1. NIH Web Services Discovery System and B2B eXchange NSF Technology Briefing Vienna, VA January 2006 David RR Webber webberd@od.nih.gov

2. 2 Agenda Business Objectives, History, Deliverables Technology Approach Technology Detail Timelines Opportunity Summary

3. Business Objectives, History, Deliverables Overview

4. 4 NIH eRA – Competitive Grants Applications Currently handling about 2,000,000 pieces of paper annually – scanning to digital images Web front door - “Commons” system:  Number of Commons Logons: FY 2004: 565,344 FY 2005 to present: 946,330+  Registered Organization (All) = 2884, and Registered Persons - 45334 Grants applications posted electronically  eSNAP - FY 2003 = 329 FY 2004 = 2,854 Since 10/1/2004 = 5783+  The total number of FSRs processed (internal and external) = 54657

5. 5 e-CGAP : Electronic Competitive Grant Application Process Paperless grant applications and all post submission downstream processing Extending a seamless grant workflow into the external community Promote the concept of service provider Leads to need for system to system interfaces and data streams Which leads to the use of business to business electronic commerce concepts and standards HHS Award Winning effort

6. 6 Need to provide a common view The typical grant applicants’ challenge Juggling all the various different formats and procedures

7. 7 Existing CGAP Transactions in place Submission of modular grants Submission of full budget grants (no sub- projects or consortia) Validation result returned to Submitter system Validation service before submission Grant image generation by NIH View and approve generated image for sign-off of submission (web GUI) Investigator Personal profile query and update Status inquiries in grant workflow processing Notification of peer review assignment

8. 8 Grants.gov Interfacing Schedule

9. 9 Sample - Hourly Diagnostics Reporting Time Related Reporting:  Submissions processed within the last 24 hours: 102  Grant images created within the last 24 hours: 25 SBIR/STTR totals:  Total SBIR/STTR submissions processed: 7932  Total SBIR/STTR grant images created: 1849  Total unique SBIR/STTR applications with outstanding validation errors: 517 Grand totals to date:  Total submissions processed: 8560  Total grant images created: 2011  Total applications awaiting verification: 61  Total applications verified: 1924  Total applications rejected: 26  Total applications processed through Receipt and Referral: 1810  Total unique applications with outstanding validation errors: 576

10. 10 Beyond Grants Applications The ability to interface quickly and easily to external parties with limited resources is not just a grants applications need Secure reliable verifiable common communications infrastructure based on open public specifications Other potential applicable areas:  HHS - Cancer Research Centers  CDC – Emergency Alerting systems  NSF – National Science Foundation grants  Navy – Medical Services coordination  FEMA – Emergency supply chain delivery  DHS – Intra-agency information sharing  EPA – External regulatory reporting

11. Technology Approach Overview of Architecture and Components

12. 12 Leveraging Open Standards Combining best-of-breed solution with both ebXML and Web services working together Open source solution components to allow unrestricted integration by partners Foundation of ebXML formal interchange model Leveraging loose coupling of web services

13. 13 Registry Exchange Functional Components Network Content Transport Security Manage Business Systems Workflow Payload Handling

14. 14 Registry Exchange Operational Details Network Content Transport Security Manage Business Systems Workflow Payload Handling Content Versions MoUs Business Rules Certificates Identity Role + Context Profiles Industry Semantics Partners EventsActions Errors Scripts Staged Synch Asynch Fire Wall Virus Check Receive Send Dispatch Errors Validation Business Rules

15. 15 Grants Implementation Overview Government Partners Partner Management Web forms Partner Management Web forms CPA instances CPA instances Local Applicant Company Applicant Authority Proxy Submission Service Provider 22 11 33 Central ebXML Registry Central ebXML Registry CPA instances CPA instances System Administrators Manage Partner Interactions 44 XML Structure Rules XML Structure Rules CPA check CPA check data validation data validation 55 Partner transaction authentication Oracle database Oracle database (Persistent Storage) Transport ebMS server Transport ebMS server Messages

16. 16 Service Provider view - single process Grant Administration Clinical Trial System AE reporting Grant application Authoring Internal Approvals & Workflows Protocol Authoring Personal Profile and Pub management Single User Interface or Site Institution - Service Provider REGISTRY ebXML HL7 ebXML HL7

17. 17 Example: eRA and Grants.gov (Competitive Grants) Grants.gov Intake & Processing eRA eXchange Services Business Validation DB Load Image generation Validation Results Notification eRA COMMONS Interface Status Validation results Image Verification Sign-Off ERAERA ApplicantGrants.gov eRA COMMONS eRA Exchange eRA eXchange Services & eRA Pure Edge Forms eRA eXchange Intake eRA eXchange XML validation 11 22 44 55 66 33 download email Web forms interface ebXML OPEN / PLUGGABLE MONO CLOSED SYSTEM

18. Technology Detail Components, Specifications and Implementation

19. 19 Information Exchange Integration requirements Outward facing messaging systems Formal agreement profiles for business participants Business process workflow definitions Information exchange rules Registry to hold agreements, definitions, scripts… Internal integration routing and dispatch methods User interfacing for entry and control

20. 20 B2B Exchange Design Goals Automated registration of participants Ability to self-certify exchange transactions Version control and ability to approve partners Centralized registry for participant management Declared and shared business rule scripting Integration through messaging services Backend application integration services Uses open public specifications and open source

21. 21 MoU Nouns HL7/XML Data Services Internal Applications Architecture Needs Overview SQL DB Message Transfer Authentication, Validation, Routing Registry of Rules and Agreements Persistence Queue Network Infrastructure XML Dispatch Handler Queue Monitor Integration Management Partner Management Certs Certification Service Roles Security Service Web service delivery ebXML delivery Staged delivery HL7 support

22. 22 Exchange Concurrent Processing Architecture External Sender A Staged Delivery Agent Download Queue Receipt Agent(s) Received Queue Payload Staging Area From: / To: filtering Dispatch Agent Dispatch Services Process Queuing Delivery Services Publish Subscribe Application 2 3 4 Payload Requests Responses 5 6 7 External Sender B Notify 1 Request / Response 1 Send Partner Security Services Partner Security Services Load Balancing 4 (Pluggable exchanges controlled using Hermes messaging server – using: WSDL, ebMS, AS/2, HL7)

23. 23 Example Messaging Hub and B2B components Researchers Fellows Trainees Clinicians Research Administrators Applicants Grant Administration Clinical Trial System AE reporting Grant application Authoring Internal Approvals & Workflows Protocol Authoring Personal Profile and Pub management Grant Management Internal Workflow Application Receipt and Review Population Tracking eRA Personal Profile NLM Pub system IRB Approvals, Pop Tracking Single User Interface or Site eRA IC OpDiv Institution - Service Provider AE reporting NIH REGISTRY Partner Information Exchg Agreements Transactions Def Bus process info Authorizations AUDITS Tracking Security Mgmt statistics Activity reports NIH Single Sign On eXchange ebXML services ebXML services Message Processors

24. 24 Technical discussion of the eXchange Exchange context Exchange components  4 major components eRA eXchange eRA eXchange Client eRA eXchange Services eRA Registry ebXML Web services

25. 25 Example: Grants.gov interfacing Era Exchange Exchange Client Exchange services Grants.Gov 1.Get application list 3. Get application 9. confirmation 2. Send pre-notification 5. Request payload 6. Payload delivery 7. Delivery Status 8. Processing status 4. Send notification OC4J Web services ebXML Staged Delivery

26. 26 Other NIH Internal Systems eRA Systems Exchange Services eRA eXchange eRA SAN eRA eXchange Overview Today Trading Partner System Grants.gov API eRA- HERMES Partner System Interface eCGAP Format HERMES ebMS WSDL Grants.gov WSDL Transaction Handlers Staged Delivery Authorization registry Virus Checking Management Audits Reporting Validation Service Routing ebMS Server eRA Bus Data AuditsRegistration ebMS Client Package HandlersCommon Services API Message Processors HERMES ebMS Business Applications E- Notification APINLM HERMES ebMS NCRR NCI ?

27. 27 eRA Exchange – Components Multiple message handlers  Hermes is used to provide messaging services  Grants.gov toolkit – web services for intake  Current CGAP intake, WSDL web services eXchange Common Services  Validation, virus checking, routing  Authorization  Audits Leveraging open source solutions

28. 28 eRA eXchange “client” (local server) Based on HERMES  Full service ebMS message handler  Open source, fully distributable eRA enhancements  Simplified API to send and receive messages  Configured to connect to eRA Exchange Registry interface eXchange interface  2 Step message intake for large payloads  Queues to buffer messages and protect business systems

29. 29 eXchange Business Services Integration with the eRA eXchange client Message payload processors Interface with eRA database and business systems Pluggable XML-driven data persistence PDF document handling and generation next – XML-driven versioning and validation next – Rules engine integration (DROOLS)

30. 30 Rule Driven Transaction Handling Delivery XML content XSD schema Structure validation 2 1 Dynamic Structure rules Structure sub-components with includes allows re-use Transaction Delivery Handling Match Transaction Type to Rule-base through enveloping Business Rules Rule Driven Error Reporting Error Logging Result logging Email notifications XML-based error outputting 3 4 Persist Rules for SQL SQL tables Application Triggers 6 7 SQL commands Oracle API 5 8

31. 31 Rule Components Structure validation 2 Dynamic Structure rules Transaction Delivery Match Transaction Type to Rule-base through enveloping Business Rules Rule Driven Error Reporting Error Logging Result logging Email notifications XML-based error outputting 3 4 Persist Rules for SQL SQL commands 5 Config CAM DROOLS XSLT X-DB Single Controlling Integrated XML Script Structure Rules Table Updates Error Output Transparency CPA pairs 1 2 3 4 5 Open Public Specification + Open Source

32. 32 Linkage Between Messaging and CPA Messaging envelope contains:  Sender name  Service / Action names  Sender CPA id value  Receiver CPA id value  Optional certificate CPA validation contains:  CPA id lookup to registry  Verifies sender  Verifies valid Service / Action pairs for this partner  Coupling from Service / Action to transaction validation  Coupling from Service / Action to backend delivery  Verify certificate

33. 33 Role of the Registry for eRA Trading partner management  Registration of trading partners with NIH Authorization to do e-business with NIH Authentication integrated with COMMONS  Simplified management of CPAs  Self service management of SP capabilities & certifications Metadata management  All XML schemas for transactions  All trading partner capabilities (including all of NIH services)  Definition of data elements in each transaction  Instructions, documentation, and other Version management of objects in registry

34. Timelines Schedule of Deliverables

35. 35 Automated provisioning eXchange Project Planning APRMAYOCTNOVDECJANFEBMAR Grants.gov interfacing WSDL + Hermes client Self- Installer + Certification Rules Engine Business Semantics + Versioning Registry Integration Metadata + Partner Profiles Self-test 2005 2006 2000 Grant Apps

36. Opportunity Summary Lessons learned; Technology Metrics

37. 37 Lessons Learned Providing self-service facilities is key to rapid adoption Infrastructure exists today off-the-shelf to create pre-built templates for industry domains Using open specifications allows integration into wide range of environments Open source solutions allows partners to readily obtain technology Use of CPA id to manage partners and versioning

38. 38 Technology Metrics Create infrastructure that can support large communities via registry-managed control mechanisms  Provide simple integration for external partners by providing open source solutions as base-line  Supports commercial tools that implement ebMS V2.0+ and web services  Built-in methods that allow centralized control over rules, versions, and delivery routing  Reasonable security without being overly inhibiting to adoption  Complete integrated audit trail logging Using existing specifications and toolsets  Proven technology with wide adoption and reference deployments

39. 39 Opportunities Provide infrastructure for application across a broad cross section of related agency and departmental areas:  HHS - Cancer Research Centers  CDC – Emergency Alerting systems  Navy – Medical Services coordination  FEMA – Emergency supply chain delivery  DHS – Intra-agency information sharing  EPA – External regulatory reporting  NSF – National Science Foundation Grants

40. Q & A Discussion AC-Technologies For more information Visit our Website: http://www.ac-tech.com

41. 41 Project Resources NIH eRA Project site – http://era.nih.govhttp://era.nih.gov NIH Grants site - http://era.nih.gov/ElectronicReceipt/ http://era.nih.gov/ElectronicReceipt/ Commons online site – https://commons.era.nih.gov/commons/ https://commons.era.nih.gov/commons/ Grants.gov online site – http://www.grants.gov/GetStarted http://www.grants.gov/GetStarted

42. 42 Software Components Open Source components  ‘Hermes’ freebXML ebXML messaging server  ‘OMAR’ freebXML Registry system  jCAM content assembly mechanism and validation component with versioning capability Oracle database server Tomcat Server Technology Specifications (ISO15000)  - http://ebxml.org  - http://oasis-open.org  - http://ebxmlbook.com/interop/

43. 43 Technology Resources www.freebXML.org www.ebxml.org www.oasis-open.org www.ebxmlbook.com/interop www.ebxmlbook.com/benefits www.ebxmlforum.org