Transcript Slide 1

Technology Transfers Between
Military, Civilian, and Foreign
Markets
Dr. Michael A. Kuliasha, Chief Technologist
Air Force Research Laboratory
AFMC Senior Leaders Conference
AFA Technology Symposium
September 3, 2009
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.”
2
Technology transfer originally
perceived as Federal Government-Out
Industry
Federal
Government
Foreign
Markets
State and Local
Government
3
Who is transferring what to whom?
USPTO Patents Granted: 01/01/2008 - 12/31/2008
2008
INTERNATIONAL BUSINESS
MACHINES CORPORATION
4169
3502
USPTO Percent Patents Granted: 01/01/2008 12/31/2008
2008
2107
U.S. CORPORATION
44.3
MICROSOFT CORPORATION
2026
U.S. GOVERNMENT
0.4
INTEL CORPORATION
1772
U.S. INDIVIDUAL
5.7
TOSHIBA CORPORATION
FUJITSU LIMITED
MATSUSHITA ELECTRIC
INDUSTRIAL CO., LTD.
SONY CORPORATION
HEWLETT-PACKARD
DEVELOPMENT COMPANY,
L.P.
U.S. Government
1575
1475
FOREIGN CORPORATION
47.2
FOREIGN GOVERNMENT
0.0
FOREIGN INDIVIDUAL
2.3
SAMSUNG ELECTRONICS
CO., LTD.
CANON KABUSHIKI KAISHA
1469
1461
1422
676
U.S. Government would be #23 – right behind Honda!
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WPAFB Invention Disclosures
Inventions Disclosures Received
WPAFB
100
90
80
70
60
50
40
30
20
10
0
5
Air Force Patents Issued
Air Force Patents Issued
1995-Present
120
100
80
60
40
20
0
1995
1997
1999
2001
2003
2005
2007
6
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
7
U.S. R&D Funding by Source
(expenditures in billions of constant 2007 dollars)
300.0
250.0
200.0
Other
Industry
Fed Gov
150.0
100.0
50.0
1953
1956
1959
1962
1965
1968
1971
1974
1977
1980
1983
1986
1989
1992
1995
1998
2001
2004
0.0
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The world is flat – science
is flatter!
Global S&T Investment: 1996 - $518B, 2006 - $1,015B
2%
2%
38
4% 3%
28%
%
1
2% %
<1%
3%
1
* UIS S&T database; World Bank - PPP data
%
Asia Share
1996: 26%
2006: 36%
16%
+96%
2%
32%
2%
EU
24%
13%
4%
3%
** OECD 2007 PPP; 2007 Global R&D Report (Battelle)
<1%
13%
3%
1
%
1%
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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
Earth Simulator – world’s fastest
computer (Japan)
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)
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Spin-in Examples
MIOX Water Purifier
Blackberry
Oakley SI M 2.0 Frame
Surefire M6 Guardian
11
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.)
Labs
Warfighters
Companies
Transfer: Process of working with non-government
entities to share and exchange technology (noncontract activities outside of the Federal Rules of
Acquisition).
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21st century science and technology
transfer is multi-directional
U.S.
Industry
U.S.
Government
U.S.
Academia
International
Industry
Foreign
Governments
Foreign
Academia
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Technology Transfer Mechanisms
Government to
Government
Alliances
Contracts
Commercialization Pilot Program (CPP)
Grants
National Defense Authorization
Act for FY 2006
National Defense
Authorization Act for FY 1994
Government to Industry
Stevenson-Wydler Technology
Innovation Act of 1980
Cooperative Agreements
CTA
Bayh-Dole Act of 1980
Patent License Agreement (PLA)
National Defense
Authorization Act for FY
1993
TECHNOLOGY
TRANSFER
Dual Use
SBIR
Small Business Research
& Development Act of 1992
STTR
Small Business
Innovation Development
Act of 1982
Federal Technology Transfer
CRADA Act of 1986
Mentor-Protégé
IR&D
National Defense
Authorization Act for FY 1991
EPA
National Competitiveness Technology
Transfer Act of 1989
Education Outreach
Other Transaction Authority (OTA)
Partnership Intermediaries (PIA)
Technology Investment Agreement (TIA)
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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
• Stimulus for new operational concepts and
requirements elicitation
Human Factors
System Design - DSX
• Thorough understanding of the key physics – often
embodied in computer models
Visible Arrays for Space Applications
CMOS sensor alternatives for SBSS Block 20
The Problem
Visible CCD arrays do not survive
well in high radiation environments,
such as MEO orbits
Space Sensors - VAST
• Key technologies for the product centers and users
The Objective
• Achieve a 15X improved radiation
hardness over charge coupled
The Approach
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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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Cooperative Research and
Development Agreements (CRADAs)
• 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
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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
20
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 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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Foreign Person vs. U.S. Person
Under the National
Industrial Security
Program Operating
Manual
Foreign
National
Non
U.S.
Citizen
with No
Right to
Work in U.S.
Under the
International Traffic
in Arms Regulations
Non U.S. Citizen
with Temporary
U.S. Work Permit
Foreign
Person
Non U.S. Citizen with
Permanent Resident Status
or Refugee / Asylee Status
U.S.
Person
U.S. Citizen
(unless employed by a Foreign Company)
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.
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AFRL has established collaborative
institutes at its major operating
locations
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Need to change “not invented here”
to “proudly found elsewhere”
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