Watch the Video! Click on the video for a brief presentation on Budget Numbers for Multi-Year Awards. Keep in mind that this same video will be used as part of the requirements to complete CORE’s Certificate in Research Administration. You may be required to watch the video again in order to obtain the necessary CORE credit.
Renewals and supplements/extensions are mechanisms to continue a project with more time and money awarded. The provisions of the award agreement determine whether a new UW budget number is required for the continuation period, or if the same UW budget number can be extended throughout the project or competing segment.
For multi-year Awards, carryover is the unexpended balance from one budget period that may be used in a subsequent budget period. This is also sometimes referred to as carry forward.
Watch the Video! Click on the video for a brief presentation on Carryover for multi-year Awards. Keep in mind that this same video will be used as part of the requirements to complete CORE’s Certificate in Research Administration. You may be required to watch the video again in order to obtain the necessary CORE credit.
Renewals require a new UW budget number when:
- Carryover is not automatic (i.e., prior year’s remaining balance cannot automatically be combined with current year funds).
- Separate final financial reports and/or invoices are required each year to close out the current period’s funding.
- A new PO or grant number is issued for the new period.
Examples of renewals:
- T32 Training Grants
- NIH Non-SNAP Non-Competing Renewals
Supplement/Extension – the same UW budget number is retained from prior period(s) when:
- Carryover is automatic or prior funds are not distinguished from new funding.
- No requirement for final financial reports or invoices for each budget period.
- Grant/PO numbers not drastically changed (i.e., an amendment number does not require a new budget number).
Examples of supplement/extensions:
- NIH SNAP awards (and flow-through SNAP awards if carryover is unrestricted)
- Industry or foundation sponsored projects
A common question from campus is whether the same UW budget number can be kept over the entire project period of an award from NIH.
NIH research awards are typically awarded as a SNAP (“Streamlined Non-Competing Award Procedures”) or a Non-SNAP award. Whether an NIH award is SNAP or non-SNAP determines whether a new UW budget number must be established for each budget year of the competitive segment.
SNAP awards only require a final financial report (“SF425”) at the end of the competitive segment (annual financial reports are not required), and the recipient is allowed to carryover an unexpended balance from one budget year to the next without the approval of the Grants Management Specialist. Because of the automatic carryover approval and the reporting requirements, a single UW budget number is issued for the entire competitive segment for NIH SNAP awards. When a new competitive segment begins, a new UW budget number is required. (Please see the reference the chart below.)
Non-SNAP awards require an annual SF425 at the end of each budget year and do not allow the recipient to carryover an unexpended balance from one budget year to the next without the approval of the Grants Management Specialist. Because of the reporting requirements and the restriction on the use of an unexpended balance, a new UW budget number is required for each budget year on NIH Non-SNAP awards to account for expenditures.
One additional factor will determine whether an NIH award (or any award from the Department of Health and Human Services (DHHS)) will require a new budget number for subsequent budget years – the Federal Document Number.
The Federal Document Number is the account number used by the UW in order to draw funds on a specific DHHS award. The UW does not send invoices to DHHS in order to receive payment for expenditures, but instead draws funds electronically from a Federal account. Each award has a unique Federal Document Number under which all payments are drawn. If the Federal Document Number changes from one budget year to the next, a new UW budget number is required in order to ensure separate accounting of funds.
The Federal Document Number for all DHHS awards can be found on the Notice of Award.
The chart below provides an overview of when a new budget number is required on NIH research awards.