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NAVAIRWD Technology Transfer Program Overview

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FY97 R&D Magazine 'R&D 100 Award' (Nobel of Applied Research) ... Principal benefit received by government is technology, facilities, funding, etc. ... – PowerPoint PPT presentation

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Title: NAVAIRWD Technology Transfer Program Overview


1
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
4
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
7
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
8
Cooperative Research and Development Agreements (C
RADAs)
9
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
10
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
13
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
16
(No Transcript)
17
(No Transcript)
18
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)
22
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)
26
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
28
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
30
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
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