Adaptive Acquisition Framework WebinarJune 16, 2020

Vicki Allums, Learning Director, Intellectual Property Defense Acquisition University (DAU)Mark Dvorscak, Professor Acquisition Management (Intellectual Property), DSMC

DoD Instruction 5010.44, Intellectual Property (IP) Acquisition and Licensing

Rapid Deployment Training (RDT)

Agenda

• Overview - DoD Instruction (DoDI)

5010.44, Intellectual Property (IP)

Acquisition and Licensing

• Table of Contents – List of Sections Titles

• Summary of Sections 1-4

• Implementation Considerations

• DAU Educational Current and Future

Resources 2

Need for IP Policy

• …[T]ypically we have problems with intellectual property

when we don’t clearly define what is owned by industry, and

what will be owned by government at the outset of a program.

So a lot of this really has to do with good program planning.”

– Ms. Ellen Lord, USD A&S, August 2019

3

DoDI 5000.02: Operation of the Adaptive Acquisition Framework

Outlines the six pathways of the Adaptive Acquisition Framework.

DoDD 5000.01: The Defense Acquisition System

Updated to specify the overarching policy and the responsibilities of key officials.

DoDIs for Each Functional AreaEngineering T&E *Cybersecurity AoAs Cost Est

*IP (5010.44)- 16 Oct 2019

*Tech & ProgramProtection

HSI *AcquisitionIntelligence

IT

*Middle Tier of Acquisition (5000.80)

– 30 Dec 2019

Major CapabilityAcquisition (5000.UG)

Urgent Capability Acquisition (5000.81) – 31

Dec 2019

Acquisition of Services (5000.74) – 10 Jan 2020

*Interim SoftwareAcquisition - 3 Jan 2020

*New Policies

Key policies published by various OSD functional organizations

Defense Business Systems(5000.75) – 24 Jan 2020

DoDIs for Each Acquisition Pathway

USD(A&S) and USD(R&E) Charters – 23 Jan 2020

Color Code: Blue - Complete Orange - In coordination

*PSMCounterintel

SupportCPI

*AcqSecurity

Gray, To be completed 2020

4

Transforming Acquisition Policy

5000.02T was published in conjunction

with 5000.02 to cover

functional policies that

have not been released yet.

.02T will have enclosures

cancelled as functional

policies are released.

Originating Component: Office of the Under Secretary of Defense for

Acquisition and Sustainment

Effective: October 16, 2019

Purpose:

• Establishes policy, assigns responsibilities, and prescribes procedures

for the acquisition, licensing and management of IP

• Establishes the DoD IP Cadre

• Designates the (ASD(A)) as the senior DoD official overseeing policy

and guidance for acquisition, licensing, and management of IP

Overview - DoDI 5010.44

5

Table of Contents – DoDI 5010.44 Sections

• Section 1: General Issuance Information

• Section 2: Responsibilities

• Section 3: The IP Cadre

• Section 4: IP Implementation Guidance

6

Section 1: General Issuance Information

• The instruction applies to the acquisition and licensing of IP

acquired for DoD.

– Note-not applicable to licensing or technology transfer of USG

owned IP, or to branding and

trademark licensing.

7

Section 1.2: Policy-Acquire, license and manage IP to:

‐ Enable coordination and consistency across DoD Components in

developing and implementing strategies for acquiring and licensing

IP and communicating with industry

‐ Ensure program managers are aware of rights and obligations of

Government and contractors in IP.

‐ Consider and use best practices for acquiring and licensing IP early

in the acquisition process.

‐ Encourage customized IP strategies for each system.

8

Section 1.2 b. Core Principles

‐ Integrate IP planning into acquisition strategies and product support

strategies to protect core DoD interests over entire life cycle

‐ Ensure acquisition professionals have relevant knowledge of how IP

matters relate to their official duties; cross-functional input and coordination

critical to planning and life-cycle objectives

‐ Negotiate specialized provisions for IP deliverables and associated license

rights if doing so effectively balances DoD and industry interests than

standard license rights

9

Section 1.2 b.: Core Principles, cont.

‐ Communicate clearly and effectively with industry regarding planning,

expectations and objectives for system upgrade and sustainment

‐ Respect and protect IP resulting from technology development investments

by both the private sector and the U.S. Government

‐ Clearly identify and match deliverables with the license rights in those

deliverables

10

• ASD(A) – Senior DoD official overseeing development/implementation of DoD IP policy and

guidance; manages IP cadre (experts in the acquisition, licensing and management of IP)

• DAU President – In collaboration with IP Cadre, develops and updates IP curricula and

reference materials, makes use of lessons learned from case studies; provides and continuously

improves IP training

• DoD GC – provides legal advice and services in support of DoDI 5010.44 and the IP Cadre

Section 2: Responsibilities

11

• DoD Component Heads with Acquisition Authority or Contract

Administrative Responsibilities –

‐ Oversee implementation of DoDI 5010.44

‐ Ensure program personnel have relevant knowledge of Government

and contractors IP rights and obligations.

‐ IP law and regulations, program management, logistics, contracts,

data management, valuation etc.

‐ Incorporate consideration of types of IP deliverables and level of

associated license rights into source selection evaluation factors and

as negotiation objectives in sole-source awards

Section 2: Responsibilities-cont.

12

• DoD Component Heads with Acquisition Authority or Contract

Administrative Responsibilities –

‐ Coordinate consistency across DoD in trategies for determining IP

deliverables and necessary rights

‐ Incorporate IP planning elements into acquisition strategies

‐ Communicate clearly and effectively with industry on IP matters

‐ Acquire necessary IP deliverables/license rights at fair and reasonable

prices.

DoD Component Heads-cont.

13

‐ DoD Component Heads with Acquisition Authority or Contract

Administrative Responsibilities (con’t)

‐ Ensure IP strategies identify and enable actions to ensure return on

U.S. Government investment in IP developed at USG expense

‐ Ensure IP deliverables (e.g. technical data and computer software) and

associated license rights are acquired and managed

‐ Establish and maintain IP management throughout.

DoD Component Heads-cont.

14

Section 3 – IP Cadre

The IP Cadre is established under the authority,

direction, and control of the ASD(A)”

• Purpose:

• Facilitates consistent approaches across DoD

for acquiring, licensing, and managing IP

• Provide expert advice to the acquisition

workforce on IP matters;

• Advise, assist, and provide resources to DoD

Components on IP matters

15

Section 3 – IP Cadre

Specific Responsibilities:

• Provides oversight on all acquisition and licensing policy and procedures

for DoD IP

• Coordinates actions and exchange information with DoD organizations;

• Interfaces with Congress, industry, academia, other organizations;

• Supports development of requirements for training and credentialing the

acquisition workforce;

• Provides assistance to DoD Components within scope of IP Cadre roles

and responsibilities

16

Section 3 – IP Cadre

Specific Responsibilities: (cont.)

‐ Issue and interpret policies relating to acquisition, licensing and

management of IP

‐ Advise and assist in development of acquisition strategy, product strategy

and IP strategy for a system

‐ Conduct or assist with financial analysis and valuation of IP

‐ Assist program offices in drafting relevant IP provisions in solicitations,

contracts, OTAs and licenses

17

Section 3 – IP Cadre

Specific Responsibilities: (cont.)

‐ Assist contracting officers in interactions with contractors (e.g.

communications, negotiations)

‐ Coordinate with DAU, academia and industry to develop and update IP

curricula and reference materials

‐ Address management of IP deliverables and IP rights to support a

competitive environment from inception through sustainment

18

IP Cadre Point of Contacts

• OSD – Mr. Richard Gray, Director IP Cadre, Assistant Secretary of Defense Acquisition

(Acquisition)/Acquisition Enablers/Acquisition Approaches and Management/IP Cadre

– Contact Alternate – Mr. Phil Rodgers

• Army – Ms. Glenna Downes, Office of the Assistant Secretary of the Army (Strategy and

Acquisition Reform)(DASA-SAR)

– Contact Alternate-Ms Margaret Boatner

• Navy – Mr. Daniel Nega, Deputy Assistant Secretary of the Navy (Air Ground)

– Contact Alternate – Mr. Richard Tschampel

• Air Force – Ms. Angayurkanni (Kanna) Annamalai-Brown, Chief of the Air Force Smart IP

Cadre

– Contact Alternate- Mr. Matt Bailey

• DAU– Ms. Vicki Allums, Learning Director, Intellectual Property

– Contact Alternate- Mr. Mark Dvorscak, Professor of Acquisition Management (Intellectual

Property), Defense Systems Management College

19

Section 4: IP Implementation Guidance

IP Strategy –

DoD programs must have an IP strategy :

• Identify and manage IP

• (e.g. technical data and computer

software deliverables, patented

technologies, license rights)

• Must do it from program inception and

throughout life cycle.

20

Section 4: IP Implementation Guidance

IP Strategy –

‐ Assess near term & long-term program

requirements:‐ Ownership costs of IP deliverables,

‐ Associated license rights necessary for competitive

and affordable sustainment and modernization.

‐ Support use of modular open systems

approaches

‐ Customized based on unique system

characteristics

21

Section 4: IP Implementation Guidance

• DoD Component Requirements

‐ Program management offices will use direct competition and indirect means, at

various levels to improve performance and cost control on IP related matters

‐ e.g. best value source selection, competitive prototyping, dual sourcing, modular

open systems approaches; and opportunities for small business and

organizations employing the disabled

‐ Use all available techniques and best practices (e.g. MOSA) when cost effective and

feasible.

‐ Information systems must support product configuration management, data loss

prevention, and data sharing or exchange of IP deliverables

22

• 1) Are your program and contracting offices complying with

the core principles identified in Section 1?

• 2) Are you working with your IP Cadre Point of Contact,

Contracting and IP attorneys and other SMEs?

• 3) Does your program have an IP strategy?

DoDI 5010.44 Implementation Considerations

23

• 4) In developing the IP strategy, have you and a cross-functional team

(e.g. PM, KO, SME (e.g. technical, financial), Contracting and IP

attorneys, considered the following questions:

‐ What type of data or technology (e.g. GOTS, COTS or hybrid) do you

need?

‐ How will you use it (short and long-term)?

‐ What type of data rights do you need?

‐ What’s your budget and what does the data cost (short and long-term)?

‐ Are all the stakeholders (e.g. KO, PM, Technical SMEs, Contracting &

IP attorneys) at the table during all contract phases?

DoDI 5010.44 Implementation Considerations

24

• 5) Has the program management office considered and

complied with the requirements of the Instructions?

• 6) Has the program management and contracting office

complied with separate Mildep IP policies and

implementing guides, if applicable?

• Army -

https://armypubs.army.mil/epubs/DR_pubs/DR_a/pdf/web/AR

N14261_AD2018_26_Final.pdf

Implementation Guide -

https://armypubs.army.mil/Publications/Administrative/PO

G/CPOG.aspx

• Air Force - To access, contact DAU at IPDR@dau.edu

DoDI 5010.44 Implementation Considerations

25

DAU Educational Current, Future IP and Data

rights Resources, and Contact Info• CLE 068 – online foundational IP and Data rights module

https://icatalog.dau.edu/onlinecatalog/print.aspx?crs_id=1911

• WSM 022 – IP Strategy Workshop/Job aid

• IP and Data rights Community of Practice

https://www.dau.edu/cop/ipdr/Pages/Default.aspx

• Future Learning Assets

– Foundational IP Valuation module/Job aid

• To reach any member of the DAU IP and Data Rights team, please

email IPDR@DAU.edu

26

Questions

27