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3/17/2012. 2. ONR Update - Overview. Brief History of ONRAreas of Discovery

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1. Mr. Gerald Smith Regional Director University Business Affairs 18 April 2005 Welcome to the Office of Naval Research

2. 3/17/2012 2 ONR Update - Overview Brief History of ONR Areas of Discovery & Invention The Navy & Marine Corp of the 21st Century The Business Side of Science Pre-award Post Award ONR & Grants.gov Automation on the Horizon

3. It’s important to point out, for all the talk of change and transformation, that the mission of Naval science and technology has been a remarkably enduring and stable one. I’ve quoted here the 1946 law that established ONR, but of course you’re all aware that NRL’s history is even longer. I think the 1946 law is still an excellent statement of why we do what we do. The pictures here tell a story as well. In both cases you had a visionary, practical engineer—Thomas Edison for NRL, Vannevar Bush for ONR—who convinced an equally visionary political leader—Secretary of the Navy Josephus Daniels for NRL, President Harry Truman for ONR—that naval power depended upon a dedicated program of use-inspired science.It’s important to point out, for all the talk of change and transformation, that the mission of Naval science and technology has been a remarkably enduring and stable one. I’ve quoted here the 1946 law that established ONR, but of course you’re all aware that NRL’s history is even longer. I think the 1946 law is still an excellent statement of why we do what we do. The pictures here tell a story as well. In both cases you had a visionary, practical engineer—Thomas Edison for NRL, Vannevar Bush for ONR—who convinced an equally visionary political leader—Secretary of the Navy Josephus Daniels for NRL, President Harry Truman for ONR—that naval power depended upon a dedicated program of use-inspired science.

4. 3/17/2012 4 Orientation Overview

5. 3/17/2012 5 Integrated, Use-Inspired Research Basic Research (6.1) Applied Research (6.2) Advanced Technology Development (6.3) Development (6.4-6.6) [Pictures show, from right to left, examples of 6.1 (SHOWEX--the Shoaling Waves Experiment led by University of Miami off the Carolina cost, studying basic phenomena in turbulent flow, including the interaction of waves with the ocean bottom), 6.2 (output of a wave height prediction model done by the Naval Research Laboratory exploiting some of SHOWEX’s results), and 6.3 (a REMUS autonomous underwater vehicle made at Woods Hole, initially for ocean sampling and now being adapted for mine countermeasures—REMUS became operational last year, and was used during Operation Iraqi Freedom to clear the port of Um Qasr).] The Department of the Navy’s science and technology program is not only balanced, but it’s integrated as well. Basic research explores fundamental natural properties and processes, applied research explores ways of manipulating or using those phenomena, and advanced technology development devises technologies to exploit them. These three kinds of research, when integrated, form a great feedback loop. Our program officers--the scientists and engineers who actually invest our funds--all manage all three categories of work. We’ve found that this gives them a useful perspective on the whole spectrum of Naval science and technology.[Pictures show, from right to left, examples of 6.1 (SHOWEX--the Shoaling Waves Experiment led by University of Miami off the Carolina cost, studying basic phenomena in turbulent flow, including the interaction of waves with the ocean bottom), 6.2 (output of a wave height prediction model done by the Naval Research Laboratory exploiting some of SHOWEX’s results), and 6.3 (a REMUS autonomous underwater vehicle made at Woods Hole, initially for ocean sampling and now being adapted for mine countermeasures—REMUS became operational last year, and was used during Operation Iraqi Freedom to clear the port of Um Qasr).] The Department of the Navy’s science and technology program is not only balanced, but it’s integrated as well. Basic research explores fundamental natural properties and processes, applied research explores ways of manipulating or using those phenomena, and advanced technology development devises technologies to exploit them. These three kinds of research, when integrated, form a great feedback loop. Our program officers--the scientists and engineers who actually invest our funds--all manage all three categories of work. We’ve found that this gives them a useful perspective on the whole spectrum of Naval science and technology.

6. 3/17/2012 6 Naval S&T Investment by Performer

7. 3/17/2012 7 FY 05 Pres Bud Request: 6.1 476.9 M 6.2 564.1 M 6.3 677.2 M Total $1,718.2 MFY 05 Pres Bud Request: 6.1 476.9 M 6.2 564.1 M 6.3 677.2 M Total $1,718.2 M

8. 3/17/2012 8 Science & Technology Funding Three S&T Portfolio Categories 1. Discovery and Invention (D&I) . . . . . . . . . . . 2. Future Naval Capabilities (FNC) . . . . . . . . . . 3. Innovative Naval Capabilities (INC). . . . . . . . Other S&T Pass-Through and Other . . . . . . . . . . . . . . . . . . JFCOM, Naval Warfighting Experiments, etc Congressional Actions . . . . . . . . . . . . . . .

9. 3/17/2012 9 National Naval Responsibilities Naval environment is distinctive and complex Naval science and technology must maintain areas critical to ensuring Naval superiority: Robust U.S. research community Adequate pipeline of new scientists and engineers in Naval-unique disciplines Ensured future S&T products to Naval forces National Naval Responsibilities: Ocean Acoustics Underwater Weaponry Naval Engineering Undersea Medicine (consideration)

10. 3/17/2012 10 The Grand Challenges are: Visionary—for the Navy & Marine Corps after Next Compelling—answering a Naval need Long-term—completed over 20 to 50 years Very difficult, but probably achievable Multi-disciplinary with multiple participants and multiple opportunities But not Mere linear extensions of present programs Massive engineering projects Discovery & Invention – Grand Challenges

11. 3/17/2012 11 Advanced Capability Electric Systems Autonomous Operations Capable Manpower Fleet / Force Protection Knowledge Superiority & Assurance Littoral Antisubmarine Warfare Littoral Combat & Power Projection Expeditionary Logistics Missile Defense Organic Mine Countermeasures Time Critical Strike Total Ownership Cost Reduction Warfighter Protection Future Naval Capabilities (FNCs) To address corporate Navy concerns about relationship of S&T to transformation described in Seapower 21, an eight member, cross-Navy working group was established to review and grade all FNC products for: Value to Warfighter Likelihood of actual transition to standing Acquisition programs Transformational potential After four weeks of briefings, on 232 individual products in the 12 FNCs, and after opportunities for reclamas from FNC leaders, >60% emerged designated as “transformational” To address corporate Navy concerns about relationship of S&T to transformation described in Seapower 21, an eight member, cross-Navy working group was established to review and grade all FNC products for: Value to Warfighter Likelihood of actual transition to standing Acquisition programs Transformational potential After four weeks of briefings, on 232 individual products in the 12 FNCs, and after opportunities for reclamas from FNC leaders, >60% emerged designated as “transformational”

12. 3/17/2012 12 Swamp Works Tech Solutions Swamp Works—rapidly delivers breakthrough Naval capabilities for: Emergent operational problems Enduring operational barriers & challenges

13. 3/17/2012 13 Naval Research delivers… Thermobaric fills, developed at NSWC Indian Head, were used operationally against Taliban and al-Qaeda targets in Gardez, Afghanistan, during March 2002. The picture at top left shows a DTRA test of a BLU-118B in Nevada during the run-up to Operation Enduring Freedom; the picture to its right is a BLU-118B at Indian Head. Thermobarics are also being adapted to the Hellfire missile and the LAWS rocket; a related product is a man-portable, high-performance cutting tool (lower left). ONR has pursued the basic chemistry behind thermobarics since shortly after the USS Forrestal fire in 1967. The Affordable Weapon—a low-cost, loitering weapon fabricated largely from COTS parts—has entered limited service in Operation Iraqi Freedom. It comes from the Time Critical Strike Future Naval Capability. REMUS (also SAHRV) is an autonomous underwater vehicle developed in the Organic Mine Countermeasures Future Naval Capability. It has entered service as an alternative to the marine mammals hitherto used for very shallow water mine hunting, and was used to clear the port of Um Qasr during Operation Iraqi Freedom.Thermobaric fills, developed at NSWC Indian Head, were used operationally against Taliban and al-Qaeda targets in Gardez, Afghanistan, during March 2002. The picture at top left shows a DTRA test of a BLU-118B in Nevada during the run-up to Operation Enduring Freedom; the picture to its right is a BLU-118B at Indian Head. Thermobarics are also being adapted to the Hellfire missile and the LAWS rocket; a related product is a man-portable, high-performance cutting tool (lower left). ONR has pursued the basic chemistry behind thermobarics since shortly after the USS Forrestal fire in 1967. The Affordable Weapon—a low-cost, loitering weapon fabricated largely from COTS parts—has entered limited service in Operation Iraqi Freedom. It comes from the Time Critical Strike Future Naval Capability. REMUS (also SAHRV) is an autonomous underwater vehicle developed in the Organic Mine Countermeasures Future Naval Capability. It has entered service as an alternative to the marine mammals hitherto used for very shallow water mine hunting, and was used to clear the port of Um Qasr during Operation Iraqi Freedom.

14. 3/17/2012 14 The Business Side of Science

15. 3/17/2012 15 University Business Affairs Pre-award Assistance Full Award Administration, which includes: Invoice certification Cash Management Expenditure Rate Monitoring Audit Resolution Property Administration & Purchasing System Analysis Engineering Support Services Indirect Cost Negotiations

16. 3/17/2012 16 ONR Regional Offices

17. 3/17/2012 17 TOP 10 FREQUENTLY ASKED QUESTIONS

18. 3/17/2012 18 Question 1 How can I find out who my contract or grant administrator is if I have a question? Access the ONR webpage at http://www.onr.navy.mil. Then go to the Acquisition column and select University Business Affairs link. At the top, select the Office Locator link, which will bring up map of the United States. Click on the state where the University or organization is located, and you will get an alphabetical Regional listing of the schools or organizations in the state you selected. Locate the one you are interested in and click on it.

19. 3/17/2012 19 Question 2 I received a report from your office, requesting final documents for expired awards. The report is requesting forms that I am not familiar with. Where can I obtain these forms? Many of forms can be downloaded from the ONR website: http://www.onr.navy.mil/02/024/forms.asp

20. 3/17/2012 20 Question 2 (cont.) Some of the commonly used forms are: - SF269 Financial Status Report - SF270 Request for Advance or Reimbursement - SF272 Federal Cash Transactions Report - SF294 and 295 Subcontracting Reports - SF298 Report Documentation Page - SF1034 Public Voucher - DD 882 Report of invention - NASA 1018 NASA Property in the Custody of Contractors - DoD 1662 DoD Property in the Custody of Contractors

21. 3/17/2012 21 Question 3 Last month, I submitted a payment request/voucher directly to Defense Finance & Accounting Service (DFAS). They returned it with a letter requesting certification. Where should I send my payment request/voucher? Payment requests/vouchers should never be sent directly to DFAS, unless specified. They should be submitted to a Contract Administration Office or a Procurement Office for certification. Payment requests may go to several different addresses depending on what is stated in the grant or contract. For Contracts: instructions are listed in Section “G” of the contract, under Contract Administration Data. This section will tell you how many copies of the invoice to submit and where to send it. For Grants: Invoicing instructions should be spelled out in the body of the grant.

22. 3/17/2012 22 Question 4 My award has ended and I discovered that I didn’t bill for the last expenditure, is it too late to bill? You can bill for services after the expiration date, as long as the expenditure took place within the performance period and if there are funds remaining on the award. Contact your Contract Administrator immediately to discuss the situation

23. 3/17/2012 23 Question 5 How would I check the status of overdue payments on DoD awards? DFAS has created a website for you to look up the payment status on your own. It is a centralized website for all of the DFAS vendor and commercial pay operations. Go to: https://myinvoice.csd.disa.mil Please wait 30 days for manual invoices to be processed and posted. If you still did not receive your payment, please contact your cognizant ONR Administrative Office.

24. 3/17/2012 24 Question 6 I haven’t received payment on a DoD award and have been told that the money has expired. Can I request payment? Yes, if you are owed the money, you can still get paid. For money that is expired, it will require coordination between DFAS, the Administration Office and the funding agency to request current year funds.

25. 3/17/2012 25 Question 7 We have spent our current funding and we haven’t received the next increment. When can I expect it? Check with the Program Officer to determine if they will be providing additional funding. If further assistance is needed, contact your ONR Contract/Grant Administrator.

26. 3/17/2012 26 Question 8 I submitted a proposal to ONR. Can you tell me the status? You should contact the person identified in the solicitation or the Broad Agency Announcement (BAA). They will be able to provide you with the status or direct you to the proper POC for further information.

27. 3/17/2012 27 Question 9 We have a grant that is going to expire soon and the PI needs more time to finish his research. Is it possible to request a no funds extension (NFE)? Yes, but it depends on the sponsoring agency: For grants with other agencies, you will need to look at the terms and conditions that apply to a specific grant/contract. Contact your Grant Administrator for the correct POC to request a NFE. If the grant is awarded under the Federal Demonstration Partnership (FDP) terms and conditions, from an agency other than ONR, you can normally extend the expiration date up to twelve months. However, you must notify the cognizant awarding agency official in writing with the supporting reasons, at least thirty (30) days prior to expiration of the award. Please check the grant to ensure this provision has not been modified by the awarding agency.

28. 3/17/2012 28 Question 10 When is an approval required for rebudgeting? Ordinarily, under grants, prior approval is not needed. OMB Circular A-110 only requires prior approvals for: The transfer of amounts budgeted for indirect costs to absorb increases in direct cost, or vice versa, if approval is required by the Federal awarding agency; or The inclusion, unless waived by the Federal awarding agency, of costs that require prior approval in accordance with OMB Circulars A-21, A-122, 45 CFR part 74, Appendix E, or 48 CFR part 31, as applicable; or The transfer of funds allotted for training allowances (direct payment to trainees) to other categories of expense. Specific agency provisions may require prior approvals other than those listed above. For contracts, prior approval is always required.

29. 3/17/2012 29 USEFUL WEBSITES Office of Naval Research – www.onr.navy.mil Defense Finance and Accounting Service - www.dod.mil/dfas The Federal Demonstration Partnership –www.thefdp.org National Property Management Association – www.npma.org National Contract Management Association – www.ncma.org

30. 3/17/2012 30 Central Contractor Registry All prospective Contractors must be registered in the CCR database prior to award of a contract, purchase order or basic agreement. All applicants may register electronically at www.ccr.gov Complete and accurate electronic registrations are processed within 48 hours.

31. 3/17/2012 31 The Circles of Life!!

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35. 3/17/2012 35 Electronic Commerce - PayWeb PayWeb - Electronic Data Interchange - Electronic Funds Transfer A web based invoicing application that ties into our existing EDI/EFT process. It provides a no-cost, easy to use interface. PayWeb is currently in production and opened for any and all educational and non-profit institutions for awards administered by the ONR Regional Offices. The ONR PAYWEB/EDI/EFT bill paying system enables universities/non-profits to submit their payment requests electronically, using formats for either… SF 270 for grants and cooperative agreements SF 1034 for contracts Gov’t reviews and approvals are done electronically and payment is made by the electronic funds transfer from the Federal Reserve System to the recipient’s financial institution.

36. 3/17/2012 36 PayWeb PayWeb is a web-based payment request system. One time transition process. It eliminates the delays of mailed invoices. It minimizes clerical errors due to internal processing checks. Institutions and non-profit entities can track their payment requests and payment dates.

37. 3/17/2012 37 PayWeb

38. 3/17/2012 38 PayWeb Benefits include… Paper free processing No cost Error rate reduction Rapid identification of any payment requests requiring correction Greatly improved payment time for recipients Improved expenditure rates for Federal agencies

39. 3/17/2012 39 What is Wide Area Workflow?

40. 3/17/2012 40 Wide Area Work Flow – Receipt and Acceptance (WAWF) WAWF is a Web-Based system for vendors to electronically submit invoices/receiving reports, and the Government to inspect, accept/reject, receive, certify and pay electronically. ONR first piloted WAWF in August 2003 Used for SBIRs and all STTRs in FY 2004 The process is easy and is increasingly being used at ONR. ONR will use WAWF for virtually all contracts with commercial contractors. Universities still use PayWeb for invoice processing. PayWeb will interface with WAWF as part of the back-office processing. WAWF is mandated DoD Wide – Full Deployment in FY 2005

41. 3/17/2012 41 WAWF came about as the result of the 2001 National Defense Authorization Act which required claims for payment under a DOD contracts to be submitted and approved in electronic form DFARS lists WAWF as the primary electronic Invoicing (252.232-7003) and Material Inspection Receiving Report (252.246-7000) mechanism for DoD; PayWeb is also authorized as an acceptable method for electronic Invoice submittal. Wide Area Work Flow – Receipt and Acceptance (WAWF)

42. 3/17/2012 42 Grants.gov ONR / Navy / DoD has been active participant in developing the implementation plan of Public Law 106-107. Four goals are Improve effectiveness and performance of Federal programs; Simplify Federal grant application and reporting; Improve Delivery of Services to the public; Greater coordination between Federal agencies and grant recipients.

43. 3/17/2012 43 Grants.gov The digital signature issue within DoD has been resolved. ONR is in the final stages of completing the electronic SF 424 form. Completion of this form is tied to ONR’s conversion to its new back-office pre-award system (NAVRIS). NAVRIS goes live July 2005. ONR will be looking for test universities to validate the proposal submission process. Contact Joe Bass or Frank O’Day at ONR for additional information. [email protected] [email protected]

44. 3/17/2012 44 AdminWeb What Is It? A web and email application that reminds Performers about the responsibilities for on-time delivery of grant/contract end items. This application dramatically improves Contractor/Grantee performance in research reporting, and sharply reduces manual processing of reports.

45. 3/17/2012 45 AdminWeb The benefits are better dissemination of technical and patent information, faster reuse of unneeded research funds, reduced labor cost, and enhanced credibility for ONR as the research and research administration of agency choice. AdminWeb will be going through a major revision this coming year. Greater functionality to submit reports for all ONR administered awards in an electronic format. Will be directly connected to ONR’s back office systems.

46. 3/17/2012 46 AdminWeb -- Benefits Summarized

47. 3/17/2012 47 AdminWeb -- To Find Out More Contact Diana Nichols-Gilchrist, (703) 696-2573 or Christina Bennett (703) 696-5388 at ONR Headquarters, or visit website…. www.onr.navy.mil/adminweb or Contact your UBA field reps.

48. 3/17/2012 48 Some Other Recent Developments Over the last year and more, final award reporting requirements for ONR Awards have been streamlined, and are reflected in the new award forms… For grants, ONR Final Technical Report is required only if Program Officer determines it is necessary. For grants, no final ONR property report unless there is Gov’t owned property. For ONR grants, no SF269 final cost report, unless advances are used, or Gov’t determines specific need based on risk. ONR is administering select NIH awards. Our delegation is currently confined to property administration.

49. 3/17/2012 49 Some Other Recent Developments ONR Regional Offices now use common set of back office tools for proactive award administration… Tools include... Automated monthly e-mail listing of new awards received, with detail on which reports are monitored by ONR. Annual reminder about candidate awards for Government property reporting. Automated E-Mails and follow-ups within Gov’t activities to get awards closed out. Three times yearly notifies recipients and ONR of possible Expenditure Rate problems. Electronic Document Management System. Goal to receive, store, and distribute all award and award related documents. This includes proposal documents received from grants.gov and award documents from all DoD and NASA awarding agencies; and closeout documents submitted through AdminWeb.

50. 3/17/2012 50 Billing Rates BACKGROUND DoD research programs typically run from one to three years Programs are often incrementally funded for each fiscal year Programs are scrutinized on an annual basis for expenditures and expenditure rates Programs that don’t measure up to goal may have performance or other problems that need addressing

51. 3/17/2012 51 Billing Rates THE PAYMENT PROCESS Letter of credit is not used on DoD awards Individual payment requests are submitted (unless “scheduled payments” are in effect) Monthly cycle is desired billing timeframe EDI/EFT, PayWeb or manual voucher processing Recipient chooses “Advance” or “Reimbursement” basis ONR field offices approve requests if part of our delegation (always a part of ONR delegation) ONR checks payment requests for routine errors, available funds, period of performance, etc. Field tracks billing information in “CAMIS” database system CAMIS information allows for monitoring of BILLING RATE

52. 3/17/2012 52 Billing Rates THE PAYMENT PROCESS (Continued) Defense Finance (DFAS) office processes actual payment to recipient once request is approved by ONR (or other) office… Different DFAS centers handle different agencies DFAS Charleston for most Navy accounts Obligations / expenditures are tracked in agency financial management systems (“STARS” for Navy) Info in financial management systems is the official info to monitor EXPENDITURE RATES

53. 3/17/2012 53 Billing Rates FINANCIAL PERFORMANCE NOTIFICATIONS… Three times a year, scheduled to tie in to key benchmark dates for evaluating program performance. Criteria used looks at expected “straight-line” spending, date when the money was provided, etc., and performer’s billing of current year funding to date, etc. Automated Notifications go out (which the field office can override) to recipients deemed to have potential financial performance “problem” awards.

54. 3/17/2012 54 Billing Rates FINANCIAL PERFORMANCE NOTIFICATIONS… Recipient is asked to provide information back to the Field Office on causes for apparent billing lag. That information is shared with ONR Program Officer, who may use it to adjust timing of future increments, or for other program decisions. Information is stored in ONR’s CAMIS system, so performer may not receive subsequent Email if performance is satisfactorily explained.

55. 3/17/2012 55 Billing Rates

56. 3/17/2012 56 Cash Management BACKGROUND Individual payment requests may be either on either “Advance” or “Reimbursement” basis. Advances are the preferred mechanism for nonprofit organizations with suitable financial controls. Some DoD agencies may choose to use Scheduled Payments (such as ARO or AFOSR). . . BUT receiving advances or Schedule Payments adds additional recipient obligations and oversight, as well as Federal monitoring.

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58. 3/17/2012 58 Cash Management OMB CIRCULAR REQUIREMENTS REVIEWED To receive advances, institutions must have adequate procedures and controls to minimize time from receipt of funds until disbursement. Amounts received must be for “immediate” needs. Advances received (over a minimal amount) must be kept and tracked in interest-bearing accounts. Interest earned must be refunded to the Government.

59. 3/17/2012 59 Cash Management ONR FIELD OFFICE POSTAWARD ROLE If the field office is delegated Cash Management award responsibilities, personnel have responsibility to monitor… Is the institution actually utilizing / receiving advances? Are advances properly identified as such on the SF270 payment requests? Is recipient minimizing time and AMOUNT for cash on hand? Are timely, adequate financial reports being submitted, if required, such as the SF272? Is interest tracked and remitted, if applicable? Tools are now available in “CAMIS” system to better track SF272 data and identify potential problems awards.

60. 3/17/2012 60 ONR Update and Initiatives -- Summarized ONR innovations affecting postaward performance are designed to… Keep up with technological change; Steer toward a paperless environment; Simplify fulfillment of award requirements; Speed and simplify the payment process; Stress the need for compliance with award terms; Enhance the ability of recipients and ONR to monitor award status and close out completed awards; Focus on awards and aspects of award administration where the risk is.

61. 3/17/2012 61 ONR Acquisition -- Key Contacts

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