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Title: Using Dual Use Science and Technology Development to Meet Critical U'S' Defense Needs


1
Using Dual UseScience and Technology Development
to Meet Critical U.S. Defense Needs
  • Presentation to the Seoul Conference
  • on
  • Dual Use Technology
  • 5 December 2001
  • By
  • Dr. Jack H. Nunn

2
Agenda
  • Definition of Dual Use Technology
  • Overview of Selected DoD RD Activities
  • COSSI, CRADA, SBIR, MANTECH
  • Dual Use ST
  • Status, Objectives
  • Program management
  • Project examples
  • Conclusions and Lessons Learned
  • Discussion of Draft Handbook

3
Dual Use Technology Development
A technology that has both defense and
non-defense applications.
4
Changed Situation
  • DoD faces profound changes
  • Different threats
  • Different global economic and technology
    situation
  • Increased commercial component of National RD
  • These changes demand new ways for the DoD to
    develop and acquire technology
  • Use a greater range of technology providers
  • Greater exploitation of commercial technology
    investment
  • Improved management of technology investment and
    the ability to more rapidly exploit those
    investments

5
DoDs Recent Dual Use Efforts
FY96 FY97 FY98 FY02
Commercial Technology Insertion Program Managed
by OSD
Dual Use Applications Program Managed by DARPA
DUST Initiative
COSSI


Dual Use ST Program OSD Oversight Managed by
Services
Commercial OS Savings Initiative OSD
Oversight Managed by Services
FY03
Institutionalize Dual Use ST Process
6
Activities with Commercial Industry
  • Dual Use ST (DUST) Program
  • Aimed specifically at commercial industry
  • Relatively small program, but process could be
    widely used
  • Commercial Operations and Support Savings
    Initiative (COSSI)
  • Aimed at commercial firms
  • Small, but could be expanded
  • Cooperative Research and Development Agreement
    (CRADA)
  • Agreement between private sector and laboratory
    to collaborate on RD
  • Private partner pays for its research, Government
    pays for its research, no money changes hands
  • Small Business Innovation Research (SBIR) Program
  • Established by Congress in 1982, represents a
    tax on agency RD funds
  • Three phases, 100K Phase I, 750K Phase II, Seek
    financing Phase III.
  • Competitive, Intellectual Property Rights to firm
  • Manufacturing Technology (ManTech)
  • Seeks affordable, low-risk production
  • Seeks to leverage industrys manufacturing
    technology investments (cost sharing)
  • Targets multi-project issues

7
Activity Funding Levels
  • For FY 01, the total Department of Defense RDTE
    budget was over 37.86 billion
  • Of that, DUST programming accounted for about
    30.3 million
  • The ManTech program appropriated 198.9 million
  • DoDs SBIR program was about 500 million

SBIR funding figures for 2001 are not yet
finalized. Program executives estimate the
amount will be over 500 million
8
COMMERCIAL OS SAVINGS INITIATIVE (COSSI)
  • 77 Projects since 1997
  • Program Goals
  • Reduce OS costs for legacy systems
  • Simplify Prototype Development by using Other
    Transaction Authority
  • Attract Commercial Firms
  • 234M COSSI / 143M Contractor
  • 10 Projects in Follow-on Production
  • FY02 Budget Request 10.8 million

9
The DoD DUST Program
  • Program Established by Congress in FY 1998
  • Directed that a senior DoD official oversee dual
    use investments to meet war-fighting needs. DDRE
    was appointed to that position
  • Established Dual Use ST investment goals
  • Objective was to make DU ST a normal way of
    doing business
  • Current Status
  • Approximately 1 Billion invested in more than
    350 projects
  • These investments are providing benefits and
    meeting war-fighting needs
  • Moving from pilot Program to embedded DoD Dual
    Use ST process
  • Consideration of Dual Use ST Development is now
    in 5000.1
  • Air Force retains separate funding Program
    Element in FY2003
  • Army and Navy are not implementing the process
  • Legislative directive to pursue Dual Use ST
    development and have senior DoD oversight remains

10
Program Objectives
  • Leverage commercial industrys technology
    developments
  • Gain access to additional sources of innovation
  • Stimulate RD in key technology sectors
  • Ease the burden of contracting with the government

11
Program Characteristics
  • Basic Approach
  • Cost Sharing Between the Program,
  • Services, and Industry
  • Use of Other Transactions and Cooperative
    Agreements in lieu of standard contracting to
    attract commercial firms
  • Provides increased flexibility during negotiating
    - Intellectual Property Rights
  • Allows agreements to be based on commercial
    practices
  • Milestone payments based on achievement
  • Use of commercial cost accounting practices and
    audits

Other Service Funding 25
DU ST Funding 25
Non-Federal Funding 50
An Effective Partnership Between DoD and
Industry is the Key to Success
12
Project Selection Criteria
  • Minimum Requirements
  • FY 98 Defense Authorization Act
  • Project must result in development of a dual use
    technology
  • At least 50 of project cost must be paid by
    non-federal sources
  • Award must be based on competitive procedures
  • OSD guidance states that projects must be awarded
    using Technology Investment Agreements (Other
    Transactions or Cooperative Agreements)
  • Selection Criteria
  • Military Benefit
  • Quality of Industry Cost Share
  • Commercial Viability
  • Technical Management Approach

13
Cost Share Requirements
By law, 50 of the cost of the project must be
paid by non-federal sources and at least 50 of
this cost share must be high quality.
  • Three Categories of Cost Share
  • High Quality - Cash Subject to Direction of
    Project Management Team IRD is acceptable
  • Low Quality - Non-Financial Resources
    Subject to Project
  • Management Team. Includes
  • - Wear Tear on Capital Assets
  • - Prorated Value of Space Used for Project
  • Unacceptable - Resources not Expended on Proposed
    SOW or not
  • Subject to the Direction of the Project
    Management Team. Includes
  • - Sunk Costs
  • - Parallel Research

14
Projects Use Cooperative Agreementsor Other
Transactions
15
DUST Investment Trends
Total Projects
Private Sector Funding
DoD Funding
Year
195.5M
163.1M
1997
68
85
103.1M
92.9M
1998
65
96.5M
87.4M
1999
63
64.8M
64.5M
2000
47
56.7M
54.6M
2001
328
516.6M
462.5M
Total
16
Distribution of Projectsby Technology Area
1997 - 2001
17
Expanding Sources of Innovation
18
Project Successes

Selected Examples
Objectives
Benefits
Project Name
Active Braking Systems for Medium Duty Wheeled
Vehicles
Put electronically controlled ABS in medium duty
ground military vehicles
  • Improved performance
  • Improved safety
  • Save 2000/unit
  • Estimate 50 Mil savings in HMMWV A4
    procurement
  • Commercial sales in 2002

19
Active Braking System
Commercial Active Braking System for Medium Duty
Wheeled Vehicles Project Value - 3M Contractor
- Continental TEVES
OBJECTIVE Develop and demonstrate a cost
effective commercial active braking system (ABS)
and low speed tractor control for light and
medium duty military vehicles and medium
commercial vehicles.
MILITARY BENEFIT Initially applied to Armys
HMMWV. Improved performance with dramatic cost
reductions (ABS saves approximately 1,500 per
vehicle or 30M per fleet).
COMMERCIAL BENEFIT Applies technology to
heavier class of commercial vehicles.
20
Renewal of Software
MSI Renewal of Legacy Software Systems Project
Cost - 4.6M Contractor - CPU Technology Inc.
OBJECTIVE Demonstrate the feasibility of
replacing aging obsolete processors with a
verifiable hardware emulator that can execute
legacy software.
MILITARY BENEFIT Technology allow reuse of
software, incremental upgrades, improved
processor performance, throughput, and speed.
COMMERCIAL BENEFIT Use in commercial aviation,
banking, communication networks, and space
systems.
21
Aviation Navigation and Traffic Avoidance
Future Air Navigation and Traffic Avoidance
Solution Through Integrated Communication /
Navigation / Identification (FANTASTIC) Project
Cost - 10M
  • Contractor - Rockwell Collins, Inc.

OBJECTIVE Adapt commercial grade hardware and
software modular products to upgrade fighter
aircraft communication, navigation, and
surveillance to meet new air traffic control
requirements.
MILITARY BENEFIT Low cost way to meet required
retrofit for F15 and F16.
COMMERCIAL BENEFIT Meets commercial requirement
to comply with new air traffic control
requirements.
22
Improved Heating Source for Field Rations
  • Improved Heating Source for Field Rations
  • Project Cost - 200K
  • Contractor - TDA Research, Inc.

OBJECTIVE Investigate and demonstrate new
materials and manufacturing processes for the
Flameless Ration Heater (FRH) used with Meals
Ready to Eat (MRE).
MILITARY BENEFIT Less expensive, safer, and more
environmentally friendly FRH. Providing a
savings of approximately 1.8M per year.
COMMERCIAL BENEFIT The safer and more
environmentally friendly technology meets the
growing needs of the commercial market.
23
Nanostructured Coatings
Thermal Sprayed Nanostructured CoatingsProject
Cost - 3.6M Contractors - Inframat Inc.,
Nanodyne Inc., Praxair, Sermatech, Rutgers, NEI
Inc., AA Company
OBJECTIVE Develop and demonstrate highly wear,
erosion, and corrosion resistant nanostructure
coatings.
MILITARY BENEFIT Reduced acquisition and life
cycle costs for ships, aircraft, and land
vehicles.
COMMERCIAL BENEFIT Expected uses on automobile
and aircraft parts, machine tools and mining
equipment.
24
Radiation Tolerant Microelectronics
Commercial Radiation Tolerant Deep Submicron
Microelectronics Project Cost -
9.4M Contractors - National Semiconductor
Corp., Mission Research Corp., Naval Research
Lab., RLP Research, and AK Research Training
OBJECTIVE Develop large-volume microelectronics
fabrication line to provide low-cost,
radiation-tolerant parts to military and
commercial systems. MILITARY BENEFIT Cost
reductions of 10-100X. Speed increase of 3X and
12X circuit density increase. Decreases in
size, weight and power needs of electronics.
COMMERCIAL BENEFIT Reduced cost and enhanced
performance will increase commercial space use.
25
Optical Character Recognition
Optical Character Recognition for Arabic or
Persian Script Project Cost - 1.4M Contractors
Applications Technology Inc.
OBJECTIVE Develop a high-accuracy Optical
Character Recognition (OCR) for Arabic and
Persian script for the Army and the Air Force to
replace the inadequate commercial off-the-shelf
(COTS) systems now being used. MILITARY
BENEFIT It will improve the Army's ability to
collect and analyze intelligence from foreign
language documents in the low-quality form (torn,
soiled, faxes, multi-generation copies) that is
typically found in the field.
COMMERCIAL BENEFIT The commercial market for
multilingual OCR is growing, with special
interest in documents from the Arabic world,
where electronically represented text is
relatively recent and original documents must be
scanned and converted.
26
Program Metrics
  • Developed Metrics to Help Manage the Program
  • Focused on Quantifiable Measures of Success to
    Include
  • Size of Program - Dollars Invested Numbers of
    Projects
  • Technologies - Technology Areas Commercial
    Technologies
  • Spread of Dual Use - Number of Companies
    Organizations Involved
  • Transition Plans Transitions
  • Defense Commercial Benefits
  • Dual Produce
  • Program Status

27
Program Demonstrated the Benefits of Dual Use ST
  • Dual Use ST development helps meet the
    DoDs needs and will lower
  • costs and/or improved performance of
    defense systems.
  • Leverages industrys technology developments -
    During the first four years of the Dual Use ST
    Pilot Program, over 500 million of industry
    money has been invested to help meet defense
    needs.
  • Gains access to additional sources of innovation
    - More that one-third of the firms in the Pilot
    Program are commercial, many of whom had
    previously done no or only limited business with
    the DoD. That percentage is growing.
  • Incorporate military requirements into commercial
    products - Cooperative ST with industry allows
    the DoD to influence corporate decisions and
    incorporate unique DoD requirements early in the
    design stage.
  • Reduces acquisition and logistics costs -
    Increased use of commercial technologies provides
    economies of scale to DoD procurements and access
    to worldwide logistics support. DoD funds ensure
    that defense requirements are accommodated in the
    technology development.

28
Need to Move from Program to Process
GOAL - Use DUST concepts to stretch RD funds
and increase access to technology. CONCEPT -
Consider if dual use ST development is
appropriate before initiating a development
program. If not appropriate pursue unique
military development. Have incorporated this in
5000.1. CONCENTRATE - On Leadership support,
Education, Policy Eliminating Barriers. TARGET
- Total amount of potential dual use ST effort
is unknown, but 8 to 10 of total Service ST
effort is viewed as possible.
29
Conclusions/Lessons Learned
  • Dual Use Works
  • Cost Savings
  • Access to more sources of innovation
  • Industry must be a partner, rather than a
    contractor
  • Share risks and benefits
  • Cost share is essential
  • Intellectual property rights to industry except
    in rare exception
  • Dual Use ST development will be resisted by many
    in the government research system
  • New, more difficult to negotiate and oversee
  • Uncertainty of legal status
  • Lack of incentives

30
Conclusions/Lessons Learned
  • Successfully implementing a dual use ST
    development program requires senior leadership
    support and commitment
  • Senior DoD and Service leadership
  • Laboratory and Division Management
  • Enduring involvement
  • Success requires incentives
  • Government incentives to change (e.g., program
    success, money, recognition)
  • Industry incentives to cooperate with government
    (use of Technology Investment Agreements,
    protection of rights in technical data)
  • Success requires a significant educational effort
  • Informing government and industry of the benefits
  • Provide information on how to conduct such
    research, (e.g., identifying opportunities,
    contracting, transition)

31
Dual Use Handbook
  • Discussion of new DoD Dual Use ST Handbook

32
Backup Slides
33
Current Legislation
  • b. GOALS
  • (1) Subject to paragraph (3), it shall be the
    objective of the Secretary of each military
    department to obligate for dual-use projects in
    each fiscal year referred to in paragraph (2),
    out of the total amount authorized to be
    appropriated for such fiscal year for the applied
    research programs of the military department, the
    percent of such amount that is specified for that
    fiscal year in paragraph.
  • (2) The objectives for fiscal years under
    paragraph (1) are as follows
  • A. For fiscal year 1998, 5 percent.
  • B. For fiscal year 1999, 7 percent.
  • C. For fiscal year 2000, 10 percent.
  • D. For fiscal year 2001, 15 percent.

34
Air Force Focus Areas FY03
  • Information Technology
  • Biotechnology
  • Affordable Wide Bandgap Semiconductor Materials
    for RF Devices
  • Robust Composite Fabrication and Design
  • Affordable Large Transparent Windows
  • Sensors Enabling Technologies
  • Space Vehicles
  • Nano-Particle Materials Turbine Engine Technology
  • Power and Thermal Management
  • Landing Gear Structural Materials Aircraft
    Sustainment
  • Unmanned Air Vehicles
  • Space Access and Future Strike Systems
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