IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Control Nos.: 95/001,714; 95/001,697
`
`Gm”? A” Um“ 3992
`
`Examiner: Michael J. Yigdall
`
`C°“firma“°“ N05" 3428; 2161
`
`) ) ) ) ) ) ) ) ) )
`
`)
`
`In re Inter Partes Reexaminations of:
`
`Edmund Colby Munger et al.
`
`U. s. Patent No. 7,490,151
`
`Issued: February 10, 2009
`
`For: ESTABLISHMENT OF A SECURE
`COMMUNICATION LINK BASED ON A
`DOMAIN NAME SERVICE (DNS) REQUEST
`
`Mail Stop Inter Partes Reexam
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`DECLARATION OF DR. ROBERT DUNHAM SHORT III
`
`1, Robert Dunham Short III, declare as follows:
`
`1.
`
`I have been the Chief Technology Officer of VirnetX Inc. (“VirnetX”) since June
`
`2010 and the Chief Scientist for VirnetX since May 2007. Prior to joining VirnetX, from 1994 to
`
`April 2007, I held various positions including Assistant Vice President and Division Manager at
`
`Science'Applications International Corporation (“SAIC”). Prior to SAIC, I worked at ARCO Power
`
`Technologies Inc., Sperry Corporate Technology Center, and Sperry Research Center.
`
`I have a Ph.D.
`
`in Electrical Engineering from Purdue University as well as a M.S.
`
`in Mathematics and a B.S. in
`
`Electrical Engineering from Virginia Tech.
`
`2.
`
`I am one of the named inventors of U.S. Patent No. 7,490,151 (“the ’151 patent”),
`
`which I understand is the subject of the above-identified reexamination proceedings.
`
`I am familiar
`
`with the ’l5l patent, including its claims.
`
`3.
`
`Prior to and at the time of the inventions claimed in the ’l5l patent, there was a
`
`significant and increasing concern with the security of computer network communication. The
`
`widespread connectivity between computers that was enabled by the swift increase in network access
`
`in homes and businesses also led to many security breaches as well as concerns regarding the safety of
`
`confidential information sent over computer networks. This problem received significant attention
`
`from the research and development community. Practical experience showed that there was a need
`
`for a system that could be easily and correctly used to enable secure communications, because a
`
`system that made it difficult for an end-user to enable secure communications would likely lead to a
`
`Page 1 of 140
`
`VIRNETX EXHIBIT 2050
`
`Mangrove v. VimetX
`Trial IPR20 15-0 1047
`
`VIRNETX EXHIBIT 2050
`Mangrove v. VirnetX
`Trial IPR2015-01047
`
`Page 1 of 140
`
`

`
`Control Nos. 95/001,714; 95/001,697
`
`lack of use or incorrect use. The inventions disclosed and claimed in the ’151 patent and other patents
`
`in this family met this need. For instance, the inventions disclosed and claimed in the ’15l patent
`
`include systems and methods of automatically initiating an encrypted channel between a client and a
`
`secure server. As an example, independent claim 1 recites “[a] data processing device, comprising
`
`memory storing a domain name server (DNS) proxy module that intercepts DNS requests sent by a
`
`client and, for each intercepted DNS request, performs the steps of:
`
`(i) determining whether the
`
`intercepted DNS request corresponds to a secure server;
`
`. .. and (iii) when the intercepted DNS
`
`request corresponds to a secure server, automatically initiating an encrypted channel between the
`
`client and the secure server.” (’151 patent 46:55-67.) Likewise, independent claim 7 recites “[a]
`
`computer readable medium storing a domain name server (DNS) proxy module comprised of
`
`computer readable instructions that, when executed, cause a data processing device to perform the
`
`steps of:
`
`(i) intercepting a DNS request sent by a client; (ii) determining whether the intercepted DNS
`
`request corresponds to a secure server; .
`
`.
`
`. and (iv) when the intercepted DNS request corresponds to
`
`a secure server, automatically initiating an encrypted channel between the client and the secure
`
`server.” (Id. at 47:25-38.) And, independent claim 13 recites “[a] computer readable medium storing
`
`a domain name server (DNS) module comprised of computer readable instructions that, when
`
`executed, cause a data processing device to perform the steps of:
`
`(i) determining whether a DNS
`
`request sent by a client corresponds to a secure server; .
`
`.
`
`. and (i ii) when the intercepted DNS request
`
`corresponds to a secure server, automatically creating a secure channel between the client and the
`
`secure server.” (Id. at 48:18-29.)
`
`4.
`
`As one example of the manifestation of the long-felt need, the Defense Advanced
`
`Research Projects Agency (“DARPA”) funded various research programs to further the science and
`
`technology of information assurance and survivability. DARPA programs, such as the “Information
`
`Assurance” and “Dynamic Coalitions” programs, were focused on the need to provide easy-to-enable
`
`secure communications.
`
`These projects received significant funding to be spent developing
`
`technologies that could solve this need. For example, one such project entitled “Next Generation
`
`Internet” received funding in fiscal year 1998 of approximately $39.3 million, in fiscal year 1999 of
`
`approximately $49.5 million, and in fiscal year 2000 of approximately $40 million.
`
`(Ex. B-1 at
`
`VNET002l 9302, 319-321.) Another program funded by DARPA, “Dynamic Coalitions,” was created
`
`to address
`
`the ability of the Department of Defense to quickly and easily enable secure
`
`communications over the Internet.
`
`(See, eg., Ex. B-2 at VNET002l9244, 284, 298-299, 593, 625.)
`
`5.
`
`According to DARPA officials at the time, “existing group membership protocols
`
`d[id] not support the security needs of multidimensional organizations. The overarching challenge
`
`Page 2 of 140
`
`

`
`Control Nos. 95/001,714; 95/001,697
`
`[wa]s creating secure groups rapidly. This [wa]s a significant issue when countries [we]re faced with
`
`an operation that require[d] immediate multinational attention.” (Ex. B-3 at l.) DARPA contracted
`
`with some of the most skilled organizations in the area of secured communications in an effort to meet
`
`its security needs (e.g., NAI Labs, a division of PGP Security, Network Associates Incorporated, Los
`
`Angeles, and the Microelectronics Center of North Carolina, Research Triangle Park, North Carolina,
`
`as well as Johns Hopkins University, Baltimore; Northeastern University, Boston; and Veridian-PSR,
`
`Arlington, Virginia).
`
`(Id. at 1.)
`
`In all, more than 15 organizations were researching the various
`
`components that made up the programs initiated by the Department of Defense.
`
`(]a’.) However, none
`
`of these prestigious institutions came up with a solution, during the relevant time frame, close to what
`
`is disclosed and claimed in the ’l5l patent.
`
`(Id. at 1-4.) That is, they did not develop a solution that
`
`automatically initiated an encrypted channel between a client and a secure server when an intercepted
`
`DNS request sent by the client corresponds to a secure server.
`
`6.
`
`As a second example of the long—felt need for the inventions of the ’l5l patent,
`
`In—Q-Tel, which is a venture capital
`
`firm that
`
`invests in companies developing cutting edge
`
`technology aimed at supporting the United States intelligence community,
`
`including the Central
`
`Intelligence Agency (CIA), funded the original development of the technology with approximately
`
`$3.4 million.
`
`In~Q-Tel’s willingness to enter into a relationship with SAIC (the original assignee of
`
`the application that led to the ’l51 patent) for the development of this technology further evidences a
`
`long-felt need for technology that made it easy and convenient to enable secure communications.
`
`7.
`
`A third example was the extent to which SAIC internally funded the research and
`
`development of the technology. When I was employed at SAIC, its business model was to sell hours
`
`to the federal government. SAIC was not structured to bring products to the market, which typically
`
`requires significant internal investments in research and development.
`
`In an average year during the
`
`development of the technology that led to the ’l51 patent, SAIC would spend approximately $2
`
`million on internal research and development efforts.
`
`In the case of the technology claimed in the
`
`’l5l patent, SAIC invested $1.7 million, which represents almost the entirety of SAIC’s internal
`
`research and development budget for one whole year. A technology review committee also approved
`
`our team’s patent development efforts and costs on an ongoing basis. A third party (Cambridge
`
`Strategic Management Group or CSMG) also substantiated the value of the technology. Moreover, a
`
`significant percentage of all of SAIC’s patent development efforts have focused on this technology.
`
`I
`
`understand that SAIC spent one—third of its total patent portfolio efforts on our patent portfolio at that
`time.
`
`Page 3 of 140
`
`

`
`Control Nos. 95/001,714; 95/001,697
`
`8.
`
`In fact, as demonstrated in an article written before the claimed inventions of the ’l5 I
`
`patent,
`
`it was widely recognized that providing secure remote access to a LAN or WAN was
`
`extremely difficult for IT support desks.
`
`(Ex. B-4 at 1.)
`
`In that time period, remote access was “a
`
`nightmare for support desks. Staffers never kn[e]w what combination of CPU, modem, operating
`
`system and software configuration they [were] going to have to support,” and adding the
`
`commercially-available VPN software only made matters worse. (Int)
`
`9.
`
`This article precisely captured the computer and Internet security industry’s attitude
`
`toward the tradeoff between the ease of use of a secure system, such as a VPN system, for the average
`
`computer user and the security that the VPN system provided. The article recognized that the “ease of
`
`installation isn’t always a good thing:
`
`In many cases, the easier the client is to install, the less secure
`
`it is.” (Id. at 2.) The claimed inventions of the ‘I51 patent, which provide systems and methods of
`
`automatically initiating an encrypted channel between a client and a secure server, com bine both ease
`
`of use and security aspects without sacrificing one or the other.
`
`10.
`
`Moreover, many others before and around the time of the inventions claimed in the
`
`’15l patent have attempted to solve the need of easy-to-use methods of enabling secure
`
`communications over the Internet. But, as discussed above, many of these attempts have failed. For
`
`example, despite investing enormous amounts of money and enlisting the resources of numerous
`
`prestigious institutions and their talented employees, DARPA’s projects still fell far short of the
`
`claimed inventions of the ’ 1 S l patent. (See 1H] 4-5, supra.)
`
`11.
`
`Additionally, as discussed above, no one had yet achieved the results of the claimed
`
`inventions of the ’l51 patent in that time period, because remote access was “a nightmare” for support
`
`desks to handle, and adding the commercially-available VPN software was even more difficult.
`
`In
`
`fact, at this time, the security industry generally viewed ease of use and VPN security as mutually
`
`exclusive.
`
`(See W 8-9, supra.) By providing systems and methods of automatically initiating an
`
`encrypted channel between a client and a secure server, the inventions of the ’l5l patent provided a
`
`solution for easily establishing secure communication links without sacrificing security,
`
`thereby
`
`succeeding where others failed.
`
`12.
`
`The claimed inventions of the ’l5l patent have been commercially successful, for
`
`example, through the licensing revenues they have generated for VirnetX.
`
`In July 2002, SafeNet, a
`
`leading provider of Internet security technology that is the de facto standard in the VPN industry,
`
`entered into a portfolio license with SAIC to incorporate features into SafeNet’s underlying VPNS.
`
`SafeNet licensed the patents because of features disclosed and claimed in the patents, including those
`
`in the ’151 patent. Microsoft has also entered into a similar license that includes the ’15l patent.
`
`Page 4 of 140
`
`

`
`Control Nos. 95/001,714; 95/001,697
`
`Microsoft entered into its license with VirnetX after it was found to have infringed two other VirnetX
`
`patents in the same family, resulting in a damages award of over one hundred million dollars, leading
`
`ultimately to a license agreement of two hundred million dollars. And on May 3, 2012, Aastra USA,
`
`Inc. entered into a license with VirnetX that includes the ’l51 patent. Likewise, on July 11, 2012,
`
`Mitel Networks Corporation entered into a license with VirnetX that also includes the ’l5l patent.
`
`13.
`
`The claimed inventions of the ’151 patent were also contrary to the accepted wisdom
`
`at the time of the inventions. For example, there was a general understanding that reliable security
`
`could only be achieved through difficult-to—provision VPNs and easy-to-set-up connections could not
`
`be secure. This belief was reinforced by the IT offices of many large companies and institutions,
`
`whose livelihood depended on the need for highly-trained specialists to arrange secure network
`connections.
`
`14.
`
`The industry had long accepted as a fact that secure systems, such as VPN systems,
`
`would be difficult
`
`to set up, and the secure communication modes could not be easily and
`
`conveniently enabled.
`
`In a 1999 article entitled “CEOs Chew the VPN Fat” that predicted what the
`
`future held for the start-up companies that developed VPNS, the wish list did not even address the type
`
`of solutions provided by the ’ 151 patent, such as systems and methods for automatically initiating an
`
`encrypted channel between a client and a secure server. (Ex. B-5 at 1-2.)
`
`15.
`
`The technology of the ’151 patent was also met with skepticism by those skilled in
`
`the art who learned of our inventions. Sami Saydjari, a program manager for DARPA, informed
`
`Edmund Munger, a co-inventor of the ’151 patent, that our technology would never be adopted.
`
`Moreover, the IT offices of many large companies and institutions expressed skepticism that secure
`
`connections could ever be enabled easily by regular computer users.
`
`16.
`
`Several events also demonstrate praise for the inventions in the ’ 151 patent by those
`
`in the field. As discussed above, SAIC invested a disproportionately large percentage of its internal
`
`resources in the technology. SafeNet, Microsoft, and Aastra have all licensed the technology of the
`
`’151 patent. A study done by CSMG also praised the inventions.
`
`Jim Rutt at Network Solutions,
`
`which was acquired by Verisign, praised and expressed significant interest in the technology and
`would have invested but for a change in circumstances at his company.
`
`Page 5 of 140
`
`

`
`Control Nos. 95/001,714; 95/001,697
`
`17.
`
`I declare that all statements made herein of my own knowledge are true and that all
`
`statements made on information and belief are believed to be true, and further, that these statements
`
`were made with the knowledge that willful false statements and the like so made are punishable by
`
`fine or imprisonment, or both, under Section 1001 of Title 18 of the United States Code, and that such
`
`willful false statements may jeopardize the Validity of the ’151 patent.
`
`Dated: July 19, 2012
`
`By:
`
`/Robert Dunham Short 111/
`
`Robert Dunham Short 111
`
`Page 6 of 140
`
`

`
`EXHIBIT
`EXHIBIT
`B-1
`B-1
`
`Page 7 of 140
`
`

`
`UNCLASSIFIED
`
`Department of Defense FY 2000/2001 Biennial Budget Estimates
`February 1999
`
`RESEARCH, DEVELOPMENT, TEST AND EVALUATION, DEFENSE-WIDE
`Volume 1- Defense Advanced Research Projects Agency
`
`UNCLASSIFIED
`
`Approved for Public Release
`Distribution Unlimited
`
`EXHIBITB-1
`
`< z
`m
`--i
`0
`0
`1\.)
`....,),.
`«>
`(..)
`0
`0
`
`Page 8 of 140
`
`

`
`DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
`
`Table of Contents for Volume I
`
`Table of Contents (by PE Number)
`Table of Contents (Alphabetical)
`R-1 Exhibit for DARPA
`
`Table of Contents (by PE Number)
`
`R-02
`R-07
`R-12
`R-13
`R-14
`R-16
`R-17
`R-18
`R-32
`R-41
`R-43
`R-48
`R-49
`R-50
`R-51
`R-52
`R-121
`
`0601101E
`0602110E
`0602301E
`0602302E
`0602383E
`0602702E
`0602708E
`0602712E
`0603285E
`0603739E
`0603747E
`0603760E
`0603761E
`0603762E
`0603763E
`0603764E
`0605898E
`
`Defense Research Sciences
`Next Generation Internet
`Computing Systems & Communications Technology
`Extensible Information Systems
`Biological Warfare Defense
`Tactical Technology
`Integrated Command and Control Technology
`Materials and Electronics Technology
`Advanced Aerospace Systems
`Advanced Electronics Technologies
`Electric Vehicles
`Command, Control and Communications Systems
`Communication and Simulation Technology
`Sensor and Guidance Technology
`Marine Technology
`Land Warfare Technology
`Management Headquarters
`
`< z
`m
`-1
`0
`
`0 "' ~
`
`<.0
`(N
`0
`
`~
`
`Page 9 of 140
`
`

`
`DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
`
`Table of Contents (Alphabetical)
`
`Table of Contents (Alphabetical)
`
`0603285E
`0603739E
`0602383E
`0603760E
`0603761E
`0602301E
`0601101E
`0603747E
`0602302E
`0602708E
`0603764E
`0605898E
`0603763E
`0602712E
`0602110E
`0603762E
`0602702E
`
`Advanced Aerospace Systems
`Advanced Electronics Technologies
`Biological Warfare Defense
`Command, Control and Communications Systems
`Communication and Simulation Technology
`Computing Systems & Communications Technology
`Defense Research Sciences
`Electric Vehicles
`Extensible Information Systems
`Integrated Command and Control Technology
`Land Warfare Technology
`Management Headquarters
`Marine Technology
`Materials and Electronics Technology
`Next Generation Internet
`Sensor and Guidance Technology
`Tactical Technology
`
`< z
`m
`~
`0
`
`<.0
`(;.)
`
`0 "' ...lo.
`0 "'
`
`Page 10 of 140
`
`

`
`DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
`RESEARCH, DEVELOPMENT, TEST AND EVALUATION, DEFENSE-WIDE
`PEJPROJECT LEVEL SUMMARY REPORT
`{$ in millions)
`
`LINE NUMBER PE
`
`TITLE
`
`FY '1998
`
`FY 1999
`
`FY 2000
`
`FY 2001
`
`2
`
`7
`
`12
`
`13
`
`14
`
`16
`
`17
`
`18
`
`32
`
`0601101E
`
`DEFENSE RESEARCH SCIENCES
`
`0602110E
`
`NEXT GENERATION INTERNET
`
`66.706
`
`39.313
`
`64.429
`
`49.504
`
`64.293
`
`40.000
`
`68.792
`
`0.000
`
`0602301E
`
`COMPUTING SYS & COMM TECHNOLOGY
`
`296.646
`
`323.959
`
`322.874
`
`331.023
`
`0602302E
`
`EXTENSIBLE INFORMATION SYSTEMS
`
`0602383E
`
`BIOLOGICAL WARFARE DEFENSE
`
`0.000
`
`58.452
`
`0.000
`
`70.000
`
`70.000
`
`84.754
`
`145.850
`
`151.000
`
`0602702E
`
`TACTICAL TECHNOLOGY
`
`140.997
`
`169.759
`
`137.626
`
`123.937
`
`0602708E
`
`INTERGRATED COMMAND & CONTROL TECH
`
`43.994
`
`39.607
`
`31.296
`
`32.000
`
`0602712E
`
`MATERIALS & ELECTRONICS TECHNOLOGY
`
`213.386
`
`278.286
`
`235.321
`
`219.063
`
`0603285E
`
`ADVANCED AEROSPACE SYSTEMS
`
`0.000
`
`0.000
`
`19.664
`
`19.000
`
`272.020
`
`41
`
`42
`
`43
`
`48
`
`49
`
`50
`
`51
`
`52
`
`53
`
`54
`
`0603739E
`
`ADVANCED ELECTRONICS TECHNOLOGY
`
`265.442
`
`246.023
`
`233.198
`
`0603746E
`
`MARITIME TECHNOLOGY
`
`0603747E
`
`ELECTRIC VEHICLES
`
`32.750
`
`15.000
`
`0.000
`
`9.000
`
`0.000
`
`0.000
`
`0.000
`
`0.000
`
`0603760E
`
`COMMAND, CONT'L & COMMUNICATION SYS
`
`147.525
`
`177.492
`
`222.888
`
`213.380
`
`0603761E
`
`COMMUNICATION & SIMULATION TECH
`
`70.165
`
`52.258
`
`0.000
`
`0.000
`
`0603762E
`
`SENSOR & GUIDANCE TECHNOLOGY
`
`160.881
`
`209.971
`
`232.319
`
`211.893
`
`0603763E
`
`MARINE TECHNOLOGY
`
`0603764E
`
`LAND WARFARE TECHNOLOGY
`
`0603765E
`
`CLASSIFIED
`
`0603800E
`
`JOINT STRIKE FIGHTER PROGRAM
`
`19.597
`
`79.319
`
`124.194
`
`21.134
`
`23.659
`
`88.613
`
`50.040
`
`0.000
`
`22.538
`
`97.825
`
`77.780
`
`0.000
`
`21.964
`
`101.376
`
`49.600
`
`0.000
`
`FY 2000/01 Pres Bud R-1 Exhibit
`
`<
`z
`m
`-f
`0
`0
`N
`....I.
`(.0
`CN
`0
`CN
`
`Page 11 of 140
`
`

`
`DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
`RESEARCH, DEVELOPMENT, TEST AND EVALUATION, DEFENSE-WIDE
`PEiPROJECT LEVEL SUMMARY REPORT
`{$in millions)
`
`LINE NUMBER PE
`
`TITLE
`
`FY '1998
`
`FY 1999
`
`FY 2000
`
`FY 2001
`
`55
`
`102
`
`114
`
`121
`
`123
`
`0603805E
`
`DUAL USE APPLICATIONS PROGRAMS
`
`0605114E
`
`BLACKLITE
`
`0605502E
`
`SMALL BUSINESS
`
`0605898E
`
`MANAGEMENT HEADQUARTERS (R&D)
`
`0909999E
`
`CANCELLED ACCOUNTS
`
`115.784
`
`4.522
`
`45.869
`
`35.633
`
`0.146
`
`0.000
`
`4.985
`
`0.000
`
`38.498
`
`0.000
`
`0.000
`
`5.000
`
`0.000
`
`31.387
`
`0.000
`
`0.000
`
`5.000
`
`0.000
`
`32.632
`
`0.000
`
`AGENCY TOTAL
`
`2,004.033
`
`1,930.256
`
`2,002.684
`
`1,883.858
`
`TOTAL
`TOTAL
`TOTAL
`TOTAL
`
`66.706
`792.788
`1,058.369
`86.170
`
`64.429
`945.869
`876.475
`43.483
`
`64.293
`982.967
`919.037
`36.387
`
`68.792
`927.023
`850.411
`37.632
`
`AGENCY TOTAL
`
`2,004.033
`
`1,930.256
`
`2,002.684
`
`1,883.858
`
`< z
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`0
`0
`1\)
`.....lo.
`CD
`c..>
`0
`~
`
`FY 2000/01 Pres Bud R-1 Exhibit
`
`Page 12 of 140
`
`

`
`UNCLASSIFIED
`
`RDT&E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`I DATE
`
`February 1999
`
`APPROPRIATION/BllDGET ACTIVITY
`RDT &E, Defense-wide
`BA1 Basic Research
`
`R-1 ITEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, R1 #2
`
`COST (In Millions)
`
`FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 Cost To
`Complete
`
`Total Cost
`
`Total Program Element (PE) Cost
`Information Sciences CCS-02
`Electronic Sciences ES-01
`Materials Sciences MS-01
`
`66.706
`
`16.376
`36.192
`14.138
`
`64.429
`
`18.627
`20.322
`25.480
`
`64.293
`
`19.002
`23.124
`22.167
`
`68.792
`
`19.500
`29.339
`19.953
`
`69.837
`
`19.700
`29.084
`21.053
`
`75.398
`
`19.700
`34.645
`21.053
`
`78.259
`
`20.700
`35.506
`22.053
`
`81.118
`
`Continuing Continuing
`
`21.700
`36.365
`23.053
`
`Continuing Continuing
`Continuing Continuing
`Continuing Continuing
`
`(U)
`
`Mission Description:
`
`The Defense Research Sciences Program Element is budgeted in the Basic Research Budget Activity because it provides the teclnical
`(U)
`foundation for long-term improvements through the discovery of new phenomena and the exploration of the potential of such phenomena for
`national security applications. It supports the scientific study and experimentation that is the basis for more advanced knowledge and understanding
`in information, electronic and materials sciences.
`
`The Information Sciences project supports basic scientific study and experimentation in information sciences technology areas such as
`(U)
`computational models, Quantum Computing, biological computing and human-language systems.
`
`The Electronic Sciences project explores and demonstrates electronic and optoelectronic devices, circuits and processing concepts that will
`(U)
`provide: (1) new technical options for meeting the information gathering, transmission and processing required to maintain nea--real time
`knowledge of the enemy and the ability to communicate decisions based on that knowledge to all forces in near-real time; and (2) a substantial
`increase in performance and cost reduction of military systems providing these capabilities.
`
`The Materials Sciences project is concerned with the development of: high power density/high energy density mobile and portable power
`(U)
`sources; processing and design approaches for nanoscale and/or biomolecular materials and interfaces; medical pathogen countermeasures; materials
`and measurements for molecular-scale electronics; advanced thermoelectric materials for cooling and power generation; and novel propulsion
`concepts.
`
`UNCLASSIFIED
`
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`Page 13 of 140
`
`

`
`UNCLASSIFIED
`
`RDT&E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`I DATE
`
`February 1999
`
`APPROPRIATION/BUDGET ACTIVITY
`RDT &E, Defense-wide
`BA1 Basic Research
`
`R-1 ITEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E
`
`(U)
`
`Program Change Summary: (In Millions)
`
`FY 1998
`
`FY 1999
`
`FY 2000
`
`Previous President's Budget
`
`Current Budget
`
`68.332
`
`66.706
`
`65.102
`
`64.429
`
`65.400
`
`64.293
`
`FY 2001
`
`70.036
`
`68.792
`
`(U)
`
`Change Summary Explanation:
`
`FY 1998
`FY 1999
`FY 2000/01
`
`Decrease reflects SBIR reprogramming and minor realignment of program priorities.
`Decrease reflects reductions associated with Congressional adjustments.
`Decreases reflect reductions associated with lower projected inflation rates.
`
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`
`UNCLASSIFIED
`
`Page 14 of 140
`
`

`
`UNCLASSIFIED
`
`RDT &E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`I DATE
`
`February 1999
`
`APPROPRIA TION/BllDGET ACTIVITY
`RDT &E, Defense-wide
`BA1 Basic Research
`
`COST (In Millions)
`
`FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005
`
`R-llTEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, Project CCS-02
`Cost To
`Complete
`
`Total Cost
`
`Information Sciences CCS-02
`
`16.376
`
`18.627
`
`19.002
`
`19.500
`
`19.700
`
`19.700
`
`20.700
`
`21.700 Continuing Continuing
`
`(U)
`
`Mission Description:
`
`This project supports scientific study and experimentation that is the basis for more advanced knowledge and understanding in information
`(U)
`sciences technology areas related to long-term national security requirements such as computational models and new mechanisms for performing
`computation and communication involving quantum physics, biological and optical processes. This project is also exploring innovative approaches
`to the composition of software and novel human computer interface technologies.
`
`In the area of quantum computing, the project will identify and probe new classes of computing technologies, which may offer spectacular
`(U)
`performance/cost/size/weight/power improvements beyond the ultimate limitations of today' s semiconductor-based computing. Quantum logic,
`based on subatomic scale physical phenomena, could enable a tremendous leap in computational capacity. However, a number of significant
`hurdles, including the development of sequencing mechanisms, large scale storage, input/output channels and quantum-enabled approaches to
`algorithms and error correction must be overcome.
`
`In the area of biological computing, the project will support the scientific study and experimentation that is at the interface of information
`(U)
`technology and biological technology, with emphasis on biological software, computation based on biological materials, physical interfaces between
`electronics and biology, and interactive biology. It will also apply information technology to accelerate the analysis and synthesis of biological
`processes. The seamless integration of information technology and biological processes will provide the ability to exert computational control over
`biological and chemical processes.
`
`In the area of optical communication and computing, the project will explore new approaches to transmission based on solitons and
`(U)
`identify novel buffering technologies that can be substituted for optical delay lines.
`
`(U)
`
`In the areas of software engineering, the project will investigate formal techniques for the construction of safety critical systems.
`
`UNCLASSIFIED
`
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`0
`0
`1\J
`....loo
`(0
`(...)
`0
`-......1
`
`Page 15 of 140
`
`

`
`UNCLASSIFIED
`
`RDT &E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`'DATE
`
`February 1999
`
`APPROPRIATION/BUDGET ACTIVITY
`RDT &E, Defense-wide
`BA1 Basic Research
`
`R-liTEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, Project CCS-02
`
`In the area of human computer interfaces the project will study information management, interface technologies and their relationship to
`(U)
`cognitive processes.
`
`(U)
`
`(U)
`
`•
`•
`•
`•
`
`Program Accomplishments and Plans:
`
`FY 1998 Accomplishments:
`
`Investigated computational models suitable for implementation using Quantum computing techniques. ($ 5.681 Million)
`
`Developed architecture for low-power configurable computational elements. ($ 1.303 Million)
`
`Prototyped robust spoken and text language technologies with emphasis on affordable granunars and understanding. ($ 7.479 Million)
`
`Evaluated quality of service specifications; demonstrated real-time adaptive control and resource management; released version of
`defense-critical software based on scalable library technology.
`($ 1.913 Million)
`
`(U)
`
`FY 1999 Plans:
`
`•
`
`•
`•
`•
`
`Demonstrate and validate computing models, with emphasis on: DNA-based logic operations and cell-based computation .
`($ 4.410 Million)
`
`Investigate novel control mechanisms for self-organizing and autonomous systems. ($ 2.779 Million)
`
`Demonstrate human-computer interaction for crisis planning. ($ 3.690 Million)
`
`Investigate feedback-driven approaches to information management.
`
`($ 6.241 Million)
`
`UNCLASSIFIED
`
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`-\, c.o w
`
`0
`(X)
`
`Page 16 of 140
`
`

`
`UNCLASSIFIED
`
`RDT&E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`APPROPRIATION/BUDGET ACTIVITY
`RDT &E. Defense-wide
`BAl Basic Research
`
`'DATE
`
`February 1999
`R-1 ITEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, Project CCS-02
`
`•
`
`Validate low-power configurable architecture; develop supporting software; and demonstrate automated mapping of 500K elements .
`($ 1.507 Million)
`
`(U)
`
`FY 2000 Plans:
`
`•
`
`•
`
`•
`
`Biological Computing. ($ 5.902 Million)
`Evaluate alternative approaches to DNA-based computing and identify the most promising research opportunities for enhancement
`and acceleration.
`Explore mechanisms for sequencing of DNA-based computations.
`Investigate novel approaches to real-time biological instrumentation in support of interactive biology.
`
`Quantum and Optical Computing. ($ 4.000 Million)
`Develop new algorithms for quantum-enabled computation.
`Design sequencing and input/output mechanisms for quantum computing.
`Identify alternative optical buffering technologies.
`
`Software Engineering and Human Computer Interface. ($ 9.100 Million)
`Investigate design of domain specific languages for use in safety critical systems.
`Investigate machine translation and relevance of new results in cognitive science research to spoken language and haptic interfaces.
`
`(U)
`
`FY 2001 Plans:
`
`•
`
`($ 6.900 Million)
`Biological Computing.
`Prototype demonstration of robot control sequencing of DNA-based computations.
`Demonstrate real-time multi-sensor imaging of cell processes in support of interactive biology.
`
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`0
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`
`<0
`V>
`0
`<0
`
`UNCLASSIFIED
`
`Page 17 of 140
`
`

`
`UNCLASSIFIED
`
`RDT &E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`I DATE
`
`February 1999
`
`APPROPRIATION/BUDGET ACTIVITY
`RDT &E, Defense-wide
`BA 1 Basic Research
`
`R-1 ITEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, Project CCS-02
`
`•
`
`•
`
`Quantum and Optical Computing. ($ 4.000 Million)
`Simulate new algorithlllS for quantum-enabled computation and evaluate potential speed-up over conventional methods.
`Prototype demonstration of sequencing and input/output mechanislllS enabling quantum computing.
`Laboratory demonstration of soliton-based packet multiplexing, incorporating optical buffering.
`
`Software Engineering and Human Computer Interface. ($ 8.600 Million)
`Develop formal methods to support domain specific languages for use in safety critical systems.
`Investigate interface technologies to facilitate the tasking and management of autonomous systems.
`
`(U)
`
`Other Program Funding Summary Cost:
`
`•
`
`Not Applicable .
`
`(U)
`
`Schedule Profile:
`
`•
`
`Not Applicable .
`
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`0
`0
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`<.0 w
`0
`
`~
`
`UNCLASSIFIED
`
`Page 18 of 140
`
`

`
`UNCLASSIFIED
`
`RDT&E BUDGET ITEM JUSTIFICATION SHEET (R-2 Exhibit)
`
`I DATE
`
`February 1999
`
`APPROPRIA TIONIBUDGET ACTIVITY
`RDT &E, Defense-wide
`BA1 Basic Research
`
`COST (In Millions)
`
`FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005
`
`R-1 ITEM NOMENCLATURE
`Defense Research Sciences
`PE 0601101E, Project ES-01
`Cost To
`Complete
`
`Total Cost
`
`Electronic Sciences ES-01
`
`36.192
`
`20.322
`
`23.124
`
`29.339
`
`29.084
`
`34.645
`
`35.506
`
`36.365 Continuing Continuing
`
`(U)
`
`Mission Description :
`
`This project seeks to continue the phenomenal progress in microelectronics innovation that has characterized the last decades by exploring
`(U)
`and demonstrating electronic and optoelectronic devices, circuits and processing concepts that will: 1) provide new technical options for meeting the
`information gathering, transmission and processing required to maintain near real-time knowledge of the enemy and the ability to communicate
`decisions based on that knowledge to all forces in near real-time; and 2) provide new means for achieving substantial increases in perfonnance and
`cost reduction of military systems providing these capabilities. Research areas include new electronic and optoelectronic device and circuit
`concepts, operation of devices at higher frequency and lower power, extension of diode laser operation to new wavelength ranges relevant to
`military missions, development of uncooled and novel infrared detector materials for night vision and other sensor applications, development of
`innovative optical and electronic technologies for interconnecting modules in high performance systems, research to realize field portable electronics
`with reduced power requirements and research addressing affordability and reliability. Additionally, electronically controlled microinstruments
`offer the possibility of nanometer-scale probing, sensing and manipulation for ultra-high density information storage "on-a-chip", for nanometer(cid:173)
`scale patterning, and for mo