Technology Transfers Between Military, Civilian, and Foreign

Markets

Technology Transfers Between Military, Civilian, and Foreign

Markets Dr. Michael A. Kuliasha, Chief Technologist

Air Force Research Laboratory

AFMC Senior Leaders ConferenceAFA Technology Symposium

September 3, 2009

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Who is transferring what to whom?

The Stevenson-Wydler Technology Innovation Act of 1980 (Public Law 96-480) established the foundation for technology transfer within the Federal government

“It is the purpose of this Act to improve the economic, environmental, and social well-being of the United States by… stimulating improved utilization of federally funded technology developments, including inventions, software, and training technologies, by State and local governments and the private sector.”

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Technology transfer originally perceived as Federal Government-Out

FederalGovernment

Industry

State and LocalGovernment

ForeignMarkets

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Who is transferring what to whom?

USPTO Percent Patents Granted: 01/01/2008 - 12/31/2008

  2008

U.S. CORPORATION 44.3

U.S. GOVERNMENT 0.4

U.S. INDIVIDUAL 5.7

FOREIGN CORPORATION 47.2

FOREIGN GOVERNMENT 0.0

FOREIGN INDIVIDUAL 2.3

USPTO Patents Granted: 01/01/2008 - 12/31/2008  2008

INTERNATIONAL BUSINESS MACHINES CORPORATION

4169

SAMSUNG ELECTRONICS CO., LTD.

3502

CANON KABUSHIKI KAISHA 2107

MICROSOFT CORPORATION 2026

INTEL CORPORATION 1772

TOSHIBA CORPORATION 1575

FUJITSU LIMITED 1475MATSUSHITA ELECTRIC INDUSTRIAL CO., LTD.

1469

SONY CORPORATION 1461

HEWLETT-PACKARD DEVELOPMENT COMPANY, L.P.

1422

U.S. Government 676

U.S. Government would be #23 – right behind Honda!U.S. Government would be #23 – right behind Honda!

5

0

10

20

30

40

50

60

70

80

90

100

Inventions Disclosures ReceivedWPAFB

WPAFB Invention Disclosures

6

Air Force Patents Issued

0

20

40

60

80

100

120

1995 1997 1999 2001 2003 2005 2007

Air Force Patents Issued1995-Present

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AFMC Tech Transfer Challenges

• Manning Shortages– 2 Patent Attorney Vacancies

• Increasing Technology Transfer Emphasis– Goal of AF T2 Program Manager to Increase T2 Activities by

25-50% in FY09

• Conducting S&E training on inventions • Administration/Enforcement of Patent Licenses

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U.S. R&D Funding by Source(expenditures in billions of constant 2007 dollars)

1953

1957

1961

1965

1969

1973

1977

1981

1985

1989

1993

1997

2001

2005

0.0

50.0

100.0

150.0

200.0

250.0

300.0

OtherIndustryFed Gov

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The world is flat – science is flatter!

+96%

** OECD 2007 PPP; 2007 Global R&D Report (Battelle)

1%

2%

3%

2%

1%

EU 24% 13% 3%

4%

32% 13%

<1%

Asia Share1996: 26%2006: 36%

2%

1%

3%

2%

2%

28%4% 3%38

% 16%

<1%* UIS S&T database; World Bank - PPP data

1%

Global S&T Investment: 1996 - $518B, 2006 - $1,015BGlobal S&T Investment: 1996 - $518B, 2006 - $1,015B

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U.S. no longer exclusive leader in science and technology

• Major new scientific facilities are international

• Many high-tech COTS products manufactured abroad

• U.S. industry has reduced corporate R&D

• Military applications no longer leading source of innovation

International Thermonuclear Experimental Reactor – world’s largest energy experiment (Russia, China, Japan, EU, Korea, India, and U.S.)

CERN - world's largest particle physics laboratory (France)

Earth Simulator – world’s fastest computer (Japan)

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Spin-in Examples

Blackberry

Surefire M6 Guardian

MIOX Water Purifier

Oakley SI M 2.0 Frame

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Traditional Air Force concepts of technology transition and technology transfer are obsolete

Transition: Formal Acquisition process of delivering products to the Warfighter (program of record.)

Transfer: Process of working with non-government entities to share and exchange technology (non-contract activities outside of the Federal Rules of Acquisition).

LabsWarfighters

Companies

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21st century science and technology transfer is multi-directional

U.S.Industry

InternationalIndustry

U.S.Government

U.S.Academia

ForeignGovernments

ForeignAcademia

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National Defense Authorization Act for FY 1991

Federal Technology Transfer Act of 1986

Bayh-Dole Act of 1980

Technology Transfer Mechanisms

EPA

CRADA

TECHNOLOGYTRANSFER

Government to Government Government to Industry

National Defense Authorization Act for FY 1994

National Defense Authorization Act for FY 1993

Small Business Research & Development Act of 1992

National Competitiveness Technology Transfer Act of 1989

Stevenson-Wydler Technology Innovation Act of 1980

Grants

Other Transaction Authority (OTA)

IR&D

Mentor-Protégé

Partnership Intermediaries (PIA)

STTR

Dual Use

CTA

Alliances

Education Outreach

Small Business Innovation Development Act of 1982

SBIR

Cooperative Agreements

Contracts

Technology Investment Agreement (TIA)

National Defense AuthorizationAct for FY 2006

Commercialization Pilot Program (CPP)

Patent License Agreement (PLA)

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Technology transfer adds value to Air Force programs

• Expands both Air Force and partner capabilities– Provide/receive facilities & equipment – Share research results– Access critical expertise

• Reduce the overall schedule of programs– Collaborate on research– Conduct additional research of interest

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AFRL’s technology transfer covers a range of products

System Design - DSX

• Thorough understanding of the key physics – often embodied in computer models

• Key technologies for the product centers and users

• Stimulus for new operational concepts and requirements elicitation

UNCLASSIFIED // For Official Use Only 66%071212 Livermore Presentation

Visible Arrays for Space Applications

• Achieve a 15X improved radiation hardness over charge coupled devices

• Large field of view (FOV) via 1k x 1k format

• Approach the sensitivity level of CCDs

The Approach• Exploit our legacy IR ROIC designs

Low noise, mixed mode CMOS ROIC

• Simplify system integration with SOA

on-chip A/D conversion

• Thinned Si-PIN detector array

CMOS sensor alternatives for SBSS Block 20

The Problem

Visible CCD arrays do not survive well in high radiation environments,

such as MEO orbits

The Objective

Space Sensors - VAST

Human Factors

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Technology transfer influenced by a range of issues

• Challenges– International Traffic in Arms Regulations (ITAR)– Foreign national limitations– Classification– Internationalization – what is a U.S. company?– Intellectual property– No “AFRL Inside” to identify a successful transfer

• Opportunities– CRADAs– International cooperative agreements– Increasing speed to market– Collaboration centers

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• A written agreement between one or more TDs and one or more non-federal parties under which the TD(s) provides personnel, facilities, equipment or other resources with or without reimbursement (but not funds to non-federal parties)

• The non-federal parties provide funds, people, services, facilities, equipment, or other resources to conduct specific research or development efforts that are consistent with the TD’s mission

• The objective of a CRADA is R&D and can include testing

Cooperative Research and Development Agreements (CRADAs)

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CRADA Details

• Authorizes exchange of personnel, services, facilities, equipment or other resources toward the conduct of specified R&D effort consistent with lab mission

• Authorizes parties to determine rights in inventions, patents and other intellectual property

• Not a procurement contract/grant• Trade secret and commercial and financial information

protected from disclosure under the Freedom of Information Act

• Preference for small business and businesses located in the US

• Allows for Quid Pro Quo• Collaborator may provide research dollars

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Air Force and Non-Disclosure Agreements

• Industry/Academia was not satisfied with the protection afforded them under the Trade Secrets Act (18 USC 1905)– “… unauthorized disclosure…shall be fined under this title, or

imprisoned not more than one year, or both; and shall be removed from office or employment.”

• Industry wanted the Air Force to sign a “traditional” non-disclosure agreement– In general, Air Force does not have the authority to sign NDAs

• Air Force Legal Counsel recommends that individual Air Force employees do NOT sign NDAs– Most AF employees not authorized to bind the government,

therefore would be personally liable

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Special Purpose (SP)-CRADA NDA

• Mechanism that addresses the desire to exchange confidential and proprietary information and discuss that information between an Air Force laboratory and industry/academia BEFORE being able to determine whether it is beneficial to enter into a full CRADA

• Based on CRADA Statute and extends authority for CRADAs to protect initial discussions concerning Technologies/Research that would eventually occur under a CRADA

• Typically utilized where there is concern about the protection of information and/or Intellectual Property

• This approach is unique to Air Force

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General NDA Characteristics

• Limited in Scope• Short-Form Agreement• Specifically covers Information Disclosures• Does not cover Actual Research Activities• Limited Life of Agreement• Quick Turn-Around

NDAs are not intended to:• Be signed and reviewed by Senior Leadership• Serve as a formal long-term collaboration vehicle

Other NDAs are signed as new discussions are identifiedOther NDAs are signed as new discussions are identified

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Export control regulations are a major challenge to tech transfer

• What is an export?– Simple definition: an “export” is the transfer of anything to a “foreign person”

at any place, any time, by any method• “anything” = physical item, data, services, assistance, etc.• “foreign person” = individual, entity, embassy, agency, or agent of foreign interest• Full definitions of “export” and “foreign person” are listed in various regulations

• US export control regulations currently in effect– Depts of Interior, Energy, Commerce, State, Treasury, Justice, also the FDA,

DEA, EPA, even Health & Human Services, • Multilateral Export Control Regimes

– Missile Technology Control Regime (Missile & WMD Delivery Technology)– Wassenaar Arrangement (Dual Use & Munitions)– Australia Group (Chemical & Biological)– Nuclear Suppliers Group (Nuclear Proliferation)

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Non U.S. Citizen with Temporary

U.S. Work Permit

Non U.S. Citizen with Temporary

U.S. Work Permit

NonU.S.

Citizen with No Right to

Work in U.S.

NonU.S.

Citizen with No Right to

Work in U.S.

ForeignPerson

Under the NationalIndustrial SecurityProgram OperatingManual

Under theInternational Traffic

in Arms Regulations

U.S.Person

Non U.S. Citizen with Permanent Resident Status or Refugee / Asylee Status

Non U.S. Citizen with Permanent Resident Status or Refugee / Asylee Status

U.S. Citizen(unless employed by a Foreign Company)

U.S. Citizen(unless employed by a Foreign Company)

ForeignNational

Under the Export Administration Regulations Any citizen or permanent resident Alien of the United States,

protected individual, juridical person organized under U.S. laws(including foreign branches), and any person in the United States.

Under the Export Administration Regulations Any citizen or permanent resident Alien of the United States,

protected individual, juridical person organized under U.S. laws(including foreign branches), and any person in the United States.

Foreign Person vs. U.S. Person

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AFRL has established collaborative institutes at its major operating locations

C E N T

E R

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Need to change “not invented here” to “proudly found elsewhere”

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