DEPARTMENT OF
ENERGY
For more information about the Office of Science Grant Program, go to the Office of Science Grants and Contracts Web Site.
Financial Assistance Program
Grant Application Guide
THE PREAPPLICATION
Guidelines
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
program office regarding the suitability of his/her proposed research
project to SC's interests.
Office of Science policy encourages a potential applicant to first discuss
his/her proposed research project with Office of Science program staff to clarify areas of
research interests prior to submitting applications. Such communications
are particularly useful. 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.
The preapplication process is most likely used when the Office of Science
publishes a Funding Opportunity Announcement/Notice of Availability that specifies a
deadline date, and particularly when the Announcement/Notice is expected to
generate a large number of applications. An individual Funding Opportunity Announcement/Notice of Availability
may contain more specific instructions regarding the grant preapplications
requested by the solicitation.
Discussions with program staff and/or the preapplication process do not
obviate the normal merit review process for formal applications,
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.
Contents of Preapplications
Unless otherwise stated in a Funding Opportunity Announcement/Notice of Availability, a
preapplication should include cover-page information and a brief (3 to 5 page)
project description and be submitted to the cognizant program office
specified in the Funding Opportunity Announcement/Notice of Availability or in the
Office of Science 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.
2. Project description may include the following, as appropriate:
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.
Where To Submit
If your preapplication is being submitted as a result of a discussion with an
Office of Science program staff member (not in response to a published Funding Opportunity Announcement),
then you may forward the preapplication directly to the program staff member. During
your discussion, ask for the address.
If your preapplication is being submitted as a result of a published Funding Opportunity Announcement,
follow the submission instructions contained in the Announcement.
Review of Preapplications
1. 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/Notice of
Availability 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.
2. Review Factors
b. 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.)
3. 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.
Response by the Program Office
1. A potential applicant shall receive a response from the Office of Science program
office generally within 30 days of the receipt of the preapplication or the deadline
specified in a Funding Opportunity Announcement/Notice of Availability (or other such
time as stated in a Announcement) that will indicate the appropriateness
of the proposed research to the targeted research area, and the eligibility
of the proposing organization.
2. 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/Notice of Availability or the Office of Science Annual Solicitation.
1. Cover-page information:
a. A statement that the document is a preapplication
b. Principal investigator (P.I.) name, telephone and fax number, and
e-mail address
c. Name and address of P.I.'s organization
d. Title of the project
e. Funding Opportunity Announcement number
(e.g. DE-PS02-07ER07-03), if applicable
a. A description of the proposed research
b. A statement of its importance
c. An explanation of methodology and equipment needs
d. Anticipated results
e. A project schedule with estimated completion date
f. Cost-share and total project cost information
a. The suitability of the proposed research project and its relationship to
the mission described or referenced in the Office of Science Annual Solicitation under 10 CFR
Part 605 or a specific Funding Opportunity Announcement/Notice of Availability.
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