Carryover Requests SOP

This standard operating procedure (SOP) includes the following sections: PurposeProcedureContacts, and Links.

Some links will work for NIAID staff only.


To enable grantees that do not have automatic carryover to use unexpended prior year grant funds in a current budget period.


Unless automatic carryover of authority is indicated on the Notice of Award, grantees must request prior approval in writing from NIAID to carry over funds from a prior budget period for the following mechanisms:

  • Research center grants (P30, P50, P60).
  • Cooperative agreements.
  • SBIR and STTR grants. Note that two-year R43s and R41s have automatic carryover from year one to year two.
  • Training grants with a last competing year of 2005 or later.
  • Fellowships.

For more information on items needing NIAID approval, see the Prior Approvals for Post-Award Grant Actions SOP.

Grantee Institutions

  • Submit Federal Financial Reports on time. A carryover request will not be reviewed and acted upon if financial information is incomplete.
  • Sign and send carryover requests to the appropriate grants management specialist. Include the following information:
    • Grant number and name of PI.
    • Reason for the unobligated balance.
    • The amount of funds to be carried over: direct, facilities and administrative (F&A), and total costs.
    • Detailed budget, including personnel names and calendar month effort. NIAID will generally not consider "to be named" personnel.
    • Facilities and administrative costs for the grantee and subawardees, using the F&A rates used to award the year to which the funds are being carried over. NIAID approves carryover requests using the F&A rate that was in effect when we first awarded funds for the year to which you'd like to carry over funds. For example, if we approve carryover from year 1 to year 3, the F&A rate we use to calculate the revised year 3 award is the one we used to initially calculate year 3 funds. Report actual expenditures based on the F&A rate applicable when costs are incurred. 
      • Checklist page reflecting the requested F&A rate and F&A costs.
    • Budgetary and scientific justifications.
      • For recurring expenses such as supplies and personnel, describe how you will pay for these items in the future.
      • Give reasons why the work cannot be accomplished through rebudgeting of current budget period funds.
    • Contact information for the PI and authorized business official.
    • If new personnel are added, include appropriate required personnel information, e.g., human subjects education certification, biosketch, other support.
  • Limit carryover requests to your actual needs for the current budget period. Subsequent needs will be considered in future budget periods.

Principal Investigators

  • Email carryover requests to your institutional business office.
    • Explain why funds remain.
    • Include your categorical budget and justification.
    • Provide the scientific rationale for your request.

Grants Management Staff

  • Complete the carryover request within 30 days from the time you receive all of the required documents.
  • Verify that the available unobligated balance on the Federal Financial Report is equal to or greater than the carryover request.
  • Review the electronic grant file for any previous requests and approvals. If there is a pattern of not spending money or requesting carryovers, it may indicate that the grant is overfunded, the carryover is not necessary, and the future year commitments may need to be reduced.
  • Review a grantee's request for reasonability, and send a copy to the program officer for review.
    • If you both approve, approve the request and issue a revised Notice of Award to reflect the carryover.
    • If either the program officer or you do not approveemail the grantee indicating the reason.

For more details, GMP staff can see the GMP Carryover and Offset of Unobligated Funds SOP.

Program Officers

  • If you receive a carryover request from a PI, keep a copy and forward the original to the grants management specialist immediately.
  • Review carryover requests and approve only if they are reasonable, within the original scope of the project, and justified based on scientific need and project budget.
  • Email the grants management specialist of your approval or disapproval or annotate the request letter with a recommendation, signature, and date and forward to GMP. If you disapprove, give the reason.


Grantees with questions should contact the program officer or grants management specialist listed in the eRA Commons. For more information, see Contacting Program Officers and Grants Management Specialists.

If you have knowledge to share or want more information on this topic, email with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.


eRA Commons

Content last reviewed on January 15, 2016