Preparing to Launch: Jumpstarting Your Funding

Success Faculty Women’s Association

Office of Knowledge Enterprise Development

Research Development

Introductions

•  Kevin Reinhart •  Jessica Robins •  Avery Wright •  Faye Farmer

1.  Teaming  

Gap  Analysis  

SWOT  Analysis  

2.  Collabora1on  Tools   Document  and  Team  

3.  Proposal  Construc1on  Technical  

Cost  

4.  Connec1ng  with  Industry      Agreements  

5.  Time  Management   Deadlines  

Case Studies •  We are using four “example” solicitations

– NEH Museums, Libraries, and Cultural Organizations: Planning Grants

– NSF CAREER for Social Sciences – NIH R01 – NSF Secure and Trustworth Cyberspace

1. Teaming

Teaming •  Gap analysis is cyclic and iterative:

–  define the proposed work in “blocks” and identify who on the team will own each block;

–  define what is required to deliver the proposed work (expertise, facilities, equipment, etc.);

–  do you have access to the required components; –  is the proposed scope competitive/responsive; –  how can we improve our responsiveness?

Teaming •  Improving responsiveness (filling gaps)

– Partnering •  Adding partners with expertise or instrumentation or

facilities or other resources •  Removing partners with unneeded expertise •  Bolstering the team with stronger expertise

– Changing scope •  Add scope, remove scope… •  Be careful about new partners expanding scope

– Close the loop

Teaming •  SWOT analysis

Strengths   Weaknesses  

Opportuni<es   Threats  

Where do they come from: •  New ideas

and methods •  People •  Equipment •  Facilities

Think about proof points

Positive Negative

Internal

External

Teaming •  Communications

– Team meetings •  “No PowerPoint” meetings •  More formal meetings as the team matures

–  Intra-discipline & Inter-discipline •  Watch for differing nomenclature

–  Industry and Academia •  Clear definition of what work will be completed

Case Study Discussion •  Work as a table/team •  Review the case study on your table •  Break the project down into three “blocks of work” •  Identify one gap •  Identify one strength, one weakness, an opportunity,

and a threat •  Be creative! There are no wrong answers •  Report out to the wider group

Humanities Case Study - Teaming

You are a graphic artist. You would like to develop a mixed-media museum display that would include an interactive audience discussion afterwards. This would be a mobile installation and you would like it to be hosted at five venues across Arizona.

Social Sciences Case Study - Teaming

You are a social scientist interested in researching student learning and conceptual development of at-risk students using gaming. You are an expert in qualitative research methods; a colleague has expertise in quantitative methods. You have identified a high school with at-risk population that has worked with another ASU PI before.

Biomedical Case Study - Teaming

You are an MD who specializes in autism. You’ve been approached to collaborate with an ASU faculty member who is an expert in environmental influence on disease. Neither of you have access to clinical data or samples.

Engineering Case Study You are a computer scientist with expertise in cybersecurity. You have strong ties to an international university that is interested in collaborating. The project you’re proposing would include field testing using both an academic and an industry partner.

2. Collaboration

Tools

Objectives •  Team Communication •  Document Management

3. Proposal

Construction

Proposal Construction Almost Always •  Technical narrative •  Budget & budget

narrative •  CV’s/Biosketch •  Facilities & Resources

Often •  Current and Pending •  IRB/IACUC

•  Reps and Certs •  T&C review

Infrequent

Proposal Construction NSF -  Project Summary

(4,600 characters) -  Project Description (15

pages) -  Intellectual Merit -  Broader Impact

-  TNR 12 pt, Arial 10pt -  1” margins

NIH -  Project Summary (30

lines) -  Narrative (2 – 3

sentences) -  Specific Aims (1 page) -  Research Strategy (12

pages) -  Significance -  Innovation -  Approach

-  Arial -  11 pt font -  0.5” margins

NEH -  Narrative -  Work samples -  Bibliography -  Work samples -  Budget

Proposal Construction •  Checklists

–  Document checklist •  Compliance Matrices

–  Documents –  Content –  Formatting

•  Shell Documents –  Content development –  Page budget

Case Study •  Use your prior case studies:

– Review the solicitation – Determine 2 – 3 top level headers in technical

narrative –  Identify the content for each header and

corresponding review criteria (using a key is ok) –  If time allows, identify page limits, font type, font

size, margins – Report out

Content   NEH   NIH   NSF  CAREER   NSF  CyberSecurity  

Header   Nature  of  the  Request  

Research  Plan   Project  Descrip<on  

Project  Descrip<on  

Content   Page  8   SF424  guidelines  

GPG  guidelines  +  boIom  of  page  6  

GPG  guidelines  

Review  Criteria   Page  13   Significance  Inves<gators  Innova<on  Approach  Environment  

Intellectual  Merit  &  Broader  Impacts  

Intellectual  Merit  &  Broader  Impacts  +  Page  15  &  16  

Page  Alloca1on  

20   12   15   15  

Font  Requirement  

11pt   Arial  11pt   TNR  11pt  or  Arial  10pt  

TNR  11pt  or  Arial  10pt  

Budget Construction •  Creating a budget

– Bottom up – Top down – Complies with applicable regulations

•  Sponsor guidelines •  Federal, State, Local laws •  ASU Policy

– Working with a subcontractors/vendors/consultants

Two Major Components of a Budget Direct Costs

-  Costs that are associated

specifically with a particular project, or

-  That can be directly assigned to the project with a high degree of accuracy

Indirect Costs -  aka - facilities & administrative

costs (F&A), overhead, general administrative costs, etc.

-  Actual costs incurred to conduct the normal business activities of the organization that cannot be readily identified with or directly charged to a specific project or activity

Budget Categories Direct cost categories include:

-  Salaries/wages -  ERE/fringe benefits -  Materials & supplies -  Services & consultants -  Travel -  Capital Equipment -  Subcontracts -  Publication costs -  Tuition remission

Costs included in our F&A rate: -  Most administrative/clerical

salaries -  Office supplies -  Basic telephone services -  Routine postage -  Utilities -  Maintenance -  Building depreciation -  Library use

Prudent Person Test Reasonable

-  Do they reflect the

action that a prudent person would have taken under like circumstances?

Allowable -  Are they permitted

on the particular project pursuant to the sponsor’s terms and/or applicable regulations?

Allocable -  Are they correctly

assignable to the particular cost objective in accordance with the relative benefits received or some other equitable relationship?

Proposal Construction •  Cost share

– Sponsor requirement or encouraged – Allowable types – 3rd party cost share and risk – Process for requesting

•  Institutional commitment –  Infrastructure support – Process for requesting

Case Study Using the first case study in teaming: •  You’ve estimated that your work will take

$100K in direct costs for year one. Allocate this budget across: personnel (including benefits), travel, materials and supplies.

•  If the sponsor were to require cost sharing/matching, how would you provide this?

•  If you identified a need for external partners, describe their contribution(s), role, budget.

•  Report back to group

3. Working With Industry

Working with Industry •  What is IP and why do we want to protect

it? •  What belongs to ASU? •  Common Agreement types and use: Non-

disclosure agreements, Materials transfer agreements, Memoranda of Understanding, Teaming agreements

Super  Secret?   NDA  

Need  to  exchange  samples?  

MTA  

Want  to  collaborate?   MOU/TA  

Want  to  get  $?   SRA  

Case Study •  NEH scenario – need a graphic partner

company •  NSF SBE Career – need to work with a

school on educational outreach •  NIH – need to send a biologic to potential

collaborator that is a small business •  NSF – need to partner with Intel to provide

a chip

4. Time

Management

Posi<oning  

Solicita<on  

No<fy  RA  

Teaming   Team  Mee<ngs  

Define  Scope  of  the  Project  

Pink  Team  Review  

Finalize  Partners  

Subcontract  Documents  

Finalize  Budget  

Red  Team  Review  

Final  Documents  

Department  Review  

ORSPA  Review  

Due  to  Sponsor  

IP  

Gap/SWOT  

Shell  Document  

Budget  Construc<on  

Collabora<on  Tools  

1.  Teaming  

Gap  Analysis  

SWOT  Analysis  

2.  Collabora1on  Tools   Document  and  Team  

3.  Proposal  Construc1on  Technical  

Cost  

4.  Connec1ng  with  Industry   Agreements  

5.  Time  Management   Deadlines  

Surveys Questions PRIZES

http://Funding.ASU.edu

http://researchadmin.asu.edu