**[Minutes]{.underline}**![](media/image1.gif){width="0.9701388888888889in"
height="0.5625in"}

# 

# NIH Commons Working Group (CWG) Meeting

Date/Time: May 19, 2002, 1:00 p.m.--5:00 p.m.

Location: State Plaza Hotel, Washington, D.C.

**[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

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## Attendance

***CWG Members***

Lynette Arias -- OHSU

Ellen Beck -- UCLA

Steve Dowdy -- MIT

Jane Fant, UMDNJ

Ken Forstmeier -- Penn State

Jill Keezer -- Cal Poly, SLO

Graydon Kirk -- Emory

Tolliver McKinney -- St. Jude Children's Hospital

Jim Randolph -- Univ. of Michigan

Sandi Robins -- Univ. of Wisconsin

Mark Sweet -- Univ. of Wisconsin

Pamela Webb -- Northwestern

Tom Wilson -- BCM

Nancy Wray \-- Dartmouth

***Others Institutional Representatives***

Bob Beattie -- Univ. of Michigan

Don Denson \-- Emory

Phil Martin -- Dartmouth

Tammy Custer Ordway -- Cornell

M. Robbie Lee -- Medical Univ. of South Carolina

Melody Page -- UTMD, Anderson Cancer Center

Richard Valenzuela - UCLA

***Vendors***

Archita Bhatt -- InfoEd International

Chris Harker -- Cayuse Software

Joe Perpich -- JPerpich, LLC

***NIH Staff***

Jim Cain -- NIH/OER

Marcia Hahn -- NIH/OPERA

Rich McKay -- NIH/CSR

Richard Panniers -- NIH/CSR

Mike Sesma -- NIH/NIGMS

Brent Stanfield -- NIH/CSR

George Stone -- NIH/OPERA

Jerry Stuck -- NIH/eRA

Tim Twomey -- NIH/eRA

***NIH Contractors***

Phil Gammill -- QRC Macro

Madeline Monheit -- LTS

## Action Items

The following are a summary list of action items identified as part of
the meeting, along with an indication of who will attend to each item.

(NIH) If allowable, provide CWG with URL to roster of SEP that will
review SBIR RFA.

(NIH) Determine if any accounts with multiple affiliations are being
migrated to Commons V.2.

(NIH) Provide CWG with softcopy of Marcia Hahn's e-SNAP/e-Notification
presentation.

(NIH) Check into human subjects training requirement that some ICs are
requiring for certification.

(NIH) Determine how NIH uses the performance site (form p. 2) and if
this means the place where the research is conducted.

(CWG) Check [list of NIH action
items](http://era.nih.gov/Docs/NIH_Action_Items.doc) for completeness.

## Greeting and Introductions

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The CWG meeting was held immediately preceding the Federal Demonstration
Partnership meetings on May 20--21. George Stone thanked CWG members for
attending and for their dedicated participation since the group began
convening in January 2001. The major purpose of the meeting was to come
to closure on the group's work over the last four meetings,
specifically, preparing for Commons V 2.0, planning for e-SNAP, and
reengineering the competitive application.

On May 2, George directed members to [revised
minutes](http://era.nih.gov/Docs/CWG_Minutes_1-6-02_final_updated1.doc)
for the previous meeting on January 6. Progress has been added for
several NIH action items. Graydon Kirk requested that minutes be
disseminated in a timelier manner. Visit the eRA website at
<http://era.nih.gov/> for CWG minutes and information about the project.
Please note that this site is still under development. Technical
documentation (which should be viewed with MS Internet Explorer) is
posted at <http://commons2.oer.od.nih.gov/>.

George next distributed copies of his
[presentation](http://era.nih.gov/Docs/CWG_05-19-02.ppt) and reviewed
the Commons Version 2.0 implementation schedule (see Gantt chart on
slide 4). Phase 2, which includes new Administration,
Profile/Registration and Status modules and X-Train 1.5, will be
deployed to CWG members in mid-July and to all grantees in mid-to-late
August. At a recent meeting, the eRA team and key developers identified
15 outstanding Phase 2 issues; none appears to be a show-stopper.
Regarding Phase 3, e-SNAP and the FSR module are planned for the last
quarter of CY2002, and X-Train 2.0 for first quarter FY2003. We expect
to complete the business process reengineering (BPR) for CGAP this fall
and to accept XML datastream submissions in the end of CY2003.

## Software Status Reports

-   **Commons Version** **1.0**

In fulfillment of its commitment, eRA will provide summary statements in
PDF and NIH staff contact information. Both of these features are in
final testing.

-   **X-Train 1.5**

Seventeen grantee organizations currently are using X-Train V 1.5; 57
trainee appointments have been processed since October 2001. The
software now accommodates new race/ethnicity requirements, and field of
training (FOT) support will be added by the end of the month. Version
1.5 still lacks a delegation feature. Commons V 2.0 will incorporate a
new LDAP security model for authentication. The dilemma is that if
delegation is implemented for X-Train using the old model, it will have
to be discarded when the new Commons is deployed this summer. eRA plans
to create a new "assistant" role for e-SNAP, which also may be
appropriate for X-Train. Pamela Webb expressed concern about processing
the many T32s that cycle on July 1.

The Commons will serve as the J2EE prototype, and the immediate goal is
to get it up and running. X-Train is one of the first modules slated for
conversion to J2EE, and Version 2.0 will integrate fully with the new
Commons. eRA recently decided to accelerate the conversion of all IMPAC
II modules to J2EE.

-   **Commons Version 2.0**

*GUI Standards*---George reviewed the sequence of events in the
migration from Oracle forms to a Web interface. A Human Factors Analyst
(HuFA) created the preliminary design. Next, the CWG provided input via
a survey, and the developer drafted a standards document, which was
subsequently reviewed by eRA's new architecture group. The Critical
Design Review (CDR) is scheduled for tomorrow, and the standards
document should be published by the end of June.

*Commons Screens*---Jerry Stuck displayed the updated draft screens,
which reflect preferences expressed in the CWG survey. Developers now
are working on content, i.e., writing 260 understandable error messages,
FAQs and help text.

-   *General Improvements*

> Simplified color scheme; removed maroon and gold
>
> Streamlined footer
>
> Added screen ID to footer
>
> Eliminated mouse-over descriptions
>
> Made links to help more noticeable
>
> Standardized nomenclature
>
> Replaced cascading menus with layered menus (cascading menus not 508
> compliant)

-   *Home Page*

> Eliminated animation in eRA logo
>
> Removed list of external sites (now accessible from Links tab)
>
> Enabled login from the home page with ability to choose role (if
> applicable); working on support for choosing from multiple
> affiliations
>
> Included password reset feature
>
> Included system notification box to the right of the logo (after
> login)
>
> Included user name, role and institution in header (after login)
>
> Enabled change of role without logging all the way out
>
> Will expire "What's New" items as appropriate

-   *Registration Screens*

> Aligned data fields on the right
>
> Incorporated pop-up search and context-sensitive help

-   *Administration Screens*

> Incorporated pop-up search and context-sensitive help
>
> Enabled ascending/descending sort of search results list
>
> Removed support for selection of multiple records (view/edit/delete)

-   *Additional CWG Suggestions*

> Add "Establishing an Account" to the list of links under "About the
> Commons."
>
> Spell out the roles (AO, AA, etc.) on the Admin screens.

*Commons V.2 Functionality*---The first release will support the
following functions:

-   *Full Institutional Registration*

> IPF number as institutional identifier
>
> New LDAP authentication model

-   *IPF Maintenance*

> Effective dates for assurances/certification
>
> Four levels of user-defined institutional hierarchy
>
> Assignment of applications to the hierarchy

-   *PPF Creation and Maintenance*

> Integration of organizational hierarchy within profile

-   *Status*

> Status and contact information, rosters
>
> Pre-populated forms for renewals

-   *Demo Facility*

-   *E-Notification of Pending Deadlines*

> For registered institutions, beginning in August 2002
>
> For investigators with validated profiles, beginning in January 2003

CWG members posed several questions. Tolliver McKinney asked about
deleting accounts from the Commons. Jerry replied that in Version 2,
administrators would "deactivate" rather than delete accounts. Steve
Dowdy inquired if a grantee with two affiliations should have one or two
profiles. The answer is one profile. There was an action item for Jerry
to determine if any accounts with multiple affiliations were being
migrated from Commons V.1 to V.2.

Pamela Webb asked the lag time between receipt of an application by CSR
and being able to see its status. She said that some applications
submitted by her institution in February still do not show up. Tim
Twomey responded that a Type 2 should appear almost immediately. George
said that a new Type 1 requiring validation should take about a week.
The new unique person algorithm must enable QRC (the data quality
contractor) to validate profiles quickly. In accordance with single
point of ownership, validated profiles are being marked as permanent and
locked.

*Commons V.2.0 Deployment Timeline*---In mid-July, Commons Version 2
will be released for internal NIH testing and staff training.
Immediately thereafter, CWG institutions will participate in a brief
pilot to confirm functionality. A five-step deployment/test procedure
will allow logon by the grantee institution's Signing Official/Accounts
Administrator to validate institutional profile (IPF) data, add
information about organizational hierarchy, verify existing accounts,
create additional accounts, and check the status of pending
applications, including the generation of pre-populated forms for
renewals. As currently scheduled, Commons registration will be open to
all grantees by mid-to-late August.

Ken Forstmeier requested a list of milestone dates. On May 23, with the
assistance of Marcia, George completed this action item by sending
members the following relatively detailed schedule. Assurances have been
received from eRA management that sufficient resources would be devoted
to the deployment effort. While NIH cannot guarantee that complex
software will be deployed on the prescribed day, we will make every
effort to meet the timelines.

+-------------+--------------------------------------------------------+
| Nov--Jul.   | Hold registration of new PIs                           |
| 22, 2002    |                                                        |
+-------------+--------------------------------------------------------+
| Jul. 1,     | Last hard copy mailing of T-5 progress report face     |
| 2002        | pages (Nov. 02 starts)                                 |
+-------------+--------------------------------------------------------+
| Mid-late    | Public website launched for T-5 progress report "due"  |
| Jul. 2002   | report (Guide Notice to be issued)                     |
+-------------+--------------------------------------------------------+
| Jul. 19,    | Software deployment scheduled---Commons V.2.0 (Admin   |
| 2002        | Module, Status, Profile Registration (IPF & PPF),      |
|             | X-TRAIN 1.5)                                           |
+-------------+--------------------------------------------------------+
| After Jul.  | *CWG members will test Registration by revalidating    |
| 22, 2002    | IPF in Commons V.2.0 including new data elements (org  |
|             | hierarchy & centralized e-mail). NIH will notify       |
|             | Listserv.*                                             |
+-------------+--------------------------------------------------------+
| Aug. 1,     | CWG test of T-5 e-mail "push" notification for those   |
| 2002        | that have re-registered                                |
|             |                                                        |
|             | CWG test of access to pre-populated face pages in      |
|             | Status                                                 |
|             |                                                        |
|             | CWG may now continue to register PIs                   |
+-------------+--------------------------------------------------------+
| Mid-late    | Open Commons registration (Guide Notice to be          |
| Aug. 2002   | issued*)*                                              |
+-------------+--------------------------------------------------------+

## Preparing for E-Notification and E-SNAP

Marcia Hahn has been educating the NIH extramural community about these
planned capabilities, which will impact both internal staff and
grantees. Her [PowerPoint
slides](http://era.nih.gov/Docs/E-Notification_E-SNAP_CWG.ppt) as well
as a
[videocast](http://era.nih.gov/eraworkshop/2002materials/era051002-esnap.ram)
of her recent presentation at the May 10 eRA Symposium are available
online.

*E-Notification for NIH Staff*---Initially, this feature will be used to
notify Program and Grants Management when e-SNAP data is received. In
the future, e-Notification will be expanded to include many different
electronic "events", such as FSRs "accepted" by OFM, release of Summary
Statements, and electronically submitted no-cost extensions. In phase 1,
notification will be sent to a central email address designated by each
IC. In phase 2, individuals will be able to select "events" for
notification. This sophisticated system eventually will be implemented
in the Commons as well, allowing for grantee organization officials the
ability to construct a portal view of relevant information.

*T-5 E-Notification for Grantees---*Starting in late July/August 2002,
NIH will transition the notification of due date information for
Non-Competing Grant Progress Reports (all mechanisms) from hard copy
mailing of preprinted PHS 2590 and PHS 416-9 face pages to electronic
notification (e-notification). The new notification system was announced
in the NIH Guide on May 2, 2002 (see Notice
[NOT-OD-02-047](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-047.html)).
The last pre-printed Type 5 face pages to be mailed will be for awards
with start dates in November 2002.

For December 2002 starts and beyond, NIH will provide due date
information for Non-Competing Grant Progress Reports in two ways:

-   The NIH Office of Extramural Research will post due date information
    on a public website that will have limited search and sort
    capabilities. Grantees may choose to use this website until they
    register for the NIH Commons. Institutions that have not registered
    will not receive e-mail reminders or have access to pre-populated
    face pages.

-   Upon registering for the NIH Commons, the institutional official
    will provide a central e-mail address for notification of NIH
    pending actions. By this means, the institution will receive a list
    of pending progress reports. The institutional administrative user
    will then be able to link to specific grants with access to a PDF
    version of the pre-populated face page through the Commons Status
    module. Once the PIs have a Commons account, they too will receive
    e-notifications of pending deadlines, will be able to view status,
    as well as download the pre-populated face page for their Type 5
    submissions. This notification directly to the PI will require
    validation of the respective PI profile. Due to the extensive number
    of profiles and the significant work to resolve current duplicate
    profiles, e-Notification directly to PIs is not likely to occur
    until the end of CY2002. In the future, NIH will send e-Notices to
    request other "due" reports (e.g., for closeout) and information
    such as financial conflict of interest policies.

The accuracy of the new T-5 notification system will depend on Institute
and Center (IC) staff using the T-5 Receipt screen in IMPAC II. Entering
the Receipt Date becomes mandatory in August 2002. T-5s will not drop
off the list of pending progress reports until their receipt is recorded
in the database.

Since Commons status reports will include contact information for the
assigned Program Officer (PO) and Grants Management Specialist (GMS),
data also must be entered in these IMPAC II fields. Assigned PO is
already mandatory; Assigned GMS will become mandatory in July.

It is important for NIH staff and the CWG to help educate the grantee
community about this significant change to the business process. A Guide
notice will be issued as the launch date of the website draws near.
Marcia also asked colleagues to encourage grantees to register in the
Commons to benefit from e-notification.

Sandi Robins asked if the institution, after receiving notification,
could direct its PIs to retrieve their own pre-populated face pages.
Marcia responded yes; once PIs have accounts and they are validated,
they will be able to download pre-populated face pages through the
Status module. This will not likely be fully implemented until the end
of CY2002 due to the time required to validate PI profiles. Pamela
expressed concern about the critical timing of the deployments, i.e.,
any delay in the availability of Commons Version 2 would impact the new
T-5 notification system. Jerry Stuck responded that NIH would make
adjustments, if necessary.

*E-SNAP*---Marcia Hahn defined e-SNAP as the electronic submission of
SNAP T-5 progress reports by grantees via a new Commons interface.
Grants Management staff will be able to access the SNAP data by using
the "View E-APP" button on the Award Screen. The progress report also
will be stored in the Grant Folder. An e-SNAP pilot is expected to begin
in the fall of 2002, with the CWG as the first users.

Next Marcia explained how e-SNAP differs from the paper SNAP. Although
basic reporting requirements are the same, some incentives have been
introduced to encourage electronic submission:

-   E-SNAPs will be due 45 days before start (instead of 60 days). Tim
    Twomey raised the issue of the database having one due date field.
    Which date (45 or 60 days prior) will be recorded?

-   Research accomplishments/significant changes also can be submitted
    throughout the year.

-   Links to citations will be accepted in lieu of hard copy.

-   Some human and animal subjects assurances will be stored in the
    Commons Institutional Profile (IPF). IRB/IACUC approval will not be
    required on a grant-by-grant basis.

-   Some assurance and certification information (including date
    assured) will be incorporated into the IPF. This eliminates the need
    to certify compliance with every submission.

-   Institutions may delegate submission authority to PIs.

These changes will be evaluated and may result, in the future, in new
business practices for all SNAP and/or all non-competing progress
reports.

Marcia then explained the process by which grantee organizations will
register in the Commons and how data security and authorization will be
ensured. Once a formal agreement to communicate electronically has been
established, NIH will create primary SO and AO accounts for the
institution. These officials will have the authority to create secondary
accounts (for administrators and PIs) and to modify account permissions.

Marcia continued with the system changes, which will go into effect this
summer. There will be a new IMPAC II E-Flag; also, the Receipt Date
field on the T-5 Receipt screen will be populated automatically and NIH
staff will be notified electronically when e-SNAP data is available. How
will these changes affect GM and Program staff? ICs will need to
reevaluate their business practices and requirements for the "official
file." E-SNAP is on the agenda of the Grants Management retreat in June.

Marcia's presentation prompted questions and discussion. Steve Dowdy
asked if some POs would pressure grantees to continue to use
conventional paper SNAPs. Marcia replied that since e-SNAP was vetted
through Program groups (ePUG and POPOF) and EPMC, this should not
happen. If, however, the CWG encounters resistant POs, members should
report the situation to the Helpdesk or via the listserv. Mike Sesma
(NIGMS) remarked that Program staff in his IC has been very supportive.
The only concern they raised involved the possibility of needing
subscriptions to access links to citations on the Internet.

Steve suggested that grantees receive a confirmation that their e-SNAP
has been received. George explained that upon receipt, T-5s drop off the
"due" list. Also, if a PI submits an e-SNAP, NIH sends an email
notification to the AO. Sandi asked if grantees would have access to the
electronic SNAP. Tim replied that NIH could provide it in PDF through
the Status module.

Jane Fant asked if institutions could depend on obtaining copies from
NIH. Marcia replied that the official file is still paper and is
retained according to federal guidelines. There are efforts underway,
however, to designate the electronic file as the official file. Ken
Forstmeier then raised questions about the definition of an electronic
record and what constitutes electronic record destruction. He also
questioned whether a university record could reside solely on a
government system.

*Status of e-SNAP Development*---The J2EE version of e-SNAP is currently
in the RUP elaboration phase. George thanked the CWG for participating
in the previous pilot and for assisting with BPR, which will be
reflected in the new version. The first release will be web only (not
datastream) and will use the existing roles/rights structure. Developers
are working with the eRA architect to ensure end-to-end integration.

## Reengineering the NIH Competitive Application

George distributed annotated copies of the PHS 398 [face
page](http://era.nih.gov/Docs/398_Face_Page_Electronic_Content.doc),
[form page 2](http://era.nih.gov/Docs/Electronic_Form_Page_2.doc), [page
3](http://era.nih.gov/Docs/Electronic_Form_Page_3.doc), and [page
4](http://era.nih.gov/Docs/Electronic_Form_Page_4.doc). Streamlining
changes suggested by the CWG at the November and January meetings are
indicated in red. There was some additional discussion.

*Face page*---Jane suggested providing a place to indicate whether the
data pertains to this application only or should be used to update the
PI's profile.

*Page 2*---Jill asked how NIH uses the performance site and if this is
where the research is done.

*Page 5---*Streamlining for the initial year budget (p. 4) should apply
to the outyears.

*Checklist*---Tom Wilson asked if it were possible to associate the DUNS
number with the appropriate indirect cost rate. It also would be helpful
to be able to escalate by a given percentage for the outyears. George
responded that these capabilities would be feasible in interactive mode
but not for datastream submission.

George then distributed a consolidated list of [NIH action
items](http://era.nih.gov/Docs/NIH_Action_Items.doc) related to the
reengineering initiative. Two have been completed: #20 (NIH will solicit
feedback from the CWG regarding reporting requirements for FSR); and #25
(Instructions for Other Support on the new 398 (Rev. 5/01) do not
correspond to the examples). George asked the group to check the list
for completeness.

## FSR Survey Results

In accordance with an action item from the January meeting, George
emailed a survey on May 2 to gather CWG requirements for the new eRA
Financial Status Report (FSR) module. By the end of last week, input was
received from eight members. George distributed a [summary of their
responses.](http://era.nih.gov/Docs/FSR_Survey_Results.xls)

Mark Sweet asked if it were possible to drop the FSR and use the
quarterly 272 Federal Cash Transaction Report. Marcia conceded that the
NSF only uses the 272, but she didn't know how they were getting around
OMB requirements. NIH has been able to eliminate the annual FSR for
SNAP, but the FSR is still required at the end of the project period.
Non-SNAP awards require more financial oversight; therefore, grantees
must submit annual FSRs. George remarked that Mark's question would be a
good one for P.L. 106-107 working groups.

## Miscellaneous Items

*FY03 eRA Funding Priorities*---George indicated that the Commons is one
of the two highest priorities for FY03 dollars (the other is the sunset
of IMPAC I). Advocates are in the midst of carving up eRA's \$35.4
million pie. The project architect has begun enforcing coordination
among initiatives. For example, all modules will share a common
e-notification system. While optimistic, George indicated that the
potential for overall changes to architecture could have impact on
schedule. An example is iEdison. Analysis is currently underway to
ensure that iEdison will be architected to be fully integrated with eRA.
Until this can be accomplished, iEdison development has been placed on
hold.

*SBIR RFA*---George reported that applications have been received in
response to the NIH RFA issued in mid-March. This grant opportunity
involves research in the area of e-grants administration, with the
objective of developing software applications and services that
facilitate electronic interaction between NIH and grantee organizations.

There will be a review meeting on May 31. The SEP roster has been
posted; if permissible, Jerry will provide the URL. Dr. McGowan informed
George that the NIH Institutes and Centers (ICs) have favorably received
the RFA. NIH expects to make an award near the end of the fiscal year.

Charles Havekost, e-Grants Program Manager for HHS, will speak tomorrow
on PL 106-107 and the Federal Commons. In response to a question about
the NIH RFA vis-à-vis the federal initiative, George does not perceive a
conflict. NIH has not committed to developing its own Web interface.
Instead, the RFA seeks to assist universities with datastream
submission.

*November NCURA Meeting*---

In keeping with CWG's commitment to educate the community, Pamela Webb
and Tim Twomey will present a primer on using the Commons at the NCURA
workshop in November. They plan to circulate draft training materials
via the listserv. Pam encouraged other members to share deployment aides
developed by their institutions. Tim also noted that the eRA User
Support Branch will be doing Commons outreach at upcoming regional
seminars. Once the new version of the Commons is available, it is likely
that such seminars will include Commons "hands-on" workshops as was
conducted in the early stages of Commons Version 1.0 deployment.

*Identifying Potential Reviewers*---Rich McKay (CSR) asked about a
database indicator to record a PI's willingness to serve as a reviewer.
There used to be a Consultant file for this purpose. George mentioned
that there are expertise fields in the profile, which can be searched to
identify candidates. Rich also asked about unaffiliated persons and the
validation of their credentials.

*New NIH Director*---On May 20, Dr. Elias Zerhouni took over as the new
Director of the NIH. Before his appointment, Dr. Zerhouni was executive
vice dean of Johns Hopkins University School of Medicine. He is a leader
in the field of radiology and biomedical engineering. Since the CWG took
place, JJ McGowan has had the opportunity to brief Dr. Zerhouni on eRA.
Dr. McGowan indicated that Dr. Zerhouni was genuinely interested in the
eRA effort, asking for a great deal of detail. This level of interest
bodes well for the continued support of eRA.

*Travel Reimbursement---*George reminded the group that eRA would
reimburse expenses for May 19.

## Next Meeting

CWG members preferred reconvening in September in conjunction with the
next FDP meeting rather than waiting for the NCURA meeting in November.
Both conferences will be held in Washington, D.C. Pamela suggested
scheduling a full-day CWG session to discuss issues relating to the
summer deployment of Commons Version 2 and the reopening of
registration. George will vet the September dates (either the 18^th^ or
21^st^). He also indicated that, if necessary, Dr. McGowan would approve
holding a CWG meeting independent of a national meeting.