Carryforward Request Letter Template
A request for Carryforward, in the form of an official request letter, should be submitted to NIH by the
Office of Research Administration (ORA) as soon as the Final Financial Report (FFR) has been
submitted (sequential years) or accepted (non-sequential years) by Harvard’s Office for Sponsored
Programs. The letter should be co-signed by the Principal Investigator (PI) and an authorized Signing
Official of HMS (if the PI is unavailable it may be signed by the Signing Official only) and must be
submitted to NIH by ORA (not the PI or department). Note that a Grants Management Specialist will not
be able to consider/approve a Carryforward request until the FFR has been accepted by NIH, but
submitting the Carryforward request earlier can help to expedite the review.
The letter should be approximately 1-2 pages long and must include the following information:
• Project periods between which the funds are requested to be carried forward, i.e. from project
period 01/01/2019-12/31/2019 (“Year 1”) to period 01/01/2020-12/31/2020 (“Year 2”).
• Detailed justification for the request: Explain what happened to cause the remaining funds to be
unspent, how you plan to utilize the funds moving forward, how you will adjust the project
timeline to ensure on-time completion, and any impact on the science (specific aims, personnel,
approved IRB/IACUC protocol, purchase of equipment, etc. – note any variance from the
original documentation submitted, including the Research Performance Progress Report).
• Breakdown of current unobligated balance by budget category.
• Current budget spreadsheet detailing how you intend to utilize the Carryforward funds in the
subsequent project period, if approved.
o Complete and attach PHS 398 Form Page 4 and Checklist with these amounts.
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