NAVAIRWD Technology Transfer Program Overview - PowerPoint PPT Presentation

Title: NAVAIRWD Technology Transfer Program Overview


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NAVAIRWD Technology Transfer Program
Overview (With Emphasis On CRADAs) Bill
Webster Head, NAWCWD Technology Transfer
Office (760) 939-1074 8 Dec 2004
6 Dec 04
2
What is Technology Transfer?

• Standard Definition
• Technology transfer is the process by which
  technology, knowledge, capability, and/or
  information resident at one organization is
  provided for use by another organization,
  frequently in a new or different application
• Technology transfer is the primary legal method
  for government and industry partnering outside
  the Federal Acquisition Regulation (FAR)
• Cooperative Research and Development Agreements
  (CRADAs) are the primary tool of technology
  transfer

25 July 02
3
Primary Technology Transfer Legislation

• PL96-480 (1980) - Stevenson-Wydler Technology
  Innovation Act
• Made Technology Transfer a mission of all Federal
  agencies and laboratories
• Directed establishment of an Office of Research
  and Technology Applications (ORTA) in each
  laboratory
• Promoted and enfranchised active technical
  cooperation with the private sector
• It did not provide a legal process for conducting
  technology transfer
• PL99-502 (1986) Federal Technology Transfer Act
  of 1986
• Empowered Federal Laboratories to
• Enter into Cooperative RD Agreements (CRADA)
• License, assign, or waive rights to intellectual
  property developed under such agreements
• Exchange laboratory personnel, services, and
  equipment with CRADA partners
• Award inventor a minimum of 15 of the royalties
  generated from licensed patents
• Established charter and funding mechanism for the
  Federal Laboratory Consortium (FLC)

4 Mar 03
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Technology TransferMission-Related Payoff

• Fulfills Technology Transfer responsibility
  mandated by Federal Statute
• Enhances NAWCWD image with civilian community
• Strengthens US industrial base for global
  competitiveness
• Supports NAWCWD Military Mission by
• Fulfilling Technology Transfer mission element
  mandated by SECDEF
• Providing a legal process to partner and team
  with DoD contractors to reduce weapon RD time
  and cost
• Leveraging scarce resources of both Government
  and Industry RD efforts
• Providing access to unique industry technologies
  or facilities not available in the government
  (and vice versa)
• Commercializing existing military technology for
  which DoD needs commercial source
• Providing support to patent licensees to refine
  and commercialize their product
• Providing a method to evaluate contractor
  developed technology and systems
• Providing a method to evaluate commercial off the
  shelf (COTS) equipment

6 Dec 04
5
Examples of China Lake Technology Transfer

• Some technologies transferred using CRADAs and
  Patent License Agreements
• Chemiluminescent Light Stick technology
• Method for making near-infrared polarizers
• Tablet to prevent calcification of urinal drain
  pipes
• Theory and software for non-destructive analysis
  of roughness correlation for multilayer optical
  components
• Software applications for computer networking
• Markov Process textbook
• Injection loading system for energetic materials
• Fiber optic gyro technology
• High temperature superconductor antenna
  technology
• Continuous emission monitoring for toxic metals
  technology
• Computer network security technology without
  encryption
• CL-20 advanced energetic material
• Aircraft active collision avoidance sensor
  technology
• Wavelet transform signal and image processing
  technology
• Many military weapon technologies to DoD
  contractors

25 July 02
6
China Lake National Technology Transfer Awards

• FY93 FLC Excellence in Technology Transfer Award
• Chemiluminescent Light Sticks
• Non-battery emergency lighting, Halloween child
  safety illuminators
• FY97 ONR Admiral Bowen Award
• Urinal Calcification-Prevention Tablets
• Saves Navy 4M per year in ship overhaul and
  repairs
• FY97 RD Magazine RD 100 Award (Nobel of
  Applied Research)
• Continuous Emission Monitor for Toxic Metal
  Emissions
• Thermo Jarrell Ash TraceAIR CEM
• FY98 FLC Excellence in Technology Transfer Award
• Continuous Emission Monitor for Toxic Metal
  Emissions
• Classic high payoff technology transfer,
  TraceAIR CEM annual market estimated at 2M
• FY00 FLC Excellence in Technology Transfer Award
• A Maximally Secure Computer Network for
  Processing Highly Sensitive Data
• Market Central and Radionics systems provide
  local area network security w/o encryption

3 Mar 2003
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Technology Transfer Mechanisms at NAWCWD

• Cooperative Research and Development Agreements
  (CRADAs)
• Patent License Agreements (PLAs)
• Navy Potential Contractor Program Agreements
  (NPCPs)
• Commercial Service Agreements (Work For Others)
  (not strictly Tech Transfer)
• Informal Technical Assistance/Consultation
• Publication of Research in Professional Journals
• Post-Doctoral Fellowships, Summer Faculty
  Research, and Sabbatical Leave Programs

17 Mar 03
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Cooperative Research and Development Agreements (C
RADAs)
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Differences Between Procurement Contracts and
CRADAs

• Procurement Contract
• Conducted under the FAR
• Procures an item or service to benefit the
  government
• Competitive selection of contractors is normal
• Contractor paid for work after completion
• Government normally does not participate in the
  contracted work
• Usually negotiated by contract specialists and
  always signed only by contracting officers
• Principal benefit received by company is funding
• Principal benefit received by government is item
  or service rendered
• Cooperative Research and Development Agreement
  (CRADA)
• Authorized under 15 USC 3710a, with Navy policy
  set by ONR (no connection to the FAR)
• Involves joint research and development (both
  partners normally participate)
• Government may accept full, partial, or no
  reimbursement but cannot provide any funds
• If funding is required, charging rate is the same
  as used for in-house government projects
• If funding is required, funding must be received
  before work can be initiated
• Competition with industry not an issue
• Always negotiated through the NAWCWD Technology
  Transfer Office
• Always signed by Commander of NAWCWD

8 Dec 04
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Issues Related to CRADAs and Procurement Contracts

• CRADAs with government contractors are permitted
• Contract funds can be transferred from contractor
  to laboratory for CRADA work (for SBIR
  contractors, this requires special approval)
• Principal Investigator should not be involved in
  any contract award to CRADA partner
• Purpose of the contract should not solely be to
  fund only the CRADA work
• CRADAs should address only a subset of the total
  contracted effort
• If a contract is involved, CRADA should be
  executed only after the contract is awarded
• If non-government CRADA partner responds to RFP
  using CRADA technology, CRADA should be
  terminated before proposal submittal. New CRADA
  can be negotiated after source selection is
  completed, if still desired.
• Laboratory can issue a letter of intent,
  statement of work, and cost estimate which
  contractor may choose to include in proposal
  package
• Laboratory can provide information to contractor
  for a proposal package, but cannot write the
  proposal
• Laboratory cannot co-propose with a private
  company for a government contract

8 Dec 04
11
CRADA Constraints

• Focused on joint Cooperative Research and
  Development
• Statement of Work is usually general and open
  ended
• Government Lab may accept, retain, and use
• Personnel
• Services
• Property (facilities, equipment and materials)
• Funds
• Government Lab may provide
• Personnel
• Services
• Property (facilities, equipment and materials)
• Note that Government CANNOT provide funds through
  a CRADA
• CRADAs with SBIR Contractors
• Contractor cannot provide SBIR funding except by
  waiver from SBA
• IP rights exclusive to SBIR Contractors for 5
  years

18 Mar 03
12
Navy CRADA Format

• Standard Navy CRADA
• Standard CRADA Document consists of
• 5th Edition of Naval Standard CRADA Issued on
  6-1-01 (major update)
• Primarily boilerplate language required by
  statute and ONR policy
• Text inserted to identify specific technical
  tasks to be accomplished
• Major sections include Objectives,
  Responsibilities, Representations and Warranties,
  Funding, Reporting, Intellectual Property,
  Tangible Property, Liabilities, Duration and
  Termination Options, Statement of Work
• Total agreement is typically about 30 pages long,
  95 boilerplate
• Can be signed off locally by Commander without
  prior approval from ONR
• Non-Standard Navy CRADA
• Required when major changes are requested to
  boilerplate language
• Required when more than one or a foreign partner,
  or over 1M provided
• Consists of Standard Navy Format with
  specifically negotiated changes
• ONR typically conservative with respect to
  allowing substantive changes
• Can be signed off locally without prior approval
  from ONR (but ONR reviews)
• Non-Standard changes can be disallowed by ONR
  after signature

7-25-02
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Perceptions of DoD CRADA Participants

• CRADAs
• Are seen by many labs as mission extenders
• Can provide a means for industry to talk openly
  with the Government
• Can advance research more quickly than working
  independently
• Can provide access to Government and Military
  facilities that are not otherwise commercially
  available
• Can result in new, improved, or more cost
  effective products/processes
• Can eliminate barriers that can arise in a
  contractual relationship
• Are successful when objectives are clearly laid
  out
• Can advance research for both partners leading to
  new programs/contracts
• CRADAs that result in follow-on CRADAs are an
  indicator of success

CRADAs Value Added to the Mission, DDRE OTT
Report 30 Apr 99
3 Mar 03
14
China Lake FY04 CRADA Metrics

• Total CRADAs through FY04 132
• Number of active CRADAs 48
• Active CRADAs with small businesses 23
• New CRADAs signed in FY04 12
• Amendments to existing CRADAs in FY04 6
• New CRADAs in active negotiation at end of FY04
  5
• Terminated or expired CRADAs in FY04 13
• Cumulative CRADA funds received 16.3M (1.5M
  in FY04)
• Cumulative CRADA cost avoidance 51.4M (1.5M
  in FY04)
• China Lake Technology Transfer Office FY04 ROI
  5

3 Dec 04
15
Pt. Mugu FY04 CRADA Metrics

• Total CRADAs through FY04 34
• Number of active CRADAs 5
• Active CRADAs with small businesses 4
• New CRADAs signed in FY04 0
• Amendments to existing CRADAs in FY04 0
• New CRADAs in active negotiation at end of FY04
  1
• Terminated or expired CRADAs in FY04 0
• Cumulative CRADA funds received 0
• Cumulative CRADA cost avoidance 0
• Pt. Mugu Technology Transfer Office FY04 ROI 0

3 Dec 04
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Summaries of Selected FY04 CRADAs

• Virtual Flight Testing Development for Missile
  Systems - Physical Sciences, Inc.
• PSI and NAWCWD will demonstrate and test the
  functionality and reliability of the PSI
  prototype wire suspension system for virtual
  flight testing of missile systems during missile
  development. PSIs prototype system will be
  installed and functionally tested and evaluated
  in an existing test frame at the NAWCWD HIVAS
  facility using a NAWCWD BOA missile as the test
  item.
• RAM Missile Launcher Investigation - Raytheon
  Company
• The primary objective for both NAWCWD and
  Raytheon is to conduct a joint investigation and
  testing program to develop concepts that expand
  the utility of the baseline Rolling Airframe
  Missile (RAM) launcher and the future Sea RAM
  launcher to provide additional needed mission
  capabilities.

6 Dec 04
19
Summaries of Selected FY04 CRADAs (cont)

• Diamondoid Materials For Optical Waveguides -
  Chevron USA
• The objective of this Agreement is to incorporate
  diamondoid materials into the fabrication of
  optical waveguides to obtain optical waveguide
  devices with significantly improved
  characteristics and capabilities. The type of
  optical waveguides and devices planned for
  investigation include single mode and multimode
  waveguides, optical couplers, electro-optic phase
  modulators, electro-optic amplitude modulators,
  and photonic bandgap waveguides.
• 21 Inch Composite Rocket Motor Investigation -
  Pratt and Whitney Corp
• The objective is to perform all activities
  necessary to successfully mix and cast a Pratt
  and Whitney propellant formulation, and assemble
  and test fire a 21-inch diameter composite-case
  solid fuel rocket motor demonstrator. It is
  desired to acquire data on rocket motor ballistic
  performance as well as on case temperatures and
  strains.

6 Dec 04
20
Summaries of Selected FY04 CRADAs (cont)

• Asymmetric Threat Surface Warfare Investigation -
  Raytheon Company
• The objective is to conduct a joint study to
  determine the parameters associated with
  Asymmetric Threat attacks against naval vessels,
  and possible new weapon system approaches to
  mitigate/negate these threats. The study will
  help in determining weapons, sensors or targeting
  deficiencies in current surface warfare systems
  and identifying what future technologies could be
  employed to augment those systems.
• Investigation of Personnel Ascender Gas Grain
  Generator - Quoin International, Inc.
• The objective is to develop and conduct safety
  testing of a solid propellant gas generator to
  assure it is safe for use by military personnel
  when used in conjunction with the Quoin Powered
  Ascender. The ascender device was developed by
  Quoin for US Special Forces personnel to provide
  a means of accessing heights such as boarding a
  tanker, or accessing a multi-story building.

6 Dec 04
21
Patent License Agreements (PLAs)
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Patent License Agreements

• Agreements to license commercial use of a patent
• Exclusive use
• Partially exclusive use
• Non-exclusive use
• Existing, actively maintained, patent
• Royalty payment and assignment
• Benefits all parties to the agreement
• Total available patents 350
• License not needed when Government is the end
  recipient of patent use

3 Mar 03
23
NAWCWD Patent and PLA Metrics for FY04
China Lake
Pt. Mugu

• New Patent Disclosures - 47
• New Patent Filings - 34
• New Patents Issued - 16
• Total Active PLAs - 3
• New PLAs in FY04 1

• New Patent Disclosures - 16
• New Patent Filings - 17
• New Patents Issued - 21
• Total Active PLAs - 0
• New PLAs in FY04 0

3 Dec 04
24
Patent License Agreements Thru FY04

• PLAs to date
• Chemiluminescent Lightsticks with American
  Cyanamid Company (FY89)
• Chemiluminescent Lightsticks with Chemical
  Device Corp (FY89)
• Near Infrared Polarizers with Shimadzu Corp
  (FY90)
• Urinal Decalcification Tablets with Klas-Kem,
  Inc. (FY92)
• Nondestructive Analysis of Multilayer Roughness
  Correlation with OCLI (FY92)
• Pumice Technology License with NDTI (FY97)
• Continuous Emission Monitoring License with
  Thermo Jarrell Ash (FY98)
• Computer Security System with Market Central,
  Inc. (FY99)
• CL-20 Energetic Material with Thiokol Propulsion
  Corp (FY00) (active)
• Lead-Free Percussion Primer with SNC
  Technologies Inc. (FY02) (active)
• Shielded Computer Network Switch with Market
  Central, Inc. (FY04) (active)
• Potential New PLAs Under Discussion - 0
• Cumulative PLA royalties received through FY04
  - 387K

8 Dec 04
25
Navy Potential Contractor Program (NPCP)
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Navy Potential Contractor Program
(NPCP)Agreements

• Oriented toward information exchange (system
  requirements)
• Mutual benefit to both parties
• Provides Contractor access to DTIC
• Can be related to contractor IRD
• Provides Navy with knowledgeable industrial base
• 3 year maximum duration
• Local approval authority

4 Feb 03
27
Informal Technical Assistance
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Informal Technical Assistance Consultation

• Informal technical advice and consultation
  usually over the telephone or email
• Performed at discretion of NAWCWD scientist
• Must not conflict with mission
• Unfunded task
• Information only, no physical work performed

11 Feb 98
29
Technology Transfer Websites

• NAWCWD, China Lake Site - http//www.nawcwd.navy
  .mil/techtransfer/
• Navy (ONR) T2 Site - http//www.onr.navy.mil/sci_
  tech/industrial/362/tech_tran/
• Federal Laboratory Consortium -
  http//www.federallabs.org
• National Technology Transfer Center -
  http//iridium.nttc.edu
• Defense Technical Information Center -
  http//www.dtic.mil/dtic/prodsrvc/
• Dept. of Defense Technology Transfer -
  http//www.dtic.mil/techtransit/index.html

6 Dec 04
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NAWCWD China LakeTechnology Transfer Points of
Contact

• CRADAs, PLAs, NPCPs, and Industrial Liaison
• Technology Transfer Office (Code 4T1100D)
• Bill Webster (ORTA) (760) 939-1074
• Legal Considerations and Advice
• NAWCWD General Counsel (Code K00000D)
• Kristin Becker (760) 939-2642

25 July 02
31
Technology Transfer Office History

• Technology Utilization Office - George
  Linsteadt (1971-1985)
• Beginning of Local Technology Transfer Program,
  ORTA, IRAD Coordination
• Located on Technical Director Staff
• Manufacturing Technology Office - Chuck Newmyer
  (1981-1989)
• Local ManTech Program Support, Coordination, and
  Administration
• Industrial Government Liaison Office - George
  Linsteadt (85-89)
• Chuck Newmyer (89-93)
• Bernie Wasserman (94)
• Bill Webster (94)
• ORTA, IRAD, ManTech (89), Technology Transfer
  (NPCPs TEAs)
• Initially located on Tech Director Staff then
  under Tech Advancement Group
• Commercial Applications and Transfer Office
  - Elaine W. Janson (89-93)
• Martha Harrington (93-94)
• Technology Transfer via CRADAs and Patent License
  Agreements
• Located on Technical Director Staff

3 Dec 04
32
Commercial Service Agreements(Work for
Others)(Special Deposits)

• CSAs are one-sided (vice joint) work agreements
  wherein the Government performs the work and the
  non-Government partner fully pays for the
  services rendered
• CSAs can be undertaken provided that
• We are providing a service that is not readily
  available in private industry
• We are not directly competing with private
  industry
• NAWCWD must be fully reimbursed for all costs
• Money must be received before work can be
  initiated (federal anti-deficiency law)

25 July 02
33
CSA or CRADA, Whats the Difference?

• Commercial Service Agreement (CSA)
• Authorized under 3 CSA statutes (10 USC 2681,
  2539b, 2563)
• Provides a service for fee (joint work usually
  not involved)
• Must be fully reimbursed for costs per a
  certified cost analysis
• Charging rates vary depending on funding source
• Funding must be received before work can be
  initiated
• Certification of non-competition with industry
  required except for testing work done in support
  of a DoD contract
• Always negotiated through the Business
  Development Office
• Principal benefit received by government is
  funding and enhanced ability to perform Navy
  Mission
• Principal benefit received by company is service
  rendered
• Cooperative Research and Development Agreement
  (CRADA)
• Authorized under 15 USC 3710a, with Navy policy
  set by ONR
• Involves joint research and development (both
  partners participate)
• Government may accept full, partial, or no
  reimbursement but cannot provide any funds
• If funding is required, charging rate is the same
  as used for in-house government projects
• Competition with industry not an issue
• Always negotiated through the NAWCWD Technology
  Transfer Office
• Principal benefit received by government is
  technology, facilities, funding, etc.

8 Dec 04