Agenda for CWG Meeting, August 16, 2001

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Agenda for CWG Meeting, August 16, 2001

• Status of Commons V 1.0, 1.5, 2.0
• SNAP Reengineering Survey
• Review of CWG recommendations
• NIH Reaction to CWG recommendations
• Next Steps
• Interface Specification Survey
• Institutional Hierarchy
• Institutional Reports
• Commons User Roles and Rights
• DUNS, Single-point-of-Ownership
• Next Meeting
• Topics
• Date

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Commons Version 2.0 Implementation Schedule
2001
2002
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
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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

4
Status of Commons Developmentcont

• 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

5
Rational Unified Process? for Software Engineering
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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

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SNAP Progress Reporting Proposed Final
Recommendations
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SNAP Progress Reporting Proposed Final
Recommendations
9
SNAP Progress Reporting Proposed Final
Recommendations
10
SNAP Progress Reporting Proposed Final
Recommendations
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SNAP Progress Reporting Proposed Final
Recommendations
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SNAP Progress Reporting Proposed Final
Recommendations
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SNAP Progress Reporting Proposed Final
Recommendations
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SNAP Progress Reporting Proposed Final
Recommendations
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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

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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

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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

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Report Hierarchy
SO
SO
AO
AO
AO
PI
PI
PI
PI
PI
PI
PI
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Single Point of Ownership

• Got it LOUD and CLEAR PIs will not maintain
  their own profile (unless theres a clear and
  present danger if they donti.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 PIs of dormant profiles

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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 wont require institutional number
  for logon
• Not used for hierarchical identification
• Would not want to use DUNS 94 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

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Why do we need Organizational Hierarchy?
Accountability!

• 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

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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

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Organizational Hierarchycont.

• 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

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Defining Organizational Hierarchy
Generic Institution NIH Data Type
Institution Hospital, Institution, Medical Center, Others IPF -gt Entity ID s Standardized
School School, College, Center, Others ORG Component Code, Organization Type Standardized
Division Unit, Division, Branch, Others Major Subdivision Open Text, i.e. non-standard
Department Department, Unit, Center Dept., Service, Lab or equivalent Open Text, i.e. non-standard
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Institutional Approvals User Roles and Rights

• 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 -gt AO -gt SO

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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.
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Create NIH Commons Account
Name
Title
Org. Component
S.O.
A.O.
A.A.
P.I.
Why have roles?to maintain organizational
partitions i.e. not permit dept. of chemistry
A.O. from affected dept of pharmacology accounts.
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Create NIH Commons Account
Name
Title
Org. Component
Ken Forstmeier
Vice President
School of Biol. Sci.
?
S.O.
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.
?
A.O.
?
?
A.A.
?
?
P.I.
?
?
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Create NIH Commons Account
Name
Title
Org. Component
Ellen Beck
Administrative Asst.
Dept. of Physiology
S.O.
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.
?
A.O.
?
A.A.
P.I.
?
?
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Create NIH Commons Account
Name
Title
Org. Component
Nancy Wray
Chief Administrator
OSR
?
S.O.
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.
?
A.O.
?
?
A.A.
P.I.
?
?
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Create NIH Commons Account
Name
Title
Org. Component
Steve Dowdy
Dept. Intern
OSR
S.O.
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.
A.O.
?
A.A.
P.I.
?
?
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Create NIH Commons Account
Name
Title
Org. Component
James Tracy
Professor
Dept. of Pharmacy
?
S.O.
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.
?
A.O.
?
A.A.
P.I.
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Create NIH Commons Account
Name
Title
Org. Component
James Tracy
Assistant Dean
Dept. of Pharmacy
?
S.O.
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.
?
A.O.
?
?
A.A.
P.I.
?
?
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Modify NIH Commons Account
Name
Title
Org. Component
?
Steve Dowdy
Dept. Intern
OSR
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Why have Role Types?
SO
AO
AO
AO
PI
PI
PI
PI
PI
PI
PI
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Establish Institutional Hierarchy for NIH Grants
Administration
Maryland Medical Center
Name of Grantee Organization
Hospital
Institution School Division Department
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Establish Institutional Hierarchy for NIH Grants
Administration
Maryland Medical Center
Name of Grantee Organization
Hospital College
Institution School Division Department
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Establish Institutional Hierarchy for NIH Grants
Administration
Maryland Medical Center
Name of Grantee Organization
Hospital College Division
Institution School Division Department
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Establish Institutional Hierarchy for NIH Grants
Administration
Maryland Medical Center
Name of Grantee Organization
Hospital College Division Center
Institution School Division Department