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 unobligated funds from one budget period to another. NIDA grants that typically do not have automatic carryover authority are:

  • Cooperative agreements (U)
  • Kirschstein-NRSA institutional research training grants (T)
  • Center grants (P30, P50, & P60)
  • Any mechanism whereby the Notice of Award (NoA) requires prior approval for carryover requests (e.g., FDA awards)

Section III of 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. The Federal Financial Report (FFR) is due on an annual basis and the assigned GMS cannot consider a carryover request until the FFR is accepted by NIH’s Office of Policy for Extramural Research Administration (OPERA).
  3. The recipient is to ensure that the current (and all prior FFRs) FFRs have been submitted. FFRs submitted prior to January 1, 2021, must use the FFR module in the eRA Commons based on the previous requirements set forth by the agency (see NIH Grants Policy Statement, Financial Expenditure Reports section). FFRs submitted on or after January 1, 2021, must use the Payment Management System (PMS). 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’s review of carryover requests.
  4. The recipient is to ensure that any carryover request is limited to immediate needs for the current budget period. Requests must reflect only those funds for which will be needed and spent during the current budget period.

Submitting a Carryover Request (2 Options)

  1. Submission via the eRA Commons using the Prior Approval Module is strongly encouraged. Please see links under the ‘References’ section below for information on submitting a carryover request electronically using the eRA Commons Prior Approval Module.
  2. Submission via e-mail. An Authorized Organizational Representative (AOR) from the recipient organization may submit a carryover request to the assigned GMS and PO via email. The request must include the following information:
  • Amount of funds requested for carryover
  • Include direct costs, F&A costs, and total costs. This can be provided on a PHS 2590 Detailed Budget Page Form 2reflecting the requested direct costs and PHS 2590 Form Page 6 Checklist, reflecting the F&A rate that was in effect at the time the funds were initially awarded, and requested F&A costs.
    • Detailed budgetary and scientific explanation for the unobligated balance, including why there is a need for carryover.
  • Explain why the requested unobligated funds are necessary for use in the current budget period. Specifically, are the requested costs reasonable, allowable, and within the scope of the current budget period?
  • Provide reasons the funds were not spent within the last budget period.
  • Provide reasons why the carryover request cannot be accomplished by rebudgeting the current 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, the GMO will provide a response to the AOR.

Recipients are strongly encouraged to contact the NIDA PO and GMS assigned to the award with any questions about your carryover request. The telephone number and email address of the NIDA PO and NIDA GMS are available in the eRA Commons, on the NoA, and is also available here, at NIH NED.