10 U.S.C. § 4831 — Defense dual-use critical technology pro-

Page 2869 TITLE 10—ARMED FORCES § 4831 pealed by Pub. L. 116–283, div. A, title XVIII, § 1873(a)(1), Jan. 1, 2021, 134 Stat. 4289. § 4831. Defense dual-use critical technology pro- gram (a) ESTABLISHMENT OF PROGRAM.—The Sec- retary of Defense shall conduct a program to further the national security objectives set forth in section 4811(a) of this title by encour- aging and providing for research, development, and application of dual-use critical tech- nologies. The Secretary may make grants, enter into contracts, or enter into cooperative agree- ments and other transactions pursuant to sec- tion 4021 of this title in furtherance of the pro- gram. The Secretary shall identify projects to be conducted as part of the program. (b) ASSISTANCE AUTHORIZED.—The Secretary of Defense may provide technical and other assist- ance to facilitate the achievement of the pur- poses of projects conducted under the program. In providing such assistance, the Secretary shall make available, as appropriate for the work to be performed, equipment and facilities of De- partment of Defense laboratories (including the scientists and engineers at those laboratories) for purposes of projects selected by the Sec- retary. (c) FINANCIAL COMMITMENT OF NON-FEDERAL GOVERNMENT PARTICIPANTS.—(1) The total amount of funds provided by the Federal Gov- ernment for a project conducted under the pro- gram may not exceed 50 percent of the total cost of the project. However, the Secretary of De- fense may agree to a project in which the total amount of funds provided by the Federal Gov- ernment exceeds 50 percent if the Secretary de- termines the project is particularly meritorious, but the project would not otherwise have suffi- cient non-Federal funding or in-kind contribu- tions. (2) The Secretary may prescribe regulations to provide for consideration of in-kind contribu- tions by non-Federal Government participants in a project conducted under the program for the purpose of calculating the share of the project costs that has been or is being under- taken by such participants. In such regulations, the Secretary may authorize a participant that is a small business concern to use funds received under the Small Business Innovation Research Program or the Small Business Technology Transfer Program to help pay the costs of project activities. Any such funds so used may be considered in calculating the amount of the financial commitment undertaken by the non- Federal Government participants unless the Secretary determines that the small business concern has not made a significant equity per- centage contribution in the project from non- Federal sources. (3) The Secretary shall consider a project pro- posal submitted by a small business concern without regard to the ability of the small busi- ness concern to immediately meet its share of the anticipated project costs. Upon the selection of a project proposal submitted by a small busi- ness concern, the small business concern shall have a period of not less than 120 days in which to arrange to meet its financial commitment re- quirements under the project from sources other than a person of a foreign country. If the Sec- retary determines upon the expiration of that period that the small business concern will be unable to meet its share of the anticipated project costs, the Secretary shall revoke the se- lection of the project proposal submitted by the small business concern. (d) SELECTION PROCESS.—Competitive proce- dures shall be used in the conduct of the pro- gram. (e) SELECTION CRITERIA.—The criteria for the selection of projects under the program shall in- clude the following: (1) The extent to which the proposed project advances and enhances the national security objectives set forth in section 4811(a) of this title. (2) The technical excellence of the proposed project. (3) The qualifications of the personnel pro- posed to participate in the research activities of the proposed project. (4) An assessment of timely private sector investment in activities to achieve the goals and objectives of the proposed project other than through the project. (5) The potential effectiveness of the project in the further development and application of each technology proposed to be developed by the project for the national technology and in- dustrial base. (6) The extent of the financial commitment of eligible firms to the proposed project. (7) The extent to which the project does not unnecessarily duplicate projects undertaken by other agencies. (f) REGULATIONS.—The Secretary of Defense shall prescribe regulations for the purposes of this section. (Added Pub. L. 102–484, div. D, title XLII, § 4221(a), Oct. 23, 1992, 106 Stat. 2677, § 2511; amended Pub. L. 103–160, div. A, title XIII, §§ 1315(a), 1317(c), Nov. 30, 1993, 107 Stat. 1787, 1789; Pub. L. 103–337, div. A, title XI, § 1115(a), Oct. 5, 1994, 108 Stat. 2868; Pub. L. 104–106, div. A, title X, § 1081(c), Feb. 10, 1996, 110 Stat. 452; re- numbered § 4831 and amended Pub. L. 116–283, div. A, title XVIII, § 1868(b), (c)(1), Jan. 1, 2021, 134 Stat. 4282, 4283; Pub. L. 117–263, div. A, title X, § 1081(a)(6), Dec. 23, 2022, 136 Stat. 2797.) Editorial Notes PRIOR PROVISIONS A prior section 4831 was renumbered section 7831 of this title. Provisions similar to those in this section were con- tained in section 2523 of this title, prior to repeal by Pub. L. 102–484, § 4202(a). AMENDMENTS 2022—Subsec. (a). Pub. L. 117–263 substituted ‘‘section 4021’’ for ‘‘section 4002’’. 2021—Pub. L. 116–283, § 1868(b), renumbered section 2511 of this title as this section. Subsec. (a). Pub. L. 116–283, § 1868(c)(1)(A), substituted ‘‘section 4811(a)’’ for ‘‘section 2501(a)’’ and ‘‘section 4002’’ for ‘‘section 2371’’. Subsec. (e)(1). Pub. L. 116–283, § 1868(c)(1)(B), sub- stituted ‘‘section 4811(a)’’ for ‘‘section 2501(a)’’. 1996—Pub. L. 104–106 substituted ‘‘program’’ for ‘‘partnerships’’ in section catchline and amended text Page 2870 TITLE 10—ARMED FORCES § 4832 generally. Prior to amendment, text related to pro- gram for establishment of cooperative arrangements between Department of Defense and eligible entities. 1994—Subsec. (c)(3). Pub. L. 103–337 added par. (3). 1993—Subsec. (c). Pub. L. 103–160, § 1315(a), amended subsec. (c) generally. Prior to amendment, subsec. (c) read as follows: ‘‘The Secretary of Defense shall ensure that, to the maximum extent he determines to be prac- ticable, the amount of the funds provided by the Fed- eral Government under a partnership does not exceed the total amount provided by non-Federal Government participants in that partnership.’’ Subsec. (e). Pub. L. 103–160, § 1317(c), struck out ‘‘, except that procedures other than competitive pro- cedures may be used in any case in which an exception set out in section 2304(c) of this title applies’’ after ‘‘partnerships’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2021 AMENDMENT Amendment by Pub. L. 116–283 effective Jan. 1, 2022, with additional provisions for delayed implementation and applicability of existing law, see section 1801(d) of Pub. L. 116–283, set out as a note preceding section 3001 of this title. DUAL-USE SCIENCE AND TECHNOLOGY PROGRAM Pub. L. 105–85, div. A, title II, § 203, Nov. 18, 1997, 111 Stat. 1655, as amended by Pub. L. 106–65, div. A, title IX, § 911(a)(1), Oct. 5, 1999, 113 Stat. 717; Pub. L. 115–232, div. A, title VIII, § 811(h), Aug. 13, 2018, 132 Stat. 1846, provided that: ‘‘(a) FUNDING 1998.—Of the amounts authorized to be appropriated by section 201 [111 Stat. 1655], $75,000,000 is authorized for dual-use projects. ‘‘(b) GOALS.—(1) Subject to paragraph (3), it shall be the objective of the Secretary of each military depart- ment to obligate for dual-use projects in each fiscal year referred to in paragraph (2), out of the total amount authorized to be appropriated for such fiscal year for the applied research programs of the military department, the percent of such amount that is speci- fied for that fiscal year in paragraph (2). ‘‘(2) The objectives for fiscal years under paragraph (1) are as follows: ‘‘(A) For fiscal year 1998, 5 percent. ‘‘(B) For fiscal year 1999, 7 percent. ‘‘(C) For fiscal year 2000, 10 percent. ‘‘(D) For fiscal year 2001, 15 percent. ‘‘(3) The Secretary of Defense may establish for a military department for a fiscal year an objective dif- ferent from the objective set forth in paragraph (2) if the Secretary— ‘‘(A) determines that compelling national security considerations require the establishment of the dif- ferent objective; and ‘‘(B) notifies Congress of the determination and the reasons for the determination. ‘‘[(c) Repealed. Pub. L. 115–232, div. A, title VIII, § 811(h), Aug. 13, 2018, 132 Stat. 1846.] ‘‘(d) FINANCIAL COMMITMENT OF NON-FEDERAL GOV- ERNMENT PARTICIPANTS.—The total amount of funds provided by a military department for a dual-use project entered into by the Secretary of that depart- ment shall not exceed 50 percent of the total cost of the project. In the case of a dual-use project initiated after the date of the enactment of this Act [Nov. 18, 1997], the Secretary may consider in-kind contributions by non- Federal participants only to the extent such contribu- tions constitute 50 percent or less of the share of the project costs by such participants. ‘‘(e) USE OF COMPETITIVE PROCEDURES.—Funds obli- gated for a dual-use project may be counted toward meeting an objective under subsection (a) only if the funds are obligated for a contract, grant, cooperative agreement, or other transaction that was entered into through the use of competitive procedures. ‘‘(f) REPORT.—(1) Not later than March 1 of each of 1998, 1999, and 2000, the Secretary of Defense shall sub- mit a report to the congressional defense committees [Committees on Armed Services and Appropriations of Senate and House of Representatives] on the progress made by the Department of Defense in meeting the ob- jectives set forth in subsection (b) during the preceding fiscal year. ‘‘(2) The report for a fiscal year shall contain, at a minimum, the following: ‘‘(A) The aggregate value of all contracts, grants, cooperative agreements, or other transactions en- tered into during the fiscal year for which funding is counted toward meeting an objective under this sec- tion, expressed in relationship to the total amount appropriated for the applied research programs in the Department of Defense for that fiscal year. ‘‘(B) For each military department, the value of all contracts, grants, cooperative agreements, or other transactions entered into during the fiscal year for which funding is counted toward meeting an objec- tive under this section, expressed in relationship to the total amount appropriated for the applied re- search program of the military department for that fiscal year. ‘‘(C) A summary of the cost-sharing arrangements in dual-use projects that were initiated during the fiscal year and are counted toward reaching an objec- tive under this section. ‘‘(D) A description of the regulations, directives, or other procedures that have been issued by the Sec- retary of Defense or the Secretary of a military de- partment to increase the percentage of the total value of the dual-use projects undertaken to meet or exceed an objective under this section. ‘‘(E) Any recommended legislation to facilitate achievement of objectives under this section. ‘‘(g) COMMERCIAL OPERATIONS AND SUPPORT SAVINGS INITIATIVE.—(1) The Secretary of Defense shall estab- lish a Commercial Operations and Support Savings Ini- tiative (in this subsection referred to as the ‘Initia- tive’) to develop commercial products and processes that the military departments can incorporate into operational military systems to reduce costs of oper- ations and support. ‘‘(2) Of the amounts authorized to be appropriated by section 201, $50,000,000 is authorized for the Initiative. ‘‘(3) Projects and participants in the Initiative shall be selected through the use of competitive procedures. ‘‘(4) The budget submitted to Congress by the Presi- dent for fiscal year 1999 and each fiscal year thereafter pursuant to section 1105(a) of title 31, United States Code, shall set forth separately the funding request for the Initiative. ‘‘(h) REPEAL OF SUPERSEDED AUTHORITY.—[Repealed section 203 of Pub. L. 104–201, 110 Stat. 2451.] ‘‘(i) DEFINITIONS.—In this section: ‘‘(1) The term ‘applied research program’ means a program of a military department which is funded under the 6.2 Research, Development, Test and Eval- uation account of that department. ‘‘(2) The term ‘dual-use project’ means a project under a program of a military department or a de- fense agency under which research or development of a dual-use technology is carried out and the costs of which are shared by the Department of Defense and non-Government entities.’’ § 4832. Encouragement of technology transfer (a) ENCOURAGEMENT OF TRANSFER REQUIRED.— The Secretary of Defense shall encourage, to the extent consistent with national security objec- tives, the transfer of technology between labora- tories and research centers of the Department of Defense and other Federal agencies, State and local governments, colleges and universities, and private persons in cases that are likely to result in accomplishing the objectives set forth in section 4811(a) of this title. (b) EXAMINATION AND IMPLEMENTATION OF METHODS TO ENCOURAGE TRANSFER.—The Sec-