Overview

For awards subject to prior approval requirements, recipients must request to carryover / carry-forward unobligated funds from one budget period to the next. When submitting a carryover request, keep the following in mind:

• The unobligated balance for the applicable budget year must be determined by the recipient's finance office and confirmed with the Research and Financial Services team before a carryover request is submitted.

• Carryover requests must be submitted at least 120 days before the end of the program year in which the funds are being requested.

• Approved carryover funds must be obligated in the year in which they are awarded.

• Carryover funds are intended to cover only prospective costs, not costs already incurred by the recipient.

• Carryover funds are to support one-time activities that align with the grantee’s existing goals and objectives. Approval for one-time activities does not constitute automatic approval for funding these activities in the future.

Please reference the award terms and conditions to determine if carryover of funding from one year to the next requires prior approval by the sponsor. For NIH awards, this stipulation is referenced in section III of the award notice stating: "Carryover of an unobligated balance into the next budget period requires Grants Management Officer prior approval." For other sponsors, the information can be found in their respective policy guidance documents. Please reach out to our Grant Specialists with any questions.

Requesting Carryover of Unobligated Funds

If you require to carryover unobligated funds for any sponsor, please utilize the below guidance to generate a letter of request to be sent via email to your Grant Specialist. Our team will verify the carryover amount with the Research and Financial Services Office and submit the request to the sponsor accordingly.

Generating a Letter of Request to Carryover Unobligated Funds

Use the following information as guidance when creating a letter of request to carryover unobligated funds:

1. The request must include the grant number and PI name.

2. The request must include an appropriate scientific justification:

   • A plan for the use of funds

   • A detailed categorical breakdown, including F&A costs, if applicable

   • A justification of the unobligated balance of funds

3. The scope of the request should be limited to the approved goals of the project, or clearly delineate where the request exceeds the approved goals of the project.

   • Under NIH policy, the request can only refer to immediate needs in the current year to justify the need for the carryover.

   • It is not acceptable to indicate the funds will be needed for future budget periods. The major point is how the funds will be used in the NEXT budget period.

4. The request should present the implications for the project if the request is not approved.

5. The request must be reasonable, allowable, and necessary.

6. If the request duplicates funding already provided in the current year support (i.e. overlap), the request may not be approved. Include specific details on how the project will benefit by the unobligated funds.

7. If the request generates a recurring cost need in future years, the request must also detail how the future year costs will be supported in subsequent budget years.