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.

Concept Letters must be innovative and address current needs or opportunities with scientific vigor. Projects submitted to the Consortium for consideration undergo several levels of review and revision. Section I.E. details the process involved in the conceptualization, development, review, and implementation of proposed projects. This sub-section 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 technical and scientific merit of proposals is rigorously reviewed by peer groups from academia, government, and industry to ensure the validity of project objectives. Secondly, 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 marine and/or coastal managers and users. Finally, the proposal process involves not only the review of 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 complete 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 and review for investigators as well as the Consortium staff. However, funding of Sea Grant projects, and project reporting, remains an annual process. Therefore, a major Request for Proposals (RFP), with subsequent review, comment and revision, is issued only every second year. The start date of some projects offered by investigators in response to a major RFP may be deferred to the second year of a biennium.

The proposal year begins with investigator-Consortium staff discussions in the spring through on-campus visits and phone and electronic communication. At the same time, priority research topics, based on the SCSGC strategic planning process, are being identified. These discussions center on matching the concepts and ideas of interested faculty with identified needs and priorities, both state and regional, for that particular year. This process is also governed by the anticipated level of funding which will be available for new efforts.

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

The Consortium Request for Proposals (RFP) that includes a listing of priority research, education, and extension topics is disseminated in early April. The RFP solicits Concept Letters as a precursor to full proposals. Concept Letters prepared by investigators for Consortium consideration should address one of the priority topics. Innovative approaches to marine and coastal resource needs not identified in the RFP will be considered if the concept paper is well-written, innovative, technically sound, 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 May.

The Concept Letter submission and review process constitutes the first major step in the proposal cycle for investigators. 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 at the beginning of June.

Approximately seven to eight weeks are provided for the preparation of full proposals; they are due at the Consortium office by the end of July. Comments on all initial proposals, received from outside reviewers and an internal review panel during late July through early September, 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 program plan. Investigators may be asked to prepare and submit a letter addressing reviewer comments during the latter part of September. The proposals themselves cannot be technically revised.

During the month of October, the Consortium staff prepares the final biennial program plan for submission to the NSGCP. 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 NSGCP 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 NSGCP, 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.