
literature” refers to other research accomplished;
on your topic. The background • Give evidence of your own competence
synthesizes current knowledge on in the field; and
your research question in far • SHOW why the previous work needs to
greater detail than your be continued. The literature review
introductory section does. Its goal should be selective and critical.
is to articulate patterns within the • Discuss clearly work done by others-
literature and to describe should lead the reader to a clear idea of
unresolved issues or questions, how you will build upon past research
then to show how your study fits and how your work differs from theirs.
into the larger body of work in your
field. You can organize your helps your reader determine if you have a
overview of other research in basic understanding of the research
several ways, including in problem being investigated and promotes
chronological order, by significant confidence in the overall quality of your
issues, or from broad information analysis and findings.
about your field to specific studies
on your topic

Background information expands upon the key points stated in your introduction

54
 1.Introduce the reader to the importance of
the topic being studied. The reader is oriented
The to the significance of the study and the
purpose research questions or hypotheses to follow.
of a
2.Places the problem into a particular
problem context that defines the parameters of what is
statement to be investigated.
is to:
3.Provides the framework for reporting the
results and indicates what is probably
necessary to conduct the study and explain
how the findings will present this information.

The problem statement will look different depending

on whether you’re dealing with a practical real-world
problem or a theoretical scientific issue.

But all problem statements follow a similar process.

How to write a It should:

problem • Put the problem
in context (what do we already
statement know?)
• Describe the precise issue that
the research will address (what
do we need to know?)
• Show the relevance of the
problem (why do we need to
know it?)
• Set the objectives of the
research (what will you do to
find out?)

55
ELEMENTS OF RESEARCH PROBLEM STATEMENT

56
 Project goal is: What the project is expected to benefit each target group
Objectives

• The objectives, or the intended outcomes, of the project.

• The objectives (or aims) should focus on outcome as opposed
to process.
• For example:
• the outcome of the work is “To identify the candidate
allele;”
• while the process of getting there includes “to run several
trials on samples.”
When writing aims, use active, measurable terms, e.g.,
to identify, to characterize vs. to study.

Project Objective: What the project intends to accomplish and in what

period of time

OBJECTIVE ARE:

SMART?
To increase use of Covid Vaccine services by Nigerians aged 15-24
by 40% in 2 years.

To ensure that TEIs have adequate funding and materials

support.

To enhance refugee income generating and food production

capacity.

To increase the proportion of Girl Child in STEM from 20% to 30%

in 1 year.

57
 Theoretical Framework
• A theoretical framework consists of concepts and, together with their
definitions and reference to relevant scholarly literature, existing theory that is
used for your particular study.

• The theoretical framework must demonstrate an understanding of theories

and concepts that are relevant to the topic of your research and that relate to
the broader areas of knowledge being considered.

• The theoretical framework is most often not something readily found within
the literature.

• You must review course readings and pertinent research studies for theories
and analytic models that are relevant to the research problem you are
investigating.

• The selection of a theory should depend on its appropriateness, ease of

application, and explanatory power.

Theoretical Framework

1. An explicit statement of theoretical assumptions permits the reader to evaluate

them critically.

2.The theoretical framework connects the researcher to existing knowledge.

Guided by a relevant theory, you are given a basis for your hypotheses and choice
of research methods.

3.Articulating the theoretical assumptions of a research study forces you to

address questions of why and how. It permits you to intellectually transition from
simply describing a phenomenon you have observed to generalizing about various
aspects of that phenomenon.

4.Having a theory helps you identify the limits to those generalizations. A

theoretical framework specifies which key variables influence a phenomenon of
interest and highlights the need to examine how those key variables might differ
and under what circumstances.

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 Project Description/Statement of Work/ Research Plan (Approach)

• The project description, also called the statement of work, is the

heart of the proposal. This section is a comprehensive explanation of
the proposed research and is addressed to other specialists in your
field (not to laymen).
• The PI should go into as much technical detail as necessary to
explain the intent of the project and how it will be accomplished.
This section will be thoroughly reviewed by experts in the field. The
project description might include the following items:

• The objectives, or the intended outcomes, of the project.

• The procedures, or how the PI will carry out the project. These
may be
• A description of the evaluation design, if required. A statement
of how the research results will be disseminated

The Procedures

The procedures, or how the PI will carry out the

project. These may be organized in several different
ways:
• By activities tied to specific procedures;
• by functional categories such as planning,
development, and implementation; or
• by major time blocks.
• Be realistic about how much can be accomplished in
the period of time reserved for each part of the
project and should remember that the individuals
reviewing the proposal will recognize an overly
optimistic timetable.
• A proposal can be greatly strengthened if letters of
agreement to participate from cooperating
organizations or consultants are included, and many
sponsors actually require such letters.

59
 Personnel
Description of Relevant Institutional This section usually consists of two parts:
Resources (1) an explanation of the proposed
Generally, this section details the personnel arrangements and (2) the
resources available to the proposed biographical data sheets for each of the
project and, if possible, shows why main contributors to the project. The
the sponsor should select this explanation should specify how many
University and this investigator for this persons at what percentage of time and in
particular research. Some relevant what academic categories will be
points may be: participating in the project. If the program
•the institution's demonstrated skill in is complex and involves people from other
the related research area departments or colleges, make clear the
•its abundance of experts in related organization of the staff and the lines of
areas that may indirectly benefit the responsibility. Any student participation,
project paid or unpaid, should be mentioned, and
•its supportive services that will the nature of the proposed contribution
directly benefit the project detailed. If any persons must be hired for
•and the institution's unique or the project, say so, and explain why,
unusual research facilities or unless the need for persons not already
resources available to the project available within the University is self-
evident.

LITERATURE REVIEW
•Place each work in the context of its
contribution to the understanding of the
research problem being studied,
The •Describe the relationship of each work to the
purpose of others under consideration,
•Identify new ways to interpret, and shed light
a literature on any gaps in previous research,
review is •Resolve conflicts amongst seemingly
contradictory previous studies,
to: •Identify areas of prior scholarship to prevent
duplication of effort,
•Point the way in fulfilling a need for additional
research, and
•Locate your own research within the context
of existing literature.

60
 REFERENCES /RESOURCES MODULES 2-5

o Riverside County office of Education-Presentation by Cheris Wickam-Grant Development Manager

o TETfund website
o National Science Foundation website-Grant Proposal writing
o United States Department of Agriculture (USDA)/National Institute for Foods Administration (NIFA)-
Grant proposal website
o United States National Institute for Health (NIH)-Grants proposal writing
o United States Department of Health and Human Services -Tips for writing g and submitting good grant
proposals
o Arizona State University, office of Research and Technology Transfer
o Preparing quality proposals retrieved from https://umdrive.memphis.edu/researchworkshops
o Why academics have a hard time writing good grant proposals- The journal of Research Administration
o Research and Sponsored Projects, University of Michigan
o W.K. Kellog Foundation -Logic Model Development guide
o Proposal writing training manual for CBOs and NGOs -USAID
o Proposal Development Handbook-American Association of State Colleges and Universities

61
 MODULE 6:
GRANTS STRATEGY, ADMINISTRATION
AND MANAGEMENT

62
 STARTING Teaching &

POINT Learning

A self reminder of your

institution’s mission! Mission
Enterprise/
­ Teaching & Learning Research
(everything Knowledge
Transfer
grants
­ Research grants connects)

Community
Service &
Engagement

Connecting research grants T&L mission

A well-rounded TEI
­ Knowledge
­ Creativity
­ Innovation
A well-rounded student
­ Enterprise
• … will underpin knowledge with creativity
i.e., the ability to apply knowledge in a
variety of contexts – both to familiar and
unfamiliar situations (Ogunleye & Tankeh,
2006) [KICE]

Work-ready graduate/Market-ready entrepreneur

Employment Entrepreneurship

Does your institution have external research funding/grants strategy –

QUESTION or some cohesive framework that guides your approach to grants –
internal or external?

63
Key terms: Grants & Strategy
­ A financial award to an
institution in ‘anticipation of it
being applied for an agreed Grants
purpose. This purpose may be
very specific, e.g. to fit a
smoke alarm in an old
person’s house, or less
specific, e.g. to promote fire
safety among old people’3.
­ Internal grants - competitive,
peer review, stimulus …
­ External grants - competitive,
Internal External
(institutional (innovation
research) research)

KEY TERM: STRATEGY

… a plan of action which ‘describes what an organization
[or individual] proposes to do to achieve a stated
mission’, (Ulwick, 1999, p.4), or a goal to achieve.
­ Note the keywords – plan, goal, descriptions (descriptors), organisation (a
TEI), mission;
­ A TEI mission typically being – teaching (& learning), research, enterprise
(knowledge transfer), and community service.

64
 Strategy
GRANTS &
STRATEGY -
APPLICATION Research
a written and agreed plan …
Mission
to raise money for research …
External
to fulfil or ‘speak’ to research mission Research
Grants Support students, recruit PhDs
& research positions and
advance research

GOALS
•Develop and provide on a regular basis
a consistent set of research and
•Develop fundraising goals that innovation metric data to researchers
Examples of best focus on areas of teaching and and relevant academic units,
practice: research priorities of the institution,
­ create a cohesive approach •Initiate regular meeting with research
within the institution to •Leverage on the existing
external research grants1 (and institution’s IT platforms – design
leaders, PIs, and others with high
funding generally); and develop external grants potential for external grants/funding to
­ provide a framework to discuss their research productivity in
engage with and support resources toolkits.
funders1 to deliver projects on •Finally, set target – depending on comparison to others and strategies for
time and on budgets.
­ diversify and expand
your institution’s research mission, expansion of support,
faculty’s/institution’s research it could be your goal to increase
grants (or funding) base2; external research financing by 10% •Provide timely information on trends in
­ provide metrics to benchmark every year for the next five years – Tetfund (for example) and other grants
and measure success and
improve the visibility and then and go for it! providers priorities to research leaders,
recognition of research
accomplishments2. PIs, and others,

65
 INFORMATION HUB – EXTERNAL GRANTS
RESOURCE TOOLKITS 1
­ Grants register to list external funded projects, grant requested, bid
results, feedback from funders, lessons learned, etc.
­ Capacity building opportunity to notify academics of development
opportunities to develop skills in project initiation, evidence gathering and
bid preparation, etc.

GOALS INTO ACTIONS – AN EXAMPLE OF BENCHMARK METRICS

•Total external research

expenditures,
• Innovation activity: Number of
•Total TetFund research consultations and innovation
expenditures (for example), disclosures,
• Innovation activity:
•Naira supporting and number of Percentage of patents filed
grant-funded post graduate from inventions disclosed,
students, • Number of licenses executed,
• Licensing revenue,
•Number of proposals submitted to
• Number of spin off
external funders/sponsors (such as
Tetfund), businesses,
• Number of jobs and revenue
•Naira value of proposals submitted to
external funders/sponsors, of the institution’s spinoff
businesses (if any).
•Number of awards received from
external funders/sponsors,
•Naira value of awards received from
external funders/sponsors,

66
 GOALS INTO ACTIONS – OTHERS
A) Set priorities for a) research types:
­ Basic research,
­ applied research, and
­ action research
B) generic areas of priorities:
­ societal challenges (or an under applied
research topic);
­ internal challenges such as skills capacity
training and development;
­ growing doctoral students (critical to
fostering research culture);
C) Have a policy on co-financing of research
(not counterpart funding) – use as a ‘bait’ to
get ‘reluctant’ organisations to fund your
projects;
Ruthlessly ‘hunt’ and network for grants
sources;

CONCLUSION
Effective external research grants strategy is a pre-requisite for
winning fundable external research grants;
­ Written external research grants strategy is sometimes regarded
as the ‘holy book’ of an institution’s research.

QUESTIONS

In what practical way/s can

you align your university’s
What would you consider
external research grants
as the most significant
strategy with those of the
strength of your
TETFund research
institution’s research?
intervention strategy and
platforms?

67
 REFERENCES
Notes – Case examples
1. ‘Implementing an External Funding Strategy’, Warwick District Council/ATI Projects Ltd
https://www.local.gov.uk/sites/default/files/documents/Implementing%20an%20External%20Funding%20Strategy%20for%20WDC
%20~%20final%20draft%20v2%20~%20MW%20%20%20%20.pdf
2. ‘A Strategy to Increase Externally Sponsored Research at the University of Oregon’ -
https://research.uoregon.edu/sites/research1.uoregon.edu/files/2020-01/VPRI%20Strategic%20Plan%20FINAL.pdf
3. Government Grants Definition’,
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/654680/2017-09-
27_Grant_Definitions.pdf

ACF [Administration on Children, Youth and Families] (2014) Strategic Plan - 2014, Administration for Children and Families,
US Department of Health and Human Services, available online at:
https://www.acf.hhs.gov/sites/default/files/assets/acf_strategic_plan_2014_final.pdf (accessed: 25.02.2018)

Clark, J. (2012). “The Key Ingredients of a Good Grant Proposal”, available online at: https://www.grandchallenges.ca/wp-
content/uploads/2015/11/KeyIngredients.pdf (accessed: 24.12.16)
Copenhagen Business School (2013). ‘CBS 2021: External research funding strategy’, available online at:
https://www.cbs.dk/files/cbs.dk/external_research_funding_strategy_cbs_2021_final_0.pdf (accessed: 20.6.2017)

Jeuken, Y.R.H. & Mourik, R.M. (2018). Collaborative research strategies in energy and sustainability related Social Sciences and Humanities: A
literature review and practical guide. Cambridge: SHAPE ENERGY.

OECD (2015) Frascati Manual: The Measurement of Scientific, Technological and Innovation Activities. Guidelines for Collecting and Reporting
Data on Research and Experimental Development. Paris, France: OECD. Available: https://www.oecd-ilibrary.org/docserver/9789264239012-
en.pdf?expires=1610370847&id=id&accname=guest&checksum=0145E70D769DF4E461A0084F35001012 (assessed: 31.12.2020)

Ogunleye, J. & Tankeh, A. (2006). Creativity and innovation in IT Industry: an assessment of trends in research and development expenditures
and funding with particular reference to IBM, HP, Dell, Sun, Fujitsu and Oracle, Journal of Current Research in Global Business, vol. 9, 14, pp. 75-
85, Fall 2006.

68
 MODULE 7: STRATEGIES FOR GLOBAL RANKING
AND COMPETITIVENESS
Session 7.1: Strategic Thinking-Data-driven principles

Session 7.2: Research Ethics and Integrity practices

Session 7.3: Ranking and Visibility

69
 SESSION 7.1: STRATEGIC THINKING-DATA-
DRIVEN PRINCIPLES

What are you thinking about at

this moment?

THINKING – APPLICATION IN RESEARCH

Depending on the situation/s, you
Critical might have to think -
­ Logically – e.g. logic model (a road map)
in grants writing;
­ Creatively – especially in innovation
Creative Strategic research;
­ Critically – … especially literature
review; think about criticality in
doctoral/ post doctoral research;
­ Strategic[ally] – all the above!
Thinking ­ Etc, etc.

Logical
• Thinking forms the basis of
human activities;
• Application in research
involves some forms/levels
of thinking!

70
 THINKING - LEVELS
Low level of thinking:
Application
­ Knowledge – recall regurgitate facts without
understanding;
­ Comprehension – demonstrate basic understanding of
facts and ideas;
­ Application – knowledge application/usage in a new Knowledge Comprehension
context, unfamiliar situation.
High level of thinking:

­ Analysis – detail examination of information; identify

causes, make inferences, substitute findings with evidence;
Thinking
­ Synthesis – compiling information in a different way by Analytical (levels) Synthesis
combining elements in a new pattern, proposing
alternative solutions, etc
­ Evaluation – … making judgements about information,
validity of ideas or quality of work based on a set of criteria.

Evaluation

STRATEGIC
STRATEGIC THINKING-
THINKING DATA-DRIVEN PRINCIPLES
The use or application
of ‘critical thinking to ­ Data mindset: A habit
solve complex of making decision
problems and plan for based on data analysis
the future. These skills instead of emotion
are essential to and intuition. In other
accomplish business words, don’t trust your
objectives, overcome gut and hope for the
obstacles, and best!
address challenges— ­ Be skeptical about
particularly if they’re everything!
projected to take ­ Be available to think
weeks, months, or even and collaborate;
years to achieve. – Tim
­ Be data-literate.
Stobierski (2020)

71
 PART I
SESSION 7.2: Research ethics - definitions and keywords,
institutional framework and at the level of
RESEARCH ETHICS individual researcher.
& INTEGRITY PART II
PRACTICES Research integrity practices, research integrity
principles and at the level of individual researcher.
PART III
OUTLINE Academic integrity & Researchers and the Research
Community.
Conclusion

PART I: RESEARCH ETHICS AND INTEGRITY PRACTICES - OPENING

Knowledge & the boundary of knowledge Defining research ethics (1) –
­ … the ‘moral principles and practices
­ Pursuit of knowledge is at the heart of guiding research, from its inception
everything that we do in academia, through to completion and publication of
­ In pursuit of that knowledge morality, integrity, results and beyond – for example, the
honesty, are critical in academia. curation of data and physical samples,
knowledge exchange and impact activities
­ Research ethics relates to moral responsibility, after the research has been published’, (UK
­ Integrity practices are two-fold: research Research & Innovation, 2022).
integrity and researcher/academic integrity – ­ Notice the keywords: moral principles and
relate to honesty. practices, inception, completion, results,
­ Everything overlaps; everything connects. beyond

Research ethics (2) is also –

­ … about ‘doing research with responsibility, particularly towards participants,
colleagues, employers, funders and society’ (Carling, 2019, p.1).
­ Notice the keywords: responsibility, participants, colleagues, employers, funders and
society

72
 RESEARCH ETHICS – RESEARCHER/ ACADEMIC

Ethical
considerations - you
are expected to set • issues of informed consent,
confidentiality and anonymity,
out how you’ll •
• quality,
address key • integrity,
principles of ethics • security of data/data protection
that might impact • participants’ rights to refuse, suspend
your research and or withdraw participation, etc.
how you intend to
deal with those
issues: e.g.

PART II: INTEGRITY PRACTICES – RESEARCH INTEGRITY (A)

PRINCIPLES OF RESEARCH INTEGRITY
Integrity practices are two-fold – e.g.,
research integrity and academic (or The European Code of
researcher) integrity; Conduct for Research Integrity
Research integrity (ALLEA, 2017: 4), laid out the
­ According to Carling (2019), research followings four principles:
integrity can be conceptualised as ‘doing Reliability in ensuring the
research in ways that underpin confidence quality of research, reflected
in the results, the researchers, and the in the design, the
research community’. methodology, the analysis
Notice the keywords: doing, confidence, and the use of resources
results, researchers, research community

73
 PART II: INTEGRITY PRACTICES – RESEARCH INTEGRITY (A)
PRINCIPLES OF RESEARCH INTEGRITY
Integrity practices are two-fold – e.g.,
research integrity and academic (or The European Code of
researcher) integrity; Conduct for Research Integrity
Research integrity (ALLEA, 2017: 4), laid out the
­ According to Carling (2019), research followings four principles:
integrity can be conceptualised as ‘doing Reliability in ensuring the
research in ways that underpin confidence quality of research, reflected
in the results, the researchers, and the in the design, the
research community’. methodology, the analysis
Notice the keywords: doing, confidence, and the use of resources
results, researchers, research community

PRINCIPLES OF RESEARCH HIGHLIGHTS OF FEATURES OF

INTEGRITY RESEARCH INTEGRITY
­ Reliability in ensuring the quality of
PRACTICES
research, reflected in the design, the Those four principles (reliability,
methodology, the analysis and the use of hone4sty, respect and
resources accountability) should manifest in
­ Honesty in developing, undertaking, the following contexts:
reviewing, reporting and communicating ­ Research Environment
research in a transparent, fair, full and ­ Training, Supervision and
unbiased way; Mentoring
­ Respect for colleagues, research ­ Research Procedures
participants, society, ecosystems, cultural ­ Safeguards
heritage and the environment; ­ Data Practices and Management
­ Accountability for the research from ­ Collaborative Working
idea to publication, for its management ­ Publication and Dissemination
and organisation, for training, ­ Reviewing, Evaluating and Editing
supervision and mentoring, and for its
wider impacts.

74
 HOW RESEARCH INTEGRITY MIGHT BE VIOLATED
­ If the researchers do not have an adequate/in-
depth knowledge of the area of their research,
­ Researchers are expected (even they run the risk of violating research integrity in
required) to have a good grasp any of the following ways:
of their area of research …or ­ Plagiarism (most important and sanctionable)
better still ­ Fabrication
­ … or master the knowledge, ­ Falsification
methodologies and ethical ­ Manipulating authorship or denigrating the role of
practices associated with your other researchers in publications.
field/s (ALLEA, 2017); ­ Re-publishing substantive parts of one’s own earlier
publications, without duly acknowledging or citing
the original (‘self-plagiarism’).
­ Citing selectively to enhance own findings or to
please editors, reviewers or colleagues.

HOW RESEARCH INTEGRITY MIGHT BE VIOLATED CONT’D

­ Withholding research results,
­ Manipulating authorship or denigrating the
role of other researchers in publications,
­ Padding or expanding unnecessarily the
bibliography of a study,
­ Misrepresenting research achievements,
­ Exaggerating the importance and practical
applicability of findings.
­ Misusing seniority to encourage violations of
research integrity.
­ Covering up inappropriate responses to
misconduct or other violations by institutions.
­ Establishing or supporting journals that
undermine the quality control of research.

75
INTEGRITY PRACTICES – ACADEMIC (RESEARCHER) INTEGRITY (B)
According to Bretag (2018, p.1), the term
Academic integrity is the ‘academic integrity’ “evokes strong emotions in
second fold of the integrity teachers, researchers, and students—not least
practices. It has been likened to because it is usually associated with negative
… behaviors”.

­ Academics (or researchers) who

do not trust the value of their Some definitions:
own intellect or … ­ the “… behaviour and conduct
­ academics (or researchers) who of academics in all aspects of
undertake research dishonestly or their practice” (MacFarlane et
… al., 2014).
­ academics (or researchers) who Donald L.
do not credit other people for
McCabe:
their work.
Founding father
of research on
academic
integrity.

ACADEMIC INTEGRITY - PLAGIARISM

­ Plagiarism “occurs when someone tries to pass off

someone else’s work, thoughts or ideas as their
Plagiarism is a significant factor own, whether deliberately or unintentionally,
affecting academic integrity – without appropriate acknowledgement”
most common and serious form MacDonald (2009, p.1),
of violation of academic integrity: ­ It involves “literary theft, stealing (by copying) the
­ Roig (2015, p.3) has likened plagiarism words or ideas of someone else and passing them
to kidnapping, “kidnapping of words, off as one’s own without crediting the source … [In
kidnapping of ideas, fraud, and literary other words]…the theft of words or ideas, beyond
theft.” what would normally be regarded as general
knowledge” (Park, 2003, p. 472).

76
 A FEW EXAMPLES OF FORMS OF PLAGIARISM
Accidental plagiarism – lifting of other
people’s work by ‘mistake’ or ‘accident’ or
through carelessness; also applies to
misquotation, in appropriating, poor or mis-
Direct plagiarism – lifting other people’s work paraphrasing, improper, poor or wrong
word-for-word without the use of speech citations; or mixing up of citations; or
marks or speech quotes. omission of citations, etc. Accidental
Indirect plagiarism – lifting of one owns work plagiarism is as serious as any type of
without any attribution. plagiarism.

Contracted or ‘outsourced’ plagiarism - also

known as paid third-party plagiarism, contract Plagiarism of ideas – “an explanation, a
cheating, turn-in fraud, literary fraud, essay theory, a conclusion, a hypothesis, a
fraud, imposter essays (QAA, 2016). metaphor in whole or in part, or with
superficial modifications without giving
Intentional plagiarism – plane fraud! (Howard, credit to its originator” (Roig, 2015, p.4).
1995).
Plagiarism of structure – look alike
structure; tweaking original sentence and
still acknowledging the author.

Know your CQPSR as a starting point:

Cite accurately.
Quote accurately.
AVOID Paraphrase accurately.
PLAGIARISM – Summarise accurately.

SOME Reference accurately and consistently.

If you are not sure if you have got your CQPSR right,
STRATEGIES give your work to a senior colleague/s to check for
you.

77
 REFLECTIVE
CONCLUSION QUESTIONS
­ Pursuit of knowledge is at the heart of §What do I think is the
everything we do in academia, fundamental issue with what
­ In pursuit of that knowledge morality, integrity, has been said in the last
honesty, are critical in academia. week?
­ Research ethics relates to moral responsibility,
­ Integrity practices are two-fold: research §What part can I play in
integrity and researcher/academic integrity – changing the narrative of the
relate to honesty. Nigerian Story – e.g., into
­ Everything overlaps; everything connects. knowledge based and
evidence-based socio-
political-economy and policy?

Park, C. (2003). In Other (People’s) Words: plagiarism by

REFERENCES university students—literature and lessons, Assessment &
Evaluation in Higher Education, Vol. 28, (5), pp.471-488.
ALLEA (2017) The European Code of Conduct for Research Integrity (Revised Edition).
Berlin: ALLEA - All European Academies. Available at https://www.allea.org/wp- QAA (2016). Plagiarism in Higher Education: Custom essay
content/uploads/2017/05/ALLEA-European-Code-of-Conduct-for-Research-Integrity- writing services: an exploration and next steps for the UK
2017.pdf (accessed: 26.9.2021)
higher education sector, available online at:
Bretag, T. (2018). “Academic Integrity”, Oxford Research Encyclopedia of Business and https://www.qaa.ac.uk/docs/qaa/quality-code/plagiarism-
Management, available online at:
https://oxfordre.com/business/view/10.1093/acrefore/9780190224851.001.0001/acrefore- in-higher-education-2016.pdf?sfvrsn=308cfe81_4
9780190224851-e-147?print=pdf (accessed: 06.06.19)
(accessed: 07.06.19)
Carling, J. (2019) Research ethics and research integrity, MIGNEX Handbook Chapter 4 Roig, M. (201). “Avoiding plagiarism, self-plagiarism, and
(v1). Oslo: Peace Research Institute Oslo. Available at www.mignex.org/d013.
other questionable writing practices: A guide to ethical
European Network for Academic Integrity (2018). “Glossary for Academic Integrity: writing”, available online at:
Report,” European Network for Academic Integrity, available at:
http://www.academicintegrity.eu/wp/wp-content/uploads/2018/02/GLOSSARY_final.pdf
http://web2.uconn.edu/rusling/plagiarism.pdf (accessed:
(accessed: 05.06.2019) 07.06.19)
Howard, R. M. (1995). Plagiarisms, authorships, and the academic death penalty. College
English 57 (7), pp. 708-36.

MacFarlane, B., Zhang, J., & Pun, A. (2014). Academic integrity: A review of the
literature. Studies in Higher Education, 39(2), 339–358.
UK Research & Innovation, 2022)
https://www.ukri.org/councils/esrc/guidance-for-
applicants/research-ethics-guidance/useful-resources/key-
terms-glossary/

78
7.3 Strategy for increasing Researchers’ and
Institutional Ranking and Visibility

Keywords

Information Digital Academic

Computer literacy Digital Literacy Author Impact Journal Impact
Literacy Competence Excellence

Tracking and
Visibility Impact Imfact factor Publications Citations Altmetrics
Measuring Impact

The mission of a Triple/Quadruple/ Academic

h-Index i10-Index
University Quintuple Helix entrepreneurship

3
1

Expected outcomes
To guide participants on how to
improve their collaboration and To expose participants to the
digital citizenship/competence available rankings, metrics and
skills (digital literacy and visibility tools
competence)

To guide participants on how to

To guide participants on how to
increase their publications,
digitalise (not digitise) their
citations, visibility and
output
popularity

To guide participants on how to

easily, share data and their
publications

79
 Outline
• Section 1: Pulse checks
• Section 2: Digital competence for academic excellence
• Section 3: Research visibility, metrics and impact: Global call to action
• Section 4: The Global Rankings and Indexes
• Section 5: The Researchers/Innovators Identity and Search Engine Optimisation
(SEO)
• Section 6: Visibility Strategy

80
 Nigeria’s visibility in the global rankings
• Over 200 million population, best GDP in Africa and ranked number 31 in the global GDP
ranking of International Monetary Fund
• Over 198 million active telephone lines (286 connected lines and 108% teledensity) (NCC, 2021)
• About 184 (179 in 2019) million internet users and over 50 million social network users (NCC,
2021)
• In HDI of 2020, Nigeria is ranked 161 out of 189 countries (UNDP, 2021)
• In the HCI of 2019, Nigeria is ranked 153 out of 157 (152 for 2018) (World Bank, 2018)
• In the WII of 2019, Nigeria is ranked 114 out of 129 (WIPO, 2019)
• Ranked 108 out of 134 in talent competitiveness index of 2021
• Ranked 143 out of 193 countries in the eGovernment development index and 117 out of 193
countries in the eParticipation index (Global Information Technology Report 2018)
• Also ranked 111 out of 134 countries in the global network readiness index (Portulans, 2021)

Few digital gaps in education ecosystem

Weak Digital Competence (Not Computer Literacy and Not Digital Literacy ) among Research and
Development stakeholders

Poor Foundational infrastructure (Computing devices, power and connectivity)

Lack of proper implementation framework for conducting research and innovation activities via
digital/remote platforms

Lack of good understanding of remote/digital teaching, learning and research methodology, pedagogy
and associated tools

How to monitor students and teacher achievement, productivity and quality using digital tools and
systems

“Digital technologies had boosted growth, expanded opportunities, and improved service delivery, yet their
aggregate impact has fallen short and is unevenly distributed” World Development Report

81
DIGITAL LITERACY FOR RESEARCH

Research
visibility,
metrics and
impact: Global
call to action

10

12

82
 The Global
Rankings,
Metrics and
Indexes

Times Higher Education’s Rankings

● A global ranking in operation since 2004 assessing universities
performance on the global stage and providing resource for readers to
understand the different missions and successes of higher education
institutions
● The rankings cover the three main missions of university activities:
research, teaching and impact
● Each university in the rankings has a detailed profile, with a breakdown
of its overall scores across the rankings and supplementary data
designed to help students
● For example, there are data on the staff-to-student ratio at each
university, the total income per student, the proportion of international
students and the gender breakdown of students
17

“We are obliged as African scholars to level the playing field for our scholarship and intellectual input into the
global fund of knowledge. Our Index should command the same respect as other indexes and should be respected
and accepted by us (African scholars and tertiary institutions)”

Prof. Cecil Blake, University of Pittsburgh, U.S.A.

83
 Webometrics Ranking of World
Universities: About Webometrics Ranking of World
• Is an initiative of the Cybermetrics Lab, a Universities: Ranking methodology
research group belonging to the Consejo • Indicators and social networks
Superior de Investigaciones Científicas visualization on the Web with friendly,
(CSIC), the largest public research body in dynamic and interactive graphic
Spain interfaces
• The specific areas of research include: • Design and evaluation of documental
• Development of Web indicators to be analysis techniques of Web resources
applied on the areas of the Spanish, • Genre studies applied to the scholar
European, Latin American and World R & activity on the Web
D • Development of applied cybermetrics
• Quantitative studies about the scientific techniques based on the positioning
communication through electronic on search engines of Web domains
journals and repositories, and the
• Analysis of the information usage
impact of the Open Access initiatives
through Web data mining of log files
• Development of indicators about
resources in the Society of Information
https://www.webometrics.info/en/Methodology 18

Google Scholar Metrics

• Google Scholar Metrics provide an easy way for authors to
quickly gauge the visibility and influence of recent articles
in scholarly publications
• Scholar Metrics summarise recent citations to many
publications, to help authors as they consider where to
publish their new research
• Scholar Metrics cover a substantial fraction of scholarly
articles published in the last five years. However, they
don't currently cover a large number of articles from
smaller publications.
• The metrics
• The h-index of a publication is the largest number h
such that at least h articles in that publication were
cited at least h times each. For example, a publication
with five articles cited by, respectively, 17, 9, 6, 3, and
2, has the h-index of 3.
• The h-core of a publication is a set of top cited h
articles from the publication. These are the articles
that the h-index is based on. For example, the
publication above has the h-core with three articles,
those cited by 17, 9, and 6.
• The h-median of a publication is the median of the
citation counts in its h-core. For example, the h-
median of the publication above is 9. The h-median is
a measure of the distribution of citations to the
articles in the h-core. 19

84
 Scimago Journal & Country Rank
• The SCImago Journal & country rank is a • Citation data is drawn from over 34,100
publicly available portal that includes the titles from more than 5,000 international
journals and country scientific indicators publishers and country performance
developed from the information contained in metrics from 239 countries worldwide
the Scopus database (Elsevier) • The SJCR allows you also to embed
significative journal metrics into your
• These indicators can be used to assess and web as a clickable image widget
analyse scientific domains • This platform takes its name from
the SCImago Journal Rank (SJR) indicator,
• Journals can be compared or analysed developed by SCImago from the widely
separately known algorithm Google PageRank
• This indicator shows the visibility of the
• Country rankings may also be compared or journals contained in
analysed separately the Scopus database from 1996
• Journals are grouped by subject area (27
major thematic areas), subject categories
(313 specific subject categories) and country
20

Web of Science

• Over 9,000 leading academic, corporate and

• The Web of Science is the world’s most trusted government institutions and millions of
publisher-independent global citation database researchers trust the Web of Science to
• Guided by the legacy of Dr Eugene Garfield, produce their high-quality research, gain
inventor of the world’s first citation index, the insights and make more-informed decisions
Web of Science is the most powerful research that guide the future of their institution and
engine, delivering your library with best-in-class research strategy
publication and citation data for confident • The editorial process ensures journal
discovery, access and assessment quality, while more than 50 years of their
• Connects regional, specialty, data and patent consistent, accurate and complete indexing
indexes to the Web of Science Core Collection has created an unparalleled data structure
• Web of Science comprehensive platform allows • Every article and all cited references from
you to track ideas across disciplines and time every journal have been indexed, creating
from almost 1.9 billion cited references from over the most comprehensive and complete
171 million records since 115 years ago citation network to power both confident
discovery and trusted assessment

21

85
 Web of Science Researcher ID (Publons)

• Use Publons to track your publications,

citation metrics, peer reviews, and journal
editing work in a single, easy-to-maintain
profile
• All your publications, instantly imported from
Web of Science, ORCID, or your bibliographic
reference manager (e.g. EndNote or
Mendeley)
• Trusted citation metrics, automatically
imported from the Web of Science Core
Collection
• Correct author attribution, with your unique
ResearcherID automatically added to the
publications you claim in Web of Science
collections
• Your verified peer review and journal editing
history, powered by partnerships with
thousands of scholarly journals
• Publons CV summarising your scholarly impact
as an author, editor and peer reviewer

22

Alternative Metrics (Altmetrics)

Altmetrics (source data)
Altmetrics applies filtering systems that can
handle the ever-increasing volume of new work
and increase the scope of official academic
knowledge to include impact in three key areas: ● Mainstream media coverage (The
Guardian, New York Times) and
specialist media (New Scientist,
Scientific American)
The sharing of "raw science," including data sets, ● Reference managers such as Mendeley
code, and experimental designs ● Public policy documents (including
sources such as NHS NICE evidence
bank, World Health Organisation and
UNESCO)
Semantic publishing or "nanopublication," in ● Post-publication peer review forums
which the citeable unit is an argument or passage including PubPeer and Publons
rather than an entire article
● Citations from Scopus
● Social media like Twitter, Facebook,
Google+, Pinterest and Blogs
● English language contributions to
Widespread self-publishing via blogging,
microblogging, and comments or annotations on Wikipedia
existing work. 11

24

86
 The Researchers/
Innovators Identity and and
Search Engine Optimisation (SEO)

25

Open Researcher Digital Object

Identification (ORCID) Identifier (DOI)
• ORCID is a https uniform resource locator
(URL) with a 16-digit number that is
compatible with the ISO Standard (ISO • A is a permanent, unique string of characters
27729), also known as the International that identifies specific digital content such as
Standard Name Identifier (ISNI), e.g. an online article, dataset, image, etc.)
https://orcid.org/0000-0001-2345-6789 • All DOI numbers begin with a 10 and contain a
• ORCID’s vision is a world where all who prefix and a suffix separated by a slash
participate in research, scholarship, and
innovation are uniquely identified and • The prefix is a unique number assigned to
connected to their contributions across organizations; the suffix is assigned by the the
disciplines, borders, and time. organization.
• ORCID is part of the wider digital • Examples of DOI: 10.1159/000330840
infrastructure needed for researchers to 10.1289/ehp.1003206
share information on a global scale
• When a DOI is assigned (by a publisher,
• Is a transparent and trustworthy repository host, etc.), there is metadata and a
connections between researchers, their URL which is associated with the DOI which
contributions, and affiliations by makes the DOI 'resolvable' (point to the digital
providing an identifier for individuals to
use with their name as they engage in object or to a web resource that gives you
research, scholarship, and innovation more information about the digital object)
activities
https://guides.lib.uw.edu/hsl/doi

26

Wiley 5 tips for increasing your article's search engine discoverability

1. Create a search engine friendly title 3. Use keywords throughout your article
• Include keywords in your title (1-2), abstract (2-3), and
• Include 1-2 keywords related to your topic keyword fields (5-7)
Place your keywords within the first 65 Keywords may be keyword phrases rather than just single words
characters of your title • Incorporate keywords in your headings too
• Keep your title short Headings tip off search engines to the structure and content of
your article
Consider moving a phrase from your title to the
first or second sentence of your abstract • Find specific keywords on Google Trends and Google
Adwords keyword tools
Remember that keywords are important for A&I services as well as
2. Optimize your abstract SEO
• Place essential findings and keywords in the first • Use keywords consistent with your field
two sentences of your abstract If you're unsure, check the words used in your field's major papers
Only the first two sentences normally display in • Let keywords flow naturally and in a contextual way
search engine results • Search engines dislike too much keyword repetition, known as
keyword stuffing, and may 'un-index' your article, making it
• Repeat your keywords 3-6 times hard to find online
Don't forget the purpose of your abstract is to 4. Be consistent
express the key points of your research, clearly, • Refer to author names and initials in a consistent manner
and concisely throughout the paper; Remember to be consistent with any
previous online publications
5. Build links
• Link to your article across your social media, networking, and
institutional sites
https://authorservices.wiley.com/author-resources/Journal- The more in-bound links to your article, the more search
Authors/Prepare/writing-for-seo.html engines like Google will value and highlight your content
28
• Encourage colleagues to link to your article

87
 To attract the attention it deserves, your
high quality research needs to be easy to
find

Research shows that the activities listed (in

the coming slides) can improve
Visibility discoverability and increase citations

Strategy Remember, they are not intended to be a

checklist

Some activities may be more appropriate

for your discipline than others

37

Starting your research

● Get an ORCiD
● Use it proactively to connect to your research ● Identifying the specific topics within your field that
generate a high level of interest can help to attract
outputs and increase discoverability future collaborators and in turn increase visibility and
● Make sure you use it whenever you share your impact
● Consider your collaborations
work, for example when you submit a manuscript
● Research shows that papers with more than one author
or publish a dataset
receive more citations
● Put it on your personal profiles on the web and ● International collaborations can be particularly valuable.
social media Approaches to collaboration will differ between
disciplines.
● This will connect you to your research across the
web whatever search tool people are using

38

88
 During your research When you decide where to publish
● Present research findings at conferences ● Who is your audience and what is the best
and, where appropriate, at international
congresses, attending such events way to reach them?
provides opportunities for networking and ● Are you looking to influence policy?
developing new collaborations ● Do you want to reach specialists outside of
● Use social media and networks (??? Go your own discipline?
with what is good for you) to promote
Are you looking to publish in an established
your research and reach a wider audience. ●

journal or would alternative venues offer a

● This can include an audience beyond your
own discipline better fit? You may consider: Journal

● Curate your data and consider what you Citation Reports (JCR), SCImago Journal and
will share during and at the end of your Country Rank (SJR), or other indexing and
research
metrics platform nit covered
39

When you decide where to When you publish

publish (Cont.)
● Wherever possible, ensure your research output has a clear
● Consider the open access options offered by title that is direct and concise

your chosen journal ● Think about writing a plain language summary of your research

● If open access; Do they permit you to deposit that is understandable to a non-specialist audience. This could
be members of the public or researchers from other
your author accepted manuscript in a your
disciplines.
institutional repository?
● Kudos is a good free tool to publish these or you can set up
● How discoverable is your chosen journal?
your own blog. You could also write for the Conversation
● Is it indexed by major databases like Web of
● Carefully consider your keywords and include them in your
Science, Scopus, etc.? abstract and full text.
● Does it allocate a Digital Object Identifier (DOI)? ● This will help a reader better understand your content. It may
● A DOI ensures a persistent link that can be cited also improve the visibility of your research in search results
and tracked 40

89
 When you publish
After your research
● Consider your references, authors you cite may become
future collaborators and may cite you in turn
● Make your data findable and citeable from a repository. This can
● Be consistent with your chosen name format so that all lead back to your original research or to your other work.
relevant papers can be attributed to you. For example, ● Use Re3data.org to identify a suitable service for your discipline.
don’t use Elizabeth Jones in one paper and Liz Jones or L ● The Research Data Leeds repository is available to all Leeds staff

M Jones in another. Using your ORCID will also help with ● Consider publishing in a data journal

this ● Data journals offer another route to making data more discoverable
and citable
● Include the standard institutional affiliation “University of
● The University of Edinburgh maintain a list of data journals and their
Leeds” on all research outputs. Avoid using abbreviations
policies
or only including your School, Faculty or research group.
● Continue to disseminate your research outputs on social media.
● Add your research outputs to Symplectic as soon as ● Track social engagement with the Altmetric "donut"
possible after acceptance. They will be made open access
via the White Rose Research Online repository in line with
any embargo 41

tips

43

90
 44

Further readings
● https://www.elsevier.com/en-
xm/solutions/knovel-engineering-
● https://www.elsevier.com/__data/assets/pdf_file/000 information
6/1038642/ACAD_LIB_ResearchMetricsReference_WE ● https://www.elsevier.com/en-
B_2020.pdf xm/solutions/reaxys
● https://er.educause.edu/articles/2016/5/faculty- ● https://www.researchgate.net/publicatio
productivity-using-social-media-and-measuring-its- n/316738902_Improving_Research_Visib
impact ility_Part_1_Academic_Search_Engine_O
● https://library.leeds.ac.uk/info/1406/researcher_supp ptimization
ort/163/increase_research_visibility ● https://www.elsevier.com/connect/get-
● https://pitt.libguides.com/researchvisibility found-optimize-your-research-articles-
● https://up- for-search-engines
za.libguides.com/c.php?g=909481&p=6553935 ● https://www.unilorin.edu.ng/index.php/f
● https://youtu.be/a1Rijk_TMHA news/4898-visibility-of-researchers
● https://plumanalytics.com/learn/about-
metrics/

47

91
 About Thrivent Services

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