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.

  1. Cover-page information:
    • A statement that the document is a preapplication
    • Principal investigator (P.I.) name, telephone and fax number, and e-mail address
    • Name and address of P.I.'s organization
    • Title of the project
    • Funding Opportunity Announcement number (e.g. DE-PS02-07ER07-03), if applicable
  2. Project description may include the following, as appropriate:
    • A description of the proposed research
    • A statement of its importance
    • An explanation of methodology and equipment needs
    • Anticipated results
    • A project schedule with estimated completion date
    • 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.

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
    • 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.
    • 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.
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