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Research Corporation of the t: J~.djty of Hawaii


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Page 1 of4

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---n--n-------~.-JI.::------ m PollclesandProcedures un

. '&~ Section: 3.000 HUMAN RESOURCES


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, WtoPoliCiai . ira ..

3.210 RCUH Employment

Date Composed: 08/06/97 Date Modified: 0612612001

A. Purpose

RCUH employees are state I non-civil service employees subject to the policles and procedures of the RCUH. Continuation of employment is dependent upon program/operational needs, satisfactory work performance and availability of funds.

B. Status & Definitions:

Full-Time Equivalency (FTE) is the percentage of work effort for a position as compared to Full-Time .employment, The FTE is used to define regular work effort and to determine a Regular employee's eligibility for fringe benefits.

1. Full-time: An employee who regularly works at least 40 hours per week and is designated as 100% FTE.

2. Part-time: An employee who regularly works less than 40 hours per week and is designated as less than 100% FTE.

C. Employment Categories - The RCUH provides several employment types to handle a variety of working relationships and environments. This section outlines the various types of employment categories. For more specific information. please contact the Human Resources Department.

D. Regular Status - The regular status employee is the RCUH's primary employment category. All Regulars


, ..... _ .

Research Corporation of ther Jy of Hawaii


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Status positions are subject to all RCUH Human Resources pOlicies/procedures and are eligible for employee benefits. We have three categories of Regular Status employment. These are:

1. Regular: An employee who has been recruited in accordance with Regular Recruitmentt

Selection and Appointment Sections (Sections 3.234 Recruitment.) and has satisfactorily

completed the New-Hire Prol:>_atlQ_Qi:!ry__PeJiod(S_ection-- __ - ---------3:264).------------------- ------ - -

2. Visiting Appointments: An employee who is hired in accordance with the Visiting Appointment Procedure (Section 3.236). Individuals who are on leave from unlverslnss, colleges or research institutes and who have a permanent pOSition to which he/she is guaranteed to return. Visiting appointments shall not exceed one (1) year and may be 'appointed upon recommendation of the Principal Investigator or authorized deSignee.

). 3. Directed Appointments: An employee who is hired and recognized as a Directed Appointment Regular is considered to be an essential member of project and is a condition of the contract/grant as specified or approved by the sponsoring agency. The RCUH will waive all recruitment requirements for all approved Directed Appointments. These Directed ApPointments will have all the benefits and privileges of a Regular status employee immediately upon date of hire. This means all waiting periods applicable to benefit plan eligibility requirements will also be waived. Directed - Appointments are considered fixed term employees and will be terminated at the conclusion of the applicable contract or grant. Direct Appointments must be considered a Senior Researcher. Senior Technical or Senior Project Manager (e.g.t Pay Range 29 and above) level. This provision will not apply to lower level positions. All Directed Appointments will be subject to all applicable RCUH policies and procedures. The Deant Directort or other Responsible Party must endorse all Directed Appointments. A memo and job description will be submitted to the RCUH Director of Human Resources for final review/approval of all Directed Appointments.

E. Non-Regular Status - This employment category is used to handle specific collaborative employment

Research Corporation of ther-· . ~y of Hawaii


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actions between agencies. All positions are considered limited·term or fixed term employment actions.

1. Junior Scientific Researcher: These are positions funded through outside institutes, foundations, grants, etc. (e.g., Hubble Foundation). Incumbents are selected for short-term assignments (i.e .• less than 3 years). Recruitment and selection of these positions are conducted jointly with the

------------. --- - ---- .. ----. ---- --- -- . --- . .--- .. ----- ---funding -ageric}i,-wliiCh -authorizes selection

and placement. Terms and conditions vary from the regular status employees, specifically in pay rates, employee benefits, recruitment and selection. Limited employee benefits are provided depending on terms specified by each funding agency.

2. Specialized ResearchlTraining Employees: These are pest-doctoral trainees/fellows and other specialized trainees/fellows. Terms and conditions of each appointment will vary depending on the terms of the collaborative agreement. Recruitment andlor invitations may be used to select the incumbents of these appointments.

F. Temporary Employee Status - (temporary, shortterm employment): An employee who is hired in accordance with the Temporary Appointment Section, whose duration of employment irrespective of the number of posltlons to which appointed or number of hours worked. does not exceed 18 weeks.

G. Intermittent (temporary, irregular schedule, or on-call status): An employee who is hired in accordance with the Intermittent Appointment Section. Individuals with specialized skills who perform assignments on a nonregular work schedule. A non-regular, part·time temporary posltlon, with an intermittent appointment period not to exceed a total of six (6) months. These positions require an irregular work schedule (i.e .• work no more than five (5) consecutive days) throughout the duration of the six-month appointment period. Also. requests not approved as Independent Contractors

may be hired in this employment category.

H. Specialized Service (temporary special purpose

.... I ••••.. _ 11 • I 11

• • f_ ..... _ ... __ ............. _. ~ a _

Research Corporation of the C··'l

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employment): An employee who is hired in accordance with the Specialized Service Appolnfment Section. Highly qualified individuals who perform short-term,

specialized, non-credit instructional or training programs. These are usually short-term assignments characteristic of seminars or conferences. Also, requests not approved as Independent Contractors may be hired in this employment category. Periodic or a lump sum payment is made to the employee upon completion of the appointment. Specialized service

-- -- -.-.-- ---- -- .-.- ... - ... - -- .------. - ------- ----appoinrmenUn:l<:rnOf eXCEn~tta U>tal"ejfsix (Sr-Weeks: -

I. Student Assistant: A student employee who is hired

in accordance with Student Appointment procedures and who performs services, which are incidental to and for the purpose of pursuing a course of stiJdy. Student assistants must be enrolled as a student in a school. College or university on at least a half-time basis and are regularly attending classes. Please refer to policy 3.211 - RCUH Student Employment Policy ~ for further details.



n' ... n' ..... .n. ..........

'--;;, .<1 ~'- .. /

Classification No.: .
Job Code: 00
RCUH Pay Range: 351SPI3538
FLSA: Exempt
EEOCat.: 1 A - Senior Management
WC Code: 4511

Project Kai'e'e (PK)

I. SUMMARY OF DUTIES: Regular, Full-Time, RCUH Non-Civil Service position with the Project Kaie'e (PK), located in Honolulu, Hawaii. Continuation ·of employment is dependent upon program/operational needs, satisfactory work performance, and avaifability of funds.

Executes various military and civil programs in the Mid Pacific Region for research and development (R&D) projects. Provide technical assessment of various technology programs in the region for military defense and Homeland defense projects. Assist the state of Hawaii, Economic Development Alliance of Hawaii (EDAH), and various outer Hawaiian Island Economic Development Boards CEDBs) to grow high technology industries in the state of Hawaii. Actively participate in and develop educational and community outreach programs to foster the infusion of local scientific talents into the technical community. Accomplish this by forming a close working relationship with the University of Hawaii, Hawaii secondary schools, and local industries.


A. Reports to: RCUH Executive Director

UH President

PK Advisory Board EDAH

B. Supervises: Directly supervises: Program Director, Technical Director,

Financial Manager, Technical Designated Agents, Security Director and Executive Assistant.

C. Budgetary Fiscal Responsibility: $25.000,000.00 project.

D. Signature Authorities: As designated by contracts or by Board.

. l~

FlJCoT.OSlJR F. (iJ..)



E. Level of Interaction: High level of interactions with local, state, and federal government officials, high technology defense industry CEO's and managers, high ranking military officials, high ranking Navy, Air Force. Army, and Missile Defense Agency government officials, and leaders of local business associations. Significant interactions with program managers, scientists, engineers, and business managers, and University of Hawaii and secondary school education personnel. Will receive direction from the Executive Director of the Research Corporation of the

_ Uni'lersUy_of_Hawaii. (RCUJ-i}for- the-strategio exeeutlonct PK; execution of projects, technology assessment, business development, and community outreach programs, Will receive advice from the local and state government, the PK Advisory Board. the EDAH, the President of the University of Hawaii for local industry and economic development matters.

III. MAJOR DUTIES & RESPONSIBILITIES C* Essential Job Functions-Maior Duties & Responsibilities are listed in order of importance):

20% 1, Establishes PK. Develop and continually update the MIDPAC high technology strategic plan to. establish the PK.

20% 2. Effectively lead and manage PK. Develop and issue realistic program goals and operating policies, procedures.

20% 3, Responsible for executing various technology programs related to

integration technologies for Missile Defense, Expeditionary Warfare, Homeland Defense and the war on terrorism while working with organizations such as PMRF. Maui High Performance Computing Center (MHPCC). CINPACFLT, University of Hawaii, The University of Alaska and the local high technology industries, Directly responsible for resources, personnel, budgets, planning, schedules, operations and oversight of the organization. Provides vision and direction for all programs. Coordinates with and leverages various organizations and high tech companies to execute the goals of PK and support of government defense initiatives. Coordinates with the Pacific Disaster Relief efforts to centralize information collection and dissemination. Coordinates with the Pacific Missile Range Facility (PMRF) to provide an established operational test and training environment that includes service, joint, theatre and national missile defense assets for both rapid prototyping and analysis, Works with the resources of existing military facilitiesJ including the PMRF. the MHPCC arid the Universities of Hawaii and Alaska to oversee the execution of systems of systems and SUb-systems in the Pacific Region.

20% 4. Provides assessment, feasibility. and technical soundness of various proposed technology projects in the region. Implements and executes a process to fairly assess various proposed technology projects. Including

Project Ka.j'e'e ex.ecutive Director RCUHlHR (03/02)

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determining the technical soundness, military/civil applicability, and return on investment that impact the overall military and economic value of the program's investment to the state of Hawaii. Chair the PK advisory boards and as needed, participate on local boards of the EDAH and KEDB committee, and counsels dealing with various technology projects for the Mid Pacific region. Evaluate business program operations and milestones, analyze significant trends and issues, and forecast and estimate business requirements. Execute various projects in. ~Jlr~{lot

.. _ Missile- Cefense.- Expeditionary· Warfare; -and lhe -war 'ori --terrorism while working with organizations such as the PMRF, MHPCC. CINPACFLT, University of Hawaii, the University of Alaska and the local high technology industries.

10% 5. Assist in Transitioning Mid Pacific technology industries' products to various organizations including federal and state agency acquisition programs and the commercial sector to grow the state of Hawaii technology section. Determines the processes and practices to increase technology transition into naval and other DoD programs. Maintains close Liaison with various military research and development agencies and acquisition communities to coordinate projects related to National Defense. Remain current in new initiatives for business organization, communications and technology transfer, virtual company links, ecommerce, regional government-industry consortia. and other government programs to foster high technology business growth in the local area and education system for the state of Hawaii. Articulate the activities of assigned programs and broad technical interests of PK at meetings. Federal, State and Local Government, academia, and industry officials

10% 6. Develops community outreach programs by building close alliance with industrial trade associations, local colleges and universities, and secondary schools to develop an industry base and infrastructure to support continuous technology talent pool. Work with the Universities of Hawaii, Alaska and local High Technology industries to develop their capability to produce components to integrate into a system of systems and subsystems for project initiative.

7. Performs other duties as assigned.


A. Education: Master's degree from an accredited college or university in Business or Public Administration.

B. Exoerience: Fifteen (15) years high level military leadership and management background in a variety of government defense related issues (i.e. Missile Defense. Expeditionary Warfare, and Homeland

Project Kal'e'e Executive Di~tor RCUHlHR (03102)

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Defense. Ten (10) years or more experience in leadership and management experience in developing strategic and future plans for major organizations. Significant working knowledge and experience in: Missile Defense operations, requirements, and capabilities. expeditionary warfare operations, requirements and capabilities, operational Navy requirements. technology transition, DoD budgetary process, Navy's acquisition process, Navy's resource and requirement process, and US Joint operational command. Use of military forces for humanitarian assistance and disaster relieUor homeland defense.------- - - -- ----------------------------- - - .. -

C. Abilities, Knowledge, and Skills: Proficient in pes and Microsoft Office Suite. Possess high degree of problem sOlving abilities to lead systemlsub~system integration into multiple systems and sub-system development. Ability to lead and manage alf levels of professionals including; formal military personnel, technical scientist and engineers, business managers and developers. Excellent written and verbal communication skills. Ability to travel to neighboring islands, Alaska, Washington D.C., and the Pacific Region (up to 50% travel may be required). Applicants selected will be subjected to a government security investigation and must meet eligibility requirements for access to classified information.

D. Physical and/or Medical Demands: Must be able to do extensive travel.

V. DESIRABLE QUALIFICATIONS: Excellent communicator, understands military defense initiatives, desire to lead and develop technology in Hawaii.

VI. REVIEWED BY INCUMBENT OF POSITION: This position description is a summary of job functions, responsibilities and qualifications. These designations of functions are subject to change as needs dictate.

Signature of Incumbent


Print Name





Signature of Supervisor or RCUH HR Representative

Project 1(ai'e'c Executive Oirector RCUWHR (03102)

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1- -

( 0


Note:. This sheet is attached to the position description. This page will be maintained with your file copy,.of the official installation date of the position description.


P_rincjpallnvestigator-- -"-- .-

-'--' Date------- -- ..



RCUH Pay Range: 35SP3538





Director of Human Resources or Designee Date

LC 3/19/02

Project Kai'c'e Executive Director RCUHlHR (03102)



\..__. .. ~:.

Bulletin Board Posting Draft:

PROJECT KAI'E'E EXECUTIVE DIRECTOR - 10# _. Regular, Full-Time, RCUH Non-Civil Service position with the Project Kaj'e'e (PK), located in Honolulu, Hawaii. Continuation of employment is dependent upon program/operational needs, satisfactory work performance, and availability of funds. Minimum Monthly Salary: $14,665/Mon. (if @ 100% FTE) Duties: Executes various military and civil programs in the Mid Pacific Region research and development (R&D) projects. Provide technical assessment of

.. -- varlous -technology-- programs irtthe-region-formiUtary·retevance. -Assisf the state of

o Hawaii, Economic Development Alliance of Hawaii (EDAH), and various outer Hawaiian Island Economic Development Boards (EDBs) to grow high technology industries in the state of Hawaii. Actively participate in and develop educational and community outreach programs to foster the infusion of local scientific talents into the technical community. Accomplish this by forming a close working relationship with the University of Hawaii, Hawaii secondary schools, and local industries. Minimum Qualifications:

Master's degree from an accredited college or university Business or Public Administration. Fifteen (15) years high level military leadership and management background in a variety of government defense related issues (i.e. Missile 0 Defense, Expeditionary Warfare, and Homeland Defense). Ten (10) years or more experience in leadership and management experience in developing strategic and future plans for major organizations, Significant working knowledge and experience in: Missile Defense operations. requirements. and capabifities. expeditionary warfare operations, requirements and capabilities, operational Navy requirements, technology transition, DoD budgetary process, Navys acquisition process, Navy's resource and requirement process, and US Joint operational command. Use of military forces for humanitarian assistance and disaster relief for homeland defense. Proficient in PCs and Microsoft Office Suite. Possess high degree of problem solving abilities to lead system/subsystem integration into multiple systems and sub-system development. Ability to lead and manage all Jevels of professionals including: formal military personnel, technical scientist and engineers, business managers and developers. Excellent written and verbal communication skills. Ability to travel to neighboring islands, Alaska, Washington D.C., and the Pacific Region (up to 50% travel may be required). Applicants selected wiU be subjected to a government security investigation and must meet eligibility requirements for access to classified information. In ulries: (Oahu). Application Requirements: Send cover letter (note 10#) with narrative on your qualifications for the position. resume with salary history, the names, phone numbers, and addresses of three supervisory references, and copy(ies) of diploma(s) andlor certificate(s) used to qualify for posltlon via: 1} email: rcuhhrapply@rcuh.com 2) fax: (808) 956-5022 or 3) mail: Director of Human Resources, Research Corporation of the University of Hawaii. 2530 Dole Street, Sakamaki Hall 0-100, Honolulu, HI 96822. See www.rcuh.com for additional information on employment. Croslng Date: ________ . EEO/AA Employer.

--. ~-

Project Kai'c'c Executive Director RCUHlHR (03102)

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di=\\ The Research Corporation ~ of the University of Hawaii


RCLH t/se Cr.iy: I r ~.

10 #: L_=2",-(d __ -.,-Requisition 1#: ~p .. U~#1 Position #: b}q<e


REMINDEi1: Far New Job Descriptions, please ema rcuhhr@rcuh.rcuh.hawa


Reason for Requisition (check one):

DJeplacement for (name & title): .

(2f Newh~.dditional Position (submit S6fVice Ord~r Personnel Form Attac.'lment 8 for s,!!,Ii_c_e_~!¢_.e'!1tierQj~~~ L-.: '. _

III RCUH Pay Range

I Recommended: 2Sr!> 1:;..

n_ TS-R~~~mmended Position Title:

. i

D/~eCTDIt.. . /lC{)Jlll'opl:c.T /<;), t! E

.. " /

Payroll Distributi :

.1 II F.T_E.: /tHl'

EI ."... .' Project(s): Project A

". Project # (use 6 digit proj. #): ~ 11 &...£.L.:1 . Buifget.:Ca_t-ego..y(use 4 digit B.C.): ...J} JJ. .JJ. J.

. · ... :r <% ~f Charge (must total 1 00%): :jJ JJ.. .2..%

Project B Project C



--_% --:"'%'

II . Comp~!l~~~~ti.,Eligjbjlity: . " ." (Chifcki:infy4f appficabJe .

o andp;:e'ViiJusJ}i 8stablishsd If not,deseribe' on attached

.' _. msi'[lo:), '~::. .

0" NO (Night Differential)

o ATO (Accum. Time Off)

o DC (Deployment Camp.)

o SEA (Sea Pay)

o TOA (TIme Off Airowance)

o Other. _

. ,

EI Closing Date (at le~st@aft~_r.po~ring or ' ..

'. secondary recruitm6nfdate): .. 23j .. '1,( 02-


:;', 1m SeCo~d1ilry (oPti,;~aJ) R~.ruitment Sources:

O· AdV~rtis~r '" Date::..__ 1_'" "_. l_·_ . 0 Ku L~ma··~· •. '. Date: _;_ 1 __ 1 __

. . . " .. 0 Other _ ... _ .; _._. __ -:- _

Date: __ I_' _ 1_ Date.: . __ 1 __ I_ .


Method of Payment for Secondary Recruitment: . _

o Charge any fees incurred for recruitmentedvernsemenrs to:

Project # (use 6digitproj. #): ~_ '

Budget Category(use 4 digit S.C): .

G UH Purchase Order Nc. _;"_' _-"-_

,Name and_ph6f1e numlJer,.to appear in~dvertisements for telephone inquiries {mus! have signature ~uthoritY"or pe~6n. actions):,

;__ -'- Phone:


'li'lITI"'Y nCllD);, 'r' \


12\ The Research corporationrr-'ii -. ::\l!fI of the University of Hawaii! : _L

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;i' n 7,/ ill i .PERSO'NNEL ACTION FORM


DName: last

fI Type of Action:

Employment Category: ~ Re o Relief

o Change in Present Employment (skip to line 9)

. 0 Student 0 Specialized Svc 0 Intermittent

o Relief Probation 0 Non-Regular 0 Other: - _


Project(s): Project A Project B Project C Project D

Project # (use 6 digit proj. #): Q12.b!L:t...1 _

Budget Category (use 4 digit B.C;): a.. 00 L . _ _ _ _ _ _ _ _ - - --

% of Charge (must totaf 100%): ,L .12ll..% % % - - _%

II Program Name or Department: l'I'o..JGCT k/Q/'G't: Base Pay Rate (select one type):

Work Location:

City/Island: /lCIVOlulu

Country (if not in the USA): _

PayroJl Distribution Code';" _

$ per month at % FTE

State:..B.I:. $ per hour at % FTE

$ total lump sum

List payment schedule for multiple payments:

B. Is Selectee currently an employee of a governmental agency?

C. Does Selectee currently have relatives employed with RCUH. UH or the State of Hawai'i that have a direct relationship with your project? "'If you answered yes to any question, please explain: 1l(;77111

DYes'" ~Yes* DYes'"

~No DNa r&fNo

II Purchase Order/ Pro].'
Project Number(s) A
(use 6 digit proj. #),
Budget Category(ies) B
(use 4 digit B.C.) &
% of Charge (must C
total 100%) S.c. 9I.OIarge Pro). , S.c. % Charge
-_% A -_%
-_% B -_%

-_% C _%

-_% 0 -_% II

Pay Vacation

Balance as of __ 1 __ I _;_

# of Hours:


Check One Only:

o For related or 0 Vacation Payoff 0 Vacation Hrs. Transfer 0 Vacation Transfer JE (attach JE Form)

continuing projects:

o For unrelated projects: 0 Vacation Payoff


A _

91. Charge

_____ % A _




91. Chatge





RCI6'I Form Q.4 relli$ed 03/04/98



II Explanat:on for hire actron, reason for rate of pay (if above ~h~ minimum). reasons. for change, description of work assignments (for Students, Temporary. Intermittent & Speciafized Services), vacation payoff explanation, or ather miscellaneous comments.

II Approved- I certify fiscal authorization of this action:

Signature of Principal Investigator and/or Designated Project Official


Namenitle (pleaseprintj

Contact Person Regarding this Action

Phone Number for Inquiries

For Regular Hires, Please Insure Applicant Review & Selection Summary Form and Selection Documents are Attached


II Approved - I certify that to the best of my knowledge, this personnel transaction has been made in compliance with

RCUH policies, ~mployment laws, and statutes of the State of Hawai'i: . .


Director of HUman Resources or AUthorized DeSignee


Check list: Coding:
01·9 o Health Visa Code: or ON/A
OPers/Tax o Flex Visa Start: or ON/A
DOir Oep o Dual Work Auth Exp: or ON/A
o Druq-Free o Family FICA Exempt: Ov or ON
o Hand/Vet OSVOE FLSA: DE or ONE
501 Exempt: Dy or ON
OT: Dv or ON
AP: or·ONIA Checked/Coded By:

Leave: 0 Stnd or Other _

Start Date: _ 1 __ I _:_ Term Date: __ 1 __ 1_ Probation Date: __ 1 __ I __

Authorized By: _

Emp, # (rehires): _

TIAA Reactivate: 0 V or 0 N

Entered By: On: _

.. _I ....


E E ::J en


.2 o .9!


...._ .

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Knowledge Skills and Abilities (KSA) for Executive Director Project Kai'e'e


,'. Ability to Establish Project Kai'e'e, including: issuing realistic program goals, strategic plans, operating policies and procedures.

KSA-#- 2---- - -- ---- ---- - -

Significant Leadership and Management Experience in a large organization


Communication Abilities (both Written and orally) to effectively deal at all levels of military, government and academia


,-" t:t<·~~ r Past Experience in developing and monitoring multi-million dollar budgets and line items based on fiscal year funding


Ability to participate in and develop educational and community outreach

1'-:;' J programs to foster the infusion of local scientific talents into the technical community


/ Willingness to travel at a moments notice to neighboring islands, Alaska,

~ -;. ~ /Washington D.C. and the Pacific Asian Region, up to 50% travel may be

- j required.


c I" ~. ~(;A~, Understands how to execute various military and civil programs in the Mid

: '" Pacific Region for research and development (R&D) projects


Education: Masters degree in Business or Public Administration or equivalent level of specialized training.

XAbility to use automated office equipment and computers


I """2.1 .Ie


15 years or mqre of high level military experience in Expeditionary Warfare and full understanding. of TBMD initiatives, and Homeland Defense in the MIDPAC region.,

-- .-, ------"1;,,- -;---

1-' .

KSA# 10

Ability to assist the state of Hawaii, Economic Development Alliance of Hawaii~(EDAH},··and ·variQUS.outerHawaiian~island Economic-Develepment- ... Boards (EDBs) to grow high technology industries in the state of Hawaii.

KSA# 11

(. ~_aintains a Top Security Clearance or higher


KSA# 12

~Understands the use of Military Forces for Humanitarian Assistance and

tAIl! Disaster Relief for Homeland Defense

[)t!S1 11 tJ ~ ......, ... ttf -.


-_ .. --_ ...

th ... ·:'"

Mast~r Matrix of all Applicants fOf the Position of Executive Director Project Kat'e'e

Applicants Name •••••••• Evaluator Nam_

Date of Ranking April 22. 2002

Instructions! Mark each KSA as indicated below. Add up aU points and provide comments as nctessary. Upon completion of soonns. place" conference call with (he

Principle Invesligator and reta), any additional comments and or

--recommcncbitions for selcctkm-Pb Upon_tomnt~tiQ!'I C?fco"ference call,

FAX all scorins sheecs to the Principle Investigator utiU~ing the same phonc-fiumbCr:--

u.. tb. fa11~ Bcal. foZ' razakiDg caD41date.. Hark each JtSA witb the applicable ~a~lllg aII4 tIleD a44 a11 .core. for tota1 point ••

11 Applicant aiguiflcaDt1y 4oe. not ... ~ ~h. requirement 2. app!J,cant 4088 not meet the reIZ'l1~_t

3 I Applicant somewhat meet. the reqgirMlellt

.... Applieant _ts Ute revuirellimt

5. Applicant .iVDif1cant1y ... ts the r~!remeD~

KSA#I PlS 5 Comments:

KSA#2 PtsS

Comments: has a proven record of providing the Navy with guidance and leadership. (example 10,000 sailors in various disciplines). He was also the spear head in many state oflhe art programs leading the Navy into lhe fuluTe; he has achieved this by innovative managerial techniques and leadership. Programs that would have tuken years to insert into lhc military process (MCC), was achieved in a yeatts time, The leadership attributes he possess, are the necessary in~dients that will provide the Projcct Kai·e·c with the guidance for I successful futuro.


Pts S

Comments: I bad the opportunity to attend a meeting in

chaired: he demonstrated (he unique capability of grasping the problems relaying the

information so all levels attending couJd understand. his audience included government, teChnical an" military personaJ. He is recognized amongst chc technical and government community as an authoritative Ogure wilh infonnative views and good understanding of the problems and issues related to the sensor distribution issues for the Navy war fighter.

3 ':".~~

-_. -_


(. ,_.


h is extremely apparent that oral), are of the highcst level.

KSA#4 PtsS Comments:

As stated b,ytI ••••••• tin his resume; "The demands and complexity of leacJership, operational management of this large and diverse organization arc not

d.ur~ica_~_jn ~)' o~hcr c0!1'~'nll!~~nth_c !1~ftlav~ .•• __ __ _ _ __ _

KSA.S Pts4 Comments:

Allhough I could not find any part of resume that answered this .

question, I believe rhat _ • • :ould participate in the development of

educational and community outreach programs in Hawaii. Being tl native of Hawaii his participation in these programs will only be limiled by the demands imposed by other duties required by this position.

KSA #I 6 Pts S

. Commc.nlS:8c:in g.lnthcJiavy_ for 30y.cars.is_aJc.s.tame.nt_oflhisL___ _ ._ . __ ._ ... _. _. ._._. . .... _._. .__.

KSA#7 Pis S

Comments: As staled in KSA #S

- KSA#8 Pla S

Comments: Holds a Masters in Public: Administration from Harvard University.


Comments: Has obtained a high ranking position of_ the Navy afler 30 years of loya1 service to our country.

KSA# 10 Pts 4

Comments: J believe thlll his participation in these programs will only be limited bythe demands imposed by OIhcr duties required by this poSition.


Comments! 1 don', believe that a comment is needed.


j J7) r;~----

r. 12!lr~ J~ r r - =>: -

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•• -~ •• _ .. - I" ,

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2) (

KSA# 12 As S

Comments! After readin commcnts on Humanitllrian Assistance and

Disaster relief for Home land defense, I believe that he has a very good understanding on the complexity of thi$issuc. He.has solid ideas that can lead the Project Kai'c'c into a lead organization that can contribute Rnd help resolve lhe complexities of the issues associated with the utililEltion of Milicol)' forces for Humanitarian assistance and disaster relief.

Total Points 58 out of 60

Final Comments:

••••••• aha' a proven record of leadership. manapiaJ and people skills.

Of which alJ 8R: at the highest level, I believe thai j is. Dwill bring to the

Project Kai9 will be invaluable.


H; ;'1: ~~I J'"I'.~' .

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Master Matrix of all Applicants for the Position of Executive Director, Project Kai'e'e


Date of Ranking

Instructions; Mark each KSA as indicated below. Add up all points and provide __

_ .. comments-as neeessary.-!.1pon-~etionorscoring; place -a-coriferencecall with -the Principle Investigator ~d relay any additional comments and or

recommendations for selection Ph Upon completion of conference call,

FAX all scoring sheets to the Principle Investigator utilizing the same phone number.

Use the following scale for ranking candidates. Mark each KSA with the applicable rating and then add all scores for total points.

1: Applicant significantly does not meet the requirement 2: Applicant does not meet the requirement

3: Applicant somawhat. meets the requirement

>-; Applicant meets the requirement

! 5: Applicant significantly meets the requirement l

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KSA, Pts 5.

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KSA# II Pts---2:. .



KSA# 12 Pts L{:

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April 15, 2002

Research Corporation University of Hawaii 2800 Woodlawn Ave., Suite 200

Honolulu, III 96822

Phone: (: ••• _

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. ENCI;:---V )1JiographY·

(2) Reswne

(3) Minimum Qualifications & Summary

REF: RCUH Employment Announcement dtd 10 Apr 2002
File No.: 0850202
Classification No.: 031809
Job Code: 002082
RCUH Pay Range: 3SISP/3538
FLSA: Exempt
EEO Cat.: lA - Senior Manazement
we Code: 4S11
Effective Date: .April 1 0, 2002 D~

In response to your employment announcement no. 22189, I am submitting my

application for the position of Executive Director of the Pacific Research Institute, Research Corporation University of Hawaii for Project Kai' e' e. Based on my breadth/depth of experience as a senior Naval Officer and educational background, I believe you will find that I meet all the qualifications required of this position. . In the enclosures, I have attached statements describing my qualifications and a detailed resume with my employment history, statements of my educational background and references. Verification .of my education and addresses and phone numbers of supervisory references were not available while preparing this application. However, I will forward them to you within a week. I am available to provide any additional information or an onsite interview at your convenience. Thank you in advance and I look forward to hearing from you.


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Enclosure (I): Biocraphy

United States Navy

native of San Diego, California, attended high school in Groton, Connecticut and subsequently graduated from Crawford High, School in San Diego. He completed his undergraduate degree from San Diego State University in 1972 whereupon he entered Officer Candidate School, Newport, RI, receiving his Commission in November 1972.

~st duty station was USS McKEAN (DO 784) where he served as Combat Information Center and Electronic Warfare OBicer. In March 1975, he was reassigned to USS BROOKE (FFG 1) as Gunnery and Missile Officer, later assuming duties as the Main Propulsion Assistant. After completing the Surface Warfare Officer School, Department Head course in 1977, he assumed duties as Engineer Officer in USS PAUL F. FOSTER (DD 964). In December 1982, joined the pre-commissioning unit of USS CROMMELIN (FFG 37) as

.: From November 1984, to' June 1986, he was assigned to the staff of Comniinder Carrier Group SEVEN as •••

~t t~ the tour, ~as assigned as

~ Bureau of Naval Personnel, from August 1986 to June 1988. He then attended Harvard University as a graduate student, completing his Masters Degree in June 1989. He assume ofUSS JOHN YOUNG (DD 973) in June 1990. Upon completion of this tour, he attended the National War College, graduating in June 1993.

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Endosarc (I): Biograpby

•••••• then completed a JointINATO tour with the United States Atlantic Command/Supreme Allied Commander Atlantic and subsequently assumed duties as ••••••• of USS SmLOH (CO 61). During this tour the ship participated in a Tomahawk Strike in Southern Iraq as part of Operation DESERT STRIKE. He was also awarded the John Paul Jones Leadership award. After his command tour, was assigned as a member of the eNO's Strategic Studies Group, Naval War College, Newport, Rhode Island .

••••• then reported as Theater Air Warfure Branch (N86CIN865) for the

Office of Chief of Naval Operations in May 1998, followed by duty as Warfare DivisiQ[l_{N86B}.- ~ was-then as Task Force SeventY-SlXlAmphibious Group in Seventh Fleet and completed that tour in March 2002. He is cmrently assigned as a ~ to Commander Military Sealift Command Washington DC.

His personal decorations include the Distinguished Service Medal, Defense Superior Service Medal, Legion of Merit with one Gold Star, Meritorious Service Medal, Navy Commendation Medal with two Gold Stars, and the Navy Achievement Medal


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Enclosure (3): Mioimum Quaii'ncatioDs and Summary

• As the Executive Director of PRI, I intend to first develop a coordinated strategic plan that incorporates the assets of aU the islands (i.e, PMRF. MHPCC). then tie them with other national assets and areas such as Kwajalein, Vandenberg. and Alaska. The goal is to make the MlDP AC region, the center piece for Missile and Homeland defense.

Significant working knowledge and experience in:

• Missile Defense operatioDs, requirements, and capabilities;

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o I have as much experience in Missile Defense operations, requirements and

capabilities as any Naval officer on active duty. Operationally, I conunanded an AEGIS guided missile cruiser, in which the primary warfare mission area was Missile Defense: Tactical Missile Defense - that is, shipboard missile defense systems and operations; and Theater Ballistic Missile Defense - Air Defense of Land Areas. While commanding the cruiser, I deployed to the Arabian Gulf, as part of a carrier Battlegroup. During that deployment, my responsibilities included two crucial areas in Missile Defense. First, I was assigned duties as the Battlegroup Air Defense responsible for planning and executing every aspect of Battlegroup Air Defense such as utilizing the AEGIS air weapon system as well as incorporating and controlling F/A-lS and E-2C air defense systems in the plans and operations. The second assigned mission was as the Arabian Gulf Area Air Defense which included the planning and execution of air defense operations throughout the Arabian Gull: This mission encompassed the first time incorpomtion of the Air Force's new concept of "Air Expeditionary Foree - AEF' deployment into the Maritime defensive operations in the gull: It was a unique opportunity to incorporate Air Force assets into a Maritime Air Defense Force - Air Defense capabilities and operational procedures, most of which were significantly different from that of the US Navy's.

o My last tour of duty, as part of the Navy's OPNAV staff, included the responsibility for developing requirements and functional systems for the Navy's Air Defense Program. It consisted of THMD Radar, Combat system/weapons control, and Missile/Gun development. I was the principal point of contact for all Air Defense issues for the Navy. During this tour, I was also able to define future system capabilities including advanced electrical/optical search and track systems, and weapon systems such as high power laser devices, which had. yet to reach the technical matwity, but in my judgment. would be viable capabilities for near future development.

o While assigned to the Navy's headquarters, I led the Missile Defense (MD) and Platform Protection (PP) Future Naval Capability (FNC) Integrated Product Teams (IPn. I was responsible for developing the Navy's future missile defense systems and capabilities as well as the future shipboard defensive sensors and weapons systems. This assignment was more than just an intellectual exercise in requirements definition - instead, it directed resources toward research and

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Enclosure (3): Minimum Qualifications and Summary

development, production of prototypes, and in some cases, transition into field systems, The experience of leading an effort from design to production is an invaluable one that I will bring to PRI.

o My extensive Missile Defense experience, will be important in working with the Pacific Missile Range Facility (PMRF). PMRF in my opinion, is a national asset that must be expanded to become the nation' s premier Research, Development, Test and Evaluation (RDT&E) facility for Homeland and Missile Defense. I

. Iook.JQ1W~4_lQ J~~inK r~ in becoming the lead technical laboratory in these efforts.- ------- - - - --- - - ---- -

• Expedition.ary Warfare operations, requirements, and capabilities;

o My last sea duty assignment was Task Force 76/Commander

Amphibious Group One. I was one of three expeditionary commanders in the Navy. The unique aspect of this assignment was that CTF-76 is the only operationally forward deployed Expeditionary Warfare Commander. The other two commanders are CONUS based, non-deployers, whose responsibilities are to equip and train amphibious forces to deploy forward. When those units were sent to my area of operations, they were incorporated into my own forces, and became a part of the 7th fleet warfighting force. Of note, I was the only Navy force which had operational command of a Mine Counter Measure Unit, Marine Expeditionary Unit, Navy SEALs, and Explosive Ordinance Teams; It is also important to note that expeditionary warfare operations are considered the most diverse and in my opinion, the most complex warfighting operations of Naval warfare - It incorporates Mine Warfare. Marine Expeditionary Unit Land warfare, Special Operations, Surface Warfare (Naval Surface Fires, Air Defense, Undersea Warfare), Strike Warfare and Air Operations.

o During the eighteen months in command of the expeditionary forces, I participated in every expeditionary requirements conference hosted by the Navy's Staff Expeditionary Warfare branch. Participating in these conferences allowed me to influence the future direction of our expeditionary warfare program by defming new requirements and expanding others. I consider this one of most important aspects of senior leadership - being able to incorporate current forward deployed experiences into the Navy's future plans.

o With an eye to the war on terrorism, the experiences I have gained as an amphibious force commander, become even more critical in understanding how this war will/can be fought in the future. Missile Defense will also become a central focus of the MIDPAC region, however, with Hawaii as the gateway to the Pacific RIM, Expeditionary Warfare and its breath of capabilities will contribute immensely to our homeland defense initiatives. I believe that PRI must not lose sight of this very important emerging warfare area and should become the leader in developing teclmologies for Expeditionary WarfarelHomeland Defense.



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Enclosure (3): Minimum Quaiifications and Summary

• Use of Military Forces for Humanitarian Assistance and Disaster Relief for Homeland ~efense;

o Expeditionary Warfare also includes the non-Navy warfare areas of Humanitarian Assistance and Disaster Relief(HADR) as well as Non-Combatant Evacuation Operations (NEO). These two critical capabilities/operations are important to our National strategic engagement strategy and clearly. have been executed more often than any other type ofmilitary operation. During my tenure

_m __ ~_. _JiI was.fortunate enough to-have-led a real-world HADR-opei3tioii arid conduct the planning process for an actual NED operation, which included moving my forces into a position to execute a rapid evacuation.

o As previously mentioned, as Task Force 76~ I planned and executed

HADR operations in East Timor. Several years ago, internal strife resulted in civil war in this previous Indonesian Island state. The outcome was a devastated new breakaway island nation, with a virtually non-existent economy and infrastructure. In consonarice with the United Nations, I planned and participated in operations, which included medical care, significant repair to water and electrical infrastructure as well as providing food and basic necessities. A significant part of the operation was the incorporation of educational and recreational assistance to a very large population of disenfranchised children - a truly gratifYing part of the help we provided.

o Recognizing the national importance of the HADR mission, I planned and hosted the first ever international HADR conference in the Pacific Region. Its success was immediately apparent and as a result. it has now become a bi-annual event. It incorporates both Military and Civilian HADR components (e.g .• tire, rescue, and law enforcement agencies) as well as international disaster support organizations. This very important mission is being incorporated into the Modular Command Center (MCC). With this added capability, MCC can become an important part of the Homeland Defense initiative.

o As the new warfare area of Homeland Defense emerges, I intend to lead PRI in the development of new technologies that specifically support this mission. I will propose a capstone project for PRJ - the Mobile Modular Command Center (M2C2) - building on the Hawaii MCC project, to develop an integrated sensor, communications, and information system that will lead the way for Hawaii industry to become a principal contributor to this Nation's Homeland Defense initiative.

• Operational Navy RequirementslDoD budgetary processlNavy's acquisition process/Navy's Resource and requirements processlUS Joint operational command;

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Enclosure (3): Minimum Qu~uncations Ind Summary

o Defining and developing operational requirements can be broken into two comeonents. The fast is the force structure (size and shape) and the second is how and where the force structure will be employed.

o I was fortunate to be in policy making billets at the United States Atlantic Command (USACOM) and OPNA V during crucial periods of change in our Navy's evolutionary history. When the Soviet Union collapsed, our Navy began

two very important changes. First, a significant reduction in size (both pel'S'?~C?I _

_ .and, force Ieve--l)~second;-a-transition--ftom: -~Ccoftcepri5f open-ocean -warfare (blue water operations) to one of littoral warfare. This change was one which necessitated a change in operational procedures in conducting wartime operations and also required significant changes in sensors and weapons that can operate in the littoral region.

o The flrst example of my participation in the operational requirements process was at USA COM, where I was a part of an "Innovation cell" tasked by the CINe to brainstorm new ideas and concepts of warfare. USACOM was a joint operational command as well as a NATO headquarters where we could develop innovative operations and employ them as weD. This was particularly important because we had access to aIJ four services and our operations were inherently joint. One of these innovations was modifying the aircraft deployment deck load aboard an aircraft carrier, scheduled to deploy to the Mediterranean. My cell was the principal cell defining this change and charged with implementing the first "test" deployment. We modified the loading to incorporate the Marine and Army helicopters with fixed wing aircraft. The deployment (1994) was a fast of its kind that provided unprecedented capability to the battlegroup commander - bringing a capability to conduct littoral warfare in addition to the traditional open water operations. But it was met with vocal opposition by the senior Navy officer in Europe, Operationally, the test was revolutionary and fostered significant discussions throughout the operational requirements and academic communities. Of note, our on-going war on terrorism in Afghanistan is currently using aircraft carriers with mixed deck loading in order to support deep land operations by our expeditionary forces - just as we envisioned in 1994. Additionally, we exercised this new concept during our preparations for the invasion of Haiti in 1994.

o The second example of my experience in defining new operational requirements was in the area of Theater Ballistic Missile Defense and National Missile Defense. While assigned as the director of Theater Air Warfare, we began the process of rebuilding our Navy and Nation's new defense systems against Theater Ballistic Missiles (TBMD). This is an integral part of our new defense in the littorals and against the growing threat of Missiles that could potentially reach the continental US (NMD). My background in Air Defense was crucial in my ability to lead the effort in writing the Navy's Operational Requirements Documents (ORO) for both TBMD and NMD - both of which were written by my directorate.

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Enclosure (3): Minimum Qu~jifications and Summary

o The initiation of the ORD is the first step in the Navy's resources and requirements process. Followed by system acquisition and funding by the' Planning, Programming, and Budget System (PPBS) or DoD's budgetary process. All of which are the functions and responsibilities I was charged with as

both the of Theater Air Warfare and of Surface

Warfare. During these assignments, I was immersed in virtually every

significant Surface Navy program: from defining the requirements (e.g., I>Q-2J~

... a. new. ship- class);-to-working . with-' the acquisittOiCc-oIriinandS-(NAVSE~ NA V AIR, SP A WAR); to producing and fielding weapon systems (AEGIS combat system upgrades).

o Additionally, during my OPNA V tour, I was directly involved in the development of our Surface Navy's annual/multi-year budget ($10.2 billion) and working it through the budgetary (POM) process. I was fortunate enough to take our budget from start to finish through two complete cycles - which included defending various parts of the budget throughout all levels of the Department of Defense as well as during the Congressional review process.

o Understanding DoD requirements, budgetary and acquisition processes, and Joint operations will be important in assisting local Hawaiian industries to transition their technologies beyond R&D. I will make this as one my top priorities in assisting them to transition their technologies into production, which I believe, is the only way to grow the technology industrial base in Hawaii.

• Technology TraDsitioD;

o During my assignment in OPNAV, I was responsible for transitioning technology from Research and Development (R&D) to Production of new systems. Three critical systems I was involved with were the E-2C Radar Modernization Program (RMP), Cooperative Engagement Capability (CEC), and the Standard Missile (SM-3, TBMD). Transitioning advanced technology is one of the most difficult processes in acquisition because of technical/program risk and the potential for failure. One is willing to accept in planning a system in the future. The technical risk stems from the acquisition communities' planned use of immaturelbasic technology for a future production system. The risk then stems from whether or not the technology development timeline can meet the system production timeline. When planning a major system development understanding the risk assessment process is important for program cost/management, an experience I bring to PRI ..

o As I previously discussed, I have had several experiences in technology transition. The first as the Integrated Product Team" (lPT) _ for Office of Naval Research (ONR)'s Missile Defense and Platform Protection FNes. I worked very closely with ONR, the Navy's acquisition communities, as well as a number of private industries. One noteworthy p,rogram was the Navy's


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Enclosure (3): Minimum Qua]ifications and Summary


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Cooperative Engagement Capability (CEC) system. A system I was involved with, from prototype development to a fielded capability - and of significance, I am currently working on its successor. the Tactical Component Network (TCN). A program which is being developed in HawaiiIMaryland "by private industry.

o The Modular Command Center (MCC) is an effort which combines a number of advanced technologies into an integrated Command and Control system. The development of the MCC, a system which is being developed and prototyped by

--companies -ftom-Oahu--and-Kauai;is-anuutcome-offiiY-recent -coiIiliumd -of Task Force 76. Upon reporting for duty as I discovered a significant shortfall in command and control capability throughout my assigned force. From my previous assignment, I realized that several ONR initiatives could be applied to alleviate these critical shortcomings. I teamed with ONR, to integrate some of the advanced technologies into a coherent C2 system - the MCC. The program bas been so successful that the Navy is now considering the system for possible force wide application. It is noteworthy that I have been approached by the Japanese government to consider MCC as a possible system they could incorporate into their next generation warship design. MCC is one of the key accomplishments of my Naval career in transitioning technologies from 8&T to the fleet via rapid prototyping.

o I understand the importance of technology transition - from research to production - and as of PRI, I will be committed to working with industries in the MIDPAC region to transition their key teclmoIogies to marketable products.

c. AbWties, Knowledge, and Skills: ProfICient in pes and Microsoft Offree Suite. Posses high degree of problem solving abilities to lead system/sub-system integration into multiple systems and sub-system development Ability to lead and manage all levels of professionals including: formal milita" personnel, technical scientist and engineers, husiness managers, and developers. Exce/lent written and verbal communication skills. Ability to travel to neighboring islands, Alaska, Washing/on D.C., and the Pacific Region (up to 50% travel may be required). Applicants seleded will be subjected to II government security investigation and must meet eligibility requirements for access to classified information.

Proficient in PCs and Microsoft Office Suite:

• I am skilled in the use of Microsoft Windows 98/2000/XP and Microsoft Office XP (Word, PowerPoint, Access, Excel, and FrontPage). I have a working knowledge of Microsoft Project 2000.




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Enclosure (3): Minimum QuaiifieadoDs and Summary

Possess Hiah degree of problem solving ability to lead system!su&-,system integration into mUltiple systems a~d sub-systems developments:

• The numerous positions I have held as a manager of multi-level complex electronic and

mechanical engineering systems USS Paul F Foster/ ••••

Officer during complex ships overhauls) allowed me the opportunity to develop analytic and management skills necessary to ensure system operation and system reliability in harsh environments and over extended periods. The complexity of the systems while operating in th~~~.Q~ironments- routiaelyresultedin- subsystem faiIure~rofC3SWiltres. -Tlie- necessity -for developing a significant understanding of complex multiple systems and their subsystems, including their interaction was essential in ensuring operational reliability and readiness while operating continuously for months, and on several occasions while in a combat environment. Problem solving in an operational environment is different from the skills I have gained in the Requirements/Acquisition and Research and Development (R&D) fields, both of which are complementary.

• While assigned as both the of Theater Air Warfure and of

Surface Wartare, I was responsible for the development and eventual procurement of a number of sophisticated and complex warfighting systems. These efforts routinely required significant leadership/management during system and subsystem integration. One of example of this effort was the development of a new Advanced Integrated Electronic Warfare System (AIEWS). This system of systems was a replacement for an existing outdated Electronic Warfare System, but much more complex and required integrating a number of disparate but related systems. The difficulty in this particular case was that our acquisition program. was attempting to develop an integrated system using multiple contractors, each responsible for developing individual systems ... several of which were highly classified with contractual and security firewaIls. The Navy team I led was responsible for the system, subsystem integration and adjudication of contractor differences - both management and technical - an invaluable experience I will bring to PRI.

• Most recently, I was responsible for developing and fielding the Modular Command Center (MCC). This R&DlPrototype system, incorporated three different systems (each which were comprised of subsystems) into a single sophisticated Command and Control System. The MCC itself was a scaJeable system which could be modified to fit a number of different applications ranging from a system suitable for a Fleet Conunand Ship to an individual warfighter on the ground. This effort began at the concept level and developed into a working prototype in just 18 months. This was both a difficult technical as well as a management challenge. My role in the technical effort was the definition of requirements in addition to solving a myriad of system/subsystem integration issues with installed shipboard systems.

• I see the primary role ofPRI as the system of systems engineer and integrator. As such. it will be important for PRI to partner with key industries then develop the technologies at facilities like PMRF.


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Eoclosure (3): Minimum Qu~UficadoDs and Summary

Ability to lead and manage all levels of professionals: Former militarv personnel; technieal scientists and engineers; business managers and developers


• In addition to the previous discussion of MCC, my primary responsibility, was to provide the leadership to bring numerous military professionals, civilian engineers, scientists, and various management personnel together. This was to ensure that the MCC project was designed and integrated correctly. I made certain that the various individuals understood the requirements, the engineers and military wer~_~1>I~lQwork.- -

_______ closely- together;,-and the-business-pIan- for fm:ancmg-the-piojecCwerecoordinated at all levels - military. civilian, government and non-government. The MCC has been a major success for the military operating forces. the Navy's R&D command and the private companies that participated.

• While assigned to the Navy headquarters, I managed two major Navy organizations.

The assigned personnel included: senior active duty and retired military personnel as program managers; engineers responsible for providing technical assessments of ongoing and proposed acquisition programs; and financial managers that orchestrated the $1.4 billion annual budget in the Theater Air Warfare Directorate and the $10.2 billion annual budget of the Surface Warfare Division. These two organizations were responsible for defining and acquiring all warfighting systems (ships, sensors and weapons) for the Surface Navy as part of the 5 year Planning and BUdgeting System.

• While assigned to the CNO's Strategic Studies Group (SSG). the concept development team I led was comprised of seven active Navy Officers (temporarily assigned from the Navy War College and the Naval Post Graduate School), a civilian BioChe~ a PhD Electrical Engineer and a Navy Analyst from the Navy's Center for Naval Analysis. This diverse group of intellectuals and highly educated technical individuals certainly presented a challenge as a manager and leader. But the C4I blue print for a future Navy warfigbting system was more than an intellectual exercise and is now being

demonstrated today in the fleet (MCC). .

• I recognize that to make PRJ successful, it must be comprised of leading scientists and engineers, acquisition professionals. and highly trained/experienced program managers. As of PRI~ I am confident that I have the skills to lead and manage a very diverse group of professionals in establishing PRI as a world class R&D Organization.

Govemment security investigation and must meet eHgibility requirements for access to classified inrormation:

• I currently hold a Top Secret/SCI security clearance and have been cleared for various Special Access Programs (SAP). I believe that it will be essential for PRI to gain entry into the very lucrative DoD classified market, and I will ensure that PRJ facilities and personnel are able to gain access and work in these critical areas.

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Enclosure (3): Minimum Qujulicadons aDd Summary

Excellent written and verbal"communication skil15:

• Ability to communicate effectively with high level redera~ state, and local officials;

o I have extensive experience in communicating with senior government officials from both the United States and foreign governments. While assigned to USACO~ one of my principal responsibilities was to liaison at all levels with officials of our own government. USACOM was the central focus of operations in. Haiti, Cuba, and the -individuat-Soviet·States afiefns-co1fiipse:- -Haiirwa:s- an example where I worked very closely with many state and federal officials during the planning stages of our intended operations in 1994/5. [was responsible for communicating the planned Military Operations directly to State Department Officials. White House representatives (NSC)t and state officials (New York City Police Officials) who participated in the operation. I provided weekly briefs for over a year to these various organizations.

o My communication skills were further enhanced over the last two years while assigned to CTF· 76, in Japan. I participated in a number of Multinational and Combined Exercises, which were designed to exercise warfigbting techniques and procedures and also execute our nations' strategic engagement plan. This required extensive interaction at the highest foreign military and government levels, where there were considerable language barriers.

o While assigned to the Navy Staff in the Surface Warfare Directorate, I was regularly called upon to brief the Directorates' major programs to various senior staff members, and subcommittees of both the House and Senate. These briefings were considered one of our most crucial and important requirements due to the sensitivity of funding support required from various Senate and House Committees. These briefmgs included a written summation, a Power Point brief: and/or an oral presentation.

o I have the communications skills necessary to effectively work at all levels within local, state, and federal governments and _of PRI, these skills will be essential in growing the technology industry of Hawaii.

• Abi6ty to communicate effectively with high level military officials;

o I communicate with senior military officers daily as part of my position as ~ ••• in the Navy and as a senior military officer serving in a Joint Command (Military Sealift Command·MSC). Additionally. I routinely discuss issues which affect the Surface Navy with senior Surface Officers on the CNO's staff and Navy acquisition issues with Senior Officers within our acquisition community eg., NAVSEA, NAVAI~ and SPAWAR. Furthermore, I ha~ withCINCPAC, CINCPACFLT, OPNAV, and the CNO. As"_ ofPRI, I will be comfortable communicating with senior military officials of all services.


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Enclosure (3): Minimum QuaUfications lind Summuy

• Ability to communicate effectively witb the scientific communities and academia;


o During my tenure as a member of the CNO's SSG, I actively engaged with some

of our nations' fmest scientists and engineers. In order to understand the research being conducted in the field of Command, Control, Computers, Communications, Intelligence, Surveillance and Reconnaissance (C4ISR) - the area of my CNO research project, it was necessary for me to engage all of OUf __

_ _ _ _ oationaLand-military- laboratories; and-- civilianslrunlc-WorKS fiiCirit:ies~--The - purpose was to gather scientific and engineering data to understand the "art of the possible" as well as gain some sense for development timelines and cost. These interactions were sometimes at a fairly, high level but often delved into significant technical detail It was important for the success of my research to not only fully comprehend the scientific and engineering data I was provided, but also to convey my own thoughts of system design and the associated concept of operations.

o Most recently, my involvement in developing the Modular Command Center (MCC) with the Office of Naval Research (ONR), was indicative of my continuing involvement with both the engineering and scientific communities. The MCC combines developing technologies from the basic research and scientific communities as wen as more mature engineering systems from industry. My interaction again, ranged from defining operational concepts for both communities to discussions on an engineering level in order to modify existing systems or to initiate new ones. These included both hardware systems as well as computer programming - a major MCC developmental effort. Additionally, as part of the MCC operational concept, the inclusion' of rapid, deployable, medical trauma capability is being incorporated. This new capability allowed me the opportunity to interact closely with the medical community to address the technical issues of worldwide field trauma care coupled with a reach back capability to US based medical treatment facilities. This new development will also incorporate the medical/academic communities, by involving the University of Hawaii with R&D as wen as the operational aspects of tactical medical trauma care.

o As the Future Naval Capability (FNC) Integrated Product Team (lPT) _ for Missile Defense (MD) & Platform Protection (PP), I engaged effectively with the leaders of the scientific and academic communities to understand the scientific and technical merit of various approaches and systems. Through my experiences as the Science and Technology IPT_ and a new product champion, I will communicate effectively with all communities to lead the high technology initiatives in Hawaii. As the of PRI, I fully expect and look forward to dealing with the scientific and engineering communities.

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Enclosure (3): MinimulQ Qualifications and Summary

Ability to travel at a moments notice to neigbboring islands, Alaska, Washington D.C. and the Pacific Asian Region. Up to 50% travel may be required; Ability to-spend a significagt amount of time on·Kauai to lead the technical team:

• My last three assignments entailed significant travel. While I was assigned to CTF-76~ my out of area travel approached 75%. This historically is the operational Navy's way of life - going to sea has been and is a part of our culture - and with my considerable number of years on sea duty. my ability to travel has been demonstrated throUghoutDlY

___________ !;~r.--Lastly~ D1¥-children--are-grown,-and-I- haw no- im:pOOiiftemsfokivmg-on-short

----------- notice or traveling for extended periods.

• I am ready and willing to travel whatever amount of time required to establish and support PRI. Each Island has its individual strengths and each will have a critical part in developing the MIDP AC region into our nations' premier core of Missile Defense, Expeditionary Warfare. and Homeland Defense RDT &E. Kauai leading the way with its strategic military base. Pacific Missile Range Facility. is the only range in the US. free of encroachment for missile and radar testing; to Maui, with its supercomputer and the telescope. is ideal for missile/sensor tracking and data analysis; to Hawaii with its vast land mass and the telescopes, that can be integrated with Maui and Kauai to support RDT&E; and Oahu, as the home of CINCPAC and CINCPACFLT, can become the center of command and control for the Asian Pacific region. In recognition of these diverse capabilities and facilities. I fully expect to travel and engage all the islands to lead the PRJ team. I also recognize that travel to Washington DC. Alaska, Kwajalein, and other out of area locations will be necessary to achieve this goal.

D. Physical and/or Medical Demands: Must be able to do extensive travel

• I am in outstanding physical and medical condition. I recently completed both my annual medical physical with no limitations and my military bi-annual Physical Readiness Test. I exercise 2-5 times per week which includes a 2-3 mile run.

-13 -


( ,,3)

Enclosure (3): Miaimum Quaf~tic.doas aad Summary


SummanlDesirable Qualifications: Excellent communicator, understands military defense initiatives, desire to lead and develop technology in Hawaii

• I have demonstrated throughout my extensive military career, that I have the requisite communications skills to meet the requirements of this position. These skills have allowed me to convey clear and weJl articulated messages to diverse groups of people. These complex issues and subjects ranged from scientific/engineering issues, to strategy and policy matters, to miJitary O~ll!liQ_~~_Th~~c~~'!I:l!~~ti(m $_k.:il_I$_wilLheofgreat

---------- --iDtjiOrta.nee as-the PRrmanagemeUt team develops an integrated, broadbased strategic

business plan for Project Kai'e'e.

• As I will develop PRIIProject K3i'e'e goals, operating policies, and

procedures that are required to quickly establish this organization, by leveraging my early experiences developing strategic policy for major Navy acquisition programs, to my current extensive working/operational knowledge of Missile Defense, Expeditionary Warfare, and Navy budgetary processes. In addition, my extensive military experiences working with all the services and foreign militaries will be important in identifying new and emerging requirements as well as developing potential markets for Hawaii high

technology industries. -

• These skills win be likewise important in executing the most critical part of the project; technical evaluations and feasibility analysis of proposals for engineering and scientific development projects. These professional experiences and capabilities will also allow me to assist in guiding the MIDPAC industries into a new technology based economy while incorporating the Hawaii educational system into the business/industrial community. This will be a significant step in reversing the "brain drain" of our University trained professionals by establishing a high technology industrial base that supports employing graduates of the educational system.

• As the I will look forward to establishing a close relationship with

the Economic Development Alliance of Hawaii (EDAH)~ the Economic Development Boards (BDBs) of the other Islands, and the University of Hawaii. These organizations have been critical partners in successfully leading high technology businesses. Partnering with these organizations, PRJ can provide the necessary technical support base to become the 1aboratory of choice for federal organizations (e.g., Missile Defense Agency, NAVSEA, and NAV AIR); as well as providing state-of-the-art laboratories for advanced research and development directly supporting Hawaii industry; and finally, becoming a technical resource for all organizations.

• Finally, on a more personal note, I look forward to moving back to my family's home state and contributing to my family's legacy in the Hawaiian Islands.

-14 -

l __ ~


Enclosure (2) Resume

~JSP¥r!ence:. _.10 J'~_in _the_Navy_,_ofwhich-20 .yearswere-spent- in- the Pacific- Region-wifh· 8 --.. - PACFL T sea duty assignments

• USS McKe~ Combat Information Center and Electronic Warfare Officer (1973): 3rd & 71b Fleet & COMMIDEASTFOR deployments to the Western Pacific and Persian Gulf

• Responsible for the integration and dissemination of sensor and intelligence information

• Combat Information Center provided Command, Control and Decision making for the Defensive and Offensive employment of Shipboard Weapon Systems

• USS BROOKE •• (F.FG 1) Gunn~ and Missile Officer, later assuming duties as !he_ t (1976): 3 & 7dJ Fleet & COMMIDEASTFOR deployments to the Western Pacific and Persian Gulf

• Responsible for the maintenance and operation of the shipboard 3d air search radar, Missile Fire Control Radar, Missile Launching System, 5' 38 cal gun system and associated Command and Decision Systems

• USS PAUL F. FOSTER (DD 964), (1977 & 1979): 3rd & 7th Fleet,

COMMIDEASTFOR deployments to the Western Pacific and Persian Gulf involved in the Iranian Hostage rescue

• Responsible for the operation and maintenance of Main Propulsion Systems (US Navy's first generation Gas Turbine Propulsion System), Electrical Power Generation, Potable Water production and management, and Shipboard Sewage Treatment

• Largest department aboard this new class of destroyer. First U.S. warship class to . have a gas turbine (jet engine) propulsion plant

• USS CROMMELIN (FFG 37), (1983-84): 3n1 FIt, New Construction,

assembled, trained, and certified crew for combat. Preparations for first deployment

• Carrier Group 7,

& 7fJJ Fleet, & ...., , £",<.r. .....

(1985): 3rd deployments to the Western Pacific and Persian Gulf

• USS JOHN YOUNG (DD 973), (1991): 3rd, -rn, & Sib Fleet

(COMMIDEASTFOR) deployments to the Western and Persian Gulf

.•. As I was responsible for the combat readiness of the crew •

. total ship maintenance, and execution ofa $10mil budget

• Participated in Desert Storm

- I -


Enclosure (2) Resume

• USS SHILO{-l (CG 67), Officer (1996): 3rd, r. & 5th Fleet deployments to

the Western Pacific and Persian Gulf

• Participated in Operation Desert Strike

• Conducted Offensive Tomahawk strikes into Iraq

• CTF-76, _ Amphibious Group One. Amphibious Task Force 76

(2000 to 2002)

__ . .." .•..... Responsible for the preparation- of aft Ampmm-ous forces WitfUn-s-evenili fleet to . respond rapidly to regional crisis utilizing both Navy and Marine Corps assets

• Coordinated and planned tri-Iateral USlKoreanlJapan conference on humanitarian assistance and disaster reJiefusing military and civilian assets

• Naval Forces for two major multinational exercises, Cobra Gold

(Thailand) and Foal Eagle (Korea)

• Participated in multi National/Joint Exercises, Ulchi-Focus Lens (UFL, Korean theater), largest combined military exercise in the world and Cobra Gold (Thailand), largest multi-national military exercise in the world

• Modular Command Center: Rapid prototyping of a force wide common command and control system using advanced technologies from the Office of Naval Research. Developed MCC to resolve a serious command and control/common operational picture shortfall within the forward deployed expeditionary forces of Seventh Fleet. Created a path to an alternative acquisition approach in order to directly transition products from Science and Technology to the Fleet using prOV~D high payoff advanced technologies

• Conducted Humanitarian Assistance Operations in East Timor; providing food, medical support and infrastructure refurbishment for this developing nation

Washington/Pentagon P]ans/ProgramlAcquisition/Maior Shore StaifExperience

• Military Sealift Command (2002 - present)

o Special project in recruitment and retention of civilian Mariners by incorporating new and innovative process

• OPNA V Surface Warfare Division (1999 - 2000)

• Provided oversight for the planning and execution of $1 O.2B budget as part of the PPBS process

• Provided oversight for generating requirements for next generation radars, weapons, combat systems, and new ship classes (DD-211JCX) and ship modernization (cruiser conversion)

• OPNAV Theater Air Warfare Branch (N86C/N865), (1998 -1999)

• Generated requirements and funded:

• Upgrades and modernization of AEGIS combat system

• Pre-planned product improvement (P3I) of the Standard Missile (8M-2I3) and initiated the future Standard Missile roadmap


'''':11. ,


(, .»

Enclosure (1) Resume

• Development and subsequent testing of the SM-2 blk IVa, Navy Area Wide TBMD Missile and development and subsequent testing of the SM-3

• Navy Theater Wide Missile at PMRF

• Created the original Surface Radar Roadmap, which launched the current TBMD radar developments

• Created Common Command and Decision System program to consolidate numerous and disparate combat systems into a single open architecture - "plug & play" to reduce the complexity and create efficiency, while potentially eliminating

.. ll muki-billion.dollar existing steve-pipecomber systemsPf6gi'afuS .. ..

• Initiated CG-21 future study

• A member of the CNO's Strategic Studies Group (1997 - 1998)

• A CNO selectee to participate in the development of the Navy's long-term Warfighting requirements

• Led a 15 man academic & operational innovation team to develop advanced C4I concepts

• Produced a concept for an advanced command and control system: An Ndimensional model to produce an automated computer generated common operational picture incorporating disparate advanced sensor data and using autonomous un-manned vehicles

• JointlNATO tour with the US Atlantic Command/Supreme Allied Commander Atlantic (1993 -1994)

• Principal liaison officer between CINCUSACOM and the Joint Stan: OSD Staff,

Other Unified CINes, State Department and Congress

• US National representative to the Supreme Allied Commander Atlantic

• Participated in the planning and execution ofthe Haiti Invasion operation

• Participated in the policy formu1ation to resolve the mass Cuban refuge exodus of 1993/4

• Participated in Policy formulation and execution of the Partnership For Peace (PFP) program for the formal Soviet BlocklEastern European countries

• Bureau of Naval Personnel, Surface Warm Lieutenant Commander Detailer (1986)

• Responsible for career progression and future assignments of Surface Warfare Lieutenant Commanders

• Participated in statutory advancement boards and administrative screening boards for Executive officers and LCDR Commands

• Implemented the first formal women at sea (aboard surface combatants) program

• Ship New Construction, Fleet Introduction Officer, COMNAVSURFP AC

• Coordinated the ship new construction program for the west coast US Navy

• Provided for the certification of each new crew as capable and ready to take the ship to sea safely

• Provided funding and coordination of ship's crew training and support







( ~,)

Enclosure (2) Resume

Awards and Honors:


• Awarded the National John Paul Jones Leadership award during USS SHILOH command tour

• Personal decorations include:

o Defense Superior Service Medal

o Legion of Merit with one gold star

o Meritorious Service Medal

_0 __ NavyCommendation.Medal with-two -Gold Stars- ---- - - .. --- - .

o Navy Achievement Medal

Education: Diplomas available upon request

• Enlisted in the Navy in March of 197 J as a college junior

• Graduated from San Diego State University in June 1972

• Officer Candidate School (OeS) 1972

• Basic Surface Warfare Officer School in 1972

• Multi-National missile fire control and radar school 1975

• Department Head school 1977, graduating second in class and won the top snipe (Engineering) award

• Surface Warfare Executive Officer Course in 1982 (received class combat systems award)

• Harvard University, completed a masters degree in June 1989

• Surface Warfure School Commanding Officer Course in 1989, won the Combat System

Excellence award

• National War College, graduated June 1993

• Surface Warmre Major Command Course 1995

• Flag/General Officer Cap Stone Course 1999

• PACIFIC RIM Senior executive course at the Asia Pacific Center in 2001

Family Navy History:

• Family origins in Hawaii and San Diego as Grandfather, Father, Uncles, Cousins, and Brother, all with US PACFLT Navy background


• _ of Washington Chapter of Surface Navy Association in 1999 - 2000

• Surface Warfure Sponsor for the San Diego State University/university of San Diego ROTC unit


~A >. "'D"

( \1J) C \,c~




2~UN02-DCWA"()307-4GNA .



On 19Aug02, _In,\lI=>r<>,r\l of Hawaii, Department of Engineering, 2540

Dole Street Holmes Hall Int"!rvll=!!w~~n at his place of employment by Special

Agen ~=i~=::~~ •• ,denltifiEKi himself to by

displaying his credentials. advised the purposes for his interview concerned the

employmentofythe Research Corporation o(theUniversity of Hawaii (RCUH) Honolulu. HI.

Professo_dvised in December 2001 , he informed Director of the

Office of Naval Research (ONR), Arlington, VA he needed her to identify an Operations person who understood military operations and could Integrate between the U.S. Navy and the University of Hawaii on the ONR Project Title: CEC Antenna Miniaturization/UHF Electronically Scanned Array (UESA), Switch Module Development Award Grant Number, N000140110562. Sstated within a few

weeks circa Dec2001, was hired by RCUH as an ONR grant funded employee.

dvised when as hired he was informed his employment was funded

by an ONR grant and was limited for one year, expiring in December 2002. stated

j a ii £ was informed his employment was based only on the ONR grant funding under the UESA

technical project, Supra. stated the ONR grant is a technical Research and

Development grant which performs technical work only on the UESA project. He advised under the UESA project; Modular Command Center (MCC), issues develop because the UESA and MCC integrate l.e. the sensors all share information. A copy of the ONR grant is appended as enclosure (1) .

••••••• was shown the "Directed Employee" letter authored b.~ •••••••• "

ONR, PRMF Barking Sands, HI dated 20Dec01 reflecting 'nitial employment would be

based on a "Granr and subsequent employment by Navy contract. vehemently

stated he was not aware of any future contract employmen would be performing. He

advised he was not aware of any RCUH or ONR contract proposal that included work to be preformed by

••••••• advised he was requested to negotiate the Statement of Work (SOW), for the RCUH proposal entitled "Project Kai'e'e," (N00421-02-D-3151) which was submitted in response to the Sensor Integration and Communication Technologies Requestfor Proposal N00421-010R-0176 .••••

• " •• tated during his review of the proposal he removed a sentence regarding the creation of the

Pacific Research Institute (PRI), because no technical work related to the creation of PRJ. ••••

•••• tated he informed assigned to the UESA project at PRMF Barking Sands, HI

to remove PRI from the proposal because "it did not make sense" and because the funding ••••

manages is for only technical work. advised the PRI was an administrative institution

on "paper only." . stated included the PRI concept in his

initial proposal for the Kai'e'e project however. he did not need PRI to do technical work on

the UESA project.

••••••• was shown a copy of an RCUH employment Requisition Form for the Executive Director position for the Kai'e'e project including the emplOyment evaluation fO~:====l

l completed by Investigator on 28Mar02.. & i stated is not

an Investigator but a laborer under the ONR with the Engineering Department of the University of

Hawaii. no authority to conduct interviews of

perspective RCUH employees. he ied for

the executive director" position but, was not aware his application was processed

PAGE 1 OF XX b'1'Cl



~YUID:IT f ~ \

'~ ~

( .. ,~.,b (. .: ... )


••••••• Is·tated the employment announcemen ppJied for was posted on

~~~~~~~~~~tin board computer ne:~~:e~eLefore. limitini tr.~~Cf:: ~~'~:eP~!~o~~~e PRJ

Executive Director position. advised on 19Aug02. • _ withdrew the RCUH proposal for the NAVAIRSYSCOM Contract N00421-02-D-3151. Enclosure (2) is a copy of the letter of withdrawal.

••••••• declined to provide a sworn statement therefore his interview results were reduced in an Investigative Action.


(1) ONR Grant N000140110562119Jun02

(2) Letter of Withdrawal for RCUH proposaV19Aug02

Reported By:


Special Agent NCISFO Pearl L.I~."' __






·~ (' ~

.Enclosure (3): Minimum Qu~ufications and Summary

Minimum Qualifications

______ aoLcOlB--

A. Education: Master's degree from an accredited college or university in Business or Public Administration

• I hold a Bachelor of Arts degree from San Diego State University (1972); a Masters of Public Administration from Harvard University (1989). Additionally, I am a graduate of the Strategic Studies (one year course) curriculum of the National War College, Washington DC (1993) as well as a graduate of the International Executive Course, Asia Pacific Center, Honolulu ill (2001).

B. Experience: Fifteen (15) years high level niilitary leadel'Ship and management background in II variety of government defense related issues. Ten yean or more experience in leadership and management experience in developing strategic and future plans for major organizations. Significant knowledge and experience in: Missile Defense operations, requirements, and capabilities, expeditionary warfare operations, requirements ond capalJllilies, operational Navy requirements, technolOfD transition, DoD budgetary process, Navy's acquisition process, Navy's resource and requirements process, and US Joint operational command. Use of military forces for humanitarian assistance and disllSter relief for homeland defense

High level military leadership and management background:

• As a' Naval Officer. I have spent my entire career in leadership and management positions; as a young Division Officer through command of two major .warships and ashore, managing multi-billion dollar ship construction and ship radar/C41 development programs. I have just completed a tour as a major Navy Task Force Commander, having nearly 10,000 sailors and marines as well as numerous ships, Special Operations Forces (SOF/SEALS) and Explosive Ordnance Disposal (EOD) units under my command. My AOR encompassed the area of the Pacific from just west of the Hawaiian Islands to the East Coast of Africa. The demands and complexity of leadership, operational management of this large and diverse organization are not duplicated in any other command in the US Navy.

" '= ,.~ ~ " •... i '1JCifeve that my experiences are well suited to lead the Pacific Research Institute (PRJ)

! ......::__;.. ._ ,:_. iri becoming a world class research and development organization, a principal research


~ c- - y


Eoclosure (3): Minimum QualUic.adoos and Summary


(_. -J



and development laboratory. affiliated with the University of Hawaii. and in partnership with MIOPAC industry. PRI will lead the way for Hawaii's high technology industrial base becoming integrated with the educational system while leading these industries to become a "force to reckon with", in competing with CONUS based DoD industries. The final result is a true partner with Hawaii's tourism industry. to contribute to the strength of the state's economy, and just as importantly, to improve the quality of life for Hawaii residents.

Leadenhip- and_managemeutegerienee--in-developinl:strategicand-fufii ij pliiJ-s Tor-maIO'r-organizations:

• As a member of the CNO's Strategic Studies Group, I was charged with developing a Combat SystemlC41 vision and program to meet the Navy's needs during the 2020-2050 time frame. I fonnulated a C4I system using advanced computational algorithms which would allow the integration of disparate sensors (e.g., electro-optical and hyperspectral) to define a single object in space with attributes allowing positive identification, The research included the uselapplication of unmanned, self organizing ground, undersea and airborne vehicles. In addition to the technical assessment and analysis in the development of this system, I led the effort to fonnulate a Concept of Operations (CONOPS) to describe in detail how such a system would be employed in military operations within the Iittomls both in combat as well as non-combat scenarios. Of note and to my knowledge, I have been the only SSG Fellow to have taken the year long effort at the SSG. from concept to development and fielding. During my tenure as COMPIDBGRU ONElcrF 76 I worked in conjunction with ONR to develop and employ a system we have called the Modular .Command Center (MGC). The MCC is essentially the prototyping of my work at the SSG.

• As the of Theater Air Warfare an of Surface Warfare, I was

charged with the responsibility of defining the near term (3-5 year) shipbuilding and acquisition plan for the Surface Navy. The annual budget for this effort was $10.2 billion. The responsibility included defining the requirements (weapon systems, quantity and type of weapons, sensor systems as well as Combat Direction systems), then prioritizing, and allocating resources to each of the requirements. During my assignment as the director of Theater Air Warfure, I initiated the Navy's first Surface Radar Roadmap for the future. This effort was a comprehensive study of Radar technologies, feasibility studies and cost analysis to define Surface Navy Radar needs for the next 20 years to include new ship classes as well as back-fit programs for existing ships. This study has now been adopted as the defining requirement for sensor development and radar/sensor acquisition for the Surface Navy.

• As the Director and Deputy Director I was required to interface with Senate and House Legislative Staff members on a regular basis. The pwpose was to ensure that the Surface Navy was meeting the Congressional intent of the funding for the various programs under my purview, to educate the members and their staffs on the Navy's current and future programs, and to identify emerging requirements.



" ~FORM~(REvI7~11Y OFC:;:;~;~=:~:~::~~~':~ATlON REm;'"\). .<::,

~ '.b

IRECTIONS: The attacl!ed propouI MJJSI be identical 10 the one you will be submining 10 the grantia, agency. Submit ORIOINAL and ONE alJIY of this .fm:m 10 DRS Sakamaki D-200), both sides compldcd (including APPROVAL signatures). together with ORIGINAL IIJd ONE cql)' oflbe lH!'m9Yl for UH use.



r )

Proposal must be'majJed by: ___l___/.__ '

Call for pick-up:

N~~:~""" •. ,,~ _

PI e-rrwl addraa: ~enJ.haw.ii.edu\..- _

Proposal due: It spotJ5OC by: _6-'_19-'_02_

EleclrOaic: submission due by: ____j----'_

PrincipII Investigator: - SSN: Phone: • IIII
Univenity department/division to be credited for this proposal: e I e-Gffl 't:aJ -------- ---- - ---- ------'_-_.-_.-- .. - __ .c_
-_.-. -- ," funding A~- .. - . --Office ofNavaT Research - ( ] Check here iflocated in Hawai'i
Agency program name:
Proposal title: CEC AnteM8 MinialWizalionl UESA Switch Module Developmeru

[ ) REVISION -Previous award II: r J RFP or Solicitalion No. l J FACILlTYRENOVATIONICONSTRUCIlON
(attach copy w/lel1ll5 &: conditions) Specify
FROM: _07/01102_ TO: _1013 1/03_ S _800,000:_ Indirect Cost
Rate Used: ·_36.3% FROM: _07101102_ TO:_10I31103_ S _800,000_
" ·if other than cumntly established rate, at!ach COpy ofageocy limilalionl
SCOPE I DESCRIPTION OF WORK (50 words or less, in layman's tenns, without acronyms or abbreviations):
Devcl0l! microwave and radio-frequency 5Ubsysleml for the Na~'s radar test bed.

Please circle the ONE area .which best describes this proposal:
(01) Art (05)- Education (11) Medical Resean:bIMedicaJ Training (IS) SociallBehavioraI Sciences
(02) Astronomy (06) Ene!Bl (19) NurSing . (16) Social Welfare
(03) Biomedical Sciences (07) ~gine~j> (12) Pacific & Asian Studies (20) Substance Abuse
(04) Business (09) ':Umam~es (13) Physical Sciences (17) Tropical Agriculture
(08) Earth Sciences (10) Marine Sciences (14) Public Health (18) OTHER
Does this proposal entail education. research, or training which has an international focus
, or will involve international collaboration? [ ) yes [XJIlO
In actOJdance with Federal GovenunenUegulations and University ofHawai" Administrative Procedures Manual, A8.528, the folJowingscreening is
For equipment with an estimated cost over 55,000 and less than S10,OOO listed in the proposed budget, an inventory of the department shall be screened
for available use .. For equipment with an estimated cost of $10,000 or more listed in the proposed budget, university-wide screening is required for
available usage. The following responses were elicited:
Item QffuJyigment Renartment CQ!ltacted B;e§RQ!!8 Regm:ding A vaillbilia
High Power Test Stand EE Docs not exist
Parabolic Dish Antenna EE Does not exist -
Parabolic Dish Feed EE Does not exist

I certify that this proposal, including all budgetary matters, applicable approvals, certifications, and risk management items, has been
reviewed for accuracy and appropriateness and found to be in compliance with all applicable University. sponsor, federal, and state
regulations, policies and procedures.
Reviewer Signature & Date ORSNo.
Date Processed: .. ,



\ d



'" t'

l. The use ofbumlJl subjms? Date orCHS appliution or CHS • _.

2. The use of animal subjectl? Dale or ACUC ,pplication or Approval , A~h LAS cost atimate.

3. Equipment pun:bues with an estimated llJIit COlt of$S,ooo or more? If yes, complete equipment screening ccrtificatiCID on reverse.

4. The use of compn:ssed·gas (SCUBA) divinJ? Iryes. submil approval oflhe EDvironmenl&! Health and Safety OffICI: (EIISO) with this

.proposal .

S. The use of m:ombinanl DNA? Ifya. submit ippfOvai of the EHSO wilh this proposal

6. '[be importation ofmicroorpnilms? If yes. submit .ppcoVII of1he ElISO with Ibis propoaal.

, 7. The use oflldioaclive materian Iryes. submit approVl1 of the EHSO wilh !his pmponJ.

8. The use ofhazardous material? rfyes. submil approval of tho EHSO with this propoA1.

9. University commiunenlS beyond !he &IalIt period? If yu, provide dewl. on I scpante .heeL

10. The use of subrecipienu, including consullant and consonium a&reemenU?

11. The use ofproprietaJyfl:Onfidential informllion? Ifyes~ J1r~l'i_~ "e_laik j)n &Separate sbeel· Clearly idenlil)r any iUi:l information

_ _ _JouncLinthis proposaJ;--·- _.' .. -.--' . - --- -_. _--

r"r- . -{ X j 12. ~ use of lobbying efforts? Ifycs, attach I sepmte sheel describing lobbying activides ud funding source of lobbying activities.

[ ] ( X J 13. The establishment and/or use or. Univmity.fGllllded private, non-profil organiz.ation 501 (eX3) colpOnu.ion?


[ J ( X J 14. Will the· activity conducted under this proposal mull in the development ofintellectuil property? If yes, continue with item I S. It

no,.ldp 10 Item 16-

15. Willlbc intelJecru.l property developed be commercially valuable? If yes, pl~ be advised that. the tenns and conditi_ relating to intellectua1 property provisiolW may be subja:t 10 negotiation and may .cause a delay ill aceeptancc of Illllwani Uno, aIdp CO Item 16.

16. )f1OlI answemllIO to item" 14 Of 1:5, are you willin, to RELINQUISH YOUR RIGHTS 10 any intenectuIJ pcvpaty developed and have the University of Hawaij accept an aw'anl with UNFAVORABLE intellectual propcny proYisiollS, im:luding but not limited to. relinquishment of OYfflCrship, royalties, etc.1lfno, please be Idvised thai the termlW conditions relating to intellectual property provisions may be subject 10 Desorialion and may cause a delay in acceptance of an lward.

17. Will the activity collducted undct this JIRIIIOS'I rcsWl in publication? lfyes, pleue continue wilh item II. If no, tOlltl.De with Item 18 Ind be advised lhallhc UnivCfllity orR.Wlli lilly accept U award with UNFAVORABLE publication provisions.

18. Will you ae<:ept • provision that requUes I) IUbmission of publication to sponsOf for prior review, b) delay ofpublicztion for

. tpOJISOl's revision and/or protoctioa ofCODfideatial infbtmatioa, and/or c) spontOr'. written IppIDvaI priollo SUbmissiOll of publication? lrno. please: be advised l1li1 the terms and conditions relating to publication provisions may be subject to Ilesotialion and may cause a delay in acceptance ofan lwant


[Xl [Xl

) ] ] J )

] 1

Does your proposal include commitments from ~ departmcnt(s) other than that of the PI? Provide appropriate details and approvals on a separate sheet

Does your proposaJ include commlnneats from non·Uni versity of Hawai'i sources? Attach letters of commitment.

( J


Jfyour answer is yes to any of the following questions, submit copy of insurance policies or other documentation that mitigates the risk to the University. Submissions should include the minimumlmaximum insurance coverage, the name{s) of the insured, and any limitations to the policy.

[ 1 [ X J 19. The use of medical profeuionals with human subject contacl?

[ ) (X) 20. Research dcaJin, wilh HIV, infectious diseases, blood bomI; palbogens. &1

( ) [ X 1 21. Hazardous working condilions, i.e., use of firearms, uncertain terrain, explosiVes, fire, IDd other safety Iiaw-ds?

( ) r X J 22. The use of water<:nlft (research VCIRIls)?


[ 1




t .iLl..... • •



I have received cor disclosures from all investigators and: [ ) have determined that there is no conflict of interest [ ] have determined that there is a conflict of interest

{ ] the disclosures are under review


• ..,J_n

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