PREPARING YOUR SEA GRANT PROPOSAL Full Proposal Guidelines for the by trevorbowman

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									PREPARING YOUR SEA GRANT PROPOSAL
Full Proposal Guidelines for the 1 February 2008 - 31 January 2010 funding period. Note: Only those who submitted a positively-assessed pre-proposal are encouraged to proceed with a full proposal submittal. IMPORTANT REMINDERS: • Full proposals are due in Connecticut Sea Grant Office no later than June 1, 2007 (Friday) by 4:30 pm EST. All materials and proposal copies are due in the Sea Grant office by this deadline. Late or incomplete proposals will not be processed. We require an original paper copy, 14 additional paper copies, and an electronic copy on CD or thumb drive (MS Word or Adobe PDF files). For the electronic copy, all materials except the routing form and list of potential reviewers must be combined into a single electronic file. E-mail or fax submittals are NOT allowable. IMPORTANT: CTSG requires that all proposals are reviewed and approved by the submitting program’s Sponsored Programs office prior to submittal. Proposals that have not been approved, with appropriate signatures from an authorized institutional representative (the principal investigator is generally NOT an authorized institutional representative), will be returned to investigators without review. Notice of projects selected for omnibus proposal submittal will be mailed to PIs no later than August 31, 2007.

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INTRODUCTION Connecticut Sea Grant (CTSG) supports applied research, education, and outreach activities aimed at fostering the sustainable use and conservation of coastal and marine resources for the benefit of the environment and current and future generations of residents of Connecticut and the Region. Applied projects with clear relevance to the management of Connecticut’s marine and coastal resources will be given priority. All proposals will be subjected to an exhaustive external review process. Connecticut Sea Grant strives to fund the highest quality research, education, and outreach that is also relevant to Connecticut and the region and consistent with the CTSG Strategic Plan Blueprint for a Coastal Legacy: Connecticut Sea Grant Strategic Plan 2007-2011 (available on the CTSG website). Relevance to CTSG priorities should be emphasized in your full proposal. For additional details, see the Connecticut Sea Grant College Program Call for Preliminary Proposals (http://www.seagrant.uconn.edu/funding.htm). A full proposal should clearly define the objectives, rationale, and methodology for the project, as well as the potential benefits and qualifications of the investigators who would perform the work. Proposals for Sea Grant activities should respect the page limits (see

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below), with emphasis on clarity. Justifications should be specific, not couched in generalities. Objectives and methods should be clear and concise. In writing the proposal, keep in mind the reviewer who will comment to the Sea Grant Office and to our review panels on the quality and validity of the proposal. The reviewer may be assumed to be knowledgeable about national goals and needs, and an expert in the field covered by the proposal. Clarity is of essence, and it should not be left to the reviewer to interpret (or misinterpret) the project description, including specific methods to be applied. Emphasis on how the project will address CTSG priorities is strongly recommended. Note: In preparing the full proposal, it is essential to take into account the comments of the preliminary proposal panel in their evaluations of your preliminary proposal. Also, we urge investigators to read carefully the Connecticut Sea Grant College Program Call for Preliminary Proposals (http://www.seagrant.uconn.edu/funding.htm) for topical guidance, and to link proposed work to CTSG Strategic Plan priorities. As noted in the Preliminary Proposal RFP, CTSG seeks proposals for coastal/marine research, outreach, and education of the highest quality and relevance within the focus areas identified by Blueprint for a Coastal Legacy: Connecticut Sea Grant Strategic Plan 2007-2011. Based on these theme areas, additional strategic guidelines and priorities of NOAA and the National Sea Grant College Program (reflected in their respective strategic plans), and our external advisory committees, CTSG solicits preliminary proposals in the following topic areas: 1. Marine aquaculture and biotechnology This topic area encompasses research that contributes to the expansion of environmentally- and economically-sustainable marine aquaculture in Connecticut and the Northeast. This includes research that directly or indirectly reduces impediments to a sound business; improves the potential for profitability; enables management of aquatic ecosystem health; directs or enhances relevant biotechnology; addresses issues of conflict and policy; and assesses impacts of aquaculture on the economy and/or environment. 2. Use and conservation of marine resources, ecosystems and habitats This topic area encompasses research that directly or indirectly supports management efforts to conserve and protect ecosystems, habitats and living resources in Long Island Sound and its watershed, Connecticut and the Northeast United States. Areas of particular emphasis include: a. b. c. d. Coastal Land Use and Community Planning Habitat Restoration and Enhancement Aquatic Invasive Species Use and Conservation of Marine Resources

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Within these general focus areas, CTSG particularly welcomes proposals that recognize the critical importance of linkages within ecological systems and the potential implications of regional research for broader management challenges. More specifically, CTSG will give priority to proposals that: A. Recognize Long Island Sound (and neighboring coastal lands and waters) as a coordinated ecological system. This includes research topics that incorporate a systems-based perspective, and provide information relevant to ecosystem-based management. B. Use the Long Island Sound ecosystem—as one of the more highly urbanized US estuaries—as a model to explore broader implications and management of human pressures on estuarine systems. C. Make efficient use of requested funds through leveraging with partner organizations and optimal use of new and existing data. D. Coordinate research with education and/or outreach activities.1 While it is not necessary that proposals incorporate all of these elements (i.e., A, B, C and D), adherence to one or more of these principals will be a positive factor in proposal evaluation. Moreover, while CTSG strongly encourages proposals that integrate research, education and/or outreach, all proposals must incorporate a central research component.2 This research component may be derived from either the natural or social sciences.

PROPOSAL COMPONENTS Each full proposal should include the following information in the order listed below: 0. Routing Form For University of Connecticut proposals, we require a copy of the standard signed routing form http://www.osp.uconn.edu/PDF/ipr.pdf. For non-UConn proposals, please make sure to include the analogous form from your institution. Please note that individual SF 924 forms are NOT required.
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Highest priority will be given to proposals that provide substantive evidence of coordination with extension, communication or education activities. This includes evidence that extension, communication and/or education have been considered as an integral part of proposal development and not simply appended to an already completed proposal. For those interested, Connecticut Sea Grant Outreach (Extension and Communications) and Education staff members are available to discuss ideas for meaningful outreach and education components to research proposals. Requests for assistance may be made to the Sea Grant office in a timely manner, well before the pre-proposal and budget are fullydeveloped. Last-minute requests for assistance will not be considered. 2 For example, proposals for internships or similar projects should identify proposed research activities that will be undertaken, or how the proposed activities will integrate with and contribute to scientific research. Education and outreach activities that do not incorporate original research of some type will not be considered.

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1. Cover Page Prepare a cover page that includes the project title, together with the names, titles, and full contact information (including telephone and e-mail) for all investigators and associate investigators. Make sure to specify the contact investigator to which correspondence should be sent, as well as the primary institution. Also include total budget request and matching funds for the entire project. The cover page should also include the signature of the principal investigator, as well as an authorized institutional representative. There is no required form for the cover page, as long as all information is provided. 2. Sea Grant Project Summary Form The Sea Grant Project Summary Form (90-2) may be found at http://www.seagrant.noaa.gov/funding/forms.html. The project summary is extremely important, because it is the only part of the proposal that many persons will see. The form may be extracted from the proposal by the Sea Grant Office and reproduced, and it may be electronically disseminated. The summary should permit judgments about whether proposals merit reading for particular purposes. You must complete one Project Summary Form for each project year. However, the only thing that should change between the forms for year one and two (for a two-year project) will be the budget numbers. All other items on the Project Summary forms should be the same for project years one and two (assuming a two-year project). Institution: Connecticut Sea Grant College Program Title: Give your project an appropriate, descriptive title. Include as much information as possible in two lines (about 16 words) -- preferably less. Project Numbers: Leave blank. Project Status: Leave blank. Sub-Program: Leave blank. I-Code: Leave blank. Revision Date: The date (month/day/year) on which the summary is written. Initiation Date: The date (month/day/year) on which Sea Grant funding for the project began, or is proposed to begin. In almost all cases this date will be February 1, 2008, and can be no earlier.

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Completion Date: The date (month/day/year) on which it is estimated your project will be completed. NOTE: ALL PROJECTS IN THE 2008-2010 BIENNIUM SHOULD HAVE A COMPLETION DATE NO LATER THAN JANUARY 31, 2010. Principal Investigator (P.I.): The name of the principal investigator(s), followed by the time the P.I. will devote to the project in the grant year covered (e.g., Maris, H.O. [5.0 man-months]; Jones, F.L. [2.5 man-months]). Affiliation: The academic affiliation of the P.I. (e.g., Biotechnology Center, University of Connecticut). Affiliation Code: Leave Blank. Associate Investigator: Names and man-months planned effort of associates whose efforts are significant to the success of the project (e.g., Jackson, J.L. [6 man-months]). Affiliation: Same as for P.I. Affiliation Code: Leave Blank. Sea Grant Funds and Matching Funds: For a new or continuing project, the amount of money requested for each project year. For the Project Summary Form for project year one, enter funds requested and matched for year one. For the Project Summary Form for project year two, enter funds requested and matched for year two. Last Year's Sea Grant Funds and Last Year's Matching Funds: If it is a continuing project, enter the amount of money committed to the project for 20062008. If this is a new proposal, enter "0" for the first year summary form. For the second year project summary, enter the first year’s funds in appropriate spaces. Pass-Through Funds: The grant funds (if any) committed to this project from federal agencies other than Sea Grant (e.g., Navy, EPA, National Marine Fisheries Service, etc.). Related Projects: The project number(s) and name(s) of other projects begun (or completed) earlier, from which this project was derived. The intent is to build a record of continuity. For example, the project may be to establish economic feasibility of an idea, and the follow-up, to establish technical feasibility. Sea Grant Classification: Leave blank.

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Objectives: State project objectives briefly and clearly, in no more than 150 words. In keeping with Sea Grant's mission, appropriate verbs include (but are not limited to): test (the hypothesis), develop, provide, determine, isolate, characterize, identify, restore, implement. Less desirable but sometimes appropriate, verbs include: promote, conduct, analyze, apply, investigate, examine, describe. Some verbs, such as study, consider, continue, should not be used at all, since failure to do these cannot be determined. Methodology: State the methods to be used to accomplish your objective, in no more than 150 words. Descriptions should be clear and concise, and written such that they may be generally understood by a well-educated layperson. Rationale: (Not to exceed 150 words.) Indicate why this project is appropriate for Sea Grant support (e.g., relevancy). The project need not promise to fully solve a problem, but you should show that it is a logical step towards a solution. Avoid long, involved background statements. Where potential users of the information developed have been identified, state who they are. Note: The project summary as prepared up to this point should print out on no more than two 8-1/2 by 11-inch pages—one page is preferable but not required. 3. Narrative Limit the narrative to a maximum of 15 single-spaced pages (1_ margins, 12 point font, no more than 6 lines per inch). Please number all pages. The list of references cited is not included in the 15 page limit. Proposals are to be submitted on standard 8-1/2" x 11" paper with typing on one side of the page only. There should be no page reductions. All graphs and figures are included in the 15 page limit. Proposals in excess of this page limit may be returned without review. Thoroughly document your project plan. Present adequate information for evaluation by experts in the proposal area and others whose primary interest is the project's potential benefit to society. No project proposal will be considered for funding unless the rationale, objectives, methods, expected results, and impacts are thoroughly explained. In writing your narrative, remember to include the explanations for budget and travel requests, if applicable, and address the following points: Problem or Opportunity Addressed - Sometimes called a "relevancy" or "situation statement," this is where you describe your proposal in terms of history, present status, trends or other aspects, and include a statement concerning its importance to the marine community.

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Objectives – A clear, concise statement of the project objectives or goals (i.e., what you intend to do). In keeping with Sea Grant's mission, appropriate verbs characterizing objectives include: test, develop, provide, determine, isolate, characterize, identify, restore, implement. Less desirable but sometimes appropriate verbs include: promote, conduct, analyze, apply, investigate, examine, describe. Some verbs, such as study, consider, continue, should be avoided. Rationale - A brief statement of the benefits expected by applying results of the project. Tell why your project is important, and to whom. Present Status - Evaluate the existing knowledge, programs or services, and previous work pertaining to the proposal area. If this is to be a continuation of previous Sea Grant-supported research, summarize accomplishments to date. Also in this section, include a bibliography or literature search to document your conclusions about the background. Make sure to distinguish the proposed project from ongoing and prior work. Approach - Describe fully your approach and methods throughout the course of your project. Show how the work will meet your stated objectives, and provide a clear picture of your anticipated accomplishments and when you expect to reach them. You should include a final report and other publications as appropriate in the timetable. For research projects, discuss in detail the experimental design you will use to reach your goals, describing the procedures and sequence of the investigation. Describe how the data will be analyzed and interpreted. In addition, you should discuss new methods and their advantages over previous methods, potential difficulties and alternative approaches to achieve your goals. Your narrative should describe the roles that will be played by any students involved in the research. Expected Results - State realistically what results you expect, and describe how the results might solve the stated problem or take advantage of an opportunity. Also include a timetable for products of the research, such as papers, books, reports, computer programs or prototype hardware. Also be clear as to the direct or indirect management or policy implications of your work—who might use your results and how? Interaction with other Projects - Your narrative should include a description of any interaction with other organizations or investigators, particularly if it involves sharing of resources, interdisciplinary collaboration on different phases of a common problem, or pooling of data with another project. Extension/Education/Communication Plans – All research proposals will be evaluated with regard to clear linkages between the activities to be conducted and the public benefits that will result, in terms of improving the understanding, assessment, use, management, conservation, or restoration of marine and coastal

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resources. A demonstrated commitment to outreach, education, and/or communication of results will be an important consideration during proposal evaluation. This commitment may be demonstrated in a number of ways, including pre-planned and detailed linkages to: (a) CTSG education, extension or communication programs, (b) other Sea Grant research, education and outreach programs in New England, (c) other federal, state, NGO, or private partners, or (d) other established avenues of outreach, education, and/or communication. Publication of results in academic journals alone is insufficient evidence of a successful outreach, education, or communication strategy. We urge investigators who wish to integrate proposals with CTSG extension, education or communication programs to plan such integration in advance, and in coordination with CTSG staff. Perfunctory or last-minute additions of outreach, education, or communication plans or personnel will not be accepted as evidence of an appropriate commitment to such activities. References Cited: (NOT included in 15-page limit) – List all references cited, using a standard bibliographic form. 4. Budget Justification It is frequently easier to start with the budget justification, since it is intended to spell out in some detail how and why the money is needed. The budget justification should explain the rationale for each line-item included in the final budget. Personnel needs should show names, percentage of time (months of effort), and best estimates of salaries, Federal and non-Federal. Fringe benefit rates can be explained. Equipment must be listed with explanation of need for larger items (items greater than $1000 in cost). Categories of supplies should be shown. While it is not necessary to detail out the obvious expenses, it is usually more convenient to list all costs in the justification. These then can be quite easily transferred to the NOAA 90-4 Budget Form. Be sure that your annual budget totals conform to the totals approved at the preliminary proposal stage.  5. Sea Grant Budget Sheet Prepare a detailed budget sheet for the project year 2008-2009 and a separate budget sheet for 2009-2010, as well as a Total Project Budget for all years combined. Note that this is a summary only; it does not fulfill the requirement for justification of individual budget items.

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The Sea Grant Project Budget Form (90-4) may be found at http://www.seagrant.noaa.gov/funding/forms.html. Under A., Salaries and Wages, actual numbers of personnel should be shown in the blank after the categories (e.g., co-principal investigator [1]). Total time to be spent on the project should be shown in man-months to the nearest tenth in the appropriate box. In calculating the share of salaries, actual time to be spent on the project should be used. If a researcher will spend one-fourth of his/her time on the project during the academic year, and his/her academic year salary is $45,000, the calculation will be $45,000 divided by four, and the time shown will be nine months divided by four. Definition for the various personnel categories follows, numbered to correspond with the budget summary: A. SALARIES AND WAGES 1. Senior Personnel a. The (Co-) Principal Investigator is responsible for the conduct of this activity. If responsibility is shared equally among two persons, they should be shown as co-principal investigators. NOTE: Curricula vitae, two pages in length, for all persons in this category should be submitted with the proposal (see 7 below). b. Associates (faculty or staff) are professional persons who are full-time on the faculty or staff. 2. Other Personnel a. Professionals are non-faculty, non-staff associated with the project. b. Research associates are professional persons participating in the project who are part-time employees, persons retained solely for the project or staff members of participating organizations. Consultants should be listed under "Other Costs" because fringe benefits or some elements of indirect costs may not be computed on their compensation. c. Research Assistants, Graduate Students are part- or full-time students who hold at least a bachelor's degree. d. Professional School students are students enrolled in medical, legal, and other professional schools.

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e. Pre-baccalaureates are undergraduate students enrolled either part-time or fulltime in a course leading to a degree, including an Associate Degree, in the case of students in two-year programs, or a certificate in the case of some vocational students. Pre-Bac students may be employed as aides or helpers on a Sea Grant Project either on salary as part-time employees or on an hourly basis. f. Secretarial-clerical is a category for office personnel. g. Technical Shop is a category for technicians, shop personnel and other persons with special, but non-professional skills. h. May be used for "other" persons not included in categories a through g. B. FRINGE BENEFITS. Use your institution's recommended rates. C. PERMANENT EQUIPMENT. The rationale for the purchase and use of permanent equipment with a cost of $1,000 or more per unit should be explained. Include a full list, with justification for each item, on the Budget Justification page of your proposal. D. EXPENDABLE SUPPLIES. Includes specialized office supplies3, chemicals, and laboratory supplies and other expendable items. Show the total in the budget summary. If they are unusual in nature or amount, explain on the Budget Justification page. E. TRAVEL. Show the basis for travel in the Budget Justification as "X " trips at "Y" average cost of "Z" days. Per diem for travel must be based on the regulations of the proposing institution and included in the travel budget total. Domestic travel includes travel to all U.S. Possessions or Trusts (including Puerto Rico, the Virgin Islands, the Trust Territories, Guam, and Samoa) and Canada. All other travel is considered "international," and the trip must be justified and approved in advance. In the current climate of shrinking budgets, the Sea Grant office will scrutinize request for travel funds very closely—please ensure that all requests are reasonable and necessary to the proposed project. F. PUBLICATIONS AND DOCUMENTATION COSTS. Widespread dissemination of information is implicit in all grants. Include within your budget the cost of manuscript preparation. Please put journal and page reprint charges on a separate line. Please note that the Connecticut Sea Grant Office will require 17 reprints of each published article. We require that all publications that result from funded projects acknowledge Sea Grant support.

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Please note that general office supplies are usually NOT allowable as direct costs, except in rare circumstances in which large amounts of supplies are to be used by the project and/or supplies are specialized. Standard office supplies in small amounts cannot be charged as direct costs, as they are included as part of the calculation of University of Connecticut indirect cost rates.

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G. OTHER COSTS. List such items as computer time, reimbursement of participating institutions, equipment rental, consultants, boat time ("X" days at "Y" cost per day), etc. Note that facilities rental and other costs not allowable under the federal portion of the grant may be listed as "Other Costs" in the grantee share column. H. INDIRECT COSTS. The basis for computing indirect costs should be stated in the Budget Justification. Note that indirect costs apply to the grantee share column as well as the Sea Grant funds column. NOTES ON MATCH REQUIREMENTS Sea Grant is a matching funds program, which requires that at least 50% of the aggregate federal dollars received be matched by state or private funds. CTSG therefore requires that proposals will include at least 50% match (i.e., $0.50 match for every $1.00 of requested funds) from non-federal sources. In-kind matching from University or other sources is often acceptable. Possible sources of matching funds include salaries, benefits, ship time, indirect costs, and real or inkind contributions from non-federal partners. (Additional information regarding match/cost sharing may be provided by the Office of Sponsored Programs at your institution or from the Sea Grant Office.) Matching funds are scrutinized very closely for legitimacy by both the University of Connecticut and the federal government. 6. Supporting Documentation Each project narrative is expected to be complete. This section is NOT to be used for additional project description or discussion of investigators’ qualifications or publications; such materials will be discarded prior to review. Allowable supporting documentation includes letters of support and/or collaboration and documentation of important facilities required for the proposed work. 7. Biography of Each Investigator Submit a two-page curriculum vitae for each investigator or associate investigator named on the Sea Grant Project Summary Form. Do not exceed the two-page limit. Be sure to include the following information: • • A list of prior Sea Grant support received. A list of recent products acknowledging Sea Grant support (these include books, papers, reports, patents, etc.).

Previous support under Sea Grant is not a consideration in the selection process. However, if there has been previous Sea Grant support, the documentation of the results of that support is a very important consideration.

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8. List of Potential Reviewers Submit a list of at least five potential reviewers with recognized expertise in the field(s) covered by the proposal. For each reviewer, please provide a name, title, mailing address, telephone, and e-mail. You should not submit names for which you have a known conflict of interest.4 Please submit a single copy of this list as a separate attachment—do not attach to proposal copies. SUBMITTAL INSTRUCTIONS We require 1] an original paper copy; 2] fourteen (14) additional paper copies, and; 3] an electronic copy on CD or thumb drive (MS Word or Adobe PDF). For the electronic copy, all materials except the routing form and list of potential reviewers must be combined into a single electronic file. E-mail or fax submittals are NOT allowable. Proposals should be mailed or hand-delivered to: Dr. Robert J. Johnston, Associate Director Connecticut Sea Grant College Program University of Connecticut at Avery Point 1080 Shennecossett Road Groton, Connecticut 06340-6048 (860) 405-9278 Full proposals are due in CT Sea Grant Office no later than June 1, 2007 by 4:30 pm EST. All materials and proposal copies are due in the Sea Grant office by this deadline. Late or incomplete proposals will not be processed. OTHER IMPORTANT NOTES ON PROPOSAL PREPARATION  CTSG requires that all proposals are reviewed and approved by their Sponsored Programs Office prior to submittal. Proposals that have not been approved, with appropriate signatures from an authorized institutional representative, will be returned to investigators without review. CTSG is currently required to submit our 2006-2008 Omnibus Submittal electronically through the new Grants.gov system. Accordingly, it is critical that all proposal components are provided in digital format (Word or PDF) on the required CD, and that electronic and hard copy submittals are identical. On or around July 27, 2007 principal investigators will be provided with copies of blinded proposal reviews and offered the opportunity to respond (a three-page

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Conflict of interest includes the following: (1) co-authors on publications within the past four years, including pending publications and submissions; (2) collaborators on projects within the past four years, including current and planned collaborations; (3) thesis or postdoctoral advisees/advisors; (4) persons in your field with whom you have had a consulting/financial arrangement/other conflict-of-interest in the past four years

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rebuttal). These responses are due August 10, 2007. If you will not be in the office during this time period, please ensure that you leave instructions with the Sea Grant Office regarding where to direct blinded peer reviews, so that you may respond appropriately.

SPECIAL GUIDELINES FOR MULTI-PROGRAM PROPOSALS Occasionally, investigators choose to submit proposals for larger projects to several different Sea Grant offices, with each office asked to support a specifically identified component of the overall project (multi-program proposals). For such proposals, CTSG requires that investigators adhere to the following additional guidelines:    Investigators interested in submitting a multi-program proposal must contact the CTSG director or associate director prior to submittal of the proposal. (This should have already been done at the preliminary proposal stage.) Multi-program proposals must be specifically identified as such, with information provided regarding the other Sea Grant offices to which related proposals are being submitted. Multi-program proposals must provide information not only on the portion of the budget being requested from the CTSG office, but also the aggregate budget for the entire project (i.e., the total requested from all Sea Grant offices for the multiprogram project). For information applicable to the entire multi-program proposal, identical text should be used in submittals to all Sea Grant offices involved. (This does not apply to elements of the proposal unique to the CTSG submittal—only to text applicable to the entire multi-program effort.) Moreover, the proposal text must specify elements of the project to be funded by each Sea Grant office. Additional details are provided in the Connecticut Sea Grant College Program Call for Preliminary Proposals (http://www.seagrant.uconn.edu/funding.htm).

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QUESTIONS Please address questions regarding proposal preparation to Dr. Robert J. Johnston at robert.johnston@uconn.edu or (860) 405-9278.

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