Professional Documents
Culture Documents
rights investigations by specialized legal and paralegal ing, or if it is inappropriately restricted as proprietary,
staffs or consultants. the Government is generally locked into a sole source
The consequences of not being able to develop and supply arrangement. When it is determined that there is
implement rational and economically efficient competi- no other alternative avialable for acquisition of the re-
tive acquisition strategies which are technically sup- quired TDP, the reverse engineering process may pro-
ported by quality TDPs are often manifested in signifi- vide a practical option to the continued sole source pro-
cant economic, technical, political, social, and/or mili- curement. Reverse engineering (RE) is a method of inde-
tary problems or impediments. These potential prob- pendently producing technical data that is otherwise un-
lems and impediments can be real or perceived. In some available. The resulting TDP can be utilized in compe-
cases, the horror stories that have been highlighted titive solicitations for alternate manufacturing sources.
have been fed by appearances and perceptions. How- To support breakout, and as part of the continuing
ever, in many cases, the past practices should be altered. effort to improve the acquisition efficiency, RE may be
Some historic scenarios of the system acquisition past implemented on selected systems and equipment, when
should not continue. Scenarios which indicate overde- cost effective to do so. RE is, in fact, Step #19 of the
pendence upon sole-source contracting in areas in which DAR Supplement 6 Replenishment Parts Breakout Pro-
scrutiny would not support this type of dependence. gram, Breakout Screening and Coding Process:
Scenarios in which it is common place to expect that,
when TDPs are acquired, they are prepared by protec- Obtain or develop the necessary datafor a reliable data
tive development contractors without appropriate package. Reverse engineering to develop acquisition
government oversight and practical final acceptance data may be employed if the conditions (i) through (iv)
cited in DAR 9-202.2(0(1) have been met and if there is
procedures. Accordingly, we become tacitly resigned to
a clear indication that the costs of reverse engineering
TDPs which are unclear, inadequate, inaccurate, in- will be less than the savings anticipated from the compe-
complete, not current, or aU of the above. In many cases titive acquisition, but only in accordance with DAR
we may be motivated to award subsequent production 1-304.2(b)(4). If there is a choice between reverse engi-
contracts to the developing contractor to compensate neering and the purchase of data (step #21), the decision
for the lack of appropriate acquisition management dis- shall be made on the basis of relative costs, quality,
cipline and quality TDPs even in the cases in which the time, and other pertinent factors.
inherent technical and economic considerations would
not impel sole-source awards. The Office of the Secretary of Defense (OSD) Policy
It is important to note that the production of the TDP Memorandum dated 17 April 1985 defines reverse engi-
should not be viewed as an isolated event appended to neering as follows:
the end of the product development process. It must be
planned and managed as an integral element of the de- Reverse engineering is the process whereby drawings
velopment process. Further, TDP production must be and specifications are made as a result of physically ex-
amining and measuring existing parts to produce techni-
specifically interrelated to the configuration manage- cal data with unlimited rights.
ment discipline - the logical consequence of the config-
uration identification component. The configuration In other words it is design engineering in reverse -
identification process provides the regimen for baseline instead of first developing documentation to produce
management (baselining) and baselining should control hardware, the sample hardware is analyzed to produce
the development and lead to an efficient product base- documentation. See Figure 1.
line (production) definition. Potential candidates for RE are identified upon com-
When this type of acquisition strategy and disciplined pletion of the DARS-6 Breakout Screening and Coding
configuration management/TDP development has not Process and subsequent data rights investigations.
been implemented, the resulting TDPs are often incom- These potential candidates are then subject to specific
plete or otherwise inadequate. When competition is selection criteria. Further, the reverse engineering pro-
seemingly precluded by the lack of TDPs, the reverse cess is limited by certain legal constraints. Through RE
engineering process provides tools which can be used to an exact replica of the hardware is produced. In the
develop or complete the TDP. nominal case, no changes (or improvements) are made;
therefore, it is not normally a product improvement
REVERSE ENGINEERING: A POWERFUL TOOL program. However during the process, design changes
A complete, comprehensive, and accurate TDP will
contain appropriate drawings, material specifications, FORYARD ENGINEERING
DESIGN
and process specifications defining the product baseline DEVELOPWENT
for a systems, equipment, or a component. This TDP is
usually prepared by the system development contractor
or secondhhird tier vendors to permit subsequent com- REVERSE
ENGINEERING
petitive procurements of the items. The absence of such
a competitive TDP is a critical impediment in the imple-
mentation of replenishment spares breakout. If the re- I
quired technical data is incomplete, or otherwise lack- Figure 1. Engineering in reverse.
48 Naval Engineers Journal, March 1988
DI MASCIO/MIXON REVERSE ENGINEERING
or improvements may be identified which could be im- be significant cost, schedular, and/or technical efficien-
plemented to enhance operability, product assurance, cies which may impel continuation of the sole source
and/or supportability of the system, equipment, or conditions. There may be additional advantages which
component. These engineering changes or improve- further support the arguments for proper sole source
ments may be recommended in the Follow-on Consid- procurements in limited cases.
erations at the end of the process.
WHY REVERSE ENGINEERING?
LEGAL AND ETHICAL IMPLICATIONS RE is a powerful competition engineering tool for de-
veloping technical documentation. Usually the process
RE does not imply a confiscation of a companys is used to develop competitive TDPs (i.e., design disclo-
rights when the item under consideration is in the public sure packages for competitive procurements). RE is a
domain. The courts have ruled that RE is legal when good technical and business alternative for acquiring a
used properly. Even proprietary items can be reverse TDP when other alternatives are not practical or not ef-
engineered if the process is controlled within the fective because: the developer (or current supplier) is
bounds of the established ethical and legal constraints. not willing to provide the data (or sell it at a reasonable
(These constraints will be outlined later in this paper.) In price), the data does not exist (or is incomplete), or the
any questionable situation the cognizant office of data is proprietary.
counsel and/or office of patent counsel should be con- Normally the documentation developed through RE
sulted for specific legal assistance. Government contract- is delivered to the Government with unlimited rights.
ing guidance states as follows: However, it is important to emphasize that RE can be
an expensive process. As a general rule, RE should only
A final method of obtaining competition without vio- be considered when no other alternatives are available
lating proprietary rights is for the Government to re-
verse engineer the product and use the drawings created
to get the necessary data. Cost effectiveness should be a
thereby in a competitive procurement. DAR 1-304.2(b) major factor unless there are some significant overrid-
(4) describes this as the least desirable method, stating: ing factors.
As a last alternative, a design specification may be
developed by the Government through inspection and GOVERNMENT IMPLEMENTATION
analysis of the product (i.e., reverse engineering) and
used for competitive procurement. Reverse engineering In 1985, the DOD directed that each service imple-
shall not be used unless significant cost savings can be ment a RE program in response to a Congressional
reasonably demonstrated and the action is authorized by mandate.
the head of the procuring activity. The Congressional Committee Report on Appropria-
tions (DOD Appropriation Act, 1985), states the follow-
This is a legal and proper method of overcoming pro- ing:
prietary constraints as indicated in Stanley A viation
Corp. vs. United States, 196 U.S.P.Q. 612 (D.Col. I. . . The committee is aware that some services cur-
1977); 48 Comp. Gen. 605 (1969). In Stanley, the court rently employ review teams of engineers and cost ana-
stated : lysts who perform should cost analyses on parts. Such
analyses often indicate that the parts could be legally re-
Reverse engineering of a privately developed product verse engineered and subsequently manufactured at
even if it is the subject of a trade secret, is proper unless greatly reduced cost on a competitive basis. However,
the product was improperly obtained, or the inventors the amount of reverse engineering required exceeds what
engineering drawings were utilized . . . Government employees can accomplish.
The committee therefore directs each service to es-
If it is decided to use a proprietary item or process, the tablish a pilot program for reverse engineering of spare
appropriate decision maker may elect to pursue one of parts on a contract basis in Fiscal Year 1985. It is envis-
the several available options. Some of the most generally ioned that a huge number of dollar value spare parts
which are routinely purchased from a sole source due to
applicable options are: unnecessary proprietary data restrictions will be reverse
engineered on a contract basis to produce technical data
(1) sole source procurement of the itemlprocess (the
where legally feasible. Each service is expected to fund a
nominal source control situation); pilot program of at least $5 million within its spare parts
(2) acquire limited or unlimited rights in data for the
budget .
proprietary item/process;
(3) acquire licensing agreement for the production of
the item or use of the process; Each of the Services has implemented this guidance
(4) redesign the system/equipment to preclude the need with somewhat different approaches. The United States
for the proprietary item/process; or Air Force has elected to utilize the contracted out re-
( 5 ) reverse engineering verse engineering (CORE) approach. In the CORE pro-
gram, individual contracts are awarded for each item.
We must recognize there are certain inherent advan- The contracts include the requirements for the RE pro-
tages to the legitimate sole source scenarios in some cess and one or two production lots. The Army elected
cmes. In legitimate sole source situations there should to implement a single omnibus pilot program with the
Naval Engineers Journal, March 1988 49
REVERSE ENGINEERING DI MASCIO/MIXON
ORIGINATOR:
VERIFICATION AUGMENTATION ANALYSIS
A
PRELIMINARY
UCISTICS ISSUE (CERTIFICATION DATA SOURCES
o ALTERNATES
17;
o COMPETITIVE
aSCXEENING
YES I
I
I
I
I
I
I
I
I
I
I 1
= I DATA RIGHTS IMPLWENT
I
I YES PROBLE)((S) NO REVERSE
1 I ENGINEERING
I
(CO~ETITION
I
RESTRICTIVE
I
ACQUISITION SAMPLE
I
METHOD SUFFIX NO PARTS
I
A CODES) AVAILABILITY
I
1-I-d I
I
I
COMPETITIVE ALTERNATE
I
I
(MIC/MSC CODES AVAI IABLE
I
1C 6 2C) I
I
ANALY S ES/AS S ESSiiENT
I
o FINISHES
o HEAT TREATNENT
CUSTOXER
REVIEW (PRODCCTION
4!
PRODUCT
IflPROVEHENT 6
SUPPORTABILITY
c I No
FABRICATION TEST h DELIVERY
EVALUATION DATA PACKACE
YES
The economic analysis provides the basis for continuing fined in DOD-D-1000. End-product drawings ensure the
CE decisions. maximum interchangeability of parts, components and
Disassembly Procedures - The disassembly proce- subassemblies without detriment to functional perfor-
dures include: initial inspection and testing to ensure the mance or military characteristics. Maximum pro-
sample hardware functions properly; the physical con- ducibility benefits are obtained when production
figuration audit (PCA) to determine if the hardware re- engineering is coordinated with development process.
ceived matches the available technical documentation The production engineers role will normally include
and to identify the differences; parts identification to producibility studies and production reviews.
document standard and non-standard piece-part and de-
fine drawing requirements such as assembly drawings, REVIEWS
PRODUCTION
detail drawings, and special formats. The physical inter-
face requirements are also identified and documented Production reviews, based on actual bids for produc-
during this phase. tion items, are conducted to determine estimates, sched-
The PCA is a critical element of the RE process. A ules, intrinsic values, and should-cost estimates.
PCA is the formal examination of the as-built ver-
sion of a Configuration Item (CI) against its available PRODUCTION
PROTOTYPE
technical documentation in order to establish the CIs
product baseline. The PCA is also used to assist in di- Prototype production includes procurement, fabrica-
mensional analysis. tion, inspection, assembly, and testing in accordance
with the test plan.
REVERSE PLAN
ENGINEERING Prototypes range from a simple part to a fully inte-
grated system and from experimental to production pro-
Once the initial steps in the RE process are completed totypes. They are used to validate concepts and hard-
a detailed plan can be developed. The detailed reverse ware for function and producibility and to verify the
engineering plan is developed to define the complete set TDP. The completeness and adequacy of a TDP must
of tasks necessary to complete the TDP and to establish be determined early to preclude the necessity for devel-
the management procedures to ensure that objectives opment of several levels of TDP (i.e., Level 1/2 draw-
are achieved in a timely manner. ings or Level 3 drawings). The reduction of duplicate
work reduces costs. Additionally, provisioning docu-
HARDWARE
DIMENSIONAL
AND MATERIALANALYSES mentation and computer software requirements to sup-
port maintenance and operations should be determined
The hardware is analyzed to determine: the dimen- early.
sions (including tolerances and working envelopes); the To validate the RE process, prototypes are fabricated
materials specification (including composition and fin- in accordance with the developed technical documenta-
ishes); and the electrical/electronic operating character- tion to certify function and producibility. Prototype
istics required. During this phase of the process, the en- testing will verify the TDP.
gineering sketches and specifications for drafting the
complete production drawings are developed. THE TDP
FINALIZE
PRODUCIBILITY
ANALYSIS The follow-on considerations include recommenda-
tions for: end-term TDP update; integrated logistics
Producibility studies are conducted to determine if support (ILS) posture improvements (e.g., train-
the initial draft drawings and specifications developed ingkechnical manuals, etc.); engineering changes (de-
are adequate for competitive production. Standard pro- sign improvements, reliability improvements, value en-
duction engineering discipline is applied during this pro- gineering and/or human factors engineering); procure-
cedure. Production engineering, in this context, consists ment follow-up; and re-coding recommendations.
of engineering drawing and material/process specifica-
tion analyses to verify the completeness and clarity nec-
essary fro economical production. This analysis should THE BENEFITS O F REVERSE ENGINEERING
result in end-product drawings consistent with the
fundamental rules of DOD-STD-100 and suitable for The benefits of reverse engineering include the fol-
quantity procurements from any capable source as de- lowing:
52 Naval Engineers Journal, March 1988
DI MASCIO/MIXON REVERSE ENGINEERING
Complete competitive TDP with level 3 drawings will often show up in failed equipment. These bogus parts
be developed; are not to be mistakenly identified as parts produced by
Data problems will be solved; a competent RE process. Replacement repair parts
Product improvements can be identified; manufactured by a competent firm using the RE process
Alternate suppliers can be identified;
The item price could be reduced; and
will:
Competitive procurements will be increased in com-
pliance with current DOD policies. (1) Be a part which passed an approved acceptance test
after being manufactured using an approved TDP
which was developed following a set of procedures
The basic RE concept is not new. RE has been em- similar to those illustrated in Figure 2 (including di-
ployed in varying degrees throughout history. The cur- mensional and material analyses as well as produci-
rent techniques employed are perhaps more sophisti- bility analyses); and
cated because of the available metrology equipment and (2) Be exact duplicates of the approved sample and
the complexity of the extant technologies. stamped with the identifying Federal Supply Code
A word of caution is required. Continual vigilance for Manufacturers (FSCM) of the approving author-
must be maintained to recognize that counterfeit parts ity.