U.S.
DEPARTMENT OF
ENERGY

For more information about the Office of Science Grant Program, go to the Office of Science Grants and Contracts Web Site.

U.S. Department of Energy

Office of Science

Preapplication Policy


Applicability:
Submission of grant preapplications in response to:
- Annual Solicitation under Program Rule 10 CFR Part 605 (All SC Programs)
- Funding Opportunity Announcements (Periodic Solicitations for Specific Program Areas)

1. Guidelines

a. A preapplication is an optional vehicle that constitutes a potential applicant's intent to submit a formal grant application. A preapplication allows the potential applicant to receive a response from the cognizant SC program office regarding the suitability of his/her proposed research project to SC's interests.

b. Office of Science policy encourages a potential applicant to first discuss his/her proposed research project with SC program staff to clarify areas of research interests prior to submitting applications. Such communications are particularly useful when a potential applicant is considering submitting a new research application in response to SC's Annual Solicitation under SC's Financial Assistance Program Rule, 10 CFR Part 605. Any written information submitted in connection with such informal discussions will not be considered to be a preapplication unless so specified in writing by the potential applicant.

c. The Office of Science encourages the use of a preapplication process when issuing a Funding Opportunity Announcement that specifies a deadline date and when the Notice is expected to generate a large number of applications. An individual Notice of Availability may contain more specific instructions regarding the grant preapplications requested by that solicitation.

d. Discussions with SC program staff and/or the preapplication process do not obviate the normal merit review process and shall not preclude the submission of a formal grant application. Only formal applications will receive merit review in accordance with the Office of Science Merit Review System (March 11, 1991, Federal Register, Vol. 56, No. 47), whereby a subsequent funding decision will be made by the program office.

2. Contents of Preapplications

A preapplication should include cover-page information and a brief (3-5 page) project description and be submitted to the cognizant SC program office specified in the Funding Opportunity Announcement or in SC's Annual Solicitation (a broad, general solicitation issued near the beginning of each government fiscal year, October 1). Preapplications may be submitted using electronic mail, the U.S. Postal Service, other carrier or fax.

a. Cover-page information:
(1) A statement that the document is a preapplication
(2) Principal Investigator (PI) - name, telephone number, fax number, and e-mail address
(3) Name and address of PI's organization
(4) Title of project
(5) Notice Number (e.g. 07-XX), if applicable

b. Project description may include the following, as appropriate:
(1) A description of the proposed research
(2) A statement of its importance
(3) An explanation of methodology and equipment needs
(4) Anticipated results
(5) A project schedule with estimated completion date
(6) Cost-share and total project cost information

Confidential or proprietary information is discouraged, but any such information must be clearly marked. Attachments or enclosures submitted with the preapplication will not be reviewed.

3. Review of Preapplications

a. All preapplications shall be reviewed by the cognizant federal program official who is knowledgeable in the subject research area and the goals of the program. Preapplications submitted in response to a Funding Opportunity Announcement that specifies a deadline date also may be screened by a panel of technical experts who are knowledgeable in the subject research area(s) and who understand mission needs.

b. Review Factors:
(1) The suitability of the proposed research project and its relationship to the SC mission described or referenced in SC's Annual Solicitation under 10 CFR Part 605 or a specific Funding Opportunity Announcement
(2) Eligibility of the applicant organization (DOE Management and Operating Contractors, including National Laboratories, other Federal agencies and other Federally Funded Research and Development Centers are not eligible to directly respond to a competitive grant solicitation or Notice)

c. The outcome of the preapplication review will determine the suitability of the proposed research with regard to the research area as defined by the solicitation and the eligibility of the proposing organization. Formal applications will be subjected to merit review under the Office of Science Merit Review System (March 11, 1991, Federal Register, Vol. 56, No. 47).

4. Response by the Program Office

a. A potential applicant shall receive a response from the SC program office within 30 days of the receipt of the preapplication or the deadline specified in a Funding Opportunity Announcement that will indicate the appropriateness of the proposed research to the targeted research area and the eligibility of the proposing organization.

b. The response also shall state that, regardless of the outcome of the preapplication process, all eligible applicants are entitled to submit complete, formal grant applications in accordance with the instructions in the specific Funding Opportunity Announcement or SC's Annual Solicitation.

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Note:
Approved by Office of Science Associate Directors December 11, 1996, for inclusion in the Office of Science Grant Application Guide.