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. 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
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. 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. 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. 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. 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. 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. 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. 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. 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.
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. 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. 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. 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. 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. 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. 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. 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
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. Super
Secret?
NDA
Need
to
exchange
samples?
MTA
Want
to
collaborate?
MOU/TA
Want
to
get
$?
SRA
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
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. 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
