Revising a Submitted FCOI Report (Following a Retrospective Review Only)

The feature to revise a previously submitted FCOI report is used only in those situations following a Retrospective Review. For example, a revised FCOI report is submitted following the Retrospective Review when the Institution discovers new information that results in a change to a previously submitted FCOI report (e.g., an increase in value of a previously reported SFI) or a change to the management of the FCOI from what was previously reported under the initial report. In addition, if bias is found following the completion of the Retrospective Review, the grantee must submit a Mitigation Report. A Mitigation report is submitted through the submission of a Revised FCOI report if the Retrospective Review is pending at the time of initial report submission.

If an FCOI Report is submitted with errors, the institution should contact the Agency to determine whether to rescind the FCOI record or to allow the grantee to make corrections through a response to a Request for Additional Information.

As discussed above, following the Retrospective Review it is possible to make changes to the FCOI Report. The FCOI Report can be revised to add, update, and/or delete significant financial interest data and any other information that was previously submitted in the initial FCOI report. A revision can be made on an existing FCOI report by selecting the Revise link on FCOI Search up to 150 days following the initial submission date to submit a Revised FCOI report.

To revise and submit an FCOI report:

  1. Access FCOI Search by selecting the FCOI tab from the Commons menu.
  2. From the FCOI Search screen, perform a search for the appropriate FCOI report.
  3. Closed toggler arrowSelect the Revise button in the Action column for the specific FCOI report.

    Revise button

    The FCOI – Revision screen displays the information from the current FCOI report as read-only. The summary of reported significant financial interests (SFI(s)) is displayed in the table at the bottom of the screen.

  4. Closed toggler arrowSelect the Edit link in the table to edit the SFI.

    FCOI Revision screen with edit button for SFIs

    The FCOI – Revision screen expands to enable the report fields to be edited. The fields for revision are identical to those available when first initiating the FCOI form. The information displayed on the FCOI – Revision is pulled from the latest submitted FCOI form. An additional text field is added for summarizing the changes. This field is required.

  5. Closed toggler arrowUse the text box under the title Please summarize any revisions to previously submitted FCOI Report using the text below to summarize the submitted changes.

    Summary of changes

  6. Closed toggler arrowComplete the revisions as appropriate under the FCOI Information section. Refer to the help topic titled Initiating an FCOI Report for more information about the questions and fields on this form.

    During a revision, existing SFI information may be changed or deleted and new SFI information may be added only following a Retrospective Review. Text may be edited or added to the supporting information text boxes on the form. Additionally, new PDFs may be uploaded and existing ones deleted.

    The Entity field is read-only for a revision and may not be edited.

    A revised FCOI form retains the FCOI ID number of the original form being revised.

    FCOI Information sections 1-3

    FCOI Information sections 4-6 and upload other documents

  7. Update the fields in the Description of Noncompliance with the FCOI regulations block (Questions 5 & 6).
    1. Update the response for question #5 (Retrospective Review Completed?) to Yes. When Yes is selected, the response for question #6 is enabled and required.
    2. Select the Yes bias found radio button for question #6 (Mitigation Report Required?) to indicate that a mitigation report is required. When the Yes bias found button is selected, provide the Mitigation Report information in the enabled text box or upload a file in the table below it.

  8. Perform one of the following actions:
    • Select the Save button to put the record in WIP status.
    • Select the Save and Submit button to submit to agency.
    • Select the Cancel button to return to the FCOI Search screen.

    Only Commons users with an FCOI role may use the Save and Submit feature. ASST users with FCOI authority cannot submit the report.

    When the Save and Submit button is selected, a comments screen displays for entering optional comments before submission. The comments entered on this screen are recorded within the FCOI History. In addition, the comments are added to the email notification sent to Agency.

  9. Optional after selecting Save and Submit: Closed toggler arrowEnter any appropriate comments in the Comments text box (up to 2000 characters) and select the Continue button.

    Optional comments

Upon saving and submitting, the system sends out an e-mail notification informing the FCOI user (and potentially the FCOI_ASST user) that the FCOI Report was submitted. Closed toggler arrowThe FCOI Type is updated to Revision in the FCOI Search results.

Search results now show type = Revision