Managing of R&D projects: problems and guidance

Cu so: 2022-2023
Di ec o /Di ec o a: Toledo Ganda ias, Ne ea
Es udian e: Ramón Rod íguez, Josu
MANAGING OF R&D PROJECTS:
PROBLEMS AND GUIDANCE
MÁSTER UNIVERSITARIO EN DIRECCIÓN DE PROYECTOS
TRABAJO FIN DE MASTER
Fecha: Bilbao, 3 de Mayo de 2023
Managing o R&D p ojec s: p oblems and guidance
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DATOS BÁSICOS DEL PROYECTO
 Alumno: Josu Ramón Rod íguez.
 Di ec o a: Ne ea Toledo Ganda ias.
 Depa amen o: Exp esión G á ica y P oyec os de Ingenie ía.
 Tí ulo del T abajo: Managing o R&D p ojec s: p oblems and guidance
 Resumen: El p esen e abajo se cen a en la ges ión de p oyec os de
in es igación y desa ollo, los cuales han enido un g an c ecimien o
du an e los úl imos años. A a és de una e isión bibliog a ía se
iden i ican los p incipales ac o es más comunes que a ec an a la
ges ión. Se p opone además un ma co de ac uación pa a la ges ión
a endiendo a la especial na u aleza de es e ipo de p oyec os.
Finalmen e, se iden i ican y desc iben una se ie de he amien as y
soluciones con la in ención de e i a los p oblemas p e iamen e
iden i icados.
 Palab as cla e: Ges ión de p oyec os, I+D, Ges ión de in es igación y
desa ollo, Inno ación, In es igación indus ial, In es igación en
ingenie ía, P oyec o colabo a i o, He amien as y écnicas, Buenas
p ác icas, Di ec ices.
 Abs ac : This pape ocuses on he managemen o esea ch and
de elopmen p ojec s, which ha e been g owing apidly in ecen yea s.
A li e a u e e iew iden i ies he main common ac o s a ec ing p ojec
managemen . A amewo k o managemen ac ion is also p oposed,
aking in o accoun he special na u e o his ype o p ojec . Finally, a
se ies o ools and solu ions a e iden i ied and desc ibed wi h he
in en ion o a oiding he p oblems p e iously iden i ied..
 Keywo ds: P ojec managemen , R&D, Resea ch and De elopmen
Managemen , Inno a ion, Indus ial Resea ch, Enginee ing esea ch,
Collabo a i e p ojec , Tools and echniques, Bes p ac ices, Guideline
Managing o R&D p ojec s: p oblems and guidance
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INDEX
1 INTRODUCTION ................................................................................................... 8
1.1 Wha is R&D P ojec managemen ? ......................................................................... 8
1.2 P ojec managemen : common me hodologies ......................................................... 9
1.2.1 T adi ional p ojec managemen ............................................................................................. 9
1.2.2 I e a i e me hod .................................................................................................................... 10
1.2.3 Inc emen al me hod .............................................................................................................. 10
1.2.4 Agile me hod ........................................................................................................................ 10
2 OBJECTIVE AND SCOPE OF WORK ............................................................. 12
2.1 Obje i e ...................................................................................................................... 12
2.2 Scope ........................................................................................................................... 12
2.3 Success c i e ia .......................................................................................................... 12
3 CONTEXT ............................................................................................................. 13
3.1 E olu ion o R&D in Spain ....................................................................................... 13
4 METHODOLOGY ................................................................................................ 16
5 ANALYSIS OF THE STATE OF THE ART ..................................................... 17
5.1 Key wo ds .................................................................................................................. 17
5.2 Scopus esea ch ......................................................................................................... 17
6 SOLUTIONS TO AVOID FAILURE IN R&D PROJECTS ............................ 23
6.1 F amewo k o R&D p ojec managemen ............................................................ 23
6.2 Tools and p ocedu es o imp o ing R&D p ojec managemen ......................... 25
6.2.1 Main p oblems iden i ied ...................................................................................................... 25
6.2.2 Communica ion .................................................................................................................... 26
6.2.3 Tools o collabo a ion ......................................................................................................... 29
6.2.4 Cul u al/Geog aphical dis ance ............................................................................................ 32
6.2.5 Se ing goals ......................................................................................................................... 36
6.2.6 Tools o moni o ing ............................................................................................................. 37
6.2.7 Tools o s akeholde managemen ....................................................................................... 38
6.2.8 Tools o dealing wi h unkowns ........................................................................................... 40
6.2.9 Tools o planning ................................................................................................................ 43
7 CONCLUSIONS ................................................................................................... 47
8 BIBLIOGRAPHY ................................................................................................. 49
Managing o R&D p ojec s: p oblems and guidance
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LISTA DE ABREVIATURAS
TFM .................. T abajo de Fin de Más e
R&D…………… Resea ch and De elopmen
INE……………. Na ional S a is ics Ins i u e (Spain)
EU…………….. Eu opean Union
PM…………….. P ojec Managemen
US……………... Uni ed S a es
UK…………....... Uni ed Kingdom
IT………………. In o ma ion echnology
PMI ................... P ojec Managemen Ins i u e
WIP……………. Wo k in p og ess
RACI…………... Responsible, Accoun able, Consul ed and In o med
SWOT…………. S eng hs, Weaknesses, Oppo uni ies and Th ea s
SMART……….. Speci ic, Measu able, Achie able, Rele an , and Time-bound
BSC…………… Balanced Sco eCa d
PERT…………. P og am E alua ion Re iew Technique
GERT…………. G aphical E alua ion & Re iew Technique
WBS…………... Wo k B eakdown S uc u e
CBS…………… C ea i i y B eakdown S uc u e
DBS…………… Design B eakdown S uc u e
Managing o R&D p ojec s: p oblems and guidance
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ÍNDICE DE FIGURAS
Figu e 1. T adi ional li e cycle p ocess[5] ...................................................................... 9
Figu e 2. I e a i e li e cycle[6] ..................................................................................... 10
Figu e 3. Inc emen al li e cycle[6]................................................................................ 10
Figu e 4. Sc um p ocess [7] ........................................................................................ 11
Figu e 5. E olu ion o Spanish in es men in R&D [8] ................................................ 13
Figu e 6. Va ia ion in Spain o R&D in es men om inancial c isis un il 2021 [8] ...... 14
Figu e 7. Va ia ion in EU o R&D in es men om 2020 un il 2021 [8] ........................ 15
Figu e 8. Ou line o me hodology ollowed .................................................................. 16
Figu e 9. Keywo d esul s ob ained om Scopus sea ch ............................................ 17
Figu e 10. E olu ion o documen s publica ions ela ed o he sea ch ......................... 18
Figu e 11. Main au ho s ela ed o he sea ch ............................................................. 19
Figu e 12. Coun y wi h mo e publica ions ela ed o he sea ch ................................. 19
Figu e 13. G aph o h-index o he sea ch .................................................................. 21
Figu e 14. P ojec li e cycle app oach ......................................................................... 24
Figu e 15. Fo mali y g ade along he p ojec li e cycle ................................................ 24
Figu e 16. Numbe o ools du ing he p ojec li e. ....................................................... 25
Figu e 17. Communica ion ac ics [33] ........................................................................ 27
Figu e 18. Kanban Boa d example [34] ....................................................................... 30
Figu e 19. RACI ma ix example [35] .......................................................................... 31
Figu e 20. P ojec o ganiza ion cha example. [36] .................................................... 31
Figu e 21. Coun y cul u al compa ison [37] ................................................................ 34
Figu e 22. CAGE amewo k empla e[39] ................................................................... 35
Figu e 23. Templa e o Balanced Sco ed C. [41] ....................................................... 38
Figu e 24. Types o s akeholde s and how o manage hem.[42] ................................ 39
Figu e 25. Map o s akeholde ela ionships.[43] ......................................................... 40
Figu e 26. S akeholde analysis empla e. [43]............................................................ 40
Figu e 27. Fa al Flaw Analysis [44] ............................................................................. 42

Managing o R&D p ojec s: p oblems and guidance
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Figu e 28. Planning when a ask has an unce ain ou come [26] ................................ 43
Figu e 29. Basic GERT ne wo k example.[45]............................................................. 44
Figu e 30. Design B eakdown S uc u e example. [46] ............................................... 46
Figu e 31. Simple Gan Cha example.[47] ............................................................... 46
Managing o R&D p ojec s: p oblems and guidance
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ÍNDICE DE TABLAS
Table 1. Top 20 documen s wi h mo e ci a ions ela ed o he sea ch ......................... 20
Table 2. Top 10 documen mo e ci ed om 2018 o 2020 ela ed o he sea ch .......... 21
Table 3. S akeholde egis e ...................................................................................... 28
Table 4. Communica ion ma ix .................................................................................. 29
Managing o R&D p ojec s: p oblems and guidance
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1 INTRODUCTION
O e he las ew yea s, he globalisa ion o companies has led o an in e nal e olu ion
o companies, in pa icula in e ms o inno a ion and new de elopmen s, he change
has been e en mo e ab up . In e na ional compe i ion and new cus ome equi emen s
and ends ha e o ced companies o inc ease hei R&D expendi u es in o de o o e
p oduc s and se ices ha a e mo e cus omised and di e en ia ed om hei
compe i o s. In his way, businesses ha e expe ience a ans o ma ion, becoming mo e
collabo a i e [1] and mo e o ganised in p ojec s [2] o adap his new si ua ion.
Howe e , inc eased spending on inno a ion p ojec s does no always lead o sa is ac o y
esul s. The unce ain y and isks in ol ed make hese p ojec s ime-consuming and
cos ly i no managed co ec ly. The e o e, we will y o analyse and gi e isibili y o he
ypical ac o s o hese collabo a i e R&D p ojec s and p opose ools o solu ions ha
help he p ojec manage o ca y ou a special p ojec managemen acco ding o he
na u e o he p ojec .
1.1 Wha is R&D P ojec managemen ?
P ojec managemen is a me hod and a se o echniques based on he accep ed
p inciples o managemen used o planning, es ima ing, and con olling wo k ac i i ies
o each a desi ed end esul on ime, wi hin budge , and acco ding o speci ica ion.
A p ojec is any se ies o ac i i ies and asks ha oge he achie e p ede e mined
deli e ables in acco dance wi h:
 de ined s a and end da es
 unding limi s
 a quali y de ini ion
 in e media e miles ones
 u iliza ion o esou ces such as equipmen , ma e ials, people
Resea ch and expe imen al de elopmen (R&D) comp ise c ea i e wo k unde aken on
a sys ema ic basis in o de o inc ease he s ock o knowledge, including knowledge o
man, cul u e and socie y, and he use o his s ock o knowledge o de ise new
applica ions.[3]
One o he mos di icul asks in any o ganiza ion is he managemen o R&D ac i i ies.
These R&D ac i i ies a e usually headed up by scien is s, enginee s, manage s,
employees, and e en execu i es. All o hese people, a one ime o ano he , may ac as
R&D p ojec manage s. They s a ou wi h an idea and a e asked o lay ou a de ailed
schedule, cos summa y, se o speci ica ions and esou ce equi emen s such ha he
idea can become a eali y. Un o una ely, his is easie said han done.[4]
The e o e, one could de ine R&D p ojec managemen as he applica ion o echniques,
me hodologies and bes p ac ices o he managemen o p ojec s unde he umb ella o
inno a ion, whe e isk and unce ain y a e high.
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1.2 P ojec managemen : common me hodologies
O e he yea s, p ojec managemen has been able o adap o he ci cums ances
equi ed by he indus y. A clea example o his was he eme gence o so wa e
de elopmen s, which a e comple ely di e en p ojec s o wha he indus y was used o.
In he ollowing, we will e iew he mos impo an me hodologies o assess whe e
inno a ion p ojec s could i in.
1.2.1 T adi ional p ojec managemen
T adi ionally, p ojec managemen ocused in i s beginnings on p edic i e p ojec models,
whe e objec i es, miles ones, cos and deadlines we e pe ec ly de ined, unce ain y was
minimal due o he sea ch o epea abili y and con ol o changes, h ough s a is ical
p ojec con ol.
The me hodology ha has adi ionally go e ned adi ional p ojec managemen is
known as he wa e all me hod. This me hodology is desc ibed in he PMBOK
ex ensi ely, and commonly used in p ojec s whe e equi emen s and ac i i ies a e
iden i ied, ixed o he p ojec amewo k, hen planned, execu ed, con olled and inally
concluded.
Figu e 1. T adi ional li e cycle p ocess[5]
While his me hodology wo ks e y well when ac i i ies and equi emen s a e well
de ined, i p esen s di icul ies when new asks, unce ain ies o equi emen s a e added
ha we e no p e iously planned. Mo eo e , a p ojec ha is well execu ed, planned and
con olled bu ne e heless no use ul is a was e o esou ces. In R&D, he na u al
unce ain y o he p ojec always leads o an ou come, whe he posi i e o nega i e. And
i will be ha ou come ha d i es and di ec s decision making in he nex phase o he
p ojec .
Due o his and he de elopmen o new p oduc s and se ices, p ojec managemen has
adap ed by c ea ing new, mo e lexible and less s uc u ed me hodologies.
Managing o R&D p ojec s: p oblems and guidance
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4 METHODOLOGY
This sec ion o he p ojec aims o show he me hodology ollowed o he de elopmen
o he p ojec , which will help o be e unde s and he documen . Fo his pu pose, he
ollowing scheme is p esen ed wi h he di e en phases ha ha e been de eloped:
Figu e 8. Ou line o me hodology ollowed
Fi s o all, he aim o he p ojec is o de ine he objec i e o he p ojec in o de o
unde s and how a we wan o go by de ining he limi s h ough he scope. A e his,
wi h a b ie in oduc ion, he aim is o si ua e he eade in he scope o he wo k wi h a
b ie explana ion o he di e en me hodologies mos commonly used in p ojec
managemen .
In o de o jus i y he ele ance o he wo k, he e olu ion o R&D p ojec s in Spain is
shown, o e ing esul s o he in es men ha has inc eased o e he yea s.
A e wa ds, a bibliog aphic sea ch is ca ied ou o obse e he con ibu ions made by
o he esea che s on he subjec in ques ion, looking a p oposals o sol ing he p oblem
and common ac o s o ailu e when managing inno a i e p ojec s.
Once he p oposals and c i ical ac o s ha e been iden i ied, he aim is o o e a
amewo k o he managemen o R&D p ojec s and di e en ools ha can imp o e he
p oblems ha hese p ojec s p esen by hei e y na u e.
•De ini ion o wha is expec ed om he p ojec
•Se a scope, de inning wha should be conside ed wi hin he documen s
•S ablish a inish, whe e he documen comes o i s end
OBJECTIVE
•Basic o e iew o e ms and concep s
•Ou line o he si ua ion in Spain in e ms o R&D p ojec s
INTRODUCTION AND CONTEXT
•SCOPUS sea ch o ele an documen s
•Analysis o he pape s, ob ain use ul in o ma ion o he cu en p ojec
STATE OF THE ART
•F amewo k - Li e cycle
•P oblems iden i ica ion om li e a u e
•P ac ices o a oid p oblems
PRACTICES PROPOSAL
CONCLUSION

Managing o R&D p ojec s: p oblems and guidance
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5 ANALYSIS OF THE STATE OF THE ART
5.1 Key wo ds
As he p ojec is abou p ojec managemen in R&D en i onmen , he ollowing wo ds
ha e been ini ially iden i ied as key:
1. P ojec managemen
2. R&D
3. Inno a ion
4. Collabo a i e p ojec
5. Managemen amewo k
6. Tools and echniques
7. Bes p ac ices
5.2 Scopus esea ch
Once he ini ial keywo ds ha e been iden i ied, he nex s ep is o pe o m an ad anced
sea ch in he SCOPUS da abase[9] (i could be done in ano he esea ch da abases like
Google Schoola ). In o de o ha e an accu a e and ad anced sea ch, Boolean ope a o s
a e used:
TITLE-ABS-KEY ( "P ojec managemen " AND ( "R&D" OR "Resea ch and
de elopmen " ) ) AND TITLE-ABS-KEY ( "Inno a ion" OR "Collabo a i e" OR
"Managemen amewo k" OR "Tools" OR "Techniques" OR "Bes p ac ices" )
Then once he sea ch is done, now keywo ds o he pape s sea ched a e analysed:
Figu e 9. Keywo d esul s ob ained om Scopus sea ch
Taking in o accoun he ini ial sea ched keywo ds and he ones ha appea in he pape
sea ch, he inal keywo d lis is de ined. This is done because he webpage SCOPUS
allows o see which he mos epea ed keywo ds a e used. The e o e, in o de o p epa e
a mo e p ecise sea ch he inal selec ion is:
1. P ojec managemen
2. R&D
Managing o R&D p ojec s: p oblems and guidance
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3. Resea ch and De elopmen Managemen
4. Inno a ion
5. Indus ial Resea ch
6. Enginee ing esea ch
7. Collabo a i e p ojec
8. Tools and echniques
9. Bes p ac ices
10. Guideline
The Boolean sea ch will be he ollowing:
TITLE-ABS-KEY ( "P ojec managemen " AND ( "R&D" OR "Resea ch and
de elopmen " OR "Inno a ion" ) ) AND TITLE-ABS-KEY ( "Collabo a i e" OR
"Indus ial esea ch" OR "Enginee ing esea ch" ) AND TITLE-ABS-KEY ( "Tools" OR
"Techniques" OR "Bes p ac ices" OR "guideline" )
Wi h his be e and accu a e sea ch, he esul s has a ied om 1564 o 305. Then, he
esul s will be il e by he ollowing bounda ies:
- Type o documen s: only e iews, con e ences and a icles
- Language: English
This inal sea ch o e s 279 documen s, which a e going o be analysed using Scopus o
show he e olu ion o he publica ions:
- Documen s by yea : I is in e es ing ha mainly he conce n abou he opic is
g owing. Howe e , he e is a dec ease be ween 2008 and 2011, his could be
due o he inancial c isis du ing hose yea s, i could be logical because he
educ ion in he in es men s o R&D p ojec .
Figu e 10. E olu ion o documen s publica ions ela ed o he sea ch
Managing o R&D p ojec s: p oblems and guidance
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- Documen s by au ho : ega ding he opic o R&D managemen , h ee a e he
au ho s ha publish mo e documen s in he ecen yea s (G. Fe nandes,
Machado R.J. and Pin o E.B.).
Figu e 11. Main au ho s ela ed o he sea ch
- Documen s by e i o y o coun y: clea ly US is he coun y ha con ibu es wi h
mo e documen s o he sea ched opic, hen he e is UK and China and also
di e en coun ies om Eu ope. So, his is also in e es ing because i is a global
co ce n.
Figu e 12. Coun y wi h mo e publica ions ela ed o he sea ch
Now i would be necessa y o de ine he mos ele an a icles wi hin he a ea o
knowledge sea ched. Fo his, h-index will be used, which is an indica o ha
ela es he p oduc i i y and impac o he iden i ied publica ions.
Managing o R&D p ojec s: p oblems and guidance
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Fi s o all, all he publica ions a e o ganized depending on he numbe o ci a ions
om highe o lowe . In he ollowing lis , i is only show he i s 20 documen s
mos ci ed:
Table 1. Top 20 documen s wi h mo e ci a ions ela ed o he sea ch
Also he h-index g aph is ob ained and i indica es he au ho s ha has publish a
leas h numbe o pape s and a leas has had h numbe o ci a ions in each
documen . In his case, he h numbe is 31.
Managing o R&D p ojec s: p oblems and guidance
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Figu e 13. G aph o h-index o he sea ch
Ano he impo an poin o analyse om he bibliog aphy is o iden i y new
publica ions ha could be ele an o he p esen esea ch documen , o which
i is ecommended o il e by publica ion da e, wi h he mos ecen ones being
he i s in he sea ch. The documen s will be il e ed by yea ( om 2018 o 2022)
and hen o de ed by he numbe o ci a ions ecei ed. The op 10 documen s a e:
Table 2. Top 10 documen mo e ci ed om 2018 o 2020 ela ed o he sea ch
In addi ion, i could be use ul o iden i y he jou nals ha a e mo e common
publishing du ing he las yea s documen s ela ed o his a ea o knowledge, in
o de o cla i y in which sou ces a e mo e accu a e in o ma ion. Fo his eason,
analysing he esul s, he ollowing jou nals a e he main ones:

Managing o R&D p ojec s: p oblems and guidance
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- In e na ional Jou nal O P ojec Managemen
- Resea ch Technology Managemen
- IEEE T ansac ions on Enginee ing Managemen
Bu apa om he sou ces ob ained, he e he impo an aspec is he documen s
ha allow a be e comp ehension o he s a e o he a :
- Mainly he mos ecen pape s a e abou collabo a i e p ojec s [10] [11] [12] [13].
Tha means he e is an in e es in he las yea s abou managing collabo a ions
in R&D. A e ha , wi hin he esul s appea o he opics in ela ion wi h R&D such
as indus y 4.0 [14], sus ainable de elopmen s [15] and indus ial esea ch [16].
- Some au ho s y o analyse he success ac o in R&D p ojec s, o example,
Ri a And ade, Gab iela Fe nandes and Anabela Te eso iden i ied ha ac o s in
ela ion wi h ‘in e - ela ional’, ‘scien i ic and echnical’ and ‘s a egic’ could ha e
an in luence on he o ma ion o bene i s [17]. This poin s could be in e es ing o
ocus on and sea ch me hodologies and ools o imp o e he managemen o
R&D collabo a ions.
- Rega ding he amewo k o he inno a i e p ojec s, i is clea ha adi ional
me hodologies do no each success ul esul s. Fo ins ance, his claim is p o ed
in a case o s udy ega ding a sma g id collabo a i e p ojec [18], whe e
adi ional p ojec managemen ools lead o ail. Au ho s say ha o make ise o
collabo a i e inno a ion be ween o ganiza ions o di e en na u e, i equi es
de ining a hyb id app oach o manage his kind o p ojec . The e o e, du ing his
documen i will be in e es ing o de elop a concep o hyb id app oach o R&D
p ojec s.
- Also o analysing he poin s and key aspec s o R&D p ojec s, he e is a esea ch
on PM IT ools [19], in which au ho s o e iew some unc ionali ies o IT
managing so wa e and pu pose a ba e y o unc ionali ies ha could be use ul
o ake in o accoun o he pu pose o echniques du ing his in es iga ion.
- One o he mos accu a e pape s wi h he cu en R&D managemen in es iga ion
is one made by Gab iela Fe nandes, So ia Mo ei a, Madalena A aújo, Edua do
B. Pin o, Rica do J. Machado [20]. In his documen , he au ho s s a e ha he
bes op ion o managing his kind o p ojec s is an hyb id app oach, in which
p oposes a se o Mus Ha e 24 well-known PM p ac ices ha a e p esen ed by
he PM li e cycle, di ided in o ou phases: p ojec ini ia ion, p ojec ini ial
planning, execu ion, moni o ing and con ol and e-planning, and, las ly, p ojec
closu e. This 24 p ac ices a e aken om an in ensi e li e a u e e iew and could
be in e es ing o pu pose du ing his in es iga ion some ools o con ol hem.
- Ano he esea ch ha may be a sou ce o in o ma ion could be ‘Con igu a ions o
p ojec managemen p ac ices o enhance he pe o mance o open inno a ion
R&D p ojec s’ [21], whe e he au ho s explain ha a ce ain o mal app oach is
necessa y in he managemen o science-based p ojec s. On he o he hand, hey
e iew some li e a u e and ind aspec s ha should be aken in o accoun h ough
he li e cycle o he p ojec . Howe e , he p ac ices a e no clea ly de ined, hey
explain wha bu no how.
Managing o R&D p ojec s: p oblems and guidance
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6 SOLUTIONS TO AVOID FAILURE IN R&D PROJECTS
As seen in he con ex and in he analysis o he s a e o he a , he e has been an
inc easing demand o inno a ion p ojec s in ecen yea s. In addi ion, he inhe en
complexi y o hese p ojec s poses a managemen challenge.
Tha is why, as a con ibu ion o his wo k, a amewo k o he co ec managemen o
R&D p ojec s will be p oposed in his block. In addi ion, based on esea ch published by
o he au ho s, key ools and solu ions will be o e ed o a oid ailu e and imp o e
managemen .
6.1 F amewo k o R&D p ojec managemen
Th oughou his sec ion, a speci ic me hodology ocused on he managemen o esea ch
p ojec s is p oposed. As i has been obse ed in he bibliog aphic e iew, he e a e many
pa icula i ies in he na u e o R&D p ojec s, and ha is why he adi ional managemen
amewo k is no comple ely adequa e o be able o con ol he p ojec . In ac , se e al
a icles e e o he need o a hyb id amewo k be ween adi ional and agile
managemen .
Fi s o all, in o de o unde s and he p oposed concep , he di e en s ages ha a p ojec
o his ype no mally goes h ough du ing i s li e cycle will be b ie ly de ined:
1. Resea ch phase: his is he i s phase o he p ojec , mainly a ising om he
appea ance o a p oblem, echnological challenge o imp o emen . I is usually
an in o mal ac i i y as i seeks he gene a ion o ideas and c ea i i y h ough
collabo a ion. I ies o ind po en ially in e es ing hypo heses o heo ies o mee
he objec i e o he p ojec . Once a se o p oposals is ob ained, i is ime o gi e
shape o hese ideas, ying o ind answe s o he ollowing ques ions: How is he
idea going o be ans o med in o eali y? How is he idea going o be es ed? Is
i possible, in e es ing o can i be de eloped wi h he a ailable means?
2. De elopmen phase: second phase p eceding he ini ial phase bu which may
o e lap a some poin . I s a s when an idea has al eady been concei ed and
de ined. Wi h his s age, he aim is o design and ca y ou he es s o p o o ypes
ha will ma k he inal iabili y o he idea. This pa o he li e cycle can ex end
om he p e-p oduc ion phase o he p oduc ion phase. This is whe e R&D
esides in he li e cycle. Depending on he o ganisa ion, he discipline, cul u e
and s uc u e applied o p ojec s in his phase may be s ic when he e is a igh
deadline o deli e a new e sion. O i could be applied in a mo e elaxed way,
o example du ing esea ch o a adical inno a ion, whe e ime cons ain s may
be non-demanding. In he p e-p oduc ion phase, all e o s and esou ces a e
ocused on p o ing ha an idea is good enough o go ahead; in R&D, i is a his
poin when he p o o ype has alida ed he design and p oduc ion can begin. I is
common o ac i i ies o mo e in o p oduc ion be o e he design is su icien ly
ma u e, which is o en a sou ce o un o eseen e en s, i e a ions o ailu es. This
pa o he li e cycle is di icul o manage. Mo eo e , he quan i y o isk which
can be ole a ed and ex e nal p essu es o mee deadlines will in luence
decisions abou when o mo e on.
Managing o R&D p ojec s: p oblems and guidance
24
3. Con ol phase: as he p ojec p og esses, i app oaches he con ol phase, whe e
he numbe o i e a ions is educed, he hypo heses a e educed and he changes
disappea . I should be no ed ha in R&D i is possible o imp o emen s o
appea and be de eloped in his phase as knowledge is g ea e , howe e i is
clea ha he p ojec mo es om a mo e open endency o some hing mo e
s uc u ed.
Taking in o accoun hese poin s, which a e usually common in he de elopmen o
inno a ion p ojec s, we can ha e he ollowing li e cycle app oach:
Figu e 14. P ojec li e cycle app oach
On he o he hand, in line wi h he au ho s' ci a ions in hei publica ions analysed in he
s a e o he a , R&D p ojec managemen needs bo h o mal and in o mal ools and
echniques. This will depend on he speci ic p ojec and he ma u i y s a us o he p ojec .
Figu e 15. Fo mali y g ade along he p ojec li e cycle
This does no mean ha i is s ic ly o bidden o use adi ional o o mal p ocedu es in
he ea ly s ages o he p ojec . Indeed, hey a e also necessa y o p ope p ojec con ol
and managemen . Howe e , wha i is in ended is o show ha he use o mo e agile o
in o mal ools is g ea e du ing he i s s ages o c ea i i y and acili a es he p og ess o
he p ojec .
Managing o R&D p ojec s: p oblems and guidance
25
Figu e 16. Numbe o ools du ing he p ojec li e.
Fo his eason, he nex sec ion will show di e en ins umen s, some o hem wi h a
mo e adi ional na u e and o he s mo e in o mal, ha will acili a e he managemen o
he di e en a eas common o p ojec s ee ing, aking in o accoun whe e he p oblems
o ailu es appea .
6.2 Tools and p ocedu es o imp o ing R&D p ojec
managemen
Du ing his sec ion, di e en ools and solu ions will be p oposed o imp o e he co ec
managemen o R&D p ojec s. As i has been p e iously obse ed, bo h adi ional and
agile echniques a e necessa y du ing he managemen o hese p ojec s. Fu he mo e,
in o de o make an analy ical and cohe en app oach, he main p oblems encoun e ed
in hese esea ch p ojec s will be lis ed i s . Once his o e iew has been achie ed, i
will be possible o sea ch o and ecommend he use o ce ain managemen echniques.
6.2.1 Main p oblems iden i ied
Thanks o he exhaus i e sea ch o in o ma ion ca ied ou in he s a e o he a o he
p ojec , e y use ul documen s, au ho s and jou nals ha e been ound o he
de elopmen o his ac i i y.
Speci ically, di e en causes o p oblems and/o ac o s ha cause ailu e in esea ch
p ojec s due o he di icul y and pa icula i ies o hese p ojec s ha e been iden i ied. The
mos common and ecu en ones a e lis ed below:
- Communica ion be ween s akeholde s, pa icula ly p ojec conso ium [22] : In
mul i-o ganisa ional p ojec s, co ec communica ion is essen ial o be aligned a
all imes, howe e , wi hou a well-de ined communica ion s a egy, in o ma ion
does no each he p ojec co ec ly and di icul ies a e gene a ed in he p ojec .
- Collabo a ion [23] [17] [21] : In collabo a i e esea ch p ojec s, a ce ain amoun
o dynamics and a en ion among he pa icipan s is needed o main ain he
mo i a ion and in ol emen o he pa ne s in he p ojec .
- Cul u al/Geog aphic dis ance [23] [17] [21] : Al hough wi h new echnologies he
geog aphical gap be ween socie ies has na owed, conside a ion needs o be
Managing o R&D p ojec s: p oblems and guidance
32
and engaged in he p ojec . He e a e some ideas on how you can celeb a e
achie emen s in you p ojec :
- Recogni ion: Recogni ion is an e ec i e way o celeb a e eam achie emen s.
This can be as simple as a e bal cong a ula ions, a hank you email o a
handw i en hank you no e. Recogni ion can also be mo e o mal, such as a
ce i ica e o app ecia ion o an awa d.
- Lunch o mee ing: O ganise a mee ing o lunch wi h he eam o celeb a e he
achie emen . This can be an oppo uni y o he eam o elax, sha e hei
expe iences and celeb a e oge he .
- Day o : gi ing eam membe s a day o o ex a ime o is a way o ewa ding
hem o hei ha d wo k. This also allows hem ime o es and echa ge.
- Rec ea ional ac i i ies: O ganising a ec ea ional ac i i y wi h he eam, such as
a oo ball ma ch, a ip o he cinema o a spa session, is ano he way o celeb a e
achie emen s and encou age eam collabo a ion.
- Pe sonalised gi s: A pe sonalised gi , such as a commemo a i e T-shi , a mug
wi h he p ojec logo o a pe sonalised plaque, is a c ea i e way o celeb a e he
achie emen s and keep he memo y o he p ojec ali e.
I is impo an o choose a way o celeb a ing achie emen s ha is app op ia e o he
eam and he p ojec in ques ion. Each eam has i s own dynamics and i is impo an o
know he eam membe s well in o de o choose he bes way o celeb a e achie emen s
oge he .
6.2.4 Cul u al/Geog aphical dis ance
When managing in e na ional collabo a i e p ojec s, in addi ion o he al eady known
obs acles, he e a e o he s such as geog aphical dis ance o cul u al di e ences ha can
nega i ely a ec he esul s o he p ojec i hey a e no p ope ly add essed.
In o de o o e come hese di e ences and ensu e ha hey do no a ec he p ojec , he
ollowing is ecommended:
- Le e o in oduc ion: a dynamic way o make you sel known and o es ablish a
ela ionship wi h he o he pa icipan s is o hold a p esen a ion session. The idea
is o b ie ly explain whe e you a e om, you hobbies, you p o essional po olio,
e c. A sho p esen a ion like he ollowing one is enough:

Managing o R&D p ojec s: p oblems and guidance
33
- Compa ison be ween coun ies: he e a e websi es [37] ha help o ge an
o e iew o he cul u e o a coun y. I is in e es ing as well as bene icial o p ojec
managemen o lea n abou o he coun ies o see wha hei weaknesses a e,
whe e hey s and ou om he es o om one's own coun y. In addi ion, i can
be use ul o assigning asks o oles wi hin he p ojec . Below a e he esul s
ob ained o a compa ison be ween Spain, Sweden and China in he ollowing
aspec s:
o Powe dis ance: he deg ee o which less powe ul membe s o a
coun y's ins i u ions and o ganisa ions expec and accep ha powe is
dis ibu ed unequally.
o Indi idualism: he deg ee o in e dependence a socie y main ains among
i s membe s.
o Masculini y: a high sco e means ha he alues being pu sued a e
success, achie emen and powe . A low sco e means ha quali y o li e
and ca e o o he s a e alued mo e.
o Unce ain y a oidance: he unce ain y a oidance dimension is abou how
a socie y deals wi h he ac ha he u u e can ne e be known: should
we y o con ol he u u e o jus le i happen?
o Long e m o ien a ion: his dimension desc ibes how each socie y has o
main ain ce ain links wi h i s own pas while acing he challenges o he
p esen and he u u e.
Managing o R&D p ojec s: p oblems and guidance
34
o Indulgence: This dimension is de ined as he deg ee o which people y
o con ol hei desi es and impulses, based on he way hey we e b ough
up.
Figu e 21. Coun y cul u al compa ison [37]
- CAGE Dis ance F amewo k: P o esso Pankaj Ghemawa de eloped his ool
[38] ha iden i ies he cul u al, adminis a i e, geog aphic and economic
di e ences be ween he a ious coun ies ha companies should add ess and
ake ca e o whils wo king on and c a ing in e na ional s a egies. The
amewo k can also be used o unde s and he pa e ns o capi al, ade, he low
o people, and in o ma ion ha wo k as c ucial ac o s o he o ganiza ion.
o Cul u al dis ance: wha cha ac e izes he cul u e o he coun y (language,
eligions…).
o Adminis a i e dis ance: how he adminis a ion o he coun y wo ks
(cu ency, poli ical si ua ion…).
o Geog aphic dis ance: wha cha ac e izes he geog aphy o he coun y
( imezone, clima e…).
o Economic dis ance: how is he economy o he coun y (income le els,
in as uc u e…).
Managing o R&D p ojec s: p oblems and guidance
35
Figu e 22. CAGE amewo k empla e[39]
Wi h his ool, i allows o explo e how hese ac o s could a ec you
o ganiza ion's collabo a ion o p ojec o expand he pa ne ship in o a o eign
ma ke . I can also be used o compa e he ad an ages ha di e en coun ies
p esen , and o p omp u he esea ch in o whe he expansion is iable.
- Lack o language skills: Ano he p oblem ha o en a ises when managing
in e na ional collabo a i e p ojec s is language. On he one hand, he e is he
obs acle o language le el, as no all eam membe s ha e he same le el. his
makes i di icul o ansmi in o ma ion, especially in mee ings. I is o en
common no o unde s and all he in o ma ion ecei ed o no o exp ess onesel
co ec ly when sending in o ma ion. Fo his eason, he ollowing is p oposed:
o Mee ings by ideocon e ence: he ac o seeing he ace, he lips when
speaking and he exp essions o ges u es makes communica ion much
easie bo h o he pe son ecei ing he in o ma ion and o he pe son
sending i , as hey can see i he o he pe son is unde s anding hem o
no .
o Slides: i is usually in e es ing o p epa e a small p esen a ion o
documen ha only con ains he ele an in o ma ion so ha he pe son
conce ned can g asp he main message and unde s and he basis o he
mee ing. I is also use ul o send his p esen a ion a e he end o he
mee ing in case i equi es a second eading.
o Mee ing minu es: his is a documen ha is p epa ed du ing he mee ing,
no ing down he mos impo an poin s ag eed, nex s eps, pa icipan s,
e c. In sho , i allows us o ha e con ol and moni o ing h ough a eco d.
I acili a es communica ion as all pa icipan s mus e iew i and see i
hey ag ee wi h wha has been d a ed.
Managing o R&D p ojec s: p oblems and guidance
36
6.2.5 Se ing goals
The clea and sha ed de ini ion o p ojec objec i es is undamen al o he success o any
collabo a i e esea ch p ojec .
- Kick-o mee ing: I is impo an ha s akeholde s mee a he beginning o he
p ojec o discuss and de ine he objec i es collabo a i ely. This can help ensu e
ha all pe spec i es a e conside ed and ha all expec a ions a e clea .
- SMART: De ining SMART objec i es is good p ac ice in any p ojec , including
inno a ion p ojec s. The ac onym SMART e e s o objec i es ha a e Speci ic,
Measu able, Achie able, Rele an and Time-bound.
o Speci ic: The objec i e should be clea and speci ic, a oiding gene ic and
ague objec i es.
o Measu able: The objec i e should be measu able, in o de o be able o
assess whe he o no i has been achie ed. The e should be a clea way
o measu e p og ess owa ds he objec i e.
o Achie able: The objec i e should be ealis ic and achie able, aking in o
accoun he esou ces a ailable and he limi a ions o he eam.
o Rele an : The objec i e should be ele an o he p ojec and he o e all
objec i es o he o ganisa ion. I should make sense in he con ex o he
p ojec and be impo an o he o e all success.
o Time-bound: The objec i e mus be ime-bound, which means ha a
deadline mus be se o achie ing i .
Wi h ime, he de ini ion o he SMART ac onym has been upda ed, e lec ing he
impo ance o he e iciency and eedback. Some au ho s ha e ex ended i ,
including some ocus a eas: o example, SMARTER no ion includes E alua ed
and Re ised. Some imes SMART can be exp essed wi h wo A’s as SMAART. In
his case, he i s A means Achie able and he second is Ac ion-o ien ed [40].
- SWOT analysis: is a use ul ool o assessing he cu en si ua ion o a p ojec o
company and p o ides aluable in o ma ion o decision-making. The ac onym
SWOT s ands o S eng hs, Weaknesses, Oppo uni ies, Oppo uni ies and
Th ea s, and is used o analyse bo h in e nal and ex e nal ac o s ha can a ec
he success o a p ojec . SWOT analysis can assis in de ining collabo a i e
objec i es in a numbe o ways:
o By iden i ying in e nal s eng hs, he eam can se ealis ic objec i es ha
capi alise on hese s eng hs and a e in line wi h a ailable esou ces and
skills.
o By iden i ying ex e nal oppo uni ies, he eam can se objec i es ha ake
ad an age o ma ke ends, cus ome demand and o he ex e nal ac o s.
o By iden i ying in e nal weaknesses, he eam can se objec i es ha
add ess hese weaknesses and enable he eam o imp o e i s
pe o mance.
o By iden i ying ex e nal h ea s, he eam can se objec i es ha add ess
hese challenges and educe he isks associa ed wi h he p ojec .
Managing o R&D p ojec s: p oblems and guidance
37
In he end, in p ojec s whe e di e en en i ies a e in ol ed, i is in e es ing o
pe o m his exe cise o be e unde s and he si ua ion o ou pa ne and o see
whe e i can con ibu e mo e o he p ojec . Ul ima ely, collabo a ion should
educe he weaknesses o each pa ne , compensa ing wi h he s eng hs o he
o he s and hus educing he h ea s.
6.2.6 Tools o moni o ing
Balanced Sco eca d (BSC) is a s a egic managemen echnique ha can be used in
esea ch p ojec s o se and measu e s a egic objec i es in se e al key a eas. The BSC
ocuses on ou main pe spec i es: Financial, Cus ome , In e nal P ocesses and
Lea ning and G ow h.
In he con ex o a esea ch p ojec , one possible way o applying he BSC could be as
ollows:
 Financial pe spec i e: This pe spec i e ocuses on he inancial and economic
objec i es o he p ojec . Fo example, inancial objec i es may include secu ing
unding, educing cos s, inc easing e enues, and gene a ing alue o sponso s
and in es o s. Financial indica o s may include, o example, p ojec budge ,
e u n on in es men (ROI), cos pe disco e y and p ojec p o i abili y.
 Cus ome pe spec i e: This pe spec i e ocuses on cus ome - ela ed objec i es
and end-use sa is ac ion. In a esea ch p ojec , objec i es may include
gene a ing new knowledge, sol ing speci ic scien i ic o echnical p oblems,
imp o ing people's quali y o li e, o c ea ing alue o socie y. Indica o s can be,
o example, he success a e in ob aining ele an esul s, end-use sa is ac ion,
imp o ed p oblem sol ing and he social impac o he p ojec .
 In e nal P ocesses Pe spec i e: This pe spec i e ocuses on objec i es ela ed
o he e iciency and quali y o p ojec p ocesses. In a esea ch p ojec , objec i es
may include op imisa ion o he esea ch me hodology, imp o emen o esou ce
managemen , educ ion o esponse imes and quali y o esul s. Indica o s can
be, o example, he numbe o ele an disco e ies, he u na ound ime o
ob aining esul s, he numbe o publica ions and pa en s, and he quali y o
publica ions and pa en s.
 Lea ning and G ow h Pe spec i e: This pe spec i e ocuses on objec i es ela ed
o he de elopmen and g ow h o he esea ch eam. In a esea ch p ojec ,
objec i es may include he imp o emen o he eam's skills and compe ences,
he p omo ion o eamwo k and inno a ion in esea ch me hodology. Indica o s
can be, o example, aining and de elopmen o he eam, collabo a ion wi h
o he eams, and de elopmen o new p oduc s and se ices.
Once he pe spec i es and objec i es o he BSC ha e been de ined, speci ic and
measu able a ge s should be se o each indica o . This will allow you o ack he
p og ess o he p ojec and make da a-d i en decisions. I is impo an o egula ly e iew
he BSC indica o s and make adjus men s based on he esul s ob ained. He e is
p esen ed a simple empla e o BSC:

Managing o R&D p ojec s: p oblems and guidance
38
Figu e 23. Templa e o Balanced Sco ed C. [41]
6.2.7 Tools o s akeholde managemen
Ha ing all s akeholde s on boa d is he bes way o lay a solid ounda ion o he design,
de elopmen , and implemen a ion o local s a egies. Bu b inging he igh people
oge he and main aining hei suppo in a mul i-s akeholde g oup can be a challenging
ask. I is also one o he po en ial ealising ac o s ha p ojec s need o manage.
1. Iden i y who he s akeholde s a e. They may be impo an o he o ganisa ion bu
ha does no necessa ily mean hey a e impo an o he p ojec .
2. De e mine wha powe hey ha e and wha hei in en ions a e wi h ega d o he
p ojec . Basically, i is a ques ion o assessing hei capaci y o in luence he
p ojec , whe he hey ha e powe and how much powe hey ha e o e he
p ojec .
3. Iden i y he ela ionship be ween he s akeholde s. The aim is o see i i is
possible o imp o e he chances o he p ojec by wo king wi h you suppo e s
o imp o e he iews o hose who oppose i .
The igu e below shows he op ions based on an assessmen o he po en ial o
coope a ion and s akeholde h ea :
Managing o R&D p ojec s: p oblems and guidance
39
Figu e 24. Types o s akeholde s and how o manage hem.[42]
Thus, s akeholde s in he uppe igh quad an (1) ha e a high po en ial o suppo he
p ojec , bu a low po en ial o in luence. The e o e, p ojec manage s need o in ol e
hese s akeholde s o inc ease suppo . In he lowe igh quad an (2) a e hose wi h low
po en ial o suppo and low in luence. They a e ma ginal o he p ojec , bu mus be
moni o ed and in o med o keep hem up o da e. In he lowe le quad an (3) a e hose
who ha e li le capaci y o suppo , bu po en ially a lo o in luence on he p ojec .
Manage s should be wa y o hese s akeholde s and de end he p ojec om hem, as
hey could become a majo h ea o he p ojec i hey a e igno ed. Finally, in he uppe
le quad an (4) a e hose who ha e a s ong suppo i e capaci y and a g ea deal o
in luence. They a e ac i e pa ne s and should be ea ed as such.
In addi ion o in luence and in e es in he p ojec , i is impo an o ake in o accoun in a
collabo a i e p ojec he ela ionships ha s akeholde s may ha e wi h each o he . In
o he wo ds, a p ojec in which he di e en pa ne s do no ha e good ela ionships o
ha e had p e ious con lic s may pose a isk. The diag am below shows an example o
such an app oach o mapping s akeholde s and hei ela ionships. Wi h his in o ma ion
you can d aw an ideal map and de ine s a egies o help you ge he e.
Managing o R&D p ojec s: p oblems and guidance
40
Figu e 25. Map o s akeholde ela ionships.[43]
Now wi h his in o ma ion and s akeholde o e iew, a s akeholde analysis empla e can
be comple ed ha will help de ine hose s a egies o imp o e you suppo :
Figu e 26. S akeholde analysis empla e. [43]
6.2.8 Tools o dealing wi h unkowns
Th ough ca e ul planning, you can e ec i ely manage unce ain y and minimize i s
impac on he p ojec 's ou come. On he o he hand, ailing o plan can esul in
unce ain y con olling he p ojec ins ead o he o he way a ound. So, when i comes o
in en ing some hing, i is essen ial o emb ace he challenge and pu in he e o o plan
you p ojec e ec i ely. Remembe , planning is no a hind ance, bu a he a powe ul
ool o success.
When i comes o planning R&D p ojec s, i 's impo an o s a wi h a de ailed plan o
he nea - e m pa o he p ojec . Fo he es o he p ojec , e en i you can only come
Managing o R&D p ojec s: p oblems and guidance
41
up wi h a ough plan ha lis s majo miles ones, i 's be e han no plan a all. As he
p ojec p og esses, keep adding de ails o you plans as soon as possible. This means
ha you le el o planning de ail will g adually deepen o e ime, like a wa e mo ing
o wa d.
Planning he unknowns: The e a e wo majo ypes o unknowns: known unknowns and
unknown unknowns. Known unknowns a e he hings ha you know you don' know. Fo
example, you migh be awa e ha you don' know whe he a new echnology will be
use ul o an un es ed applica ion. O , you migh know ha you don' know whe he i will
ain o snow on he day you planned o conduc an ou doo expe imen in he u u e. In
such cases, i 's impo an o plan o he known unknowns as bes you can, while also
being p epa ed o adap and adjus as he p ojec p og esses and new in o ma ion
becomes a ailable. Unknown unknowns a e he hings ha we a e no awa e o , and ha
we ha e no way o easonably p edic ing. These e en s can occu unexpec edly and
wi hou wa ning, making hem pa icula ly di icul o plan o . Fo ins ance, a p ojec
manage who is doing an excellen job may suddenly become incapaci a ed due o a
hea a ack and be unable o wo k o se e al mon hs. Such un o eseeable e en s a e
a p ime example o unknown unknowns, which can happen a any ime du ing he cou se
o a p ojec . While i 's impossible o an icipa e e e y possible unknown unknown, i 's
impo an o emain lexible and be eady o adap as needed o o e come unexpec ed
challenges.
- Planning known unkowns: One use ul ool o iden i ying po en ial p oblems is a
"Fa al Flaw Analysis," which in ol es wo s eps.
The i s s ep is o hold a b ains o ming session wi h key p ojec pe sonnel and
pe haps o he c ea i e indi iduals no di ec ly in ol ed in he p ojec . Du ing his
session, you should ask ques ions such as, "Wha could possibly go w ong wi h
his p ojec ?" o "Wha migh happen ha could ha e a nega i e impac on his
p ojec ?" I 's impo an o lis all ideas wi hou judgmen o e alua ion a his s age,
as he goal is simply o gene a e a comp ehensi e lis o po en ial laws.
In he second s ep, you should e alua e and p io i ize he b ains o med ideas
wi h a quali ied g oup o people. Each idea should be placed in o one o se e al
ca ego ies in ollowing igu e, based on i s likelihood o occu ence and i s
po en ial impac on he p ojec . This s ep will help you o iden i y he mos c i ical
issues and de elop a plan o add ess hem be o e hey become majo obs acles.
Managing o R&D p ojec s: p oblems and guidance
48
o SMART
o SWOT analisys
- Moni o ing
o Balanced Sco eCa d (BSC)
- S akeholde managemen
o Assessmen o he po en ial o coope a ion – h ea
o Map o ela ionships
o S akeholde anlisys empla e
Finally, i should be no ed ha he na u e o each p ojec may a y and i will be he
esponsibili y o he p ojec manage o know how o choose he bes ools o sui each
p ojec .

Managing o R&D p ojec s: p oblems and guidance
49
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