The Northeast Consortium

Guidelines for Proposal Preparation

Due date: April 27, 2001

The Northeast Consortium (University of New Hampshire, University of Maine, Massachusetts Institute of Technology, and Woods Hole Oceanographic Institution) invites proposals for cooperative research and selective fishing gear development involving commercial fishermen and/or commercial fishing vessels; addressing issues in fisheries and fisheries management, fishing gear technologies, and/or coastal ocean processes; and focused on the Gulf of Maine and Georges Bank. In addition, the Northeast Consortium invites proposals for right whale research, including whale-friendly fishing gear and operations, and other research aimed at reducing mortality of right whales and aiding in recovery of the population.

Northeast Consortium proposals must be submitted by the deadline of April 27, 2001. Funding decisions will be sent by mail to proposers on or before May 25, 2001. June 1, 2001 is the target date to begin the funded projects. Funding is contingent on congressional appropriation of funds and on timely release of funds to the Northeast Consortium from the National Oceanic and Atmospheric Association (NOAA).

These guidelines for preparation of Northeast Consortium proposals, contact information for questions regarding proposal preparation, descriptions of previously funded projects, and submission information are available from the web site, http://www.NortheastConsortium.org.

Background

The Northeast Consortium was created to encourage and fund effective, co-equal partnerships among commercial fishermen, researchers, and other stakeholders to become active participants in cooperative research and development of selective fishing gear technology. As part of this effort, commercial fishing vessels will be equipped and utilized as research platforms. Commercial fishermen and commercial fishing vessels from New Hampshire, Maine, and Massachusetts are particularly encouraged to participate in cooperative research using these funds; the expected focus of the activities includes the Gulf of Maine and Georges Bank.

The Northeast Consortium consists of four research institutions (University of New Hampshire, University of Maine, Massachusetts Institute of Technology, and Woods Hole Oceanographic Institution) which are working together to foster this initiative. Each institution has designated an individual who serves as a representative to the Consortium. The representatives administer the Northeast Consortium funds, interface with all stakeholders, and are responsible for funding decisions. A ~30-member Advisory Committee provides programmatic advice and guidance and makes recommendations regarding the selection of projects to the representatives of the Northeast Consortium.

The Northeast Consortium expects to receive $5M for FY2001 to fund cooperative research projects and $2.9M to fund right whale research. The funding is anticipated to be appropriated to the National Marine Fisheries Service and to be administered by the University of New Hampshire on behalf of the Northeast Consortium. Northeast Consortium funds are distributed via an open competition, which is announced via this Request for Proposals (RFP). The initial step in application for the funds is a Planning Letter, which will be evaluated for technical merit, relevance, likelihood of success, and suitability for funding under this competition. The balance of funding for cooperative research activities will 25% to research and 75% to industry (across all awards). For right whale research projects, industry participation is encouraged, but not required.

Goals of the Northeast Consortium

- To develop partnerships between commercial fishermen and researchers, educators, and coastal managers.

- To enable commercial fishermen and commercial fishing vessels to participate in cooperative research and development of selective gear technologies.

- To help bring fishermen's information, experience, and expertise into the scientific framework needed for fisheries management.

- To equip and utilize commercial fishing vessels as research and monitoring platforms.

Priority areas for Northeast Consortium funding

Cooperative Research Projects

The Northeast Consortium will consider proposals for cooperative research and development of selective gear technologies. The intent of the Northeast Consortium is to provide funding for projects that address fisheries and ocean management issues in the Gulf of Maine and Georges Bank. To be considered for funding, proposals for cooperative research must involve both researchers and commercial fishermen, who must be identified by name.

The Northeast Consortium does not identify particular topics as high priority for funding. To encourage potential proposers, but not to restrict the range of topics proposed, we provide here brief summaries of topic areas and issues that are appropriate for Northeast Consortium cooperative research funding. Descriptions of cooperative research projects funded by the Northeast Consortium last year are available at http://www.NortheastConsortium.org.

• Selective gear research and development. Cooperative research leading to the development of selective fishing gear to reduce or eliminate technical barriers to trade, minimize harvest losses, reduce bycatch, and improve fishing practices.
• Monitoring of closed areas. Regular and long-term assessment of environmental condition, bio-diversity, oceanographic processes, and fisheries recruitment in areas closed to fishing. Consideration of the historical character of these regions (based on knowledge of commercial fishermen) in formulating hypotheses, designing and implementing the field studies. Analysis of the impacts of area closures. Changes to the landscape and the biota.
• Fish habitat studies. Inclusion of industry-based information for Essential Fish Habitat designations. Improved accuracy and reliability of the underlying information. Design of new and more effective management strategies.
• Oceanographic and meteorological monitoring. Better information on weather, sea-state, and oceanographic conditions, commercial harvest data, and fishing conditions in the coastal waters of the US. Synoptic coverage of large regions, use of satellite telemetry. Use of commercial fishing vessels as platforms for coastal monitoring, modeling, and prediction.

Right whale research

The Northeast Consortium encourages proposals for research on right whales that will have the greatest impact for reducing mortality of right whales and aiding the recovery of the population. Involvement of commercial fishermen and commercial fishing vessels in these projects is encouraged, but not required. Proposals that include industry participation should identify the commercial fishermen and commercial fishing vessels by name.

Priority areas in right whale research for funding by the Northeast Consortium include, but are not restricted to:

• Gear research and operations - Development and testing of fixed gear (including that for lobster and gillnet fisheries) to reduce right whale entanglement and/or minimize its effects.
• Disentanglement - Development of gear and methods to improve disentanglement and survival of entangled right whales. Entanglement response training for commercial fishermen.
• Acoustics - Characterization of the acoustic environment and right whale perception aimed at reducing ship strikes.
• Predictive modeling - Understanding and predicting right whale distribution and life history in relation to biotic and abiotic environmental conditions.
• Reproduction and genetics - Causes of low reproductive performance (e.g., calving rates), including health and condition assessment, diet and habitat quality. Genetic analysis of inbreeding as it impacts survival, reproduction, conservation, and recovery of the species.
• Remote sensing - Development of tools and methods to remotely detect and/or identify right whales, in order to understand behavior, migratory movement, and/or habitat use.

Additional information on proposal preparation is available by contacting the representatives of the Northeast Consortium:

Ann Bucklin, Professor and Director
New Hampshire Sea Grant Program
142 Morse Hall
Durham, NH 03824
Tel: (603) 862-0122; Fax: (603) 862-0243; email: acb@christa.unh.edu

Peter H. Wiebe, Senior Scientist
Woods Hole Oceanographic Institution
Woods Hole, MA 02543
Tel: (508) 289-2313; Fax: (508) 457-2169; email: pwiebe@whoi.edu

Chrys Chryssostomidis, Professor and Director
MIT Sea Grant Program
292 Main Street
Cambridge, MA 02139
Tel. (617) 253-7131; FAX: (617) 258-5730; email chrys@deslab.mit.edu

Ian Davison, Professor and Director
Maine Sea Grant College Program
14 Coburn Hall
Orono, ME 04469
Tel: (207) 581-1435; Fax (207) 581-1426; email: davison@maine.maine.edu

And from the Northeast Consortium outreach coordinator:

Procedures for distribution of funds

The distribution of Northeast Consortium funds is via an open competition administered by the University of New Hampshire on behalf of the Consortium. Funding recommendations and decisions will be made by the Northeast Consortium Representatives.

The Request for Proposals (RFP) process and funding decisions are guided by a ~30-member Advisory Committee, whose roles also include helping to announce this funding opportunity to their communities, evaluating Planning Letters, assisting in project development and preparation of Full Proposals, and evaluating Full Proposals. Advisory Committee members are encouraged to help match-make between fishermen and researchers. Advisory Committee members may submit Planning Letters, but they may not participate in discussions of any Planning Letter on topics related to their submission. Advisory Committee members will be asked to resign prior to submission of a Full Proposal. Neither Consortium representatives nor Advisory Committee members may submit Full Proposals to the Northeast Consortium.

Funding decisions for cooperative research projects will be determined by criteria regarding quality of the proposed work and its relevance for fisheries and ocean management for Maine, New Hampshire, and Massachusetts. An essential requirement for cooperative research projects is the potential for partnership between fishermen and researchers, including NMFS researchers. Funding decisions for right whale research projects will be determined by criteria regarding quality of the proposed work and impact on reducing mortality and aiding the recovery of the right whale species.

Project duration and award levels

A mix of one, two, and three year projects is desired. Projects recommended for funding may be funded for multiple years using FY2001 funds.

Cooperative research funding will be divided in the following proportion: 25% to researchers and 75% to fishermen. Cooperative research projects should be designed to meet this target. Funds may be requested for participants' salary and wages, vessel use, equipment (for the fishing vessel or the laboratory), and supplies. Right whale research projects are encouraged, but are not required, to include industry participation.

Permits

It is the responsibility of the principal investigators for any Northeast Consortium award to obtain appropriate, proper, and necessary permits for the proposed activities. When necessary, experimental fishing permits must be obtained from the National Marine Fisheries Service prior to beginning field work. Furthermore, intentional approaches of right whales to within 500 yds or activities which may "take" right whales will require the issuance of permits under the Marine Mammal Protection Act and Endangered Species Act. Information on these permits is available on the NMFS Office of Protected Species website, http://www.nmfs.noaa.gov/prot_res/overview/permits.html. The Northeast Consortium will assist investigators as desired in obtaining permits.

Full Proposal evaluation criteria

Proposals will be judged based on the following criteria: technical merit; scientific and project relevance for fisheries and ocean management; technical approach, feasibility, and innovativeness; qualifications of investigators (including researchers and fishermen); facilities, equipment, and other resources available to accomplish the proposed work; plans and prospects for dissemination of results; and budget and cost-effectiveness.

Guidelines for preparation of Full Proposals

Full Proposals may be submitted to the Northeast Consortium without prior submission of a Planning Letter. Full Proposals for consideration for cooperative research funding must include as co-principal investigators both one or more researchers (faculty or staff members at institutions of higher learning or accredited research facilities, or employees of state or federal programs or agencies) and one or more commercial fishermen. All parties must be specifically identified by name and position.

Full Proposals must originate from one and only one organization authorized to receive federal research funding, which will then accept responsibility for administration of the Northeast Consortium award. The activities and budgets for all project participants must be included in this proposal, with industry participants identified as sub-contractors, service providers, or other designation, with provisions in place to allow payment of all participants.

The Northeast Consortium encourages institutions to fund commercial fishermen participating in cooperative research efforts via monitored fixed-price agreements, based on a set cost for each fishing vessel trip or other event. Per-trip costs should be set using established daily rates for the identified fishing vessels (based upon actual costs and subject to review by the Northeast Consortium).

All Full Proposals submitted in this competition should contain the following sections and elements. Note: There is a 15 single-spaced page limit on proposals, excluding Literature Cited, Budget, Resumes, and subsequent sections. Please use 1 inch margins and 12 point font. Please send 15 copies of the proposal, to allow for distribution to reviewers. Copies of the proposals cannot be returned to the proposers.

- Abstract: The abstract is intended to present a concise summary of the funded activity in a form useful to a variety of readers not necessarily requiring detailed information. They are not substitutes for proposals but should permit judgments as to whether such proposals merit reading for a particular purpose.

- Rationale: This section should thoroughly develop the justification/need for your proposed work and how it relates to the goals of the Northeast Consortium set forth in this RFP. Any anticipated collaborations between this project and other cooperative research efforts, including those funded by other sources, should be identified here.

- Review of Previous Work: A description both of the previous work done in the area of the project you are proposing and a review of your experience working in this area.

- Project Objectives and Scientific Hypothesis: A clear statement of the project objectives and goals. If appropriate, clearly construct and state a defensible scientific hypothesis.

- Project Plan/Methodology: Carefully explain the conceptual approach to the project with the methodology to be used. Feel free to use language and terminology appropriate to your discipline. The plan should include a discussion of the timeline for the proposed work. The need for experimental fishing permits, access to closed areas, and other special requirements should be explained here.

- Available Resources: Briefly describe personnel qualifications or special resources, equipment or facilities which demonstrates either your ability or special opportunity to successfully pursue the proposed project.

- Dissemination of Results: Provide specific information about plans and prospects for dissemination of the results of the proposed work, including publication, workshops, inclusion in databases, and integration into stock assessment or management processes.

- Budget and Budget Justification: Provide brief explanations of the major budgetary items. Include detailed budgets from all sub-contractors or service providers. Budgets for commercial fishing industry activities should be based on fixed costs per trip or event; daily charges for vessel use should be justified based on actual costs (salaries and wages of captain and crew, fuel and supplies, depreciation and insurance, etc.). Budgets should show allocation of funding between research and fishing industry efforts.

- Literature Cited: Complete bibliographic citations including titles of all papers, books, and reports to which reference is made.

- Resumes of Principle Investigators and Key Associate Investigators: Include resumes on all those individuals (two page maximum for each) who will play a major role in the project. As a part of your resume please include your complete address and current telephone number.

Proposal Submission Information

15 copies of Full Proposals should be sent to:

Ann Bucklin
Northeast Consortium
University of New Hampshire
142 Morse Hall, 39 College Road
Durham, NH 03824

Full Proposals must be received by 4:30 p.m. on Friday, April 27, 2001