Bidders Library JITC Instructions - JITCI 640-50-07.pdf

DEFENSE INFORMATION SYSTEMS AGENCY

P. O. BOX 549

FORT MEADE, MARYLAND 20755-0549

IN REPLY

REFER TO: JITC Instruction 640-50-07* 2 May 2012

ORGANIZATION AND HUMAN RESOURCES

Joint Interoperability Test Command Cooperative Research and Development Agreements

1. Purpose. This instruction prescribes policy, assigns responsibility, and outlines duties for preparing, coordinating, and executing Cooperative Research and Development Agreements (CRADAs).

2. Applicability. This instruction applies to all military, civilian, and contractor personnel assigned to, employed by, or engaged in work on behalf of the Joint Interoperability Test Command (JITC).

3. Authority. This instruction complies with Public Law Title 15, Chapter 63, USC § 3710a requirements.

4. References.

4.1 DoD 7000.14-R, "Department of Defense Financial Management Regulation," Volume 11A, Chapter 4, October 2007 and Volume 10, Chapter 10, November 2009

4.2 DoDD 3200.11, "Major Range and Test Facility Base (MRTFB)," 27 December 2007

4.3 Defense Information Systems Agency Instruction 270-165-4, "Loan and Transfer of Accountable Assets," 17 November 2006

4.4 Defense Information Systems Agency Legal Cooperative

Research and Development Agreements Template, Article 13

4.5 JITC Instruction 650-70-01, “Reimbursable Charging and Cost Estimating Policy and Instructions,” 16 April 2010

4.6 JITC Interoffice Memorandum, “Delegation of Authority to

Approve and Sign Cooperative Research and Development Agreement (CRADA) Originals and CRADA Amendments, 10 June 2010

5. Definitions. Cooperative Research and Development Agreement (CRADA). The CRADA is a partnering tool that allows federal laboratories to work with United States (U.S.) industries, academia, and other organizations on cooperative research and development projects. The CRADA provides flexibility to structure project contributions and protect intellectual property rights, proprietary information, and CRADA research results.

6. Policy.

6.1 As defined in Title 15 USC § 3710a, JITC, as a

government owned and government operated laboratory, may enter into CRADAs with U.S. industries, academia, and other organizations on cooperative research and development projects. As a legal binding document, the CRADA allows JITC to serve as the vendor's "trusted agent" during all phases of planning, test execution, and test reporting.

6.2 Through the CRADA, JITC may accept, retain, and use funds, personnel, services, and property from a collaborating party and provide personnel, services, and property to a collaborating party.

6.3 Title 15 also authorizes JITC to give preference to

business units located in the U.S., which agree that products embodying inventions made under the CRADA or produced by such inventions are manufactured substantially in the U.S. In the case of any industrial organization or other person subject to the control of a foreign company or government, as appropriate, JITC takes into consideration whether or not such foreign government permits U.S. agencies, organizations, or other persons to enter into CRADAs and licensing agreements.

6.4 JITC, as an element of the Major Range and Test Facility

Base (MRTFB), must comply with policies and procedures in references 4.1 and 4.2 regarding user charges and reimbursable policy for DoD test and evaluation services performed under CRADAs.

6.5 JITC assigns responsibility for the management of and

accountability for Defense Information Systems Agency (DISA) material loaned or otherwise provided to JITC in accordance with reference 4.3.

6.6 A legal review is required by DISA General Counsel (DISA

GC) if a substantive change occurs in the body of the CRADA template (any change affecting the meaning of any provision), or when the vendor is foreign owned (further requires review by the U.S. Trade Representative [USTR]). Changes to approved templates will be rare, and must first be coordinated with the JITC Support Agreement Manager (SAM). Generally speaking the verbiage in the approved CRADA template is non-negotiable.

6.7 For foreign owned vendors, the DISA GC requests concurrence from the USTR and, once obtained, advises JITC of the official USTR concurrence. USTR coordination, review and concurrence can take up to six weeks.

6.8 The purpose of a Product Loan Agreement (PLA) is for

evaluation and demonstration of a product (as in market research) for a short period of time and then the equipment is returned to the vendor. A PLA cannot be used for formal testing, as a stop gap measure for a CRADA, or in lieu of a CRADA. PLAs are coordinated with and processed through JITC’s Accountable Property Officers and the Defense Information Technology Contracting Organization (DITCO).

6.9 Approving Officials. In accordance with reference 4.6, the JITC Commander has delegated the authority to approve and sign CRADA originals and CRADA amendments to JITC Division/Portfolio Leads and the JITC Deputy Commander with the following exceptions:

6.9.1 The work being requested is a new type of work or

technology to JITC.

6.9.2 The work being requested is a major expansion to the

scope of work that JITC is already performing for the vendor or the work is outside the scope of what was originally approved for the vendor.

7. Procedures.

7.1 CRADA Templates. Templates have been created in order to

standardize the CRADA process. These templates have been vetted through the DISA GC. The DISA Form 9 and the appropriate CRADA templates are located on the JITC shared drive at \\duafhvfsns01\groups\JITC Business Documents- All Government\CRADAs and Agreements.

7.2 CRADA Development.

7.2.1 Figure 1 outlines the overall CRADA process. The process begins with an initial contact, which usually occurs when a vendor contacts a JITC Action Officer (AO) and establishes an initial proposal. The JITC AO conducts a cursory review of vendor product information to determine applicability to DoD, ensures the effort directly maps to the JITC Campaign Plan priorities, and determines which Division/Portfolio the effort likely falls.

7.2.2 If the CRADA effort falls outside the contacted AO’s

Division/Portfolio test area, then the AO generates a "hand-off' e-mail to both customer and the appropriate Division/Portfolio Lead for further review and a decision about JITC's ability to adequately test the products. If it falls within the AO’s Division/Portfolio test area, then the AO will coordinate review and assignment with his/her Division/Portfolio Lead.

7.2.3 If JITC decides to test the product, the

Division/Portfolio Lead assigns the effort to an AO. The assigned AO contacts the JITC SAM to determine the appropriate type and format for the agreement. If JITC decides not to test the product, the Division/Portfolio Lead or AO will notify the vendor.

7.2.4 CRADAs that involve Transfer of Funds (Cost CRADA)

(maximum term of 2 years).

7.2.4.1 The JITC AO informs the vendor of JITC's capabilities, test processes and Cost CRADA requirements through meetings and briefings prior to completing the DISA-approved Cost CRADA template.

7.2.4.2 The AO sends a CRADA questionnaire to the vendor to

obtain the needed information to prepare the CRADA.

7.2.4.3 The JITC AO will enter general information in the Cost CRADA template that relates directly to the overall functionality of the product that will undergo testing and add verbiage regarding specific task objectives of the test effort.

7.2.4.4 The JITC AO will draft a cost estimate for vendor

charges that may include government and contractor labor, equipment charges, and charges for other services rendered in compliance with reference 4.5.

JITC CRADA Process

AO

JI

TC

S

AM

C D

R Br an ch

D iv is io n

D

IS

A G

C U

S/ N on -U

S Ve nd or

Start

US/Non-US Vendor Contacts JITC AO or

Div/Port Rep and Provides Product

Information

Reviews Product Information to Assess

DOD Applicability and to which Div/Port

Effort Belongs

Notify Vendor

JITC Agrees to Test Product?

Assigns AO to Project

Contacts Vendor to

Exchange POC Information

Discusses CRADA Terms and JITC Capabilities w/

Vendor

Selects Cost or UCCO

CRADA

Template/ Form 9 and completes

Review, Approve, and Track

CRADA/

Form 9

Sends CRADA to Vendor for signature

Returns Signed CRADA to AO

Assigns

CRADA

Number

Vendor Foreign Owned?

Update Tracking

Tool

Coordinates US Trade

Representative concurrence

No

Signs Form 9 / CRADA and Forwards to SAM

Distributes Copies, Posts

Final CRADA to Repository, and updates tracking tool

Provides Funding to JITC Based on Approved Cost Estimate

& CRADA

Schedules and

Executes Test

End

No

*This could take up to 6 weeks

Yes

Sends CRADA Questionnaire to

Vendor

Returns Completed

CRADA

Questionnaire to AO

Template Change or

Foreign Owned?

Routes to Br, Div/Port

Leads and Submits for

SAM Review/ Approval

Review/ Approve Changes

No

Yes

Yes Signs Form

9 / CRADA

and Forwards to SAM

Routes for Cmd

Signature

Sends Signed

CRADA to Vendor

Routes to Br Div/Port Lead For signature

JITC Cdr Sig Req?

Yes

No

Figure 1. JITC CRADA Process Flowchart

7.2.5 CRADAs that involve only the Transfer of Equipment

(Unified Capabilities Certification Office [UCCO] CRADA)(maximum term of 3 years).

7.2.5.1 The JITC AO informs the vendor of JITC's capabilities, test processes and UCCO CRADA requirements through meetings and briefings prior to completing the DISA-approved UCCO CRADA template.

7.2.5.2 AOs are responsible for ensuring that the value/benefit of the equipment being received in exchange for services is sufficient to justify the work being done (i.e. a cost benefit analysis has been done that indicates the exchange is in JITC's best interest).

7.2.5.3 The AO sends a CRADA questionnaire to the vendor to

obtain the needed information to prepare the CRADA.

7.2.5.4 In most cases, the JITC AO will enter general

information in the UCCO CRADA template that relates directly to the overall functionality of the product that will undergo testing. The AO will add verbiage regarding specific task objectives of the test effort. The AO will also provide information about the equipment that will be transferred to

JITC.

7.2.6 In the case of CRADAs executed by JITC, the term “joint work statement” refers to a test proposal/test plan prepared by the JITC AO describing the purpose and scope of the CRADA, and assigning rights and responsibilities among the agency (DISA), the laboratory (JITC), and any other party or parties to the proposed agreement. The JITC AO test proposal/test plan provides detailed information regarding the scope and cost of testing (for Cost CRADAs), as well as a description of how to meet task objectives. In accordance with Title 15, no Government-owned laboratory may enter into an agreement, accept funds/equipment or begin work before approval and signature of both the agreement and joint work statement by both parties.

7.2.7 Once the AO completes the CRADA template, Form 9 and

associated documents, they are sent to the JITC SAM for review and approval. The JITC SAM assigns a tracking number, makes non-technical corrections/updates (as needed), annotates technical corrections (for AO review and update), and returns to the AO for coordination.

7.2.8 The AO sends the JITC SAM approved Cost or UCCO CRADA, the vendor letter, and the Form 9 to their Branch and Division/Portfolio Leads for review. The Division/Portfolio Lead determines (in accordance with paragraph 6.9) whether the CRADA requires the JITC Commander’s signature or if the Division/Portfolio Lead can sign it.

7.2.9 The AO then sends the Cost or UCCO CRADA with the vendor letter to the agreeing party (vendor) for signature. The vendor returns the signed CRADA to the AO.

7.2.10 If the JITC SAM determines that a change to a CRADA is legally relevant and within an area of the CRADA where changes are permitted, the JITC SAM will coordinate review and approval by the DISA GC. The review and approval by the DISA GC will occur prior to sending the CRADA to the vendor for signature.

7.2.11 Once the vendor signs the CRADA, the AO sends the CRADA to the appropriate JITC authority for signature.

7.2.11.1 If the Commander’s signature is required, the AO

forwards the CRADA, Form 9 and associated documents to the JITC SAM to route for the JITC Commander’s signature. The Commander then forwards the signed CRADA to the JITC SAM.

7.2.11.2 If the Commander’s signature is not required, the AO forwards the CRADA, Form 9 and associated documents to their Division/Portfolio Lead for signature. The Division/Portfolio Lead then forwards the signed CRADA to the JITC SAM.

7.2.12 Upon receipt of the signed CRADA the JITC SAM assigns a CRADA number to the agreement, maintains a copy for record purposes, and forwards the completed and signed copy to the AO for distribution to their vendor. The JITC SAM will also distribute signed copies to CFEH4 and the Accountable Property Officer (APO).

7.3 Term. The term of execution of a CRADA can be for a period of up to two years for a Cost CRADA, up to three years for a UCCO CRADA and should be annotated in Article 5 of the CRADA.

For initial CRADAs with a length of execution less than the maximum allowed, the JITC AO can amend the CRADA prior to expiration to extend the period of performance for a cumulative total period of up to two years or three years, as applicable.

An amendment can also be used to add more equipment during this period for follow-on testing using the same terms and conditions of the original CRADA. Once the JITC Commander signs the CRADA and funding or equipment is transferred to JITC, the scheduling and test execution process begins.

7.4 CRADA Reporting. Under Cost CRADAs, all deliverables

produced as a result of the CRADA agreement and the completed test effort (i.e., test plans, test reports) become the property of the vendor. JITC retains the right to maintain copies of these products, but shall not distribute them without the vendor's consent. Products produced under a UCCO CRADA become the property of the particular Program Sponsor (i.e., DSN Program Office) and are distributed at their discretion.

7.5 CRADA Extensions. Either party can request an extension to the CRADA term (up to the maximum allowed) prior to the termination of the agreement in writing. If the parties wish to continue the work called for under the Obligations of the Parties (OP), after the termination of this agreement, they must enter into a new CRADA.

7.6 CRADA Amendments. If the vendor requests additional

testing or items need to be added to the original listing, the AO develops, coordinates and executes a CRADA amendment. A vendor can remove equipment or add testing requirements to the CRADA at any time within the indicated period of performance as long as an amendment is processed and signed by all parties.

8. Responsibilities.

8.1 The JITC Commander will serve as the primary JITC CRADA

signature authority for initial CRADAs and amendments which have been identified as requiring the Commanders review and signature.

8.2 The Deputy Commander will serve as the alternate JITC CRADA signature authority. The Deputy Commander will sign initial CRADAs and amendments when the Commander or delegated Division/ Portfolio Lead is not available to sign the agreement.

8.3 The Division/Portfolio Lead will:

8.3.1 Review the CRADA and associated documents to ensure that the test/support outlined falls within their Division/Portfolio areas of responsibility and it directly maps to the JITC Campaign Plan priorities. Will ensure that the proposed location of test/support is the most advantageous for the effort and JITC; and that the funds or equipment being received in return for the support is reasonable and cost effective.

8.3.2 Review the CRADA and associated documents for errors and if none, approve for vendor signature those CRADAs that pertain to their Division/Portfolio mission and function. If reviewer finds errors, the reviewer will send the document and comments to the AO for correction.

8.3.3 On behalf of the Commander, approve and sign CRADAs as

specified in the interoffice memorandum entitled Delegation of Authority to approve and sign CRADA originals and CRADA amendments. Forward the signed CRADA to the JITC SAM for further processing.

8.4 The SAM will:

8.4.1 Serve as the JITC point of contact for policy and

guidance pertaining to CRADAs and provide specific guidance and assistance to the JITC AOs in drafting and staffing agreements and amendments.

8.4.2 Assist AOs with the correct CRADA template, checklists, and DISA Form 9 template for staffing procedures.

8.4.3 Coordinate DISA GC review/approval of any requested

changes to the CRADA template to ensure compliance with Public Law Title 15 USC § 3710a and established financial policy.

8.4.4 Ensure CRADAs contain all necessary elements.

8.4.5 Maintain a database for tracking, monitoring, and

storing CRADAs and perform audits to enhance accuracy and currency.

8.4.6 Assign DISA JITC tracking and CRADA numbers to all

agreements.

8.4.7 Route initial and amended CRADAs requiring the

Commander’s signature for signature/approval.

8.4.8 Retain the signed agreement, and, within 10 days after

signing, finalize the document in the CRADA database, and forward a signed copy of the agreement to the AO for dissemination, CFEH4, and the APO.

8.4.9 On at least a quarterly basis, check the CRADA database to ensure all information is current and correct.

8.4.10 Maintain the database for each agreement status (Active, Inactive, Working, Expired, etc.) and ensure the comments are maintained and up-to-date.

8.4.11 On an annual basis, review and move the expired and

terminated CRADAs during the year to the archived portion of the CRADA repository.

8.5 The JITC AO will:

8.5.1 Discuss CRADA terms and JITC capabilities with the

vendor to determine whether JITC can/should provide the requested support/testing.

8.5.2 Coordinate with their Division/Portfolio Lead to ensure that the testing under this CRADA would meet established customer needs, current mission requirements, future organizational objectives and are cost effective/beneficial to the Command.

8.5.3 Complete the applicable CRADA template, vendor letters, and Form 9 and send them to the JITC SAM for review.

8.5.4 Coordinate and staff SAM-approved and vendor signed

CRADAs that do not require the Commander’s signature, with the appropriate Division/Portfolio Lead.

8.5.5 Coordinate and staff CRADAs with the vendor for

concurrence and signature. Notify the vendor that no funding or equipment can be sent or accepted by JITC until the CRADA has been signed by all parties.

8.5.6 Provide vendor signed CRADA to JITC SAM for CRADAs

requiring Commander’s signature for staffing and approval.

8.5.7 Distribute the signed/approved CRADA to the vendor and

coordinate receipt of funds/equipment with the appropriate JITC Point of Contact.

8.6 The Vendor will:

8.6.1 Verify and concur with the validity of the technical

content of the agreement.

8.6.2 Coordinate and staff for concurrence and signature.

8.6.3 Provide necessary equipment or funding (whichever is

required) to JITC for the test/support only after the CRADA has been signed by all parties.

SUMMARY OF SIGNIFICANT CHANGES. The No-Cost CRADA is now known as the UCCO CRADA. The signature block of the current Commander has been updated.

* This Instruction supersedes JITCI 640-50-07, 15 Jun 10

OPR: JT2B

DIST: All JITC Civilian, Military, and Contractor Personnel