Department of Defense Annual Report




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Department of Defense


Annual Report

on

Cooperative Agreements



and

Other Transactions

Entered into During FY2000

Under 10 USC 2371



INTRODUCTION
This report is provided in accordance with 10 U.S.C. 2371(h) which requires the Secretary of Defense to submit a report annually to the Senate Committee on Armed Services and the House of Representatives Committee on Armed Services on all those transactions entered into under 10 U.S.C. 2371(a) which are not categorized as contracts, cooperative agreements or grants (hereafter referred to as “other transactions”) and all cooperative agreements entered into under 10 U.S.C. 2358 which include a section 2371 authorized clause requiring “Recovery of Funds”.
The Secretary of Defense and the Secretary of each military department are authorized by section 2371 to enter into other transactions to carry out basic, applied, and advanced research projects. That same authority also permits certain transactions to include a clause requiring a person or other entity to make repayments of funds to the Department of Defense or any other department or agency of the Federal Government as a condition for receiving support under the agreement or other transaction. The authority of 10 U.S.C. 2371 was extended by Section 845 of Public Law 103-160 and Section 804 of Public Law 104-201 to permit the Director, Defense Advanced Research Projects Agency (DARPA), the Secretary of a military department, and any other official designated by the Secretary of Defense, to enter into other transactions to carry out prototype projects that are directly relevant to weapons or weapon systems proposed to be acquired or developed by the Department of Defense.
The amounts reported for non-government dollars for research and prototype projects include research and development investments made by for-profit firms. It is standard business practice for all for-profit firms to recover research and development investments through prices charged to their commercial and Government customers. Thus, firms that do business with the Federal Government may recover a portion of their investments through commercial prices of items sold to the Government or through allocations of Independent Research and Development costs to cost-type Government contracts.
This report addresses cooperative agreements that included a “recoupment clause” and two types of other transactions: other transactions for research and other transactions for prototypes. There were no instances of funds recovered due to the use of recoupment clauses in FY 2000. Collectively, Army, Navy, Air Force, DARPA and the National Imagery and Mapping Agency submitted 42 reportable new research actions and 102 new other transactions for prototypes in FY 2000. Additionally, there are 35 orders, follow-on phases, or new prototype projects initiated under 9 previously reported other transactions for prototypes.
The following pages of this report provide the specific information required by subscection 2371(h)(2):


  1. The Technology Areas in which research projects were conducted under such agreements or other transactions.

  2. The extent of the cost sharing among Federal and non-Federal sources.

  3. The extent to which the use of the cooperative agreements or other transactions-

  1. has contributed to a broadening of the technology and industrial base available for meeting Department of Defense needs; and

  2. has fostered within the technology and industrial base new relationships and practices that support the national security of the United States.

Agreement Number: DAAB07-00-3-L511
Type of Agreement: Other Transaction for Research
Title: Enhanced Terrestrial Personal Communication System.
Awarding Office: US Army Communications-Electronics Command
Awardee: Qualcomm. Inc.
Effective Date: 16 Feb. 2000
Estimated Completion or Expiration Date: March 2002
U. S. Government Dollars: $ 1,600,000
Non Government Dollars: $ 1,600,000
Dollars Returned to Government Account: $ 0
Technical objectives of this effort including the technology areas in which the project was conducted:

The objective of this DUST program is to develop, test and deliver two prototype CDMA cellular system infrastructure equipment that will incorporate vulnerability enhancements that are being developed under an another ongoing contract. This equipment will enhance the ability to deploy this technology in a tactical environment. Currently STCD has been examining CDMA cellular technology to determine the feasibility of deploying this technology into a tactical environment. It is envision that this technology can be deployed based on testing conducted by STCD. PCS technology is envision to be deployed around TOCS at brigade and above and as a supplement to the wide area MSRT/RAU radio within the MSE system. This DUST agreement will help to correct some system deficiencies discovered during system testing at STCD. These enhancements will provide subscriber anonymity and will examine and test improvements to electronic denial of service. This system will provide a secure wireless voice capability. The downsized infrastructure that will be delivered under this DUST will also allow for quick set-up and tear down of system components. The vulnerability enhancements will provide greater security against enemy electronic attack.


Extent to which the cooperative agreement or other transaction has contributed to a broadening of the technology and industrial base available for meeting Department of Defense needs:

The use of an other transaction agreement has allow for the streamlining of the Acquisition cycle and the administrative overhead of managing typical FAR based contracts. That has allowed a firm such as Qualcomm to focus their energy and resources into solving the technical challenges that are the basis of this agreement. While Qualcomm probably would have participated with a FAR based contract the use of this agreement has allowed for the use of many of the same practices that a mainly commercial firm such as Qualcomm normally utilizes in the commercial environment.


Extent to which the cooperative agreement or other transaction has fostered within the technology and industrial base new relationships and practices that support the national security of the USA:

The use of an other transaction agreement has not created a new relationship as we also have a FAR based contract with Qualcomm which was awarded under CECOM BAA. However as discussed above the use of this agreement did allow for the streamlining of the any of the burdensome FAR based clauses and allow us to focus more of the funding into the research that is required under this contract. Also, the use of this agreement has fostered a feeling among the contractor and the Government of being in a partnership arrangement between the parties. In fact our agreement highlights these points in the description of the program.


Agreement Number: DAAB07-00-3-L517
Type of Agreement: Other Transaction for Research
Title: Integrated Camera for Surveillance and Targeting
Awarding Office: US Communications-Electronics Command (CEDCOM), AMSEL-AC-CC-RT-G
Awardee: Intevac, Inc.
Effective Date: 08 May 2000
Estimated Completion or Expiration Date: 08 May 2003
U. S. Government Dollars: $ 6,455,270
Non Government Dollars: $ 4,436,774
Dollars Returned to Government Account: $ 0
Technical objectives of this effort including the technology areas in which the project was conducted:

The technical objectives of this effort are to develop an integrated camera for surveillance and targeting for the military, and to develop a low cost day/night surveillance camera for commercial use. In the military arena, the three major technological thrusts will be the Transferred Electron (TE) photocathode development, the Active Pixel Sensor CMOS (Complimentary Metal Oxide Semiconductor) development, and the thermal hardening of the TE photocathode to meet military storage requirements.


Extent to which the cooperative agreement or other transaction has contributed to a broadening of the technology and industrial base available for meeting Department of Defense needs:

The use of an other transaction agreement has allowed the aggressive pursuit of an active target identification system that will be used in conjunction with current Forward Looking Infrared sensors. Use of this system will allow identification of targets at ranges that would otherwise only be detection ranges.


Extent to which the cooperative agreement or other transaction has fostered within the technology and industrial base new relationships and practices that support the national security of the USA:

Through this other transaction agreement, the prime contractor Intevac will be enlisting the efforts of the Stanford University Synchrotron Radiation Laboratory to investigate the surface chemistry of the TE photocathode, which will lead to a more temperature robust system. This system will be used as stated in the previous paragraph.


Agreement Number: DAAD16-00-2-0001
Type of Agreement: Cooperative Agreement

Title: High Pressure Processing of Low Acid Foods
Awarding Office: U.S. Army Soldier and Biological Chemical Command (SBCCOM) , Natick Soldier Center (NSC) / U.S. Army Material Command Acquisition Center, Natick Contracting Division (AMSSB-CAN)
Awardee: Flow International Corporation
Effective Date: 12 Jun 2000
Estimated Completion or Expiration Date: 12 Jun 2003
U. S. Government Dollars: $ 745,235
Non Government Dollars: $ 1,603,812
Dollars Returned to Government Account: None
Technical objectives of this effort including the technology areas in which the project was conducted:

The main objective of this project is to identify and explore approaches to overcome the roadblocks associated assuring both a safe and cost-effective process for a variety of low-acid foods for military and commercial use employing high pressure processing (HPP).


This project seeks to demonstrate the feasibility of producing selected low-acid foods through high pressure processing. Both extended shelf life (chilled) and shelf stable products will be investigated. Specific project objectives are:

  1. Characterize the effect of pressure, temperature and combinations of other hurdles to microbial growth on selected food pathogenic and spoilage spores during HPP and model their time-Temperature-Pressure inactivation behavior.

  2. Demonstrate the operation of pilot equipment (35 l volume) at elevated temperatures (up to 95oc) and pressure (up to 700MPa) to produce demonstration HPP foods.

  3. Insure the safety and reliability of the HPP for these foods

  4. Quantify the taste, nutritional, and consumer acceptance advantages of HPP foods.


Extent to which the cooperative agreement or other transaction has contributed to a broadening of the technology and industrial base available for meeting Department of Defense needs:

** This project under a Cooperative Agreement has been jointly funded by the Department of Defense (DoD), Flow International Corp. and four food manufacturing companies to test the commercial feasibility of HPP technology. Founding members of the consortium include the DoD Combat Feeding Program of the U.S. Army Natick Soldier Center, Flow International Corp., the National Center for Food Safety & Technology (NCFST) operated by the Illinois Institute of Technology (IIT) for the U.S. Food & Drug Administration (FDA), Kraft Foods, Con Agra, Procter & Gamble and Hormel Foods. The product lines of the participating industrial partners meet the diverse needs of the military ration system and can easily meet/exceed the scale-up and contingency requirements for the military. The project team combines expertise from academic researchers and FDA scientists at the NCFST and industrial engineers, material scientists, microbiologists and food technologists. The Cooperative Agreement not only enables joint research in common core concern areas required for regulatory approval of such an innovative process, including FDA scientists as part of the planning and research team; but it also allows corporations independently to assess best use of the HPP technology for their specific uses.

The HPP technology offers a major potential to produce higher quality, more nutritious stable food items for both military and civilian markets. HPP technology offers high potential to improve the quality and variety of foods available to military personnel in the field by minimizing the chemical changes in foods resulting from traditional thermal preservation methods. The military benefit will be maximized if the technology can become feasible for shelf-stable items that do not require refrigeration while providing added quality and nutritional value compared to current thermally processed combat rations. This new technology, as adopted by industry, will help meet the goals for flexible logistics for Force Protection for Joint Vision 2010 and will meet the tenets of GEN Shinseki’s vision by “reducing the size of our deployed support footprints for both Combat Support and Combat Service Support”. Gains in logistics efficiency will be reached by substituting HPP-treated bulk food items in flexible packaging for the cans currently used. A major future battlefield impact will be met by HPP-treated specialty foods supplemented with performance-enhancing food ingredients. These natural products, including key antioxidant nutrients, are very sensitive to the thermal processes now used to stabilize combat rations. The focused logistics impact of this new technology is at the core of a newly approved Army Science & Technology/ Defense Technology Objective (STO/DTO) entitled,” Combat Rations for Enhanced Warfighter Logistics” (CREWL). The extended shelflife of nonthermally processed foods should also benefit the Navy’s Afloat Community under their DD 21 program and Air Force overseas operations.



Extent to which the cooperative agreement or other transaction has fostered within the technology and industrial base new relationships and practices that support the national security of the USA:

The use of a Cooperative Agreement has enabled four major food companies to overcome competitive instincts to work together with the leading producer in the world of high-pressure equipment for food processing applications.


The consortium agreement will offer licensing advantages to participating companies while still retaining government purpose license rights as under the FAR. The key members of this consortium have been active participants in industry/academic/government workshops cosponsored by the Electric Power Research Institute and the Natick Soldier Center and the new Nonthermal Processing Division of the Institute of Food Technologists that have established consensus protocols defining the path to commercialization. This project has all the elements to move down the path to successful commercialization with the active participation of international corporations such as Kraft, Procter & Gamble, ConAgra and Hormel to provide the focus on key product categories. The active Consortium partnerships enable the participating corporations to conduct advanced R&D in an era when corporate mergers make long-range industrial R&D difficult. The high cost shares being contributed by industry demonstrate that there is high industry interest to use the HPP technology once the process is optimized and FDA approval is obtained. That approval is facilitated by the active involvement of the FDA/IIT NCFST in the project. The NCFST will provide a neutral site for consortium members to test high pressure processing applications using the new equipment developed through this project. One major set of new relevant alliances has been established under the new Division of Nonthermal Processing of the Institute of Food Technology. The DoD Combat Feeding Project Officer was the first Chair of the Division, and NCFST and industrial partner’s researchers are also active in the Division. Division members formed the core of an IFT taskforce that provided the FDA with a key report on the science base needed to regulate HPP and other emerging food processing technologies.
Flow International Corp. was primarily known for their high pressure pumps and water-jet cutting applications until four years ago when they joined as a partner with NSC-sponsored research on the feasibility of high pressure processing with Oregon State University. Their innovative technology and foresight has enabled the corporation to become a world leader in high-pressure applications to food processing. A year ago Flow acquired the pressure vessel operations of the multinational ABB Corporation. The current project builds a strong base for innovation in the increasingly competitive global market with a cooperative venture involving four major U.S. food processing companies.
Other benefits to the DOD through use of this agreement:

The use of a Cooperative agreement has resulted in additional benefits, not addressed above. The flexibility and ability of the agreement to bring potential competing industrial partners together would have been much more difficult under a normal DFAR-driven contracting vehicle. Industrial partners who have backed away from government contracts appreciate both the speed and minimal boilerplate provisions provided by this Cooperative Agreement. The prime contractor, Flow International has never had a Government-sponsored R&D Contract.


Agreement Number: DAAE07-00-3-001
Type of Agreement: Other Transaction for Research
Title: Fuel Cell Hybrid Electric Vehicle (a.k.a. “Hybrid HMMWV Fuel Cell Engine”)
Awarding Office: US Army Tank-automotive and Armaments Command (TACOM), AMSTA-CM-CLGD
Awardee: Plug Power Inc.
Effective Date: 27 Jul 2000
Estimated Completion or Expiration Date: 30 Nov 2002
U. S. Government Dollars: $ 3,276,779.00
Non Government Dollars: $ 3,276,786.00
Dollars Returned to Government Account: $ 0
Technical objectives of this effort including the technology areas in which the project was conducted:

The technical objectives of this effort are to develop and demonstrate in the laboratory, an integrated brassboard fuel cell engine and fuel reformer, fueled with JP-8 and Fischer-Tropsch synthetic fuels, and designed to power the PEI Hybrid Electric HMMWV (High Mobility Multipurpose Wheeled Vehicle). This effort will be the first to provide experimental data about the size, power density and performance of a light vehicle fuel cell engine designed for military duties and logistic fuel. This effort will identify and experimentally address design problems posed by integrating a JP-8 fuel reformer with an automotive fuel cell intended for a military environment. Results of the current phase will determine whether to proceed with engineering a unit to power a hybrid electric HMMWV. Results of this effort are also expected to materially contribute to the technology base for fuel cell mobile power generators that run on logistic fuels such as JP-8.


Extent to which the cooperative agreement or other transaction has contributed to a broadening of the technology and industrial base available for meeting Department of Defense needs:

The participating firms are Plug Power, Inc., Hydrogen Burner Technology (HBT), and TRW Automotive Systems Division. None of these firms would have participated without an OT. Intellectual property (IP) protection was the absolutely paramount issue for Plug Power and HBT. Neither HBT nor Plug Power would have accepted the government’s insistence on technical data rights under a FAR contract because this would move their technologies into the public domain, removing their commercial profit potential.


The OT allowed TRW to take part without having to alter its accounting system, as would have been required under a FAR contract. Without the freedom to use its own accounting system, TRW absolutely would not have participated, because the income from this project would not have justified the change. Plug Power and HBT would have also probably declined participation if forced to adopt FAR accounting methods.
The benefit of these firms’ participation is that they are leaders in various aspects of fuel cell power system technology development. With the current rapid growth and commercial potential in fuel cell technology, it is unlikely that any leading fuel cell developer would enter a FAR contract and risk losing its intellectual property to the government. Practical fuel cell development is being led by industry, which is spending much more on R&D than the government can afford. Without OTs, the government’s role in fuel cell development would be seriously handicapped.
Extent to which the cooperative agreement or other transaction has fostered within the technology and industrial base new relationships and practices that support the national security of the USA:

The use of an OT has fostered a new relationship among the three participating companies, which would not have occurred without the DUST solicitation and OT award. The relationship appears to be expanding into residential power generation, creating a public benefit by accelerating the development of clean, efficient fuel cell-based distributed power for homes. Distributed power generation lets utilities install additional generating capacity without building new power plants, thus avoiding regulatory costs and delays. Fuel cell power units help lower national energy consumption by generating power more efficiently, and using fuel cell waste heat for water and space heating, and reduce air pollution.


Plug Power cites less regulation of the relationship with its partners as a decisive factor in allowing its working relationships to form.
Other benefits to the DOD through use of this agreement:

The OT has allowed quick changes to the originally proposed scope of work, in response to new understanding of, and opportunities in, fuel processor technology gained since the original proposal. It has also allowed Plug Power and HBT to renegotiate their cost sharing and technical relationship, to accommodate the work scope changes. Cost sharing with the government creates a strong incentive for the commercial partners to achieve a useful result, even if only for commercial purposes. For the government, this effectively creates “two ways to win.” If the research leads directly to a product that is useful for defense use, good. If the immediate results are only useful commercially, they are still liable to foster further development of a product that eventually meets defense needs.


Agreement Number: NCCW-0076
Type of Agreement: Cooperative Agreement

Title: Increased Situational Awareness
Awarding Office: National Rotorcraft Technology Center (NRTC), NASA Ames Research Center
Agreements Officer's Name: Dr. Yung H. Yu
Agreements Officer's Phone: 650-604-5834
Agreements Officer's E mail: yyu@mail.arc.nasa.gov
Recipient: Sikorsky, Boeing, and Bell
Effective Date: January 2, 2000
Estimated Completion or Expiration Date: March 31, 2001
U. S. Government Dollars: $805,500
Non Government Dollars: $805,500
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