ORIP Carryover Requests: Policy and Procedures

What is a Carryover Request

A Carryover Request can be used by grantees that do not have automatic carryover authority to request permission to use unobligated prior year grant funds in a current budget period.

Who Can Submit

Only authorized institutional officials can request approval in writing from the Office of Research Infrastructure Programs (ORIP) to carry over funds from a prior budget period for the following mechanisms:

  • Cooperative Agreements (U)
  • Program Centers (P40, P51)
  • Fellowships Programs (F)
  • Institutional Career Awards (K)
  • Non-Fast Track Phase 1 (one-year) SBIR (R43) and (one-year) STTR (R41)
  • Training Grants (T) (ORIP will not accept carryover requests for trainee slots but may entertain requests for trainee-related expenses and travel.)

When to Submit

Requests can be submitted any time after the award’s applicable Federal Financial Report (FFR) has been submitted. No action will begin until the FFR is accepted by the NIH Office of Financial Management. FFRs must be submitted in a timely manner in order for ORIP to consider Carryover Requests.

Important Notes:

  • Grantees are strongly encouraged to discuss appropriateness of requests with their ORIP Program Official (PO) before submission.
  • Requests that do not adequately address each of the 11 numbered items in the What to Include in a Submission section below will be considered incomplete and will not be approved.

Submission Requirements

Only one Carryover Request is submitted each year unless a need arises for another request as a result of unusual circumstances or an unexpected critical need. A second request must be discussed in advance with the PO.

What to Include in a Submission

The request must include the following information:

How to Submit

All carryover requests must be made in writing (or via e-mail) to the GMS assigned to the project and signed by the Authorized Organization Representative (AOR) from the grantee institution. Requests should be submitted in a timely manner, within one year of the end of the budget period from which the funds were unexpended. If the request is approved, a revised Notice of Grant Award will reflect the additional authorized funds for the current budget period. If carryover is denied, you will receive correspondence from the GMS.

Review/Approval Process

Who to Contact

Grantees with questions should contact the appropriate Program Officer or Grants Management Specialist listed on the most recent Notice of Award.

  • Carryover Requests must be limited to actual needs for the current budget period.
    Note: Subsequent needs will be considered in future budget periods.
  • The applicable Federal Financial Report (FFR) has been submitted.
  • Carryover Requests must be submitted at least 45 days prior to the planned use of funds.
  • The request must come from an authorized institutional Signing Official.
    • Grant number.
    • Authorized signing official’s name, title, telephone number and e-mail address.
    • PI’s name, title, telephone number and e-mail address.
    • The reason that the funds requested for carryover were not expended in the year they were awarded.
    • An overall plan for the use of the carryover funds, including a description of activities and materials to be supported.
    • Budget and justification pages in a format such as that found in the PHS398 or SF424.
    • A calculation of F&A costs in a format such as the checklist page found in the PHS398 or SF424.
    • Appropriate Just In Time (JIT) documents (e.g., biosketches for new key personnel, human subjects education documentation).
    • Budget and justification information should be provided for subcontract site(s) if funds are to be spent at site(s).
    • An explanation of how any request that will generate recurring costs in future years will be supported without future use of unobligated balances or new supplemental funding.
    • Document that the request:
      • is reasonable, allowable, and necessary;
      • does not duplicate activities and costs included in the current year’s support; and
      • is within the scope of the current grant.
    • The PO and the GMS will review and discuss the request within 14 calendar days.
    • Processing of the Carryover Request will be completed no more than 30 calendar days after receipt of all required documents.
    • The grantee will be notified via e-mail when a Notice of Award has been issued.

Last updated: 03-15-2017