Agenda for CWG Meeting, August 16, Status of Commons V 1.0, 1.5, SNAP Reengineering Survey  Review of CWG recommendations  NIH Reaction to CWG recommendations  Next Steps 3.Interface Specification Survey  Institutional Hierarchy  Institutional Reports  Commons User Roles and Rights  DUNS, Single-point-of-Ownership 4.Next Meeting  Topics  Date

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 Profiles X-Train 2.0 Status Admin Module Phase 2 Phase 3 Competing Application (R01) SNAP Progress Report * * Includes business process reengineering and design Legend: Analysis*DevelopmentDeployment StartContinuing BPR only X-Train Version 1.5 Version 2.0 Version 2.0

Status of Commons Development V 1.0 Status Summary Statement fixes – done Move to pdf – Nov. NIH Staff Contact information fixes – in dev. V 1.5 X-Train Pilot deployment in September V 2.0 – Start development after deployment of V 1.5

V 2.0 J2EE Platform Review of inception phase – done CDR Scheduled for August 20 Architecture document – handout Database design document Data Dictionary Promotion Plan GUI Screen Standards V 2.0 Interfaces: Admin/Registration, Accounts/Profiles RUP Development Process - underway Business Use Cases for each interface - done Activity Diagram example – handout Technical Use Cases for each interface – done Implementation (development) - underway GUI Screens – September/October Status of Commons Development…cont

Rational Unified Process  for Software Engineering

SNAP Survey Responses May CWG meeting – development of consensus for possible SNAP business process changes for consideration by NIH Current survey to confirm recommendations in light of further discussion with institutional staff/NIH staff Finalize recommendations for implementation Introduce any changes into paper SNAP Incorporate changes as part of E-SNAP V 2.0 development Pilot late 2002

SNAP Progress Reporting: Proposed Final Recommendations

Interface Specifications Survey Responses May CWG meeting – Introduction of various Commons user issues for consideration Organizational Hierarchy Institutional Reporting Requirements Institutional Approvals: Commons User Roles and Rights Single Point of Ownership DUNS Numbers as Unique Identifiers Distribution of survey to determine requirements/preferences Identify additional areas for focus

Institutional Reporting Requirements Requirements provided for 4 categories of “PI” report Pre-award Reports Application receipt Assignment Review & Council Budget Post-award Reports Deadlines for renewal NGA Funds remaining Level of effort NIH Staff-related Information Names and contact information Commons Administration Reports Status of works-in-progress Lists of delegations Other Reports and Notifications Changes in award status, constraints, deadlines

Institutional Reporting Requirements …cont. Requirements provided for 4 categories of “AO” and “SO” reports AO Reports Similar categories as for PI Honors confidentiality of summary statement and score Provide reports for all applications/awards in account hierarchy Lists sortable by grant #, name, grant type, award date, etc. Statistics: total award amount for institutional component, relative rankings(?) SO Reports Similar categories as for PI Honors confidentiality of summary statement and score Provide reports for all institutional applications/awards Lists sortable by grant #, name, grant type, award date, etc. Possibility of award history reports Statistics: total numbers of awards, total amounts, averages, relative rankings

SO AO PI AO Report Hierarchy SO

Single Point of Ownership Got it LOUD and CLEAR: PI’s will not maintain their own profile (unless there’s a clear and present danger if they don’t…i.e. link to award) Need to offer delegation of this task (chore?) Commons profile system must allow for interaction with third party software (e.g. COS) Integrate NIH Commons profile with Federal Commons to increase value of information Possibly remind PI’s of “dormant” profiles

DUNS Numbers as Unique Identifier DUNS is a relatively good choice for universal identifier Will require establishment of institutional DUNS Single DUNS for submission to NIH Limitations due to familiarity and potential for modification by P.I. New Commons won’t require institutional number for logon Not used for hierarchical identification Would not want to use DUNS 9+4 for this purpose Excessive administrative burden How to determine organizational hierarchy for sorting purposes? Part of Role/rights specification?? i.e. include title of choice and organizational component

Why do we need Organizational Hierarchy? Institutional Considerations Approval of binding decisions Control of budget/management, etc. Audit/report to sponsors and institutional leaders NIH Considerations Grantee compliance with policy and practice Reporting to congress on outcomes/benefits; numbers of awards to types and components within organizations Accountability!

Organizational Hierarchy Four basic organizational levels Department Division Unit/School/College/Institute Institution/Hospital Any category can be duplicated within levels Category typically serves common role across institution Final approval usually delegated to one level For purposes of defining IPF, all levels should be available for specification Changes in the hierarchy People change frequently Roles are relatively stable, cut can change especially at the department level

Organizational Hierarchy…cont. Roles and rights in current Commons are not hierarchical Some indicate they need to be Some are satisfied with current system Commons needs to have flexibility in making awards to university-related foundations Foundation hierarchy not important

Defining Organizational Hierarchy GenericInstitutionNIHData Type Institution Hospital, Institution, Medical Center, Others IPF -> Entity ID #’sStandardized School School, College, Center, Others ORG Component Code, Organization Type Standardized Division Unit, Division, Branch, Others Major SubdivisionOpen Text, i.e. non-standard Department Department, Unit, CenterDept., Service, Lab or equivalent Open Text, i.e. non-standard

Institutional Approvals – User Roles and Rights Platinum: Platinum: Make routing generic and programmable for each department/school for each institution, since no two institutional components are the same Gold: Modify existing NIH Commons approach to add: Delegation Authority for all role types WIP to be created by any role type Examine approach to provide additional customization of rights within any role type: “rights menu” Silver: Current NIH Commons approach is adequate Open routing for comments/input Vertical approval hierarchy: PI -> AO -> SO

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

Create NIH Commons Account S.O. A.O. A.A. P.I. NameTitleOrg. Component Why have roles?…to maintain organizational partitions i.e. not permit dept. of chemistry A.O. from affected dept of pharmacology accounts.

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. Ken ForstmeierVice PresidentSchool of Biol. Sci. NameTitleOrg. Component Create NIH Commons Account

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. Ellen BeckAdministrative Asst.Dept. of Physiology NameTitleOrg. Component Create NIH Commons Account

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. Nancy WrayChief AdministratorOSR NameTitleOrg. Component Create NIH Commons Account

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. Steve DowdyDept. InternOSR NameTitleOrg. Component Create NIH Commons Account

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. James TracyProfessorDept. of Pharmacy NameTitleOrg. Component Create NIH Commons Account

S.O. A.O. A.A. P.I. Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. James TracyAssistant DeanDept. of Pharmacy NameTitleOrg. Component Create NIH Commons Account

Modify NIH Commons Account Create proposal Edit science Edit admin. Info. Internal approval Submit appl. to NIH Modify IPF Create/modify S.O. & A.O. accts Create/modify P.I. Accts. Ken ForstmeierVice PresidentSchool of Biol. Sci. NameTitleOrg. Component Ellen BeckAdministrative Asst.Dept. of PhysiologyNancy WrayChief AdministratorOSR Steve DowdyDept. InternOSR James TracyProfessorDept. of Pharmacy  James TracyAssistant DeanDept. of Pharmacy

SO AO PI AO Why have Role Types?

Establish Institutional Hierarchy… for NIH Grants Administration Institution School Division Department Hospital Name of Grantee Organization Maryland Medical Center

Institution School Division Department Hospital College Name of Grantee Organization Maryland Medical Center Establish Institutional Hierarchy… for NIH Grants Administration

Institution School Division Department Hospital College Division Name of Grantee Organization Maryland Medical Center Establish Institutional Hierarchy… for NIH Grants Administration

Institution School Division Department Hospital College Division Center Name of Grantee Organization Maryland Medical Center Establish Institutional Hierarchy… for NIH Grants Administration