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
COLLABORATION
Applicants are encouraged to collaborate with researchers in other institutions, such as
universities, non-profit organizations, for-profit commercial organizations, Federal agencies and
DOE National Laboratories (FFRDCs).
Collaborative research applications may be submitted in several ways:
1. Collaborations Among Private Sector or Academic Organizations
Example B.
The lead organization must submit their own financial assistance application, which
should include a description of the role to be played by each organization, the managerial
arrangements, and the advantages of the multi-organizational effort. On the first page of
the narrative, list ALL collaborating organizations/PIs and indicate which ones will also
be submitting applications for financial assistance.
Each collaborating organization must submit their application separately and should
provide the required R&R forms listed in the Funding Opportunity Announcement, and
there must be a clear and distinct scope of work for each participant. If approved for
funding, DOE will award a separate grant to each collaborating organization.
NOTE: If you are uncertain about which of the above examples to use, you may contact the appropriate
Office of Science program manager for advice.
2. Collaborations Between Private Sector or Academic Organizations, DOE National Laboratories (FFRDCs),
and Federal Agencies
Example B.
NOTE: If you are uncertain about which of the above examples to use, you may contact the appropriate
Office of Science program manager for advice.
Example A.
Lead Organization with Subcontracts to Other Private Sector or Academic Organizations
When private sector or academic organizations intend to propose collaborative or
joint research projects, the lead private sector or academic organization may submit a single
financial assistance application which includes another organization as a lower-tier participant
(subcontractor) who will be responsible for a smaller portion of the overall project. The
financial assistance application should clearly describe the role to be played by
each organization, specify the managerial arrangements and explain the advantages of the
multi-organizational effort. The lead organization must submit a financial assistance application
which includes the required R&R forms listed in the Funding Opportunity Announcement
and must include the amount to be subcontracted on the Budget Pages. If approved for funding,
DOE will provide the total project funds to the lead organization who will provide funding to
the other participant via a subcontract. (This type of collaborative arrangement cannot include
other Federal agencies or DOE National Laboratories as subcontractors.)
Lead Organization with Separate Financial Assistance Applications for Each Collaborator
When private sector or academic organizations intend to propose collaborative or joint
research projects, each should prepare a separate financial assistance application, or a
relevant portion of a single, integrated scientific application.
Example A.
Private Sector or Academic Organizations with National Laboratory or Federal Agency Collaborators
When private sector or academic organizations intend to form a collaborative project with a
DOE National Laboratory or another Federal agency, the private sector or academic
organization (the lead organization) must NOT include the DOE National Laboratory or the
other Federal agency as a subcontractor in their financial assistance application. Rather, the DOE National
Laboratory or other Federal Agency must prepare a proposal for their portion of the project,
then combine each portion into a single, integrated scientific proposal. There must be a clear
and distinct scope of work for each participant. The private sector or academic
organization must submit a financial assistance application which includes the required
R&R forms listed in the Funding Opportunity Announcement for its portion of the project. The
DOE National Laboratory must submit the DOE Field Work Proposal format cover page (Reference DOE O 412.1A)
and separate Budget Pages (Form DOE F 4620.1) for its portion of the project.
The other Federal agency must use proposal preparation instructions at
http://www.science.doe.gov/grants/fed_prop.html.
The private sector or academic organization (the lead organization) must submit the components of the joint proposal
to DOE in one package with a cover letter which describes the role to be played by each organization, the managerial
arrangements, and the advantages of the multi-organizational effort.
If approved for funding, DOE will award a grant to
the private sector or academic organization; the DOE National Laboratory will be funded separately through existing DOE
laboratory contracts, from funds specifically designated for new DOE National Laboratory projects; and the other Federal agency will be funded via an interagency agreement.
DOE National Laboratory with Private Sector or Federal Agency Collaborators
When a DOE National Laboratory intends to form a collaborative project with either a private
sector or academic organization or another Federal agency, the National Laboratory (the lead
organization) may choose to include the private sector or academic organization as a subcontractor.
The DOE National Laboratory must submit the DOE Field Work Proposal format cover page (Reference DOE O 412.1A)
and separate Budget Pages (Form DOE F 4620.1) for its portion of the project.
It is also acceptable for private sector or academic organizations to prepare a separate financial assistance
application, following instructions in the Grant Application Guide, for submission by the lead organization (the DOE National Laboratory). If one of the collaborators is
a Federal agency, the Federal agency must NOT be included as a subcontractor, however the Federal agency must prepare
a proposal for their portion of the project, then the DOE National Laboratory (the lead organization) will combine each portion into a single, integrated scientific proposal. The other Federal agency must use proposal preparation instructions
at
http://www.science.doe.gov/grants/fed_prop.html.
The DOE National Laboratory shall submit its proposal along with the collaboration portions in the same package
with a cover letter which describes the role to be played by each organization, the managerial
arrangements, and the advantages of the multi-organizational effort.
If approved for funding, DOE will fund the DOE National Laboratory through existing DOE laboratory
contracts, from funds specifically designated for new National Laboratory projects. If the National
Laboratory proposal includes subcontracts to private sector or academic organizations, they may
be funded through the National Laboratory as subcontracts. If the proposed effort includes
separate financial assistance applications, they may be funded via separate grants. If the proposed
effort includes proposals from other Federal agencies, they will be funded via separate interagency agreements.
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