Some external sponsors do not allow automatic carryover of unspent grant funds from one budget year to the next.  If this is the case, and you have a grant project with unspent funds at the end of a budget year, you may wish to request a carryover of funds to the next budget period.  This written request is called a "Carryover Request" and must include the following:

1. An appropriate scientific justification.
2. A plan for the use of funds.
3. A detailed categorical breakdown of the unspent funds, including F&A costs (if applicable).
4. A copy of the final expenditure report or Financial Status Report (FSR).  Keep in mind that the unobligated balance on this report should be equal to or greater than the carryover request.
5. In many cases, if the dollar amount is significant (typically 25% of total current year costs), you may also have to explain why the funds were not fully expended in the prior year.

The scope of the carryover request should be limited to the approved goals of the project, or clearly delineate where the request exceeds the approved goals of the research. Only refer to immediate needs in the current year to justify the need for the carryover (It is not acceptable to indicate they will need the funds in future budget periods).  If the grantee has future needs, those needs should be addressed in future budget periods.  It is also a good idea to present the implications for the grant project if the request is denied.

It is usually the sponsor’s policy for these requests to be reviewed by both program and grants management staff.  The sponsor’s grants management specialist must analyze the financial status and spending history of the grantee, and the program officer must gauge the scientific need. 

The following is the procedure for submitting carryover requests at the SMHS:

1. Submit a written or email request to Research Administration. 
2. Research Administration will review this request and forward your request to the UND Research Development & Compliance Office.
3. The UND Research Development & Compliance Office will review and sign the request and then send it to the sponsor.
4. The sponsor will notify the UND Research Development & Compliance Office and the Principal Investigator (PI) of their decision.

Keep In Mind That…

If there is a pattern of not spending money or requesting carryovers, it may indicate to the sponsor that the grant is overfunded, the carryover is not necessary, and the future year commitments may need to be reduced.

The carryover request needs to be reasonable.

If the request includes duplication of funding already provided in the current-year support, i.e., overlap. If yes, the request can be denied.

If the request will generate a recurring cost in future years the sponsor may ask the us to detail how the future year costs will be supported in subsequent budget years.  We may also have to describe how we will pay for those future costs as the sponsor may not increase the future year committed amounts.

If the request includes program expansion (change of scope), the sponsor may determine that the request must be reviewed administratively or it may even ask that we submit a new proposal as a competing supplement.

Below is a link to a sample carryover request letter:

Carryover Request Letter - Sample

Below is a link to a sample carryover request e-mail:

Carryover Request E-Mail - Sample