Agenda for CWG Meeting, May 16, 2001 Morning Session

1. Agenda for CWG Meeting, May 16, 2001Morning Session • CWG Responses to Existing Commons Interface Specifications Survey Tool • Commons V 2.0 Architecture • J2EE Concept and Benefits • Projected timeline for design and development • Planned Deployment of X-Train v1.5 • Anticipation of Future Requirements • Institutional Registration : DUNS • Profiles: Single point of ownership • Providing Customized Views of Application/Award Status Information

2. CWG Responses to Existing Commons Interface Specifications Survey Tool • General Comments • Specific Issues • Screen layout • Text and Page flow • Screen Functionality • Navigation • Help Features • Other Functionality Needed

3. General Comments • No surprizes – many comments supportive of the current functionality • Dated appearance • Too large icons, not intuitive • Too much wasted space • Dated navigation and flow • Too many menus; too many links • Help screens • Text, context, FAQ’s need improvement

4. Specific Issues • Screen Layout • Smaller icons and graphics: reduce wasted space • Maintain contact with user in header: e.g display user name and role • Icons consistent in size and purpose • Icons more descriptive of action • Better alignment of rows and column when applicable

5. Specific Issues…2 • Text and Page Flow • Recommended changes in wording • Improve descriptions • Change wording to be more declarative • Consolidate activities that relate to single user • Administrative modifications • Profile-related information • Consolidate sub-screens with links into single screen • Administration • IPF-related information • PPF-relate information

6. Specific Issues…3 • Screen Functionality • Need to incorporate better search capabilities • For user administration • For application/award status • Clarify functions associated with specific links/icons • Clarify file upload features • Provide confirmation screens/pop-ups • Confirm adherence to 194 standard • Confirm purpose and use of information types • Address types • Human and Animal Assurance numbers • Improve citation functionality • Clarify “do not save” vs. “reset” actions

7. Specific Issues…4 • Navigation • Improve navigation icons • Inter-module navigation • Provide better navigation “bar” • When necessary provide link to next screen in series • Intra-module navigation • Always provide navigation to previous screen in module • Minimize need to go back to main menu • Make navigation to help obvious (same location on every page)

8. Specific Issues…5 • Help features • Provide better context-sensitive contact information • NIH IC staff • Help desk “live” staff • Use pop-up help to keep user on same screen • Provide context-sensitive link to FAQ’s as part of context-sensitive help • Improve help text and be sure context is correct • Provide examples of acceptable field content format • Consistent appearance of help on every screen

9. Specific Issues…6 • Other needed features/functionality • Redesign/define institutional hierarchy options • Allow for definition of institution at “school” level • Allow for definition (add/delete) at department level • Provide more complete user administration reports • Number of accounts by type, when created, when modified • Session time, modules visited, last logon, when profile changes and how, password administration • number of proposals submitted, upcoming application deadlines • Comment field • Revisit user types, roles, permissions, approvals • Password for associates to access/assist

10. Specific Issues…7 • Other needed features/functionality…cont. • Improve creation of new user accounts • Need better performance of unique person algorithm • User-driven selection of correct person • Consider having PPF as “path” driven • Separate information by role: P.I.-related info, consultant-related info, administrative official info,

11. NIH Commons Version 2.0

12. Current Architecture (Commons Version 1.0) • Primarily 2-Tier Client Server Web - External Client Layer HTML, CGI-Perl, Steel Blue on WEBSERVER (Presentation + Biz Logic) SQL Database Server (Oracle DBMS),Stored Procedures (Biz Logic+Data Access) Commons Data

13. Considerations • Cost-effective adaptation to business process changes • Time-to-market • Readily incorporate new technologies • Protect IT Investment • Integration with Federal Commons, others • Scalable

14. Presentation Layer (Client) Business Services Layer (Biz Logic) … Biz Service n Biz Service 1 Biz Service 1 Recommended N-tier Architecture External Systems Clients Services Data Services Layer Database X Database Y Flat Files

15. What is J2EE? • Specification • Multi-tiered Distributed Application Model • Provides the Containers for Components • Component-based approach to the design and development of enterprise apps

16. Recommended J2EE N-Tier Architecture Presentation Layer Web Container JSP Engine Java Servlet Engine Browser – html Business Services Layer Application Server (EJB Container) IIOP Session Bean External Systems Entity Bean Entity Bean Data Services Layer Object-To-Relational Mapping Tool Access Engine (JDBC,ODBC) E-mail Flat Files Oracle

17. Why J2EE?? • Open Standard • Reusable Components • Portable • Leverage COTS versus development • Protect IT Asset Investment

18. Organizational Structure Technical Management • DEIS.NIH • eRA Mgmt Team • Z-TECH • George Stone • Logicon • Advocates • Silicon Spirit

19. First Step – Define Technical Charter • Build Commons Infrastructure • System Services (Auditing, archiving, etc) • Account Administration • Profiles • Develop Xtrain Version 2.0 • Evaluate Results  Expand the Charter

20. Status - Completed • Planning Phase • Documentation • eRA Technology Overview • eRA Platform and Tools Recommendations • eRA Project Management Plan • Development Methodology (RUP, UML, etc.) • Business Analysis • Preliminary Tools Selection

21. Status - Next Steps • Requirements Analysis • Revisit Business Analysis • Architecture Phase • Development

22. 2001 2002 Commons Version 2.0 Implementation Schedule Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Commons Version 2 Phase 1 Infrastructure Phase 2 X-Train 2.0 Admin Module Profiles Status Phase 3 BPR only SNAP Progress Report BPR only Competing Application (R01) Legend: Analysis* Development Deployment Start Continuing * Includes business process reengineering and design

23. Electronic Trainee Activities System (X-Train) • Secure Interactive Web Site for statement of appointment, reappointment and termination notice of extramural trainees • Program Director or Trainee to prepare appointment information • Program Director to approve/edit appointment information • Program Director to review and submit termination notice • Integration/Replication of Information into IMPAC II • NIH Staff to approve appointment with notification to Program Director

24. X-Train Version 1.5 • First pilot deployment of X-Train • Similar functionality as Version 1.0 • Appointment, reappointment, termination • Professional Profile information captured within the interface • Uses Commons Version 1 technology • X-Train Version 1.5 will serve as discovery vehicle for X-Train Version 2.0 requirements

25. 2001 2002 Commons Version 2.0 Implementation Schedule Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Commons Version 2 Phase 1 Infrastructure Phase 2 X-Train 2.0 Admin Module Profiles Status Phase 3 BPR only SNAP Progress Report BPR only Competing Application (R01) X-Train Version 1.5 Version 2.0 Legend: Analysis* Development Deployment Start Continuing * Includes business process reengineering and design

26. IPF Number • Basic Identifier for Grantee Institution • IPF# is absolutely fixed for grant award • No IPF# = No Award • 7 digits (8 available) • Fixed relationship between IPF# and EIN# • One to many (There may be several EIN’s for a single IPF)

27. IPF Limitations • Not Universal – unique only to NIH • Limited number of combinations • Will need to retool for 8 digits within the coming year • Not easy to adjust to new institutional hierarchies • e.g. institutional relationships with foundations, sub-campus hierarchies

28. DUNS Numbers • Dunn & Bradstreet – • Leading provider of business information for credit, marketing, purchasing, and receivables management decisions worldwide. • 9 digit number (+ 4 optional) • 9 digits verified, 4 digits at institutional discretion • e.g. university campus = first 9, additional 4 = school/dept etc. • Obtained free • Via Web • Confirmed by D&B staff • Verifiable on-line…anytime

29. DUNS Benefits • Universal number adopted by 62 million businesses worldwide • DUNS provides links to describe organizational hierarchies • Used as identifier by U.S. Govt. Contracting • Required for Central Contractor Registry • Promoted by Federal Commons for grantee unique identifier

30.   Normal Processing Manual Verification Current IPF Implementation Grantee Organization IMPAC II Paper ApplicationElectronic Application Assignment of IPF by DEIS staff to correspond with one or more EIN#’s Entry of EIN to IPF specification in IMPAC II CSR R & R Interface compare EIN on form with IMPAC II Include EIN# on Form 398

31.  Normal Processing   Normal Processing Manual Verification Proposed Implementation of DUNS Grantee Organization NIH Commons IMPAC II Paper ApplicationElectronic Application Assignment of DUNS number(s) by D & B Commons Registration • . Verification of DUNS by IMPAC II Staff • . Inclusion of DUNS in IMPAC II institutional profile Creation/ modification of Commons IPF to include DUNS numbers CSR R & R Interface compare DUNS on form with IMPAC II Include DUNS on Form 398 Log onto Commons with DUNS Access to Restricted Commons Interfaces – eventual submission of electronic applications

32. DUNS Implementation Questions • Necessary modifications to IMPAC II database and related interfaces? • Necessary modifications to Commons database and related user interfaces? • Outreach: institutional awareness and receipt of DUNS numbers? • Deployment of Commons to support extended use of DUNS? • Must allow for transitional use of IPF and DUNS • Must allow for transitional use of DUNS on 398 and DUNS via electronic applications

33. Single Point of Ownership for PPF-Related Information Premise PPF-related information; name, address, expertise, employment record, educational experience, publications, funding record, can be likened to similar information found in a curriculum vitae. In this respect it must be treated as personal property. Without the expressed permission of the owner of the information, others should not modify such elements of a personal electronic record any more than they would modify a paper-based c.v. record.

34. Benefits of Single Point of PPF Ownership • Data Accuracy – Owner has most accurate assessment of information. Allowing any second party to change the information potentially affects accuracy • Data Timeliness – The owner is the first to know of any bone fide changes in the information, e.g. change in name or address. They can have the most timely effect to maintain an accurate record

35. Single Point of Ownership Benefits…cont. • Removal of Multiple Profiles – Multiple profile records can be resolved (once and for all) with singly-owned profiles. This will save significant resources currently being spent to resolve and remove duplicate profiles. • Streamlining of Commons/IMPAC II Replication – Replication design for “Race” conditions can be streamlined with singly-owned profiles. This also translates into lower operations and maintenance costs.

36. Single Point of Ownership Benefits…cont. • Simplified Interagency Information Exchange – Federal Commons-related information exchange will be more reliable with uniform singly-owned profiles.

37. Single Point of Ownership – NIH IC Staff Requirement • NIH IC staff rely on preferred version of personal information.

38. Suggested Design to Accommodate Single Point of Ownership • Observe single point of ownership • Profile creation yields unique IMPAC II person profile I.D. • I.D. is immutable • I.D. always points to same profile • Can only be modified by profile owner • Allow for NIH staff to create versions • Alternate version of any profile created by NIH staff • Version always bounded by singly-owned profile through IMPAC II person profile I.D. • i.e., NIH view can change, but profile is constant

39. NIH Commons User Types - Permissions ERA Function/User Type S.O. A.O. A.A. P.I. Create S.O. & A.O. Accts. X X Create additional A.O. Accts. X X X Create P.I. Accts. X X X Review Sci. and Admin. Info. X X X X Update Sci. and Admin. Info. X X X Review Institutional Profile X X X X Update Institutional Profile X Review Professional Profile X X X X Update Professional Profile X X X X Submit Appl. To NIH X * Ability for SRO staff to prepare and/or edit scientific information is an option determined by individual grantee organizations.