THE PROPOSAL PROCESS: AN OVERVIEW

Successful major projects through the Consortium are generally supported in the range of $20,000 to $70,000 per year (higher for multi-investigator and/or multi-institutional proposals) and provide at least the required 50% non-federal match (that is, non-federal match of at least $1 is required for every $2 requested from Sea Grant). Also, in the spirit of cooperation among Consortium member institutions, and in order to get the maximum benefit from funds available for its programs, it is the long-standing policy of the Consortium Board of Directors not to use Sea Grant funds to pay indirect costs to its member institutions; however, indirect costs may be used to satisfy the 50% matching requirement.

A Request for Proposals at the beginning of each biennial cycle solicits Concept Letters outlining proposed research, education, and extension activities in priority areas identified by the Consortium. Input as to what problems and opportunities warrant investigation is provided by Program Area Advisors, the Sea Grant Extension Program, state and federal natural resource agencies, and the State Legislature, through the Consortium’s Strategic Planning process, with guidance from the NSGCP Strategic Plan, and in consultation with the NSGCP Office staff. The Consortium Executive Director then develops the Request for Proposals which outlines priority needs. The Consortium will consider Concept Letters which focus on resource problems or opportunities not identified in the RFP; however, the burden of justifying the need for the effort proposed lies entirely with the investigator.

Personal or telephone contact with Consortium and Sea Grant Extension Program (SGEP) staff may be advantageous to an investigator during the proposal process. For example, projects being considered for Concept Letter development could be discussed with respect to merit and likelihood for funding support. When appropriate, Consortium staff will visit with investigators to discuss proposal ideas.

Investigators should submit a Concept Letter outlining their proposed project for all new projects; investigators with previously approved continuing projects need NOT submit concept letters. However, investigators with previously approved continuing projects must submit full proposals according to the schedule and format described herein.

Submission of a Concept Letter constitutes the first major step in the proposal cycle. Investigators whose conceptual ideas appear to address contemporary needs and Consortium priorities will be encouraged to submit full proposals for Consortium consideration. In this way, the Consortium can assemble a program plan for federal review without falsely raising the hopes of many investigators.

Concept Letters must be innovative and address current needs or opportunities as outlined in Section II with scientific vigor. Projects submitted to the Consortium for consideration undergo several levels of review and revision. Section I.4 details the process involved in the conceptualization, development, review, and implementation of proposed projects, and provides an overview of the chain of events that makes up the Sea Grant biennial proposal cycle.

Nearly one year is required from the conceptualization of a proposal idea to the formal award of Sea Grant funds (Figure 1). This is necessary for several reasons. First, the conceptual merit of Concept Letters and the technical and scientific merit of Full Proposals are rigorously reviewed by peer groups from academia, government, and industry to ensure that proposed objectives are relevant, timely, and achievable. Secondly, Concept Letters and Full Proposals are judged based on the probability of producing results that have practical applications, whether on a short-term or long-term basis, for specified target audiences. Finally, the proposal process involves not only the review of Concept Letters and Full Proposals, but also a national evaluation of the state’s Sea Grant program as a whole. The year before formal awards are made involves direct and continuous interaction among prospective investigators and Consortium staff.

The schedule of events described below does not occur every year since most projects require at least two years to complete. The Consortium’s Sea Grant Program operates on a biennial cycle that reduces the burden of both proposal preparation for investigators and proposal review for the Consortium staff. However, funding of Sea Grant projects, and requisite project reporting, remains an annual process. The start date of some approved projects submitted by investigators in response to the Consortium’s Sea Grant RFP may be deferred to the second year of a biennium.

The RFP cycle begins with investigator-Consortium staff discussions in the spring through on-campus visits and phone and electronic communication. At the same time, priority research and outreach topics, based on the Consortium’s strategic planning and stakeholder engagement processes, are being identified. These discussions center on matching the concepts and ideas of interested faculty with identified stakeholder needs and priorities, both state and regional, for that particular biennium. This process is also governed by the anticipated level of funding available for initiating new efforts.

A pre-announcement of the Request for Proposals is prepared and sent to Consortium institutions, faculty, and staff in early to mid-March.

The Consortium Request for Proposals (RFP), which includes a listing of priority research, education, and extension topics, is disseminated in early to mid-April. The RFP solicits Concept Letters as a precursor to Full Proposals. Concept Letters prepared by prospective PIs for Consortium consideration should address one or more of the Consortium’s priority topics. Innovative approaches to marine and coastal resource needs not identified in the RFP will be considered if the Concept Letter is well-written, innovative, technically sound, relevant to user needs, and specific in application. It is at this stage where a practical problem to be resolved and/or an opportunity to be explored must be explicitly stated and the beneficiaries of the research and/or outreach specifically identified. Concept Letters are due at the Consortium office in mid-May.

The Concept Letter submission and review process constitutes the first major step in the proposal cycle for prospective PIs. Investigators whose conceptual ideas appear to address contemporary needs and Consortium priorities will be invited to submit Full Proposals for consideration. In this way, the Consortium can assemble a proposal package for review without falsely raising the hopes of many investigators. Investigators are notified of the status of their Concept Letter in early June.

Approximately seven to eight weeks are provided for the preparation of Full Proposals; they are due at the Consortium office near the end of July. All Full Proposals are subjected to a rigorous, dual written peer and external panel review process during late July through early September. Comments received from outside reviewers and review panelists are provided to the investigators.

Proposals that are judged to have technical and conceptual merit, address Consortium program priorities, and fit within the available budget will be included in the Consortium’s proposed program plan. Investigators may be asked to prepare and submit a letter addressing reviewers’ comments during the latter part of September. The proposals themselves cannot be revised.

During the month of October, the Consortium staff prepares its final biennial Sea Grant program plan for electronic submission to the NOAA National Sea Grant College Program office (NSGO) through grants.gov. Final editing and word processing is completed and proposals are linked into program area components.

During the first half of October, the Consortium Executive Director meets with the NSGO Program Monitor to discuss the package and provide additional information on ongoing program activities. The final program plan contains the required fiscal and administrative documentation (prepared by the Consortium) and is due in Washington, D.C. by November 15 for processing by NSGO, NOAA, and the U.S. Department of Commerce. This processing takes from four to twelve weeks prior to the beginning of the Consortium’s Sea Grant fiscal year and the announcement of awards in late February for project start-ups on March 1.

 

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