Grantees (Post Award)-How To:
Basic Tasks in eRA Commons
Notice of Award, or NoA, is the official grant award document notifying the grantee and others that a grant has been made. It contains or refers to all the terms and conditions of the grant, and provides the documentary basis for recording the obligation of federal funds in the agency's accounting system. When completing the eRA Commons registration process, an organization must fill in the Notice of Award e-mail field on the Grantee Organization Registration form. An error message will be generated if the user does not complete this field or completes the field using incorrect e-mail formatting. Notice of Award notification e-mails are sent to the specified e-mail address, which is displayed in the Institutional Profile within eRA Commons. This e-mail address may be modified by the institution's Signing Official (SO).
To view a Notice of Award within the eRA Commons system:
- Log in to eRA Commons.
- On the Status Information page, in the Other Relevant Documents section, select the Latest NoA hyperlink (all users may access this link).
- You will be provided the option to view the NoA document or save it to your computer. A Word version of the Notice of Award will be displayed or saved to your computer's hard drive in a location of your choice.
Note: Alternately, a query page generates a report of Issued Notice of Awards. The report shows awards made to your organization over a selected time period (you will need your IPF number in order to use this search feature).
2. To submit eSNAP (Electronic Streamlined Non-Competing Award Process)
For an SO to delegate authority to the PI to submit the eSNAP report:
- Log in to eRA Commons.
- Select the Admin tab located on the main menu bar.
- Select the Accounts tab, then select the Delegate Submit link [the Delegate Submit sub-menu option is only visible to eRA Commons users assigned to the SO or Business Official (BO) role].
- Once on the Delegate Submit Access screen, a list of current Institution PI Users will display in the left scroll window. From the list of current Institution PI Users, select the PI to whom you would like to assign authority.
- Click the Assign button.
- The name of the selected PI will now appear in the Current Submit Delegates box on the right.
- On the Delegate Submit Confirmation screen, review the Certification and Acceptance statement at the bottom of the screen.
- Click 'I Agree.'
- The system will redirect you to the Delegate Submit Access screen, where you will receive confirmation that the delegate was assigned successfully.
- The system will send an e-mail notification to both the SO and the PI regarding this delegation.
- The Project Director/Principal Investigator (PD/PI) cannot re-delegate eSNAP submit authority to another user.
The Submit eSNAP process allows the SO (or PI with eSNAP Submit Authority) to submit the eSNAP to NIH. The submitter must be the current eSNAP reviewer.
- The system will validate that the required eSNAP data has been entered and is valid.
- The system will validate that the IPF Assurances and Certifications have been entered for the grantee institution.
- The system will validate that all Population Tracking Protocols associated with the eSNAP have been updated.
- The system will inform the SO that with his or her approval the eSNAP will be submitted to NIH and asks for confirmation that this is what he or she wishes to do. At this point, the SO must tell the system to submit the eSNAP to NIH.
- The system will display the Certification Statement with options to select I Agree or Cancel the submission. At this point, the SO must agree with the Certification Statement or the eSNAP will not be submitted.
- If the SO agrees, the system will set the eSNAP submission to the current date and time and set the eSNAP status to Submitted.
- The system will then send the eSNAP to NIH. (Note: The eSNAP will be collected by NIH via the Receive eSNAP process.) . The system will then record the date, time, and the reviewer name.
- The system will send a notification to the Administrative Official (AO) and SO of the organization (or only the SO if the SO is listed as both the AO and SO), and to the PI that the eSNAP has been submitted to NIH. The notification will include the date and time of submission.
- The application's organization Business Official's (BO) contact name, phone number, e-mail, fax and address in IMPAC II is updated with the corresponding information defined in the eSNAP.
- The system will update the assurances with the human subject and animal subject assurances that are defined by the IPF profile or the submitting organization for these two fields.
- The system will then send the eSNAP and generated PDF representation to the system and tell the system that the eSNAP has been submitted electronically.
- The system will send a notification informing the IC staff that an eSNAP has been received to a central IC notification point.
3. Submit Financial Conflict of Interest
The Financial Conflict of Interest (FCOI) module allows institutional users to initiate and prepare FCOI reports, electronically submit reports and supporting documents, search and view FCOI reports previously submitted through the eRA Commons, edit or rescind submitted reports with NIH involvement and access history of actions. The FCOI module is mandatory for all institutions.
- Financial Conflict of Interest role: The FCOI role is assigned to the user(s) in the institution that will manage the FCOI process. This individual will initiate, edit, submit, view and delete records and documents. The FCOI role can only be assigned by the Signing Official (SO).
- Financial Conflict of Interest Assistant role: The FCOI Assistant (ASST) is delegated access by the FCOI role to assist with data entry and completion of FCOI reports.
- Financial Conflict of Interest View Only role: The designated person or persons within the institution that have been granted the View-only role is delegated access by a user with the FCOI role. A person with the View-only authority can view FCOI information entered by the institution.
For the SO to delegate FCOI authority:
- Log in to eRA Commons.
- Click on the Admin tab, select the Accounts tab and click on the Delegate FCOI Authority tab.
- Select a user from the Current Institution Users listed on the left side of the screen and move or Assign their names to the right side of the screen.
- FCOI ASST or FCOI View-only authority can be revoked by selecting a name on the right side of the screen and clicking on the Revoke button in the center of the screen.
- E-mail notifications are sent out to individuals that either receive or lose FCOI roles.
To initiate a new FCOI notification:
This FCOI - Manage Notifications process is available to users with the FCOI role and/or FCOI ASST authority. If the FCOI user has multiple affiliations, he/she should only access grants associated with the institution that assigned the user the FCOI role. Grants assessable through the FCOI system are Latest, Awarded, and Active (not Withdrawn).
- Log in to eRA Commons.
- Navigate to the FCOI tab on the main eRA Commons screen and select the Initiate tab.
- The FCOI Search screen will appear. Click the Initiate tab at the top of the screen.
- Enter required information in the appropriate fields and select Save or Cancel.
- Once data has been entered and Save has been clicked, the system will save the data to the database and the upload document section will be available for use. The Save and Submit button also will become available.
- At this point, the following message should appear: "You have successfully saved this FCOI Notification; you are now able to upload supporting documentation."
- From here, you may choose whether to upload relevant information. You have a choice of three possible actions: Save [place the record in Work in Progress (WIP) status], Save and Submit (submit to agency), or Cancel (go back to the blank Initiate FCOI screen).
- The system will send out an e-mail notification only in the case of Save and Submit, as well as Save. If Save is selected, the e-mail will be initiated. If Save and Submit is selected, the e-mail will be submitted to the agency.
- If you choose to cancel the Initiate FCOI process, the following message will display: "You are about to cancel the initiation of this FCOI Notification. All information will be lost! Do you want to proceed?"
- At this point, you will see YES and NO buttons. If you select YES, the system will discard all entered data and will take you to the main menu screen. If you select NO, the system will present the same Initiate FCOI screen with all of your data retained.
To submit new FCOI Notification (only available to users with FCOI roles):
- After you have completed the Initiate FCOI Notification process for the new FCOI Notification or have finished editing a WIP FCOI Notification, select the Save and Submit button.
- The system will change the status from WIP or Initiated Notification to Submitted.
- At this point, the system will save the record to the eRA Commons Database and send a 'FCOI was submitted to Agency' e-mail notification to the appropriate parties (Grants Management Specialist (GMS), FCOI ASST).
4. To Submit Financial Status Report/Federal Financial Report
Background and Reporting Due Dates for NIH FFR Expenditure Data:
Effective Feb. 1, 2011, the Federal Financial Report (FFR) will replace the Financial Status Report (FSR), for reporting expenditure data to NIH for a given grant [See NIH Guide Notice NOT-OD-11-017]. Recipients of federal funds are required to report submit expenditure data using the FFR (form SF-425/SF-425A). If you are revising an FSR started or submitted prior to February 1, 2011, you will revise and submit the report in the FSR format, using form SF-269. The FSR/FFR module allows grantees to submit electronically a statement of expenditures associated with their grant to the sponsor of the grant via eRA Commons.
Note: The chart below captures the budget/project end dates for the majority of NIH awards. If your budget/project period does not end on the last of the month, please see instructions for calculating due dates in Reporting Requirements items 1 and 2.
Budget End Date |
Final FFR Due Date |
Calendar Quarter End |
Annual FFR Due Date |
1/31 |
5/1 |
3/31 |
6/30 |
2/28 |
5/29 |
3/31 |
6/30 |
3/31 |
6/29 |
3/31 |
6/30 |
4/30 |
7/29 |
6/30 |
9/30 |
5/31 |
8/29 |
6/30 |
9/30 |
6/30 |
9/28 |
6/30 |
9/30 |
7/31 |
10/29 |
9/30 |
12/31 |
8/31 |
11/29 |
9/30 |
12/31 |
9/30 |
12/29 |
9/30 |
12/31 |
10/31 |
1/29 |
12/31 |
3/31 |
11/30 |
2/28 |
12/31 |
3/31 |
12/31 |
3/31 |
12/31 |
3/31 |
FSR-related roles in eRA Commons:
Financial expenditure reports must be submitted electronically through Commons. The FSR role must be granted in order for the report to be accessible to a Commons user. The FSR role may be a separate account or it may also be combined with an SO role. It may not be combined with any other roles. Note that FSR has been replaced by FFR expenditure data, but the FSR role has not been renamed. The SO, Administrative Official (AO) or Account Administrator (AA) must create a separate FSR account in eRA Commons. Only an account with the FSR role assigned can perform FSR-related tasks.
Steps for the SO, AO or AA to add the FSR role to a person's profile:
- Log in to eRA Commons. Select the Admin tab, followed by Accounts and the Select Manage Accounts.
- Locate the individual to whom you would like to assign the FSR role using the search function.
- Their account information should show up at the bottom.
- Click on Edit in the action column next to the name (in the roles box, highlight all the roles you want this person to have; if the current role is an SO, then highlight SO and FSR).
- Click on Submit to complete the process.
- An e-mail will be sent to notify the individual of his or her new role.
Note: The Grant hyperlink will only show up 180 days prior to the end of the project period which then allows the user to work on the FSR/FFR form.
The FSR/FFR tab is only available to users who have been assigned the FSR role by their Signing Official, Administrative Official or Account Administrator. The form will pre-populate with information already in the eRA system. FSRs/FFRs can also be edited from the Closeout module.
- Log into eRA Commons.
- Click the Requires Closeout hyperlink in the Action column of the Status Result-Closeout Search page.
- Click the ‘Create New’ hyperlink in the Action column of the Closeout Status page.
- At this point, the FSR/FFR search screen should appear. If you do not have the FSR role, you will get an error message. If you have FSR role access, the FSR/FFR search screen will appear.
- On the FSR/FFR search screen, users with a FSR role can search by grant number, due date range, latest FSR/FFR status, etc. The resulting list of applications will be sorted by institution, latest FSR/FFR status and grant number.
- As of February 1, 2011, new expenditure reports may only be submitted via the FFR. If you are revising an FSR started or submitted prior to February 1, 2011, you will revise and submit the report in the FSR format.
- Enter any known information into the search data fields and click Submit. When the FSR/FFR Search Result screen appears, select the desired grant number in order to access the corresponding FSR/FFR.
- To save the FSR/FFR, click Save.
- To submit the report, click Submit.
5. To submit a No-cost Extension
The No-cost Extension (NCE) feature, accessed via the eRA Commons Extension screen, is an electronic means for a grantee organization to submit electronically a notification that they have exercised their one-time authority to extend without funds the final budget period of a project period of a grant. NCEs may be requested by the Signing Official only, no earlier than 90 days prior to the end date of the project and no later than the project's end date. After the one-time NCE has been exercised, any additional NCEs must be approved and processed by the Grants Management Specialist at the awarding NIH institute/center.
Steps for the SO to submit a No-cost Extension:
- The SO can request an extension of up to 12 months in additional time and must ensure that all internal review and approval processes at the grantee organization have taken place prior to submitting the NCE.
- Log in to eRA Commons using your SO account.
- Select the Status tab from the menu bar (this will take you to the grants search screen).
- Enter the desired grant number, or enter "All" in the code field and click Search.
- Select the Extension hyperlink from the Action column of the generated search result list to launch the Extension screen.
- Enter the No-cost Extension date.
- Click the Extend Project Date button.
- Click Confirm to complete the No-cost Extension submission.
- An e-mail notification will be sent automatically to agency staff when the grantee submits the extension notification.
- Upon notification, the NIH awarding office will revise the project period ending date and provide an acknowledgement to the grantee.
- In extending the final budget period of the project period, the grantee agrees to update all required certifications, including human subjects and animal welfare, in accordance with applicable regulations and policies.
- If the Extension link is not available, or if you have previously requested to extend the current grant, you will need to direct your questions to your assigned Grants Management Specialist.
Grants Closeout is a feature within eRA Commons that allows a grantee to file electronically the information necessary to complete grant closeout requirements. It interfaces with the Closeout system used by Agency staff to track and monitor this business process. NIH will close out grants as soon as possible after expiration of a grant that will not be extended or after termination of a grant. Closeout includes timely submission of all required reports and adjustments for amounts due the grantee or NIH. Closeout of a grant does not automatically cancel any requirements for property accountability, record retention, or financial accountability. Following Closeout, the grantee remains obligated to return funds due, because of later refunds, corrections, or other transactions, and the federal government may recover amounts based on the results of an audit covering any part of the period of grant support. Each required report can be submitted independently; however, Closeout is not complete until all reports have been submitted and accepted by the Awarding Office.
Steps for the PI and SO to locate the Grants Closeout link:
- Log in to eRA Commons using your Principal Investigator (PI) or Signing Official (SO) account, and select the Status tab.
- Select the List of Applications.
- Select the Grants sub-menu link and then the grant will show with the Requires Closeout link in the Action column.
To search for grants requiring Closeout or to check the status of a recently closed grant:
- Log in to eRA Commons and select the Status tab.
- Select the Closeout hyperlink.
- Enter any known query information and click the Search button.
- Once a query is executed and the Status Result - Closeout Search screen displays, additional hyperlinks are available-Closed, Requires Closeout, or Requires Closeout Transmittal Sheet.
- Select the Grants sub-menu link and then the grant will show with the Requires Closeout link in the Action column.
For Application IDs that have an Action status of Requires Closeout, proceed with the following:
- Click the Requires Closeout hyperlink to display the Closeout Status screen information.
- Here you can click View to see a PDF Financial Status Report, click Create New to submit a Financial Status Report, click Process Final Progress Report, or click Process Final Invention Statement.
To submit Final Invention Statement:
You must submit a Final Invention Statement within 90 days following the termination of a grant award. The statement will include all inventions, which were conceived or first actually reduced to practice during the course of work under the grant award.
- Select the Status tab from the Status menu.
- Select the Closeout hyperlink to the left of the screen.
- Enter any known information (PI name, grant number, etc.) into any of the available data fields or, in the Closeout Status dropdown box, select Open and click Search.
- Use the Open hierarchy drop-down option to retrieve a list of all open grants that still require Closeout.
- Select the required grant by clicking the associated Requires Closeout hyperlink in the Action column.
- Click the Process Final Invention Statement hyperlink in the Action column of the Closeout Status page.
- This process opens the Submit Final Invention Statement screen for the selected Application ID.
- If NO is selected, a statement of verification will appear. Click OK. For submission, Final Invention Statement requires verification by the Signing Official of the Institution only. PI verification is not required.
- If YES is selected, the user will be taken to the Add Invention screen.
- To process a Final Invention Statement (HHS Form 568), the individual performing the initial submission - whether that person is the PI or a SO - at the institution must determine whether inventions are to be reported. If inventions are reported, the specific inventions must be listed. Following this process, the SO should review the report identified by the View Invention Statement link and if acceptable, submit the Final Invention Statement to HHS for that grant.
- If "Yes" is selected, the Add Invention screen will appear. Enter the required information (indicated by *) and click Add Invention.
- The newly added invention will appear in the Saved Invention section of the screen. The invention may be removed at any time by clicking the Remove hyperlink in the Action column.
- Once all inventions have been entered, click Save.
- A prompt will appear with a statement of verification. Click OK.
To submit Final Progress Report:
- Click the Requires Closeout hyperlink in the Action column of the Status Result - Closeout Search page.
- Click the Process Final Progress Report hyperlink in the Action column of the Closeout Status page.
- The Closeout - Upload Final Progress Report screen will appear. To upload the Final Progress Report file, click Browse.
- Once the Final Progress Report file has been uploaded, click Submit.
- A prompt will appear with a statement of verification. Click OK.
To submit final Financial Status Report/Federal Financial Report (FFR) Expenditure Data:
- See To Submit Financial Status Report/Federal Financial Report further above. The final FSR/FFR must indicate the exact balance of unobligated funds and may not reflect any unliquidated obligations.
8. Steps to submit an electronic Relinquishing Statement (RS)
The Change of Institution process requires the institution giving up the grant to submit a Relinquishing Statement (RS). eRA Commons provides the ability to submit the RS electronically for processing by grants management staff. The institution receiving the grant also will be able to view this relinquishing statement in eRA Commons.
The Change of Institution process is initiated by the Signing Official (SO) for the original grantee institution that has agreed to relinquish responsibility for an active grant. This must occur before the expiration of the approved project period.
Here are the steps to submit an electronic Relinquishing Statement (RS):
- Log in to the eRA Commons.
- On the Commons’ Status screen, click on the Change of Institution hyperlink on the left.
- To find the grant to relinquish on the Status – Change of Institution screen, complete at minimum the required fields — Institution Code and Serial Num.
- Click the Search button.
- After the grant to be relinquished is found, click on the Manage Relinquishing Statement link on the Status Result – Change of Institution screen.
- On the Manage Relinquishing Statement screen, click the Start a new RS button.
NOTE: If an RS has already been submitted, a new RS cannot be submitted unless the prior Relinquishing Statement(s) has been acknowledged by the agency.
- On the Relinquishing Statement screen, complete the RS Form as follows:
- To complete the receiving institution's information, click the Search button in the New Institution Name section to search for the receiving institution within the eRA Commons database.
- On the New Institution - Search screen, type in the receiving institution's name, IPF or DUNS number and click the Search button.
- If the receiving institution is found, click on the receiving institution's IPF Code.
- If the receiving institution is not found, type the receiving institution's name in the New Institution Name text box and click the Insert button.
- On the Relinquishing Statement screen complete the required fields: Contact Email at the Institution, Requested Termination Date (MMDDYYYY), Direct Cost $, and Indirect Cost $.
- Type ‘NONE’ in the Equipment Transferring with the Project section if there is no equipment to be transferred.
NOTE: The Institutional Profile File (IPF) Code is used to link the submitted RS to the receiving institution and to make it viewable by the SO at the receiving institution.
If the receiving institution is not registered in the eRA Commons (IPF Code is not provided), it may not receive notification and is not able to view the relinquishing statement until it is registered in the eRA Commons. The New Institution needs to register in the eRA Commons and contact the eRA Help Desk for assistance in linking the relinquishing statement to the new institution account. - To complete the receiving institution's information, click the Search button in the New Institution Name section to search for the receiving institution within the eRA Commons database.
- Perform one of the following on the Relinquishing Statement screen:
- To save the RS, click the Save button.
- To cancel the RS, click the Cancel button.
- The RS can be routed to the Principal Investigator (PI) for additional information. Look for the Change of Institution user guide that will be posted on or after April 20, 2012 at http://era.nih.gov/commons/user_guide.cfm.
- If no additional information is required, click the Submit button on the Relinquishing Statement screen to submit the Relinquishing Statement to the Agency.