Benefits of the BlueprintsProposal Compliance Made Easy

Research Advancement Seminar

Introductions• Research Advancement Services

(RAS)– Sean Jones– Jessica Robins

Seminar Outline• Proposal Checklists• Additional Tools/Resources

– Proposal Manager role– Proposal Matrices

• Best Practices & Discussion– Steps for preparing a proposal checklist– Subaward Checklists– Tips, tricks, clever ideas– Discussion

PROPOSAL CHECKLISTS

INTERNAL Who is Responsible? Deadline In Progress Completed

Development of Proposal in ERA

Documentation of Sponsor F&A Policy

Native American Involvement Approval

SPONSOR(Most commonly requested)

Letter of Intent or White Paper

Project Summary (Abstract)

Budget

Budget Justification

Technical Narrative (Project Description)

References Cited

Biosketch (CV)

On Occasion

NO

YES

Do you prepare and provide proposal checklists to your PI's and/or Proposal Teams?

I mark up the FOA and/or the checklist

the sponsor provides instead of preparing my own

My PI’s know what they are doing and

don’t seem to need/want a

checklist

My PI’s don’t use the checklist, so I stopped sending

them outI’d like to, but I don’t have time

If "no", why not?

Every proposal (or almost every

proposal) I work on

When I am notified far enough in

advance of the deadline

Upon request

For Large/Complex Proposals

When the sponsor or program is new or unusual for me

When the PI is new to research or

submitting to a new sponsor/program

If "yes", how often do you provide a proposal checklist?

How do you use the checklist during proposal development?

• Check things off as we go along• Communicate progress to PI• Compliance check at the end

Benefits to the RA• Receipt of effort• Communication• Compliance• Quality Control

Hurdles• What obstacles inhibit our ability to provide

and use proposal checklists or proposal plans in the way we’d like to?

“Overall, I have found the checklists to be extremely helpful. Preparing proposals can be a daunting process, because of all the extraneous documents that can easily be overlooked when focusing on the basic science. Having the checklist helps guide you and your (RA) advisor determine the specific pieces required (including necessary details), which ultimately reduces anxiety.”

– Assistant Professor (Social Sciences)

“Our faculty find the proposal checklists EXTREMELY helpful in planning ahead for their time and marshaling the necessary materials so the proposal process goes smoothly. might be even more important is the sense of a safety net these checklists provide. can concentrate on the quality of their submissions and relax (a little!) into the knowledge that their bases are being covered, which is really important especially to early researchers.” – Associate Dean (Arts & Humanities)

“The proposal checklist is a great tool to keep everyone focused on their individual responsibilities, and to keep the all-important calendar top of mind as the various parts come together. PIs can focus on their critical sections and the RAS team can oversee how everything is developing so that nothing is missed. use them at the College of Law with great success!” – Director of Grant Acquisitions (Law)

“As a faculty member drowning in my responsibilities in teaching, in advising students, and in mentoring Ph.D. students -- not to mention writing journal papers ---without (my RA’s) help and her approach towards giving faculty clear checklists and instructions -- I would be up the no-name creek without a paddle. Her approach is extraordinarily critical.”

– Professor (Natural Sciences)

“Oh this is perfect. This is exactly what I need to put into perspective what I need to do.

– Faculty Member (Engineering)

ADDITIONAL TOOLS & RESOURCES

Introductions• Guest Speakers:

– Faye Farmer– Sasha Stinchfield

Research Development“Research Development professionals support the efforts of faculty to secure extramural research funding and initiate and nurture critical partnerships throughout the institutional research enterprise, among institutions, and with external stakeholders.”

- National Organization of Research Development Professionals (NORDP)

Research Development• Strategy

– Developing and implementing strategies that increase competitiveness

• Capacity-building– Developing individual faculty– Developing teams of researchers

• Relationships– Initiating and nurturing partnerships, networks, and alliances

Proposal Mangers…• Work closely with PI, RA, and Project

Manager• Support teaming (internal & external)• Proposal writing/editing• Document management• Manage “Team” reviews• Promote best practice

Proposal Construction• Checklists

– Document checklist• Compliance Matrices

– Documents – Content – Formatting

• Shell Documents– Content development– Page budget

TIPS & TRICKSBest Practices

Best Practices• Clarify roles, ask questions• Communicate clearly & succinctly

– Bullet point or numbered list within email• What methods work in communicating with your

PI’s?• What tips do you have for communicating with the

assigned GCO on your proposal?• How do you communicate to sub-recipients the

items we need from them?– Hyplerlinks, templates

Discussion• What resources inform your list/plan?• How do you find time to prepare a

proposal plan?– When?

• What other approaches, besides checklists, have you used to communicate a proposal plan and organize the effort?

I take the standard NIH checklist and add to it my personal chunk of stuff. Simpler things like adding it to the Fulton site. Making sure it is in ERA.

Check things off. Give to student, have them make sure all of the admin/internal stuff is done. Put it in the shared folder. I can’t remember

everything. I’m a visual person. (Emily Bennett)

Times where faculty were doing multiple R01’s for the same deadline. Having an excel with different tabs for each proposal. Found it useful to keep them on track and knowing what he submitted for what proposal.

he appreciated having everything in one spot. (Kelley Hall)

Bulleted list includes headers and sub-headers that should be included. (Kelley Hall)

Via email – bullet point list.o Subdivide the main pieces.o i.e. if you have human subjects, you’ll also need thiso some requirement they haven’t seen before – give them a screen shot of the instructions and a sample of that document (Margaret Zywczyk)

I use them for every proposal. the other thing I do, we save all of the checklists we provide in a central location. I create a checklist, tailored to the PI, using a template – but separate one for each person. (Samantha Munguia)

I send the PI deadlines for internal requirements for routing. Next chunk might be C&P, biosketch, Facilities, etc. – need by this date, time. Last chunk – description and references, I have to have this by 7AM. I usually don’t tell them that day-of is an option, I ask for it by the day before the proposal is due. Bullet points in the email. (Stacy Stuart)

For large scale proposals it’s often helpful to have a master checklist, which covers everything in the proposal, but also to have smaller more

specific ones, e.g. contracting help which may be needed from ORSPA, or a checklist to send to any subs. (Amy Woof)

I have prepared checklists on our Math Faculty website, as well as various useful templates. It is always available online. (Janis Morey-

Naugle)

Questions

http://researchadmin.asu.edu/training/videos

http://researchadmin.asu.edu