Carryforward Balance Requests
Requesting Carryforward of Funds Guidance
As with some NIH projects and other Federal sponsor awards, carryforward of funding from one year to the next requires prior approval by the sponsoring agency.  With NIH awards, this stipulation is referenced in section III of the NGA stating: “Carryover of an unobligated balance into the next budget period requires Grants Management Officer prior approval”, for other Federal sponsors, this information can be found in their respective policy guidance documents.  For a list of policy guidance by Federal sponsor, please visit:  Federal Guidance by Agency
The information below can be used to outline the prior approval letter/request for most all agencies.

  •  The request must be signed (or transmitted by, if via email) by the authorized business/signing official.
  • The request must include the grant number and PI
  • The requests must include an appropriate scientific justification:
    • A plan for the use of funds, and
    • A detailed categorical breakdown, including F&A costs, if applicable.
  •  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.
  •  Requests should present the implications for the project if the request is not approved.
  • The request must be reasonable, allowable, and necessary.
  • 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 additional funds.
  • 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. 
 
What to do?
 
When requesting prior approval for carryfoward, please submit the document on departmental letterhead signed by the PI to OSP.  The request will be logged into PEER and assigned for review.  Once counter singed by an Authorized Institutional Official, the request will be emailed to the Sponsor contact with a cc to the PI and Departmental Administrator.   If you would prefer to submit the fully signed letter, please inform OSP in the email. Please allow OSP a minimum of three (3) full business days to review the approval request. Your request for carryforward approval should be submitted when the estimated balance is fully justified taking into account any unliquidated obligations when submitted prior to the filing of the FSR.  Please note the request can occur before or after the FSR has been filed.  If not submitted before the FSR, the request should be made shortly after to avoid complications.  You should allow OSP additional time for review if the response due date falls on a major NIH deadline.