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Notes on Contributors xiiiDuke-in-Washington through June 2016. Prior to Duke, he was withthe National Academies of Science, Engineering and Medicine (19912002); National Center for Human Genome Research (1989-90); andcongressional Office of Technology Assessment (1982-88). His researchinterests include science policy, health policy, biomedical research,cancer, and intellectual property. He is the author of The Gene Wars:Science, Politics, and the Human Genome (1994) and more than 250 otherpublications.Glenn R. Fong is an associate professor of global studies at ThunderbirdSchool of Global Management. He is also the academic director of theschool’s Master of Arts in Global Affairs and Management. His areasof expertise include technology, global trade and industrial policiesof the U.S., Japan and China, government and business relations andinternational political economy. Of Chinese-American ancestry, Fonghas contributed commentaries and monographs to Business and Politics,Issues in Science and Technology, International Security, InternationalStudies Quarterly, Comparative Politics, and the Journal of Policy Analysisand Management. In 1996, Fong authored Export Dependence vs. the NewProtectionism: Trade Policy in the Industrial World. He has served as aconsultant to the National Academy of Sciences, the U.S. CongressionalOffice of Technology Assessment, Japan’s Ministry of InternationalTrade and Industry (now METI), and IBM Corporation’s e-BusinessTechnology division. He earned his BA at the University of California,Berkeley, and MA and PhD degrees in government from CornellUniversity. Earlier in his career, he was an assistant professor at theUniversity of Illinois-Chicago and a postdoctoral research fellow atHarvard University’s Graduate School of Business Administration.Erica R. H. Fuchs is a Professor in the Department of Engineering andPublic Policy at Carnegie Mellon University, and a Research Associatewith the National Bureau of Economic Research. Her research focuseson the development, commercialization and global manufacturingof emerging technologies, and national policy in that context. Shewas the founding Faculty Director of Carnegie Mellon University’sManufacturing Futures Initiative—an initiative across six schoolsaimed to revolutionize the commercialization and local productionof advanced manufactured products. Over the past decade, Dr. Fuchs

xiv The DARPA Model for Transformative Technologieshas played a growing role in national and international meetings ontechnology policy, including being one of twenty-three participantsin the President’s Council of Advisors on Science and Technologyworkshop that led to the creation of the Advanced ManufacturingPartnership, and serving on the expert group that supported the WhiteHouse in the 2016 Innovation Dialogue between the U.S. and China. In2012 she was selected a World Economic Forum “Young Scientist” (top40 under 40 globally.) She currently serves on the National Academies’National Materials and Manufacturing Board; the Academic AdvisoryBoard for MIT’s Institute for Data, Systems, and Society, of which MIT’sTechnology Policy Program is a part; the World Economic Forum’sFuture of Production Global Futures Council; and the Advisory EditorialBoard for Research Policy. Before coming to CMU, Dr. Fuchs completedher PhD in Engineering Systems at MIT in June 2006. She received herMasters and her Bachelor’s degrees also from MIT in Technology Policy(2003) and Materials Science and Engineering (1999), respectively. Dr.Fuchs spent 1999-2000 as a fellow at the United Nations in Beijing,China. She grew up and attended K-12 in the Reading Public SchoolDistrict in Reading, PA. Her work has been published among otherplaces in Science, the Nature journals, Research Policy, and ManagementScience; and has been covered on National Public Radio, by Bloomberg,and in the New York Times.Larry Jackel is President of North-C Technologies, where he doesprofessional consulting in robotics and machine learning. He alsocurrently serves as a Learning Advisor to the Stanford ArtificialIntelligence Lab (SAIL)-Toyota Center for AI Research at StanfordUniversity. From 2003-07 he was a DARPA Program Manager in the IPTOand TTO offices. He conceived and managed programs in AutonomousGround Robot navigation and Locomotion. For most of his scientificcareer Jackel was a manager and researcher in Bell Labs and then AT&TLabs. Members of Jackel’s Adaptive Systems Department at Bell Labslaid the foundation for much of the machine learning that dominates AItoday. He has also created and managed research groups in microscienceand microfabrication, and in carrier-scale telecom services. Jackel was afounder of the Snowbird Workshop on Neural Networks for Computerand led the workshop many years. He was also a founder of the NIPS

Notes on Contributors xvconferences. He has served as Program Chair for IJCNN. He has alsobeen an organizer of the Frontiers in Distributed Information Systems(FDIS) workshop series. Jackel holds a PhD in Experimental Physicsfrom Cornell University with a thesis in superconducting electronics.He is a Fellow of the American Physical Society and the IEEE. He haspublished over 150 papers and has over twenty patents.Michael Piore has been on the faculty of the Department of Economicsat MIT since 1966, and also currently holds a joint appointment with theDepartment of Political Science. He is also currently a Visiting SeniorFellow in International and Public Affairs at the Watson Institute forInternational and Public Affairs at Brown University. He earned hisundergraduate and graduate degrees at Harvard University, where hewrote his doctoral dissertation under the direction of John T. Dunlop.He is the founding director of the MIT-Mexico Program and formerassociate director of the Center for Technology, Policy and IndustrialDevelopment. He has served as president of the Society for theAdvancement of Socio-Economics (SASE) and as an elected memberof the executive committee of the American Economic Association. Hewas a MacArthur Prize Fellow (1984-89), a member of the ExecutiveCommittee of the American Economic Association (1990-95), and amember of the Governing Board of the Institute for Labour Studies ofthe International Labour Organization (1990-96).Jinendra Ranka, PhD, has over twenty-five years of experience inacademic, commercial, and government research and development.He was a technical staff member at Bell Labs, Sycamore Networks, andMIT Lincoln Laboratory, and is currently the CEO at JASR Systems.Dr. Ranka served as a program manager in the Strategic TechnologyOffice at DARPA and as a Deputy Office Director at IARPA. He has over40 publications with over 5,000 citations and numerous patents. Dr.Ranka received his Doctoral degree in Applied & Engineering Physicsfrom Cornell University in 1997 and his Bachelor of Science degreein Electrical Engineering from the California Institute of Technologyin 1991. Dr. Ranka is a fellow of the Optical Society of America andis known for his discovery of supercontinuum generation in opticalfibers.

xvi The DARPA Model for Transformative TechnologiesElisabeth B. Reynolds is the executive director of the MIT IndustrialPerformance Center and a lecturer in MIT’s Department of Urban Studiesand Planning. Reynolds works on issues related to systems of innovation,regional economic development, and industrial competitiveness. She isa member of the Massachusetts Advanced Manufacturing Collaborativeas well as the Northeast Clean Energy Council. Her current researchfocuses on the pathways that U.S. entrepreneurial firms take in scalingproduction-related technologies, as well as advanced manufacturing,including the globalization of the biomanufacturing industry. Beforecoming to MIT for her PhD, Reynolds was the director of the CityAdvisory Practice at the Initiative for a Competitive Inner City (ICIC),a non-profit founded by Professor Michael Porter, focused on job andbusiness growth in urban areas. Reynolds has an AB from Harvard ingovernment and was a Fiske Scholar at Trinity College, Cambridge. Sheholds an MSc from the University of Montreal in economics and a PhDfrom MIT in urban and regional studies.Richard Van Atta’s career has focused on the national security policy,strategy, and technological capabilities of the United States for theDepartment of Defense, chiefly for the Office of the Secretary of Defenseand the Defense Advanced Research Projects Agency, the Office ofScience and Technology Policy (OSTP) of the White House, and theIntelligence Community. From 1983 to his retirement in 2018, he wasa senior research staff member of the Strategy, Forces and ResourcesDivision (SF&RD), the Science and Technology Policy Institute (STPI)and the Science and Technology Division at the Institute for DefenseAnalyses (IDA), with a focus on innovation for national security. Hiswork at IDA included assessments of the programs and developmentstrategies of the Defense Advanced Research Projects Agency (DARPA).From 1993 to 1998, he served as Assistant Deputy Under Secretaryof Defense for Dual Use and Commercial Programs (on temporaryassignment from IDA). He also was an adjunct faculty member inGeorgetown University’s Security Studies Program and the Science,Technology and International Affairs (STIA) program teaching courseson Emerging Technology and Security. Dr. Van Atta has a PhD inPolitical Science from Indiana University and a BA degree in PoliticalScience from the University of California, Santa Barbara.

Notes on Contributors xviiPatrick H. Windham is a Lecturer in the Public Policy Program atStanford University and a Partner with Technology Policy International,a consulting firm. In the past he has taught at the University ofCalifornia’s Washington, DC, center and the University of Maryland.From 1984 until 1997 he served as a Senior Professional Staff Memberfor the Subcommittee on Science, Technology, and Space of the UnitedStates Senate’s Committee on Commerce, Science, and Transportation.He helped Senators oversee and draft legislation for several majorcivilian science and technology agencies and focused particularly onissues of science, technology, and U.S. industrial competitiveness. Hehas served on five committees and roundtables of the U.S. NationalAcademies. Mr. Windham received a BA from Stanford University anda Master of Public Policy degree from the University of California atBerkeley.

AcknowledgementsThe editors are grateful to the authors who have contributed to thisvolume, and to the publications that originally published their articlesand which have agreed to have them reprinted in this volume; each isacknowledged at the outset of each chapter.Second, the editors wish to thank Peter L. Singer who provided greatassistance in compiling this volume.Third, the editors acknowledge and thank colleagues in Japan. Thisbook is in part based on a briefing book prepared for a workshop atthe National Graduate Institute for Policy Studies (GRIPS) in Tokyoon 25 February 2014. This workshop focused on lessons to be learnedfrom the DARPA model as Japanese officials considered the structureof a DARPA variant. The authors particularly wish to thank ProfessorAtsushi Sunami, who organized that event. Several of the Americanauthors of this book, including all three editors, participated in theworkshop.The editors also wish to thank the many colleagues and current andformer DARPA officials who have provided valuable insights into howDARPA works. They also thank ARPA-E and IARPA former officials fortheir insights.The editors thank their families for their support and patienceas their various studies of DARPA were ongoing. Finally, PatrickWindham wants to particularly thank his spouse, Dr. Arati Prabhakar.In the interest of full disclosure, the editors want to note that Dr.Prabhakar served as the Director of DARPA from July 2012 to January2017. However, Dr. Prabhakar was not involved in the creation of thisbook and the viewpoints expressed here should not be construed asrepresenting her views or those of DARPA.

1. Introduction:DARPA—The Innovation IconPatrick Windham and Richard Van AttaThe Defense Advanced Research Projects Agency (DARPA) has becomean “innovation icon,” widely recognized for playing an importantrole in the creation and demonstration of many new breakthrough(“disruptive”) technologies. Some of these technologies have strictlymilitary applications, such as stealth and precision-guided munitions.Others are “dual-use technologies” that have benefited both the civilianworld and the Department of Defense. Examples of these technologiesinclude the Internet, Global Positioning System (GPS) receivers,voice recognition software, advanced semiconductor manufacturingprocesses, and un-manned aerial vehicles. It is a remarkable record.This introductory chapter focuses on DARPA’s key features—itsmission, organization, linkages to other organizations, and “politicaldesign”—and how those features have contributed to its success. Laterchapters and the book’s Conclusion suggest some lessons that DARPA’sexperience offers for those interested in how this organization hasworked over nearly sixty years and for those seeking to create similartechnology agencies. P. Windham and R. Van Atta, CC BY-NC-ND 4.0 https://doi.org/10.11647/OBP.0184.01

2 The DARPA Model for Transformative TechnologiesDARPA’s Historical Mission and OrganizationDARPA’s EvolutionDARPA has existed for over sixty years and during that time it hasevolved, changed, and, on a couple of occasions, come close to beingdissolved. It has changed in its organizational structure and in someimportant operational mechanisms as well. There is no simple singulardepiction of DARPA that is accurate because it has changed and adaptedbased on how the world around it has changed—especially on how thenational security environment has changed, but also on what differentPresidents and their Administrations have asked of it.Importantly, even at a given point in time there are what might betermed several DARPAs, as different parts of the organization—as smallas it is—have focused on very different things—both technologicallyand in terms of how they function. This is evident from its early history,as Richard Van Atta outlines:Indeed DARPA has morphed several times. DARPA has “re-grouped”iteratively—often after its greatest “successes”. The first such occasionwas soon after its establishment, with the spinning off of its spaceprograms into NASA. This resulted in about half of the then ARPApersonnel either leaving to form the new space agency, or returning to amilitary service organization to pursue military-specific space programs.A few years later, then DDR&E John S. Foster required ARPA totransition its second largest inaugural program—the DEFENDER missiledefense program—to the Army, much to the consternation of some keymanagers within ARPA. Also early in its history ARPA was tasked toconduct a program of applied research in support of the military effortin Viet Nam.1Thus, even by the early 1960s one could say there were three, perhapsfour key DARPA thrusts—with the addition of its exploration of new,emerging technologies, such as materials, and the nascent informationtechnologies. As the overview below shows, DARPA’s history hasbeen perturbed by political dynamics as well as the dynamics of thetechnologies it has pursued. Perhaps the most important hallmark of1 Van Atta, R. (2008). “Fifty Years of Innovation and Discovery”, in DARPA, 50 Yearsof Bridging the Gap, ed. C. Oldham, A. E. Lopez, R. Carpenter, I. Kalhikina, and M. J.Tully. Arlington, VA: DARPA. 20–29, at 25, https://issuu.com/faircountmedia/docs/darpa50 (Chapter 2 in this volume).

1. Introduction 3DARPA has been its adaptability and flexibility to respond to changingcircumstances—often extremely rapidly.DARPA’s Origins: 1958–1970In October 1957, the Soviet Union launched the first artificial satellite,Sputnik I, an accomplishment that shocked the United States. ManyAmericans worried that the country was losing technological leadershipto its Cold War adversary.After the launch of Sputnik, President Dwight Eisenhower followedthe advice of Secretary of Defense Neil McElroy and leading scientists,including his science advisors, James Killian and then Dr. GeorgeKistiakowsky, and proposed the creation of what became the AdvancedResearch Projects Agency (ARPA). ARPA was formed just four monthsafter Sputnik on 7 February 1958 through DOD Directive 5105.15 bySecretary McElroy.2 Herbert York, a Manhattan Project veteran andthe first director of the Lawrence Livermore Laboratory, helped guidethe early evolution of ARPA as its first Chief Scientist and then as theDefense Department’s first Director of Research and Engineering.Initially, the agency focused on three key assignments from thePresident: space, missile defense, and the detection of nuclear weaponstests. Eisenhower subsequently made it clear that space was to be therealm of a civilian agency, and later, in 1958, Congress and the Presidentcreated the National Aeronautics and Space Administration (NASA), acivilian agency which took over the country’s principal space programs,absorbing much of DARPA’s Space Program. The two other Presidentialassignments—missile defense and nuclear test detection—continued asthe dominant foci for about fifteen years but eventually were moved toother parts of the Department of Defense (DOD).Also, soon after its founding ARPA took on Project AGILE, asproposed by its Deputy Director, William Godel, which was a decadelong classified program supporting U.S. combat efforts in Vietnam andbeyond. In retrospect, much of AGILE was naive, poorly managed and2 ongress, through an amendment by Senator Mike Mansfield, renamed “ARPA”Cas “DARPA” in 1972, adding the word “Defense.” Congress, through Senator JeffBingaman, renamed it “ARPA” again in February 1993, because of its “dual-use”role in creating technologies with commercial as well as military applications. Thename reverted to “DARPA” in March 1996.

4 The DARPA Model for Transformative Technologiesrife with amateurism. The ARPA Directors had little access or knowledgeof what AGILE was doing as Godel “was running the AGILE office as hisown covert operations shop”.3 There were important lessons learnt fromAGILE (as a program run amok, with little oversight) on what not to do.It was hardly scientific and as an operational program it focused on nearterm solutions. It became a key element in defining what DARPA wouldnot be in the battle over competing visions for the agency’s future.With the quick transfer of the space program to NASA, ARPA spentthe rest of the decade focused on missil

Foresight and Innovation (2013), a hands-on guide that has been used by hundreds of the world’s most innovative companies to make their teams more successful. She is the executive director of the Silicon Valley Innovation Academy at Stanford University and a visiting professor at the Osaka Institute of Te