More and more funding opportunities include the submission of a pre-proposal (also known as a pre-application, concept paper, white paper, Letter of Inquiry) prior to submitting a full proposal. The pre-proposal generally includes a summary of the project, a list of the personnel involved, and a budget or cost range for the project. Sometimes, only one or two of these items are required in a pre-proposal.

We are often asked: “Do these need to be routed like a proposal?” The answer is “yes” when the sponsor requirements include any of the following in a pre-proposal:

1. the signature of the authorizing official of the University
2. a detailed budget rather than an overall cost range
3. institutional commitments such as:
   • cost sharing or matching funds,
   • a limit on F&A not currently on the list of sponsor-required reductions in F & A
   • faculty release time from normal duties,
   • use of space or space renovations,
   • upgrades of utilities,
   • use of campus equipment for which times must be arranged/coordinated
   • third-party commitments such as partnerships with industry/schools or universities
4. any conflict of interest (i.e., you have a consulting, financial, or managerial role with the sponsor; family member(s) have other potential conflicts of interest)
5. terms and conditions obligating the University if the proposal is awarded
6. certifications and assurances obligating the University if proposal is awarded
7. limited submissions, in other words, the program has a limit on the number of proposals or pre-proposals it will accept
8. the University is obligated to submit a full proposal if there is interest in the pre-proposal

The University is not bound by any commitments made by an investigator without approval from the Office of Research. If you wish to make a commitment, we are happy to review the details with you.

If you have any questions, please contact the Office of Research at 1-7432 or researc2@nd.edu.

NOTE: the pre-proposals submitted to the Office of Research will be recognized in the Monthly Summaries of proposals received which is sent to deans, directors, and department chairs and published in both Notre Dame Report and on the Office of Research website.

Date last revised August 2006