Page numbers refer to the print edition.
Page numbers with an appended italic f or t indicate a figure or table.
AAAV (Advanced Amphibious Assault Vehicle), 68, 69
A&C. See authorization and consent
Acquisition Savings Initiative, OMB, 88, 150n19
Administrative Procedure Act, 153n24
Advanced Amphibious Assault Vehicle (AAAV), 68, 69
Advanced Technology and Projects (ATAP) group, Google, 150n7
Advanced Vehicle Make (AVM), 147n33
AFLCMC (Air Force Life Cycle Management Center), 32
AFMC (Air Force Materiel Command), 32
AFRL (Air Force Research Laboratory), 33, 37
Air Force, U.S. (USAF), 32, 65–66
Air Force Life Cycle Management Center (AFLCMC), 32
Air Force Materiel Command (AFMC), 32
Air Force Research Laboratory (AFRL), 33, 37
Akula, John, 147n1
Aldrin, Buzz, 44
Allen, Paul, 8
al-Qaeda, 1
America Competes Act (2007), 146n30
America Competes Reauthorization Act (2010), 146–47n30
Amphibious Assault Vehicle (AAV), 46, 54, 68, 147n33
Amphibious Combat Vehicle (ACV), 54, 70
Android operating system, 17
Ansari X Prize, 8, 13t, 16, 17
Apollo program, 41, 42–45, 54, 133, 141
Apple, 128
Armed Services Procurement Regulation (ASPR; 1955), 121–22
Armstrong, Neil, 44
Army, U.S., 25t, 71, 114, 118, 149n35
Army Materiel Command, 114
Army Procurement Regulations (1947), 121
ASPR (Armed Services Procurement Regulation; 1955), 121–22
Astra Zeneca, 10
ATAP (Advanced Technology and Projects) group, Google, 150n7
atomic bomb, 80–81
Atomic Energy Act (2011), 91–92
authorization and consent (A&C): fixing flaws of, 126–29; participation challenge and, 138; patent infringement, U.S. government contractor immunity to, 110–20, 153n25; problem of, 109–20, 111–13f, 116f; “reasonable compensation” royalties, 113–20, 127–28; selective application of, 153n24; workarounds, 120–21, 122f
autonomous driving, 5
AVCI (OnPoint Technologies), 25t, 27
AVM (Advanced Vehicle Make), 147n33
B2B (business to business), 13
B2C (business to consumer), 13
Big Five government contractors, 62–63, 114, 119, 121
Booz Allen Hamilton, 10
Brown, Alison, 149n34
Bush (George H. W.) administration, 93t
Bush (George W.) administration, 2, 83, 93–95, 93t
business to business (B2B), 13
business to consumer (B2C), 13
CAGE (Commercial and Government Entity) code, 65
Carter, Ashton, 48; Keeping the Edge, 4
Carter administration, 92t
CD/V (concept development/validation) phase, 69
Central Intelligence Agency (CIA): classification/declassification of information and, 95, 96, 151n43; first tweet, 33, 35f; In-Q-Tel (IQT), 25t, 27; as key player in secure U.S. government R&D, 31; website career page, 33, 34f
Central Intelligence Agency Act (1949), 96, 151n33
CFT (Cyber Fast Track) program, DARPA, 25t, 26, 71
Challenge/Contest/Game, 16f, 17
Chesbrough, Henry, 7, 11–12, 28, 84
China, R&D investments in, 3, 140
CIA. See Central Intelligence Agency
Cisco Entrepreneur in Residence (EIR), 13, 15t
Clapper, James R., 87
classified information: access to, 38–40; classification process, 35–37; control over what is classified, 90–92, 151n33; presidential reversals in policy regarding, 92–93t, 92–96, 96f, 102; redactions in “declassified” documents, 96, 98f, 99f. See also secrecy challenge
Cleland, Brian, 144n11
Cleveland Clinic, 10
Clinton administration, 1, 93–95, 93t
Coast Guard, U.S., 149n35
Cold War, 41, 42–43, 45, 90–91
Combest, Larry, 94
Commerce Department, 56
Commercial and Government Entity (CAGE) code, 65
concept development/validation (CD/V) phase, 69
“Confidential” classification, 35
Conrad, Abigail, 144n10
constitutional principles as regulatory regime value, 60
contract vehicles, 70–71
co-option of inventions for national security reasons, 108–20, 111–13f, 116f
crowdfunding, 14, 16–17, 16f, 23, 27–28
crowdsourcing, 13t, 49, 52, 125, 130, 144n21, 147n30
Curtis, Charles G., 111f
Cyber Fast Track (CFT) program, DARPA, 25t, 26, 71
DARPA. See Defense Advanced Research Projects Agency
DCA (derivative classification authority), 36
DCAA (Defense Contract Audit Agency), 32–33, 61
DCI (director of central intelligence; now director of national intelligence/DNI), 94–95
DCMA (Defense Contract Management Agency), 61
Deepwater program, 149n35
Defense Advanced Research Projects Agency (DARPA): on complexity of systems, 4; Cyber Fast Track (CFT), 25t, 26, 71; defense agencies acquiring technology from, 33; Grand Challenge/Urban Challenge, 25t, 26; META software development tool chain, 40–41; national security values in mission statement of, 58; Red Balloon Challenge, 26, 130; Robotics Challenge, 25t, 26; secrecy and program manager (PM) tenure under, 81–83; Shredder Challenge, 25t, 144n21; Sputnik and founding of, 42, 46; time limits on technology development projects, 150n7. See also fang
Defense Contract Audit Agency (DCAA), 32–33, 61
Defense Contract Management Agency (DCMA), 61
Defense Department. See Department of Defense
Defense Federal Acquisition Regulation Supplement (DFARS), 60, 62, 64, 123, 124, 125, 139
Defense Intelligence Agency (DIA), 24t, 86, 95
Defense Security Service (DSS), 33
Dell Technologies Capital, 14t
Department of Defense (DOD): DOD Acquisition Law Advisory Panel, 96–97, 100–101, 108–9, 115, 129; DODTechipedia, 85–86, 87; Quadrennial Defense Review, 145n4; regulatory regime for contractors, 63
Department of Justice (DOJ), 101
derivative classification authority (DCA), 36
design variables: FANG program, 18, 47–51, 48f; in open innovation, 18–21, 18f, 20f
DFARS (Defense Federal Acquisition Regulation Supplement), 60, 62, 64, 123, 124, 125, 139
DIA (Defense Intelligence Agency), 24t, 86, 95
Digital Manufacturing Design and Innovation Institute (DMDII), 147n33
Directorate of Defense Trade Controls (DDTC), State Department, 33, 51
director of central intelligence (DCI; now director of national intelligence/DNI), 94–95
DMDII (Digital Manufacturing Design and Innovation Institute), 147n33
DNI (director of national intelligence; formerly director of central intelligence/DCI), 94–95
DOD. See Department of Defense
DOD Acquisition Law Advisory Panel, 96–97, 100–101, 108–9, 115, 129
DOJ (Justice Department), 101
DSS (Defense Security Service), 33
dual-use technologies, 51
Dun and Bradstreet Data Universal Numbering System (DUNS), 61
economic growth as regulatory regime value, 59
EFV (Expeditionary Fighting Vehicle), 68–69, 70f
EIR (Cisco Entrepreneur in Residence), 13, 15t
Eisenhower administration, 92t
Elcan Optical Technologies, 114, 119
electronic warfare, 4, 32, 33, 37
Eremenko, Paul, 47
Executive Orders: 8381, 90; 10290, 90–91; 12958, 93, 94; 13292, 93; 13526, 35, 58, 83–84, 91, 93–94
Expeditionary Fighting Vehicle (EFV), 68–69, 70f
eXperimental Crowd-Derived Combat-Support Vehicle (XC2V), 49
FAA (Federal Aviation Administration), 101
fairness as regulatory regime value, 60
FANG, 45–54; afterlife of, 147n33; cancellation of program, 53–54, 69, 70; as classified open innovation technology program, 25t, 26, 45–47, 52, 53f; design variables and, 18, 47–51, 48f; FANG-1, 47–54, 53f, 123–25, 130; FANG-2, 47, 52, 53f; FANG-3, 47, 52, 53f; government overreach and, 123–25; non-winning participants, rewards for, 130; regulatory regimes and, 67–71, 70f; secrecy challenge and, 80, 81; security classification and data sensitivity issues, 51–54; tiered challenges, 52, 53f; XC2V compared to, 49
FAR (Federal Acquisition Regulations), 60, 62, 64, 123, 125, 139
Fast Adaptable Next-Generation Ground Vehicle. See fang
Federal Acquisition Regulations (FAR), 60, 62, 64, 123, 125, 139
Federal Aviation Administration (FAA), 101
FFRDCs (Federally Funded Research & Development Centers), 33
Fifth Amendment, 153n25
FISA (Foreign Intelligence Surveillance Act) courts, 128–29
FMC (later BAE), 148n23
FOIA (Freedom of Information Act; 1966), 101
Ford administration, 92t
Foreign Intelligence Surveillance Act (FISA) courts, 128–29
Freedom of Information Act (FOIA; 1966), 101
functional decomposition in open innovation, 21–23, 22f, 27f
Future Combat Systems program, 149n35
G8, 141
Gabriel, Kaigham J., 150n7
Gagarin, Yuri, 43
Galbraith, Brendan, 144n11
gamification, 5
GAO (Government Accountability Office), 46, 57, 87–89, 124, 150n19
GE: FirstBuild, 15t
genomic mapping, 5
Google: Advanced Technology and Projects (ATAP) group, 150n7; Android operating system, 17; Ventures, 14t
Government Accountability Office (GAO), 46, 57, 87–89, 124, 150n19
Government Purpose Rights (GPR), 124
Government Secrecy Reform Act (1999), 92, 151n32
GPR (Government Purpose Rights), 124
Grasso, Valerie, 149n35
Hiroshima and Nagasaki, 80
Homeland Security, Department of, 94
Hoover Dam, 133
Humphreys, Paul, 144n11
IDIQ (“indefinite delivery, indefinite quantity”) contracts, 71
incentives for/obstacles to innovation, 103–31; complex relationship between innovators and U.S. government, 103–4, 130; contractors’ employees, low invention disclosure by, 104–8, 106f, 107f, 130; co-option of inventions for national security reasons, 108–9; fixing flawed incentives, 126–31; government overreach issues, 104, 123–26; motivations of innovators, addressing, 129–31; non-winning participants, rewards for, 130; proprietary data, government handling of, 121–23. See also authorization and consent
“indefinite delivery, indefinite quantity” (IDIQ) contracts, 71
India, R&D investments in, 3
Information Security Oversight Office (ISOO), 94, 95
Innocentive, 10–11, 13t, 16, 124–25
innovation. See security and technology innovation
innovator Network, 16f
intellectual property (IP) issues, 9, 17, 19, 52, 64. See also incentives for/obstacles to innovation
Interagency Security Classification Appeals Panel (ISCAP), 93–96, 96f, 97f
internal R&D (IR&D), 104
International Traffic in Arms Regulations (ITAR), 33, 51–52, 56
Invention Secrecy Act, 100–101, 145n17, 152n49
invention secrecy orders, 97
IP (intellectual property) issues, 9, 17, 19, 52, 64. See also incentives for/obstacles to innovation
IR&D (internal R&D), 104
Iraq war, 91
“iron triangle” of systems engineering, 8, 9f
ISCAP (Interagency Security Classification Appeals Panel), 93–96, 96f, 97f
ISOO (Information Security Oversight Office), 94, 95
ITAR (International Traffic in Arms Regulations), 33, 51–52, 56
job creation as regulatory regime value, 59
Johnson administration, 92t
Justice Department (DOJ), 101
Katrina PeopleFinder, 144n11
Kennedy administration, 42–45, 92t
Lead System Integrator (LSI) concept, 74–75, 149nn35–36
Linux, 15t
LSI (Lead System Integrator) concept, 74–75, 149nn35–36
Manufacturing USA initiative, 147n33
Marine Corps, U.S., 45–47, 49, 50, 53–54, 68–70
Massive Multiplayer Online War Game Leveraging the Internet (MMOWGLI), ONA, 25t, 26
MAV (Mojave Aerospace Ventures), 8
MCTL (Military Critical Technologies List), 99–100
META software development tool chain, DARPA, 40–41
Military Critical Technologies List (MCTL), 99–100
MIT: Clean Energy Prize, 15t; Instrumentation Laboratory (now Charles Stark Draper Laboratory), 44; Red Balloon Challenge, 26, 130
MMOWGLI (Massive Multiplayer Online War Game Leveraging the Internet), ONA, 25t, 26
Mojave Aerospace Ventures (MAV), 8
Moynihan, Daniel, 94
Mudge (Peiter Zatko), 26
Munitions List, U.S., 51
Nagasaki and Hiroshima, 80
NASA: Apollo program, 41, 42–45, 54, 133, 141; Prize Authority, 146n30
National Air and Space Agency. See nasa
National Declassification Center, 94
National Defense Industrial Association (NDIA): Small Business Division Subcommittee, 66, 149n34
National Research Council, 4–5
National Science Foundation (NSF), 31, 58
National Science Foundation Act (1950), 58, 79–80, 149n3
National Security Act (1947), 58
National Security Agency (NSA), 95
national security and technology. See security and technology innovation
National Security Council (NSC), 95
National Security Strategy (2015), 2–3
Navy, U.S., 1, 25t, 26, 38, 112, 151n33, 152n8
Navy Seals, 1
NDIA (National Defense Industrial Association): Small Business Division Subcommittee, 66, 149n34
NeedipeDIA, 24t, 25, 85–87, 136
Night Vision Corp., 123
9/11, 93
Nixon administration, 92t
Northrop Grumman, 62
NSA (National Security Agency), 95
NSC (National Security Council), 95
NSF (National Science Foundation), 31, 58
nuclear energy, 133
Obama administration, 2, 4, 35, 58, 83–84, 85, 91, 93–95, 93t
OCA (original classification authority), 36
OCAs (original classification authorities), 84
Office of Management and Budget (OMB), 88, 150n19
Office of Naval Research (ONA), 25t, 26
Office of the Secretary of Defense (OSD), 32–33
OMB (Office of Management and Budget), 88, 150n19
omnibus contracts or bundling, 70
ONA (Office of Naval Research), 25t, 26
OnPoint Technologies (AVCI), 25t, 27
open competition: secrecy challenge conflicting with, 81
Open Government Initiative, 85–86
open innovation, 5, 7–28; communication and collaboration, 9–10; competition, fostering, 8; degrees of openness, 23–24; design variables in, 18–21, 18f, 20f; functional decomposition in, 21–23, 22f, 27f; limitations of, 11–12; participation incentives, 10–11; purposive flow, establishing, 7–8; taxonomy of, 12–23, 13–15t, 16f, 18f, 20f, 22f; U.S. government forays into, 24–25t, 24–28, 27f; values associated with, 56–57
operations security (OPSEC), 81
original classification authorities (OCAs), 84
original classification authority (OCA), 36
Osama bin Laden, 1
participation challenge, 59, 134, 138, 139
Patent and Trademark Office (PTO), 37–38
patent infringement, U.S. government contractor immunity to, 110–20, 153n25
patent secrecy orders, 37–38, 39f, 40f, 96–101, 109
Peer-to-Patent, 144n11
PM (program manager) tenure under DARPA, 81–83
prime contractor requirements, 71–74, 73f, 103, 137–38, 149n33
private expense, inventions categorized as developed at, 121, 122f
prize authority concept, 48, 53, 130, 144n20, 146–47n30
program manager (PM) tenure under DARPA, 81–83
proprietary data, government handling of, 121–23
PTO (Patent and Trademark Office), 37–38
Public Citizen (organization), 93
Quadrennial Defense Review (DOD), 145n4
Quinn, Barry, 144n11
Reagan administration, 92t
Red Balloon Challenge, DARPA, 26, 130
regulatory regimes, 55–77; bureaucracy, navigating, 61–64, 136–37; competing values and, 57–60; co-option of inventions for national security reasons, 108; entrenched policies and relationships in, 67–71, 70f; established prime contractor requirements, 71–74, 73f, 103, 137–38, 149n33; importance of changing, 134–36; for large contractors, 62–63; Lead System Integrator (LSI) concept, 74–75, 149nn35–36; participation challenge and, 59, 134, 138, 139; policy tensions and, 55–57; SBIR shops, 75–77, 76f, 77f, 137–38; secrecy challenge and, 59, 83–88, 134, 138–39; for small businesses and start-ups, 61–62, 64–67, 71–75, 73f, 149nn33–35
requests for proposals (RFPs), 86
Revitalize American Manufacturing and Innovation Act (2014), 147n33
RFPs (requests for proposals), 86
Robotics Challenge, DARPA, 25t, 26
Roche Diagnostics, 10–11
Roosevelt (Franklin D.) administration, 90
Roosevelt, Franklin D. (as secretary of the navy), 112, 152n9
rule of law as regulatory regime value, 60
Russia: use of technology by, 140. See also Soviet Union
Rutan, Burt, 8
SAM (System for Award Management), 61
Samsung, 128
SAPs (Special Access Programs), 35–36, 86–87
satellite technology, 42, 56–57, 57f
SBA (Small Business Administration), 32, 61
SBIR (Small Business Innovation Research), 32, 33, 71, 123
SBIR shops, 75–77, 76f, 77f, 137–38
SCGs (security classification guides), 36, 37
Schubert, William, 119
SCI (Sensitive Compartmented Information), 36
SEC (Securities and Exchange Commission), 17
secrecy challenge, 79–102; control over what is classified, 90–92, 151n33; DARPA program manager (PM) tenure and, 81–83; as endemic constraint, 138; exceptions to limiting competition and, 87–90; open competition and, 81; overcoming, 101–2, 138–39; patent secrecy orders, 96–101; presidential reversals in policy and, 92–93t, 92–96, 96f, 102; regulatory regimes and, 59, 83–88, 134, 138–39; relationship of national security and secrecy, 79–81; selective declassification to leverage open technology innovation, 84–85, 138–39; silo effect and, 81, 85, 131
“Secret” classification, 35
secure U.S. government R&D, 5, 29–40; access to classified information, 38–40; basic research, applied research, and development, 29; budget and scale of, 29, 31; classification of information, 35–37; defined and described, 33–35; key players in, 31–33, 32f, 145n8; secrecy orders, 37–38, 39f, 40f; technology readiness level (TRL) and, 29–31, 30f. See also regulatory regimes; successes and failures; specific programs
Securities and Exchange Commission (SEC), 17
security and technology innovation, 1–6, 133–41; American leadership in, 1–3, 133–34, 140–41; endemic constraints, overcoming, 136–38; incentives for/obstacles to, 103–31; national security as primary value, 57–59, 79; open innovation, 5, 7–28; regulatory regimes for, 55–77; secrecy and, 79–102; secure innovation by U.S. government, 5, 29–40; strategies for, 1–6, 4f; successes and failures of, 41–54; in unstable geopolitical scene, 133, 140. See also incentives for/obstacles to innovation; open innovation; regulatory regimes; secrecy challenge; secure U.S. government R&D; successes and failures
security classification guides (SCGs), 36, 37
security classification in U.S., 35–37
security clearances, 38–39, 146n23
Sensitive Compartmented Information (SCI), 36
September 11, 2001, 93
Shredder Challenge, DARPA, 25t, 144n21
Silicon Valley, 40
single entity/single contractor dependence, 149n35
Small Business Administration (SBA), 32, 61
Small Business Innovation Research (SBIR), 32, 33, 71, 123. See also SBIR shops
Small Business Research and Development Enhancement Act (1992), 145n9
Soviet Union: Cold War, 41, 42–43, 45, 90–91; fall of, 3; Space Race with, 42, 43, 46. See also Russia
Space Race, 42–45
Special Access Programs (SAPs), 35–36, 86–87
Stevenson-Wydler Technology Innovation Act (1980), 146n30
successes and failures, 41–54; FANG, 45–54; NASA Apollo program, 41, 42–45, 54
Supreme Court, U.S.: on authorization and consent (A&C), 110, 112; Egan decision on classification authority, 151n33; on FOIA, 101
System for Award Management (SAM), 61
Taft, William H. (as Supreme Court justice), 110, 115, 153n25
takings and patent infringement, 153n25
Task Force on Innovation, 3
technology and national security. See security and technology innovation
technology readiness levels (TRLs), 29–31, 30f
telecommunications satellite technology, 56–57, 57f
theoretical IP transfer challenges, 124–25
“Top Secret” classification, 35, 79
trade secrets, designating innovations as, 120
Trading with the Enemy Act (1917), 145n16
TRLs (technology readiness levels), 29–31, 30f
Truman administration, 90–91, 92t
Trump administration, 31
United Defense (UDI; later BAE), 148n23
United Nations, 141
USAF (U.S. Air Force), 32, 65–66
U.S. departments, agencies, and organizations. See specific entity, e.g. Air Force, U.S., Commerce Department
User-Centered Innovation, 16f, 17
U.S. government: open innovation, forays into, 24–25t, 24–28, 27f. See also secure U.S. government R&D
USS Aylwin, 112f
USS Warrington Destroyer, 113f
Venture Capital (VC) Arm, 16f
WikiLeaks, 91
XC2V (eXperimental Crowd-Derived Combat-Support Vehicle), 49
X Prize Foundation, 8
Zatko, Peiter (Mudge), 26
Zazzle, 15t