Inside eRA, April 24, 2003 (Volume 4, Issue 5)

eRA to Host Third Annual Symposium

eRA will unveil its new pilot Program module (PGM) at the Third Annual eRA Symposium on April 30 at 8:30 a.m. in the Natcher Conference Center. This year’s symposium, entitled “Progress in Program: Tying It All Together,” is dedicated to introducing Program Officials (POs) to new eRA paperless business processes, which conform to Congressional mandates. The NIH eRA PGM pilot ultimately will serve as a gateway to biomedical research and will enable POs to monitor and administer assigned grant portfolios as grants move through all phases of their lifecycle. For more information on the PGM, see article in this issue. 

In his keynote address, Dr. Raynard S. Kington, deputy director of the NIH, will explain how the NIH eRA Project is achieving e-Government goals of increased productivity, reduced costs, and better access to information. Dr. Ronald Germain, deputy chief of NIAID’s laboratory of immunology, will follow with a presentation on systems biology and the use of informatics. He will outline the multidisciplinary, team-based, "big" science nature of emerging systems biology research and the challenges this poses for structuring funding mechanisms, grants review, and training programs. He also will highlight the change in the academic evaluation and reward systems that a shift to this type of biological research will entail.

Other speakers will address eRA’s progress and future direction in the areas of E-Grants and Knowledge Management. The agenda also will include a preview of Web Query Tool (Web QT). Based on new J2EE technology, Web QT will replace the existing Oracle Forms-based QuickView and ICSTORe applications. See article on Web QT in this issue.

The Center for Information Technology (CIT) will simulcast the symposium on the NIH network and the Internet from the NIH VideoCasting Web site. Viewers may submit questions via email to esatrain@od.nih.gov during the session. The symposium video also will be available after April 30 by clicking on “Past Events.”

eRA Unveils New Program Module Pilot

Members of the eRA Program Users Group (ePUG) have been the first to use the new Program Module (PGM), which was deployed in pilot mode on April 4. Other interested NIH staff will have an opportunity to preview the PGM at the Third Annual eRA Symposium on April 30 (see article above). eRA expects to make version 2 of the software available to all Program Officials (POs) this coming July.

The vision for the PGM is to enable POs to conduct NIH research administration using the paperless processes mandated by Congress. To accomplish this goal, the PGM will serve as a gateway to biomedical research and eRA information. In addition, the PGM interface will allow POs to monitor and administer their assigned grant applications as they move through all phases of the grant lifecycle from pre-submission to post-award and to find the status of an individual grant very quickly (in response to a PI inquiry, for example).

The PGM interface will be customized so that when a PO signs on, his/her current portfolio of work-in-progress grants will be displayed in portfolios representing the different stages of the grant cycle: Pending SRG, Pre-Council, Post-Council, Pre-Award, Post-Award, and Withdrawn. Once eRA builds the architecture for this capability, it will be reused to build similar interfaces for members of other NIH internal and external user communities, enabling users to track and process their individual workloads.

To accommodate the responsibilities of Program staff, the PGM will have the following functions and features:

• Default PO Portfolios (April 2003 Pilot Release)––Four default portfolios at the Pending SRG, Pre-Council, Post-Council, and Post-Award/Pending Type 5 stages of a grant application's lifecycle. For July, the Post-Award/Pending Type 5 combined portfolio will be separated into two portfolios: Post-Award and Pending Type 5. Additionally, a Withdrawn/Other default portfolio will be added.     
• Review of eSNAP Progress Reports (April 2003 Pilot Release)––Support for processing electronic progress reports.     
• Access to Scientific Resources and Pre-Submission Tabs (April 2003 Pilot Release)––Links to scientific resources and information to assist POs in interacting with applicants will be provided in the Spring 2003 release. Ability to select, search and save material from online journals and to do research on prospective PIs will be available in a future release.     
• Portfolio Management (July 2003 Release)––Support for functions such as adding and removing grants.     
• Customizable Checklists (July 2003 Release)––New module for completing checklists. A new Program Approval module will be available in a future release.     
• Integration with MS Outlook Calendar (Future Release)––Ability to download eRA dates (SRG meeting dates, council dates, etc.) to Microsoft Outlook.     
• Interface with Shared Systems (Future Release)––Access to e-Notification, e-Requests and other modules, including QuickView, ECB, QVR, and the NIH eRA Commons.     
• Division of Extramural Activities (DEA) and Council Functions (Future Release)––These features will be part of a Program Administration module.

eRA is actively seeking feedback from pilot users via the eRA HelpDesk. If you want to participate in the eRA Program Users Group, contact Carlos Caban, one of the eRA Advocates for Scientific Program Management.

eRA Seeks Support from ICs for SBIR Phase II Awards

With the first year of the Phase I awards more than half over, eRA has sought support from ICs to subsidize its Small Business Innovation Research (SBIR) awards in Phase II. Six award recipients currently are working on new tools for facilitating electronic interaction between grantee institutions and the NIH. The Phase I awards, administered by NCRR primarily with NIAAA funds, received a combined $2.5 million to support development efforts.

Several institutes have allocated funds toward FY 2003 support of the first year of Phase II. NCI, NIGMS, NIDA, NIAAA, NICHD, NINR and NCRR have committed between $5.4M and $6.1M in FY 2003. According to RFA-RR-02-004, released January 29, 2002, continuation to Phase II (award years 2–5) is contingent on satisfactory progress in Phase I and the availability of funds. At the conclusion of the Phase I support, the six award recipients must demonstrate proof-of-concept for new software applications and services that can be purchased by or licensed to NIH grantee organizations. The NIH eRA Commons Advisory Panel will make recommendations for Phase II funding.

For more information about the SBIR awardees, see the complete article in the December 2002 issue. ICs interested in contributing funds should contact Dr. John McGowan, eRA Project Manager.

Introducing Web Query Tool

In July 2003, eRA plans to deploy the pilot version of a new eRA query tool called Web Query Tool (Web QT). Based on J2EE technology, Web QT is slated to replace the exiting Oracle Forms-based QuickView (QV) and ICSTORe applications. During the pilot period, QV and ICSTORe will remain available to users; ultimately, both of the older applications will be retired.

According to current plans, in July 2003, Web QT pilot users will be able to do the following: 

1.   Create a Basic Query. After the user specifies search parameters from a comprehensive list of fields, the system will return a “hitlist” of grants and applications meeting the search criteria.

2.    View/Print/Export Hitlist Results.

• Print hitlist results.  
• Export hitlist results to Excel.  
• Zip selected documents (e.g., abstracts, summary statements) into individual PDF files.  
• Merge selected documents (e.g., abstracts, summary statements) into one PDF file.  
• Print the Grant Snapshot report (a new comprehensive report).

3.   Create Custom Hitlist Layouts.

• Users will be able to save and reuse up to three hitlist layouts of their own design.  
• The system also will contain two standard layouts (basic and expanded).

In October 2003, eRA plans to release an enhanced version of Web QT with the following new capabilities:

1.   Create, Save and Reuse Queries. The system will save the specified query parameter values, the sort order, and the hitlist definition. Users also will be able to define who will have access to their queries.

2.   Print Documents to the NIH Central Printer.

3.   Create Advanced Queries. Users will be able to create complex queries using mixed Boolean operators such as "AND/OR.”

For a preview of Web QT, register for the Third Annual eRA Symposium on April 30. Address questions about the new query tool to Sherry Zucker.

IV&V Team Reports on eRA Project Health

Joe Pasquina of Soza and Company, eRA’s Independent Verification and Validation (IV&V) contractor, recently presented its annual report on eRA performance to the eRA Project Team and the Steering Committee. The IV&V team reported that the project has made significant progress toward accomplishing its 2002 management improvement goals. Based on current data, Soza estimates that eRA will realize a 1.5 return on investment (ROI) for June 2002 through June 2003.

Soza joined the eRA project in June 2001 to provide ongoing project oversight and management support. Using industry-wide standards, Soza assists with forecasting project costs and schedules and then with auditing actual expenditures and milestones. After an initial assessment in 2001, Soza identified deficiencies in the availability of cost and resource data and in the management structure itself. The project team then agreed on a list of 2002 goals that would improve the management and control of eRA.

Mr. Pasquina also identified eRA initiatives for 2003. They are:

1. Calibrate baselines across all modules.          
2. Migrate Oracle SBS and eRA Cost Tracking database to PlanView.          
3. Refine cost-estimation models.          
4. Perform independent cost and schedule estimation across all models.          
5. Based on the outcome of a Carnegie Mellon Software Engineering Institute/Capability Maturity Model (SEI/CMM) assessment during CY 2003, begin work to achieve level II certification.          
6. Emphasize cost control and contractor invoicing.

For more information about eRA’s IV&V evaluation, contact Donna Frahm.

Fundamental Q&As about Electronic Grant Application Development

As technical teams work diligently to make electronic grants a reality, grantee officials have begun asking practical questions about the impact of E-Grants on their institutions. Understandably, grantees would like to have the assurance of clear federal goals, coordinated architecture, and a realistic timetable before developing their own short- and long-term strategic plans. Following are several fundamental questions and the NIH responses.

At the federal level, what is mandated for October 2003?

E-Grants has an October target to “deploy [a] simple, unified application mechanism.” (See http://www.Grants.gov/docs/VisionAnd Goals.pdf.) The initial deployment will support grant programs that use standard “core” data, which consists of OMB Form SF424 along with the DUNS number as a unique organizational identifier. While more than 100 grant programs across the government use just the E-Grants “core” data, most grant programs, including those at NIH, require data in addition to the core. Some grant programs that have application requirements beyond the core may be supported by E-Grants in October 2003.

In late March, the primary development contractor was selected for the federal E-Grants initiative. By the end of April, E-Grants should be able to provide more definitive timeframes.

What are NIH plans for October 2003?

By late summer, NIH plans to accept a limited number of electronic competitive grant applications (eCGAPs) in pilot mode. These will be very simple R01 applications submitted as XML data streams. Go to http://era.nih.gov/Projectmgmt/SBIR/index.htm for technical information on the data schema.

When E-Grants debuts next October, planners would like to support at least one agency that has extended the core. Since the NIH uses non-core elements, it would be a good candidate for piloting with E-Grants. The NIH and E-Grants have developed a strategic working relationship and meet regularly. eRA will communicate updates through this newsletter.

Must the NIH eRA and E-Grants use the same architecture?

The NIH eRA and federal E-Grants systems do not need to be architecturally similar. E-Grants depicts the relationship between itself and the grant-making agency as front office/back office. As long as the communication mechanisms between E-Grants and eRA are standardized, the two systems will operate seamlessly.

During the pilot period, from what sources will the NIH receive electronic applications?

NIH will accept the prescribed XML data stream for the PHS 398 from the institution, from a service provider (SBIR awardee or other), and from the trusted, federal E-Grants broker (if ready). The E-Grants broker will be a simple, unified “storefront” on the Web for customers of federal grants to find funding opportunities, apply for and manage their grants.

E-Grants is developing a “downloadable forms” model for presenting grant applications electronically, which will be available to NIH applicants when E-Grants is ready to handle NIH applications. At the current time, there are no plans to develop a “398 form kit” for the NIH XML-based pilot this summer.

When does the NIH expect to begin accepting competing applications in production mode?

The estimated timeframe is mid-to-late 2004.

When will electronic applications become mandatory at the NIH?

NIH will phase in electronic grants over time. Through systematic monitoring and evaluation of the implementation, NIH will determine when to phase out paper grant applications and progress reports.

Send questions about eRA goals, plans and schedules to askera@od.nih.gov. To discuss data and user interface requirements, contact stoneg@od.nih.gov. Refer policy issues to David.Wright@nih.gov.

J2EE Version of iEdison to Debut This Spring

eRA will deploy Interagency Edison (iEdison) Version 2 this spring for a brief pilot prior to the full production release. This software, which enables grantee and contractor organizations to electronically manage extramural invention portfolios, will migrate from client-server to the new J2EE Web technology. J2EE scripting is expected to result in better transactional processing, better auditing and performance. Coupled with the use of the Rational Unified Process (RUP), J2EE should lead to a more rapid design/development cycle for future enhancements.

The new J2EE interface will introduce enhanced functionality. Users will be able to upload all required documents for invention disclosure: the written description of the invention, the government’s confirmatory license, and the government support clause that, by law, must appear in the patent. With the current client-server version, these reporting documents had to be mailed or faxed. Furthermore, all documents submitted in PDF or TIFF format using iEdison Version 2 will be displayable to users through their Internet browser.

Version 2 also will offer improved report generation for institutional administrators. Most importantly, iEdison will support the display of a graphical representation of any invention. This functionality will allow the user to view the hierarchical association between an invention and its related patents.

During the requirements-gathering phase for iEdison, eRA met with other government agencies through the Interagency Invention Reporting Subgroup of the Post-Award Working Group of the CFO Council Grants Management Committee. Input from extramural grantee and contractor organizations was solicited through an iEdison Working Group, made up of institutional representatives of the Council on Governmental Relations (COGR) and the Association of University Technology Managers (AUTM). iEdison currently supports the reporting of inventions resulting from awards made by 18 federal agencies.

Version 2 Capabilities

• Upload of required PDF and TIFF documents for invention disclosure records and associated patent filings.    
• Display of online PDF and TIFF documents for invention disclosure records and associated patent filings.    
• Account management within an institution.    
• Graphical representation of any invention in relation to its associated patents. 

For more information, visit the iEdison Web site at iedison.gov.

NARA Agrees to Accept Permanent Records in PDF

As part of its E-Government initiative, the National Archives and Records Administration (NARA) recently issued guidance that enables the transfer of permanent records in Portable Document Format (PDF) from federal agencies to NARA. This guidance, dated March 31, 2003, supplements current requirements in CFR 1228.270 for archiving records that NARA appraises as “having sufficient value to warrant continued preservation…” Although most NIH grant-related records are classified as temporary (i.e., approved for disposal after a specified time or event), NARA’s new policy represents a step toward accepting all archival records in electronic format.

The eRA Project consistently has been in step with the federal Electronic Records Management (ERM) Project, which is managed by NARA. A major ERM goal is to provide agencies with the tools to access records electronically. In January 2002, NIH took a major step toward this goal when eRA began digitally scanning all grant applications received by the Center for Scientific Review and storing the resulting images and other critical documents in PDF format in an electronic Grant Folder. 

Earlier this year, the eRA Project Management Team voted to recommend maintaining the online Grant Folder according to the same retention rules as established for paper case files. (See article in January newsletter.) According to current rules, after closeout, official case files are moved by each IC to an inactive file for one year and then to the Federal Records Center, where they are destroyed six years after closeout. The Office of Extramural Research (OER) plans to reevaluate grants retention policy and make recommendations to the NIH Office of Management Assessment (OMA), which is responsible for maintaining and revising the NIH Records Control Schedule. 

According to Dr. Steven Hausman, eRA Advocate for Advanced Technologies, archival considerations are not the major incentive for converting paper records to electronic form. More importantly, electronic records save file room space and are remotely accessible to concurrent users on demand. The latter offers many opportunities to increase staff productivity.

Direct questions and comments about NIH eRA paperless business practices to Steve Hausman. Go to http://www.archives.gov/records_management/initiatives/erm_overview.html  for more information about the federal ERM initiative.

eRA and CIT Share Responsibility for eRA Disaster Recovery

As the eRA system continues to grow and migrate to newer technology, technical staff are partnering with the Center for Information Technology (CIT) to evaluate and improve eRA’s plan for continuity of essential services. Disaster recovery is defined as the replication of mission-critical data at an alternate processing site to ensure data and application survivability in the event of a large-scale outage. CIT currently has a contract for disaster recovery services that it offers to critical applications that it hosts.

Most of eRA’s Unix servers in the middle-tier and an Oracle backend server are supported by CIT at its location in Building 12 on the NIH main campus. Other Unix and NT servers are physically located at the CIT facility, but are remotely maintained by eRA Operations. Applications running on the latter servers will be eligible for CIT disaster recovery services when their administration functions are transferred to CIT.

eRA and CIT have implemented many strategies to avert mini-disasters such as disk failures. Most of the Unix server disks are configured with either RAID 0 (mirroring) or RAID 5 (data striping with parity for fault tolerance). In addition, most of the servers and the Storage Area Network (SAN) are equipped with dual power supplies, NIC cards and dual disk array controllers, which provide redundancy and high availability.

Both CIT and eRA Operations perform regular on- and off-site backups of systems and Oracle data using Tivoli Storage Manager (TSM), which is owned and administered by CIT. In addition, eRA keeps recent Oracle backups on disk for quicker access and recovery.

Questions about eRA disaster recovery should be addressed to Ali Ghassemzadeh, advocate for eRA Infrastructure.