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Jumpstarting Your Funding Success

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Jumpstarting Your Funding Success

  1. 1. Preparing to Launch: Jumpstarting Your Funding Success Faculty Women’s Association Office of Knowledge Enterprise Development Research Development
  2. 2. Introductions •  Kevin Reinhart •  Jessica Robins •  Avery Wright •  Faye Farmer
  3. 3. 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  
  4. 4. 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
  5. 5. 1. Teaming
  6. 6. 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?
  7. 7. 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
  8. 8. 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
  9. 9. 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
  10. 10. 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
  11. 11. 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.
  12. 12. 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.
  13. 13. 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.
  14. 14. 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.
  15. 15. 2. Collaboration Tools
  16. 16. Objectives •  Team Communication •  Document Management
  17. 17. 3. Proposal Construction
  18. 18. 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
  19. 19. 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
  20. 20. Proposal Construction •  Checklists –  Document checklist •  Compliance Matrices –  Documents –  Content –  Formatting •  Shell Documents –  Content development –  Page budget
  21. 21. 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
  22. 22. 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  
  23. 23. 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
  24. 24. 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
  25. 25. 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
  26. 26. 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?
  27. 27. 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
  28. 28. 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
  29. 29. 3. Working With Industry
  30. 30. 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
  31. 31. Super  Secret?   NDA   Need  to   exchange   samples?   MTA   Want  to   collaborate?   MOU/TA   Want  to  get  $?   SRA  
  32. 32. 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
  33. 33. 4. Time Management
  34. 34. 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  
  35. 35. 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  
  36. 36. Surveys Questions PRIZES http://Funding.ASU.edu http://researchadmin.asu.edu

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