Carryover of an Unobligated Balance for NIDA Grants without Automatic Carryover Authority

Carryover Requests Purpose and Background

NIDA recipients of grants not subject to carryover authority must request prior approval to carryover funds from one budget period to another. NIDA grants that typically do have automatic carryover authority follow:

  • Cooperative agreements (U)
  • Kirschstein-NRSA institutional research training grants (T)
  • non-Fast Track Phase I SBIR and STTR awards (R43 and R41)
  • Center grants (P30, P50, & P60)
  • Any mechanism whereby the Notice of Award (NoA) requires prior approval for carryover requests (e.g., FDA awards)

The NoA will state whether the recipient has automatic carryover authority or if prior approval is required by NIDA.

NIDA Grant Recipient Responsibilities

Prior to officially submitting a carryover request, please read the following:

  1. NIDA strongly encourages recipients to discuss a potential carryover with the assigned program official (PO) and grants management specialist (GMS).
  2. Please be reminded that the Federal Financial Report (FFR) is due on an annual basis.
  3. The recipient is to ensure that the FFR for the last (and all prior) budget period(s) has been submitted electronically via eRA Commons.  The FFR should be submitted no later than 90 days after the end of the calendar quarter in which the budget period ended. Timely and accurate FFR submission facilitates NIDA review of carryover requests. Upon submitting the FFR via eRA Commons, recipients are encouraged to contact their assigned GMS, to expedite the FFR review process.
  4. The recipient is to ensure that any carryover request is limited to actual needs for the current budget period. Your request must reflect only those funds for which carryover will be needed during the current budget period.

Submitting Your Carryover Request (2 Options)

  • Electronic submission of carryover requests is strongly encouraged (Prior Approval Module). Please see links under the ‘references’ section for information regarding submitting a carryover request electronically, via the prior approval eRA module, as well as an eRA Commons user guide.
  • Recipients can submit carryover requests to the grants specialist and program officer via email, from the authorized organization representative (AOR).  The request must include the following information:
  1. Amount of funds requested for carryover
    • Include direct costs, F&A costs using the F&A rate, and total costs
  2. Detailed budgetary and scientific explanation for the unobligated balance, including why there is a need for carryover. This can be provided on a PHS 2590 Detailed Budget Page Form Page 2  reflecting the requested direct costs and PHS 2590 Form Page 6 Checklist, reflecting the current F&A rate and requested F&A costs. . See below for additional points to be addressed within the budget justification:
    • Explain why the requested unobligated funds are necessary for use in the current budget period. Specifically, are the requested costs reasonable, allowable, and within scope of the current budget period?
    • Provide reasons the funds weren’t spent within the last budget period
    • Provide reasons why the carryover request cannot be accomplished by rebudgeting of funds

NIDA Staff Responsibilities

Both the assigned PO and GMS will review the AOR-submitted request. If the request is approved, your institution will receive a revised NoA. If carryover is denied or additional information is necessary, you will receive email notification from your GMS.

Recipients are strongly encouraged to contact your NIDA Program and Grants Management specialist with any questions about your carryover request. The telephone number and email address of your NIDA Program Officer and your NIDA Grants Specialist are available in the eRA Commons, on your Notice of Award, and are also available here, at NIH NED.

References