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Deliverables & Financial Reporting

ALL reports should be reviewed and approved by SPA prior to submission to the sponsor. Some sponsors require Authorized Organization Representative (AOR) approval via their portal (eRA Commons, ProposalCentral, Grants Solutions, Electronic Handbooks, etc.). If a request for a report or additional information has been received from the sponsor, please notify SPA,, for support.

ALL financial reports must be approved by SPA prior to submission to the sponsor. Please contact SPA Post Award,

Compliance with Terms and Conditions of Award

(Reference: NIH Pre-Award Process)

A Notice of Award (NoA) includes two sections (Sections III & IV) where terms of award are described.

Section III of awards lists standard terms such as:

  • Grant program legislation and program regulation cited in this NoA.
  • Restrictions on the expenditure of federal funds in appropriation acts, to the extent those restrictions are pertinent to the award.
  • Code of Federal Regulations/Regulatory Requirements - 45 CFR Part 74 or 45 CFR Part 92 as applicable.
  • The National Institutes of Health Grants Policy Statement (NIHGPS) in effect at the beginning date of the budget period.
  • The award notice including any special terms and conditions...."
  • A reference to carryover authority when applicable
  • A reference to inclusion or exclusion to SNAP as applicable
  • A reference on the treatment of Program Income
  • A reference to participation in the Federal Demonstration Partnership as applicable.

The NIH Grants Policy Statement, NIHGPS, as a term and condition for all awards contains the legally binding requirements for all grant recipients (See Part II Terms of Award).

Section IV of awards contains Special Terms and Conditions specific to the particular NIH Institute/Center and/or specific to the particular grant. It is important that you pay careful attention to the terms and conditions of an award, particularly any specific to the grant. Unless these terms are carefully reviewed and addressed, grantees may unknowingly violate the terms and conditions of the award. In those cases, NIH may place a restriction on the award, institute special monitoring procedures, or potentially terminate an award.


  • Limit Human Subjects or Animal expenses from being charged to the grant until a copy of the approval letter is provided.
  • Require additional clarification or updates be provided.

Please complete a Request to Address NOA Requirement/Restriction for AOR/SPA review and submission of documentation to the sponsor to address requirements and restrictions.

Interim/Quarterly technical reports from federal or non-federal sponsors may be required. Please be sure to review the terms & conditions, notice of award, and/or other sponsor policies & procedures for additional information.

SPA will:

  • Confirm personnel effort & completion of ECC Certification
  • Confirm inventions, if applicable, with the KUCTC Office
  • Review to ensure compliance with sponsor and institutional policies & procedures.
  • Prepare and approve any required financial reports.
  • Submit the report to the sponsor.*

ALL financial reports must be approved by SPA prior to submission to the sponsor. Please contact SPA Post Award,

Some sponsors require the PI submit the reports via the sponsor portal. Please be sure to obtain SPA approval prior to submitting any reports to the sponsor. Please forward a copy of any reports submitted directly to the sponsor to SPA,

Information for NIH Research Performance Progress Report (RPPR)

In addition to the sponsors report, SPA will need the following from the PI:

  • ePRS and cost share memos, if applicable, for the next budget period
  • Confirmation e-mail from subaward institutions for personnel effort being reported

SPA Quick Guide: NIH Research Performance Progress Report (RPPR)

For the Annual RPPR, SPA will:

  • Confirm Department provided personnel effort & completion of ECC Certification
  • Confirm Department provided Unobligated Balance
  • Confirm Publication Compliance (may include non-compliant publications that are unrelated to the project)
  • Confirm inventions, as applicable, with the KUCTC Office
  • Review for updates to personnel and compliance.
  • Submit the RPPR via the eRA Commons

Estimated Unobligated Balance

In accordance with Section of the NIH Grants Policy Statement, recipients of NIH grant awards under the SNAP mechanism are required to report, as part of the grant's progress report, whether the estimated unobligated balance (including prior-year carryover) is expected to be greater than 25 percent of the current year's total approved budget.

The "total approved budget" includes the amount awarded for the current year and any carryover from the previous budget period. If the unobligated balance is greater than 25 percent of the total approved budget, the recipient must provide an explanation and a plan for expenditure of those funds in the next budget period.

To assist with consistent calculation of the unobligated balance, please refer to the "Unobligated Balance Calculator" provided below.

Note: The calculator is designed to ensure a consistent method of calculating the unobligated balance and is an effective tool under typical circumstances. Because the calculator estimates future expenditures based on actual expenditures to date, there may be cases where an unusual pattern of spending skews the estimated expenditures calculation.

Unobligated Balance Calculator (XLSX)

Research Administration

University of Kansas Medical Center
Research Administration
Mailstop 1039
3901 Rainbow Boulevard
Kansas City, KS 66160
Office Location: Support Services Building, Suite 120
Phone: 913-588-1261
Fax: 866-255-2129