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Suggested Citation:"Appendix F: Bibliography." National Research Council. 2009. An Assessment of the SBIR Program at the National Aeronautics and Space Administration. Washington, DC: The National Academies Press. doi: 10.17226/12441.
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Appendix F Bibliography Acs, Z., and D. Audretsch. 1988. “Innovation in Large and Small Firms: An Empirical Analysis.” The American Economic Review 78(4):678-690. Acs, Z., and D. Audretsch. 1990. Innovation and Small Firms. Cambridge, MA: MIT Press. Advanced Technology Program. 2001. Performance of 50 Completed ATP Projects, Status Report 2. National Institute of Standards and Technology Special Publication 950-2. Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Depart- ment of Commerce. Alic, John A., Lewis Branscomb, Harvey Brooks, Ashton B. Carter, and Gerald L. Epstein. 1992. Beyond Spinoff: Military and Commercial Technologies in a Changing World. Boston, MA: Harvard Business School Press. American Association for the Advancement of Science. “R&D Funding Update on NSF in the FY2007.” Available online at <http://www.aaas.org/spp/rd/nsf07hf1.pdf>. American Psychological Association. 2002. “Criteria for Evaluating Treatment Guidelines.” American Psychologist 57(12):1052-1059. Archibald, R., and D. Finifter. 2000. “Evaluation of the Department of Defense Small Business In- novation Research Program and the Fast Track Initiative: A Balanced Approach.” In National Research Council. The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative. Charles W. Wessner, ed. Washington, DC: Na- tional Academy Press. Archibald, Robert, and David Finifter. 2003. “Evaluating the NASA Small Business Innovation Research Program: Preliminary Evidence of a Tradeoff Between Commercialization and Basic Research.” Research Policy 32:605-619. Arrow, Kenneth. 1962. “Economic welfare and the allocation of resources for invention.” Pp. 609-625 in The Rate and Direction of Inventive Activity: Economic and Social Factors. Princeton, NJ: Princeton University Press. Arrow, Kenneth. 1973. “The theory of discrimination.” Pp. 3-31 in Discrimination in Labor Market. Orley Ashenfelter and Albert Rees, eds. Princeton, NJ: Princeton University Press. Audretsch, David B. 1995. Innovation and Industry Evolution. Cambridge, MA: MIT Press. Audretsch, David B., and Maryann P. Feldman. 1996. “R&D spillovers and the geography of innova- tion and production.” American Economic Review 86(3):630-640. 304

APPENDIX F 305 Audretsch, David B., and Paula E. Stephan. 1996. “Company-scientist locational links: The case of biotechnology.” American Economic Review 86(3):641-642. Audretsch, D., and R. Thurik. 1999. Innovation, Industry Evolution, and Employment. Cambridge, MA: MIT Press. Baker, Alan. No date. “Commercialization Support at NSF.” Draft. Barfield, C., and W. Schambra, eds. 1986. The Politics of Industrial Policy. Washington, DC: Ameri- can Enterprise Institute for Public Policy Research. Baron, Jonathan. 1998. “DoD SBIR/STTR Program Manager.” Comments at the Methodology Work- shop on the Assessment of Current SBIR Program Initiatives, Washington, DC, October. Barry, C. B. 1994. “New directions in research on venture capital finance.” Financial Management 23 (Autumn):3-15. Bator, Francis. 1958. “The anatomy of market failure.” Quarterly Journal of Economics 72: 351-379. Bingham, R. 1998. Industrial Policy American Style: From Hamilton to HDTV. New York: M.E. Sharpe. Birch, D. 1981. “Who Creates Jobs.” The Public Interest 65 (Fall):3-14. Branscomb, Lewis M., Kennth P. Morse, Michael J. Roberts, and Darin Boville. 2000. Managing Technical Risk: Understanding Private Sector Decision ­ Making on Early Stage Technology Based Projects. Washington, DC: Department of Commerce/National Institute of Standards and Technology. Branscomb, Lewis M., and Philip E. Auerswald. 2001. Taking Technical Risks: How Innovators, ­ anagers, and Investors Manage Risk in High-Tech Innovations, Cambridge, MA: MIT M Press. Branscomb, L. M., and P. E. Auerswald. 2002. Between Invention and Innovation: An Analysis of Funding for Early-Stage Technology Development. Gaithersburg, MD: National Institute of Standards and Technology. Branscomb, L. M., and P. E. Auerswald. 2003. “Valleys of Death and Darwinian Seas: Financing the Invention to Innovation Transition in the United States.” The Journal of Technology Transfer 28(3-4). Branscomb, Lewis M., and J. Keller. 1998. Investing in Innovation: Creating a Research and Innova- tion Policy. Cambridge, MA: MIT Press. Brav, A., and P. A. Gompers. 1997. “Myth or reality?: Long-run underperformance of initial public offerings; Evidence from venture capital and nonventure capital-backed IPOs.” Journal of Finance 52:1791-1821. Brodd, R. J. 2005. Factors Affecting U.S. Production Decisions: Why Are There No Volume Lithium- Ion Battery Manufacturers in the United States? ATP Working Paper No. 05-01, June 2005. Brown, G., and Turner J. 1999. “Reworking the Federal Role in Small Business Research.” Issues in Science and Technology XV, no. 4 (Summer). Bush, Vannevar. 1946. Science—the Endless Frontier. Republished in 1960 by U.S. National Science Foundation, Washington, DC. Carden, S. D., and O. Darragh. 2004. “A Halo for Angel Investors.” The McKinsey Quarterly 1. Cassell, G. 2004. “Setting Realistic Expectations for Success.” In National Research Council. SBIR: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Caves, Richard E. 1998. “Industrial organization and new findings on the turnover and mobility of firms.” Journal of Economic Literature 36(4):1947-1982. Christensen, C. 1997. The Innovator’s Dilemma. Boston, MA: Harvard Business School Press. Clinton, William Jefferson. 1994. Economic Report of the President. Washington, DC: U.S. Govern- ment Printing Office. Clinton, William Jefferson. 1994. The State of Small Business. Washington, DC: U.S. Government Printing Office.

306 APPENDIX F Coburn, C., and D. Bergland. 1995. Partnerships: A Compendium of State and Federal Cooperative Technology Programs. Columbus, OH: Battelle. Cochrane, J. H. 2005. “The Risk and Return of Venture Capital.” Journal of Financial Economics 75(1):3-52. Cohen, L. R., and R. G. Noll. 1991. The Technology Pork Barrel. Washington, DC: The Brookings Institution. Congressional Commission on the Advancement of Women and Minorities in Science, Engineering, and Technology Development. 2000. Land of Plenty: Diversity as America’s Competitive Edge in Science, Engineering and Technology. Washington, DC: National Science Foundation/U.S. Government Printing Office. Cooper, R. G. 2001. Winning at New Products: Accelerating the process from idea to launch. In Dawnbreaker, Inc. 2005. “The Phase III Challenge: Commercialization Assistance Programs 1990–2005.” White paper. July 15. Council of Economic Advisers. 1995. Supporting Research and Development to Promote Economic Growth: The Federal Government’s Role. Washington, DC. Council on Competitiveness. 2005. Innovate America: Thriving in a World of Challenge and Change. Washington, DC: Council on Competitiveness. Cramer, Reid. 2000. “Patterns of Firm Participation in the Small Business Innovation Research Pro- gram in Southwestern and Mountain States.” In National Research Council. 2000. The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press. David, P. A., B. H. Hall, and A. A. Tool. 1999. “Is Public R&D a Complement or Substitute for Pri- vate R&D? A Review of the Econometric Evidence.” NBER Working Paper 7373. October. Davidsson, P. 1996. “Methodological Concerns in the Estimation of Job Creation in Different Firm Size Classes.” Working Paper. Jönköping International Business School. Davis, S. J., J. Haltiwanger, and S. Schuh. 1994. “Small Business and Job Creation: Dissecting the Myth and Reassessing the Facts,” Business Economics 29(3):113-122. Dawnbreaker, Inc. 2005. “The Phase III Challenge: Commercialization Assistance Programs 1990– 2005.” White paper. July 15. Dertouzos, M. L. 1989. Made in America: The MIT Commission on Industrial Productivity. Cam- bridge, MA: MIT Press. Dess, G. G., and D. W. Beard. 1984. “Dimensions of Organizational Task Environments.” Administra- tive Science Quarterly 29:52-73. Devenow, A., and I. Welch. 1996. “Rational Herding in Financial Economics. European Economic Review 40(April):603-615. DoE Opportunity Forum. 2005. “Partnering and Investment Opportunities for the Future.” Tysons Corner, VA. October 24-25. Eckstein, Otto. 1984. DRI Report on U.S. Manufacturing Industries. New York: McGraw Hill. Eisinger, P. K. 1988. The Rise of the Entrepreneurial State: State and Local Economic Development Policy in the United State. Madison, WI: University of Wisconsin Press. Feldman, Maryann P. 1994. The Geography of Knowledge. Boston, MA: Kluwer Academic. Feldman, Maryann P. 1994. “Knowledge complementarity and innovation.” Small Business Econom- ics 6(5):363-372. Feldman, M. P., and M. R. Kelley. 2001. “Leveraging Research and Development: The Impact of the Advanced Technology Program.” In National Research Council. The Advanced Technology Program. Charles W. Wessner, ed. Washington, DC: National Academy Press. Feldman, M. P., and M. R. Kelley. 2001. Winning an Award from the Advanced Technology Program: Pursuing R&D Strategies in the Public Interest and Benefiting from a Halo Effect. NISTIR 6577. Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce. Fenn, G. W., N. Liang, and S. Prowse. 1995. The Economics of the Private Equity Market. Washing- ton, DC: Board of Governors of the Federal Reserve System.

APPENDIX F 307 Flamm, K. 1988. Creating the Computer. Washington, DC: The Brookings Institution. Flender, J. O., and R. S. Morse. 1975. The Role of New Technical Enterprise in the U.S. Economy. Cambridge, MA: MIT Development Foundation. Freear, J., and W. E. Wetzel Jr. 1990. “Who bankrolls high-tech entrepreneurs?” Journal of Business Venturing 5:77-89. Freeman, Chris, and Luc Soete. 1997. The Economics of Industrial Innovation. Cambridge, MA: MIT Press. Galbraith, J. K. 1957. The New Industrial State. Boston: Houghton Mifflin. Geroski, Paul A. 1995. “What do we know about entry?” International Journal of Industrial Orga- nization 13(4):421-440. Geshwiler, J., J. May, and M. Hudson. 2006. “State of Angel Groups.” Kansas City, MO: Kauffman Foundation. Gompers, P. A., and J. Lerner. 1977. “Risk and Reward in Private Equity Investments: The Challenge of Performance Assessment.” Journal of Private Equity 1:5-12. Gompers, P. A. 1995. “Optimal investment, monitoring, and the staging of venture capital.” Journal of Finance 50:1461-1489. Gompers, P. A., and J. Lerner. 1996. “The use of covenants: An empirical analysis of venture partner- ship agreements.” Journal of Law and Economics 39:463-498. Gompers, P. A., and J. Lerner. 1998. “Capital formation and investment in venture markets: A report to the NBER and the Advanced Technology Program.” Unpublished working paper. Harvard University. Gompers, P. A., and J. Lerner. 1998. “What drives venture capital fund-raising?” Unpublished work- ing paper. Harvard University. Gompers, P. A., and J. Lerner. 1999. “An analysis of compensation in the U.S. venture capital partner- ship.” Journal of Financial Economics 51(1):3-7. Gompers, P. A., and J. Lerner. 1999. The Venture Cycle. Cambridge, MA: MIT Press. Good, M. L. 1995. Prepared testimony before the Senate Commerce, Science, and Transportation Committee, Subcommittee on Science, Technology, and Space (photocopy, U.S. Department of Commerce). Goodnight, J. 2003. Presentation at National Research Council Symposium. “The Small Business Innovation Research Program: Identifying Best Practice.” Washington, DC May 28. Graham, O. L. 1992. Losing Time: The Industrial Policy Debate. Cambridge, MA: Harvard Univer- sity Press. Greenwald, B. C., J. E. Stiglitz, and A. Weiss. 1984. “Information imperfections in the capital mar- ket and macroeconomic fluctuations.” American Economic Review Papers and Proceedings 74:194-199. Griliches, Z. 1990. The Search for R&D Spillovers. Cambridge, MA: Harvard University Press. Groves, R. M., F. J. Fowler, Jr., M. P. Couper, J. M. Lepkowski, E. Singer, and R. Tourangeau. 2004. Survey Methodology. Hoboken, NJ: John Wiley & Sons, Inc. Hall, Bronwyn H. 1992. “Investment and research and development: Does the source of financing matter?” Working Paper No. 92-194, Department of Economics/University of California at Berkeley. Hall, Bronwyn H. 1993. “Industrial research during the 1980s: Did the rate of return fall?” Brookings Papers: Microeconomics 2:289-343. Haltiwanger, J., and C. J. Krizan. 1999. “Small Businesses and Job Creation in the United States: The Role of New and Young Businesses” in Are Small Firms Important? Their Role and Impact, Zoltan J. Acs, ed., Dordrecht: Kluwer. Hamberg, Dan. 1963. “Invention in the industrial research laboratory.” Journal of Political Economy (April):95-115. Hao, K. Y., and A. B. Jaffe. 1993. “Effect of liquidity on firms’ R&D spending.” Economics of In- novation and New Technology 2:275-282.

308 APPENDIX F Hebert, Robert F., and Albert N. Link. 1989. “In search of the meaning of entrepreneurship.” Small Business Economics 1(1):39-49. Heilman, C. 2005. “Partnering for Vaccines: The NIAID Perspective” in Charles W. Wessner, ed. Partnering Against Terrorism: Summary of a Workshop. Washington, DC: The National Acad- emies Press. Held, B., T. Edison, S. L. Pfleeger, P. Anton, and J. Clancy. 2006. Evaluation and Recommendations for Improvement of the Department of Defense Small Business Innovation Research (SBIR) Program. Arlington, VA: RAND National Defense Research Institute. Holland, C. 2007. “Meeting Mission Needs.” In National Research Council. SBIR and the Phase III Challenge of Commercialization. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Himmelberg, C. P., and B. C. Petersen. 1994. “R&D and internal finance: A panel study of small firms in high-tech industries.” Review of Economics and Statistics 76:38-51. Hubbard, R. G. 1998. “Capital-market imperfections and investment.” Journal of Economic Literature 36:193-225. Huntsman, B., and J. P. Hoban Jr. 1980. “Investment in new enterprise: Some empirical observations on risk, return, and market structure.” Financial Management 9 (Summer):44-51. Institute of Medicine. 1998. “The Urgent Need to Improve Health Care Quality.” National Round- table on Health Care Quality. Journal of the American Medical Association 280(11):1003, September 16. Jacobs, T. 2002. “Biotech Follows Dot.com Boom and Bust.” Nature 20(10):973. Jaffe, A. B. 1996. “Economic Analysis of Research Spillovers: Implications for the Advanced Technology Program.” Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce). Jaffe, A. B. 1998. “Economic Analysis of Research Spillovers: Implications for the Advanced Technology Program.” Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce. Jaffe, A. B. 1998. “The importance of ‘spillovers’ in the policy mission of the Advanced Technology Program.” Journal of Technology Transfer (Summer). Jewkes, J., D. Sawers, and R. Stillerman. 1958. The Sources of Invention. New York: St. Martin’s Press. Jarboe, K. P., and R. D. Atkinson. 1998. “The Case for Technology in the Knowledge Economy: R&D, Economic Growth and the Role of Government.” Washington, DC: Progressive Policy Institute. Available online at <http://www.ppionline.org/documents/CaseforTech.pdf>. Johnson, M. 2004. “SBIR at the Department of Energy: Achievements, Opportunities, and Chal- lenges.” In National Research Council. SBIR: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Kauffman Foundation. About the Foundation. Available online at <http://www.kauffman.org/ foundation.cfm>. Kleinman, D. L. 1995. Politics on the Endless Frontier: Postwar Research Policy in the United States. Durham, NC: Duke University Press. Kortum, Samuel, and Josh Lerner. 1998. “Does Venture Capital Spur Innovation?” NBER Working Paper No. 6846, National Bureau of Economic Research. Krugman, P. 1990. Rethinking International Trade. Cambridge, MA: MIT Press. Krugman, P. 1991. Geography and Trade. Cambridge, MA: MIT Press. Langlois, Richard N., and Paul L. Robertson. 1996. “Stop Crying over Spilt Knowledge: A Critical Look at the Theory of Spillovers and Technical Change.” Paper prepared for the MERIT Con- ference on Innovation, Evolution, and Technology. Maastricht, Netherlands, August 25-27. Langlois, R. N. 2001. “Knowledge, Consumption, and Endogenous Growth.” Journal of Evolutionary Economics 11:77-93. Lebow, I. 1995. Information Highways and Byways: From the Telegraph to the 21st Century. New York: Institute of Electrical and Electronic Engineering.

APPENDIX F 309 Lerner, J. 1994. “The syndication of venture capital investments.” Financial Management 23 ( ­ Autumn):16-27. Lerner, J. 1995. “Venture capital and the oversight of private firms.” Journal of Finance 50: 301-318. Lerner, J. 1996. “The government as venture capitalist: The long-run effects of the SBIR program.” Working Paper No. 5753, National Bureau of Economic Research. Lerner, J. 1998. “Angel financing and public policy: An overview.” Journal of Banking and Finance 22(6-8):773-784. Lerner, J. 1999. “The government as venture capitalist: The long-run effects of the SBIR program.” Journal of Business 72(3):285-297. Lerner, J. 1999. “Public venture capital: Rationales and evaluation.” In The SBIR Program: Chal- lenges and Opportunities. Washington, DC: National Academy Press. Levy, D. M., and N. Terleckyk. 1983. “Effects of government R&D on private R&D investment and productivity: A macroeconomic analysis.” Bell Journal of Economics 14:551-561. Liles, P. 1977. Sustaining the Venture Capital Firm. Cambridge, MA: Management Analysis Center. Link, Albert N. 1998. “Public/Private Partnerships as a Tool to Support Industrial R&D: Experiences in the United States.” Paper prepared for the working group on Innovation and Technology Policy of the OECD Committee for Science and Technology Policy, Paris. Link, Albert N., and John Rees. 1990. “Firm size, university based research and the returns to R&D.” Small Business Economics 2(1):25-32. Link, Albert N., and John T. Scott. 1998. “Assessing the infrastructural needs of a technology-based service sector: A new approach to technology policy planning.” STI Review 22:171-207. Link, Albert N., and John T. Scott. 1998. Overcoming Market Failure: A Case Study of the ATP Focused Program on Technologies for the Integration of Manufacturing Applications (TIMA). Draft final report submitted to the Advanced Technology Program. Gaithersburg, MD: National Institute of Technology. October. Link, Albert N., and John T. Scott. 1998. Public Accountability: Evaluating Technology-Based Insti- tutions. Norwell, MA: Kluwer Academic. Link, Albert N., and John T. Scott. 2005. Evaluating Public Research Institutions: The U.S. Advanced Technology Program’s Intramural Research Initiative. London: Routledge. Longini, P. 2003. “Hot buttons for NSF SBIR Research Funds,” Pittsburgh Technology Council, TechyVent. November 27. Malone, T. 1995. The Microprocessor: A Biography. Hamburg, Germany: Springer Verlag/Telos. Mankins, John C. 1995. Technology Readiness Levels: A White Paper. Washington, DC: NASA Office of Space Access and Technology, Advanced Concepts Office. Mansfield, E. 1985. “How Fast Does New Industrial Technology Leak Out?” Journal of Industrial Economics 34(2). Mansfield, E. 1996. Estimating Social and Private Returns from Innovations Based on the Advanced Technology Program: Problems and Opportunities. Unpublished report. Mansfield, E., J. Rapoport, A. Romeo, S. Wagner, and G. Beardsley. 1977. “Social and private rates of return from industrial innovations.” Quarterly Journal of Economics 91:221-240. Martin, Justin. 2002. “David Birch.” Fortune Small Business (December 1). McCraw, T. 1986. “Mercantilism and the Market: Antecedents of American Industrial Policy.” In C. Barfield and W. Schambra, eds. The Politics of Industrial Policy. Washington, DC: American Enterprise Institute for Public Policy Research. Mervis, Jeffrey D. 1996. “A $1 Billion ‘Tax’ on R&D Funds.” Science 272:942−944. Moore, D. 2004. “Turning Failure into Success.” In National Research Council. The Small Business Innovation Research Program: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press.

310 APPENDIX F Morgenthaler, D. 2000. “Assessing Technical Risk,” in L. M. Branscomb, K. P. Morse, and M. J. Roberts, eds. Managing Technical Risk: Understanding Private Sector Decision Making on Early Stage Technology-Based Project. Gaithersburg, MD: National Institute of Standards and Technology. Mowery, D. 1998. “Collaborative R&D: how effective is it?” Issues in Science and Technology (Fall):37-44. Mowery, D., and N. Rosenberg. 1989. Technology and the Pursuit of Economic Growth. New York: Cambridge University Press. Mowery, D., and N. Rosenberg. 1998. Paths of Innovation: Technological Change in 20th Century America. New York: Cambridge University Press. Murphy, L. M., and P. L. Edwards. 2003. Bridging the Valley of Death—Transitioning from Public to Private Sector Financing. Golden, CO: National Renewable Energy Laboratory. May. Myers, S., R. L. Stern, and M. L. Rorke. 1983. A Study of the Small Business Innovation Research Program. Lake Forest, IL: Mohawk Research Corporation. Myers, S. C., and N. Majluf. 1984. “Corporate financing and investment decisions when firms have information that investors do not have.” Journal of Financial Economics 13:187-221. National Aeronautics and Space Administration. 2002. “Small Business/SBIR: NICMOS Cryo- cooler—Reactivating a Hubble Instrument.” Aerospace Technology Innovation 10(4):19-21. National Aeronautics and Space Administration. 2005. “The NASA SBIR and STTR Programs Par- ticipation Guide.” Available online at <http://sbir.gsfc.nasa.gov/SBIR/zips/guide.pdf> National Institutes of Health. 2003. Road Map for Medical Research. Available online at <http:// nihroadmap.nih.gov/>. National Institutes of Health. 2005. Report on the Second of the 2005 Measures Updates: NIH SBIR Performance Outcomes Data System (PODS). National Research Council. 1986. The Positive Sum Strategy: Harnessing Technology for Economic Growth. Washington, DC: National Academy Press. National Research Council. 1987. Semiconductor Industry and the National Laboratories: Part of a National Strategy. Washington, DC: National Academy Press. National Research Council. 1991. Mathematical Sciences, Technology, and Economic Competitive- ness. James G. Glimm, ed. Washington, DC: National Academy Press. National Research Council. 1992. The Government Role in Civilian Technology: Building a New Alliance. Washington, DC: National Academy Press. National Research Council. 1995. Allocating Federal Funds for R&D. Washington, DC: National Academy Press. National Research Council. 1996. Conflict and Cooperation in National Competition for High- Technology Industry. Washington, DC: National Academy Press. National Research Council. 1997. Review of the Research Program of the Partnership for a New Generation of Vehicles: Third Report. Washington, DC: National Academy Press. National Research Council. 1999. The Advanced Technology Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999. Funding a Revolution: Government Support for Computing Re- search. Washington, DC: National Academy Press. National Research Council. 1999. Industry-Laboratory Partnerships: A Review of the Sandia Science and Technology Park Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999. New Vistas in Transatlantic Science and Technology Cooperation. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999. The Small Business Innovation Research Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000. The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press.

APPENDIX F 311 National Research Council. 2000. U.S. Industry in 2000: Studies in Competitive Performance. Wash- ington, DC: National Academy Press. National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001. Attracting Science and Mathematics Ph.Ds to Secondary School Education. Washington, DC: National Academy Press. National Research Council. 2001. Building a Workforce for the Information Economy. Washington, DC: National Academy Press. National Research Council. 2001. Capitalizing on New Needs and New Opportunities: Government- Industry Partnerships in Biotechnology and Information Technologies. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001. A Review of the New Initiatives at the NASA Ames Research Center. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: National Academy Press. National Research Council. 2002. Government-Industry Partnerships for the Development of New Technologies: Summary Report. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2002. Making the Nation Safer: The Role of Science and Technology in Countering Terrorism. Washington, DC: The National Academies Press. National Research Council. 2002. Measuring and Sustaining the New Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: National Academy Press. National Research Council. 2002. Partnerships for Solid-State Lighting. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2004. An Assessment of the Small Business Innovation Research Pro- gram: Project Methodology. Washington, DC: The National Academies Press. National Research Council. 2004. Capitalizing on Science, Technology, and Innovation: An Assess- ment of the Small Business Innovation Research Program/Program Manager Survey. Completed by Dr. Joseph Hennessey. National Research Council. 2004. Productivity and Cyclicality in Semiconductors: Trends, Implica- tions, and Questions. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2004. The Small Business Innovation Research Program: Program Di- versity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2006. Beyond Bias and Barriers: Fulfilling the Potential of Women in Academic Science and Engineering. Washington, DC: The National Academies Press. National Research Council. 2006. Deconstructing the Computer. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2006. Software, Growth, and the Future of the U.S. Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2006. The Telecommunications Challenge: Changing Technologies and Evolving Policies. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2007. Enhancing Productivity Growth in the Information Age: Measuring and Sustaining the New Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washing- ton, DC: The National Academies Press. National Research Council. 2007. India’s Changing Innovation System: Achievements, Challenges, and Opportunities for Cooperation. Charles W. Wessner and Sujai J. Shivakumar, eds. Wash- ington, DC: The National Academies Press. National Research Council. 2007. Innovation Policies for the 21st Century. Charles W. Wessner, ed. Washington, DC: The National Academies Press.

312 APPENDIX F National Research Council. 2007. SBIR and the Phase III Challenge of Commercialization. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2008. An Assessment of the SBIR Program at the Department of Energy. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foun- dation. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2009. An Assessment of the SBIR Program at the National Aeronautics and Space Administration. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Science Board. 2005. Science and Engineering Indicators 2005. Arlington, VA: National Science Foundation. National Science Board. 2006. Science and Engineering Indicators 2006. Arlington, VA: National Science Foundation. National Science Foundation. Committee of Visitors Reports and Annual Updates. Available online at <http://www.nsf.gov/eng/general/cov/>. National Science Foundation. Emerging Technologies. Available online at <http://www.nsf. gov/eng/sbir/eo.jsp>. National Science Foundation. Guidance for Reviewers. Available online at <http://www.eng.nsf. gov/sbir/peer_review.htm>. National Science Foundation. National Science Foundation at a Glance. Available online at <http:// www.nsf.gov/about>. National Science Foundation. National Science Foundation Manual 14, NSF Conflicts of Interest and Standards of Ethical Conduct. Available online at <http://www.eng.nsf.gov/sbir/COI_Form. doc>. National Science Foundation. The Phase IIB Option. Available online at <http://www.nsf.gov/eng/ sbir/phase_IIB.jsp#ELIGIBILITY>. National Science Foundation. Proposal and Grant Manual. Available online at <http://www.inside. nsf.gov/pubs/2002/pam/pamdec02.6html>. National Science Foundation. 2005. Synopsis of SBIR/STTR Program. Available online at <http:// www.nsf.gov/funding/pgm_summ.jsp?Phase Ims_id=13371&org=DMII>. National Science Foundation. 2006. “SBIR/STTR Phase II Grantee Conference, Book of Abstracts.” Office of Industrial Innovation. May 18-20, 2006, Louisville, Kentucky. National Science Foundation. 2006. “News items from the past year.” Press Release. April 10. National Science Foundation, Office of Industrial Innovation. Draft Strategic Plan, June 2, 2005. National Science Foundation, Office of Legislative and Public Affairs. 2003. SBIR Success Story from News Tip. Web’s “Best Meta-Search Engine,” March 20. National Science Foundation, Office of Legislative and Public Affairs. 2004. SBIR Success Story: GPRA Fiscal Year 2004 “Nugget.” Retrospective Nugget–AuxiGro Crop Yield Enhancers. Nelson, R. R. 1982. Government and Technological Progress. New York: Pergamon. Nelson, R. R. 1986. “Institutions supporting technical advances in industry.” American Economic Review, Papers and Proceedings 76(2):188. Nelson, R. R., ed. 1993. National Innovation System: A Comparative Study. New York: Oxford University Press. Office of Management and Budget. 1996. “Economic analysis of federal regulations under Executive Order 12866.” Office of Management and Budget. 2004. “What Constitutes Strong Evidence of Program Effective- ness.” Available online at <http://www.whitehouse.gov/omb/part/2004_program_eval.pdf>.

APPENDIX F 313 Office of the President. 1990. U.S. Technology Policy. Washington, DC: Executive Office of the President. Organization for Economic Cooperation and Development. 1982. Innovation in Small and Medium Firms. Paris: Organization for Economic Cooperation and Development. Organization for Economic Cooperation and Development. 1995. Venture Capital in OECD Coun- tries. Paris: Organization for Economic Cooperation and Development. Organization for Economic Cooperation and Development. 1997. Small Business Job Creation and Growth: Facts, Obstacles, and Best Practices. Paris: Organization for Economic Cooperation and Development. Organization for Economic Cooperation and Development. 1998. Technology, Productivity and Job Creation: Toward Best Policy Practice. Paris: Organization for Economic Cooperation and Development. Organization for Economic Cooperation and Development. 2006. “Evaluation of SME Policies and Programs: Draft OECD Handbook.” OECD Handbook. CFE/SME 17. Paris: Organization for Economic Cooperation and Development. Pacific Northwest National Laboratory. SBIR Alerting Service. Available online at <http://www.pnl. gov/edo/sbir>. Perko, J. S., and F. Narin. 1997. “The Transfer of Public Science to Patented Technology: A Case Study in Agricultural Science.” Journal of Technology Transfer 22(3):65-72. Perret, G. 1989. A Country Made by War: From the Revolution to Vietnam—The Story of America’s Rise to Power. New York: Random House. Porter, Michael E. 1998. “Clusters and Competition: New Agendas for Government and Institutions.” In Michael E. Porter, ed. On Competition. Boston, MA: Harvard Business School Press. Powell, J. W. 1999. Business Planning and Progress of Small Firms Engaged in Technology Develop- ment through the Advanced Technology Program. NISTIR 6375. National Institute of Standards and Technology/U.S. Department of Commerce. Powell, Walter W., and Peter Brantley. 1992. “Competitive cooperation in biotechnology: Learning through networks?” In N. Nohria and R. G. Eccles, eds. Networks and Organizations: Structure, Form and Action. Boston, MA: Harvard Business School Press. Pp. 366-394. Price Waterhouse. 1985. Survey of Small High-tech Businesses Shows Federal Sbir Awards Spurring Job Growth, Commercial Sales. Washington, DC: Small Business High Technology Institute. Roberts, Edward B. 1968. “Entrepreneurship and technology.” Research Management (July): 249-266. Romer, P. 1990. “Endogenous technological change.” Journal of Political Economy 98:71-102. Rosa, Peter, and Allison Dawson. 2006. “Gender and the commercialization of university sci- ence: Academic founders of spinout companies.” Entrepreneurship & Regional Development 18(4):341-366. July. Rosenbloom, R., and Spencer, W. 1996. Engines of Innovation: U.S. Industrial Research at the End of an Era. Boston, MA: Harvard Business School Press. Rubenstein, A. H. 1958. Problems Financing New Research-Based Enterprises in New England. Boston, MA: Federal Reserve Bank. Ruegg, Rosalie, and Irwin Feller. 2003. A Toolkit for Evaluating Public R&D Investment Models, Methods, and Findings from ATP’s First Decade. NIST GCR 03-857. Ruegg, Rosalie, and Patrick Thomas. 2007. Linkages from DoE’s Vehicle Technologies R&D in A ­ dvanced Energy Storage to Hybrid Electric Vehicles, Plug-in Hybrid Electric Vehicles, and Electric Vehicles. Washington, DC: U.S. Department of Energy/Office of Energy Efficiency and Renewable Energy. Sahlman, W. A. 1990. “The structure and governance of venture capital organizations.” Journal of Financial Economics 27:473-521. Saxenian, Annalee. 1994. Regional Advantage: Culture and Competition in Silicon Valley and Route 128. Cambridge, MA: Harvard University Press.

314 APPENDIX F SBIR World. SBIR World: A World of Opportunities. Available online at <http://www.sbirworld. com>. Scherer, F. M. 1970. Industrial Market Structure and Economic Performance. New York: Rand McNally College Publishing. Schumpeter, J. 1950. Capitalism, Socialism, and Democracy. New York: Harper and Row. Scotchmer, S. 2004. Innovation and Incentives. Cambridge MA: MIT Press. Scott, John T. 1998. “Financing and leveraging public/private partnerships: The hurdle-lowering auction.” STI Review 23:67-84. Siegel, D., D. Waldman, and A. Link. 2004. “Toward a Model of the Effective Transfer of Scientific Knowledge from Academicians to Practitioners: Qualitative Evidence from the Commercial- ization of University Technologies.” Journal of Engineering and Technology Management 21(1-2). Society for Prevention Research. 2004. Standards of Evidence: Criteria for Efficacy, Effectiveness and Dissemination. Available online at <http://www.preventionresearch.org/softext.php>. Sohl, Jeffrey. 1999. Venture Capital 1(2). Sohl, Jeffery, John Freear, and W.E. Wetzel Jr. 2002. “Angles on Angels: Financing Technology-Based Ventures—An Historical Perspective.” Venture Capital: An International Journal of Entrepre- neurial Finance 4(4). Solow, R. S. 1957. “Technical Change and the Aggregate Production Function.” Review of Economics and Statistics 39:312-320. Stiglitz, J. E., and A. Weiss. 1981. “Credit rationing in markets with incomplete information.” Ameri- can Economic Review 71:393-409. Stokes, Donald E. 1997. Pasteur’s Quadrant: Basic Science and Technological Innovation. Washing- ton, DC: The Brookings Institution. Stowsky, J. 1996. “Politics and Policy: The Technology Reinvestment Program and the Dilemmas of Dual Use.” Mimeo. University of California. Tassey, Gregory. 1997. The Economics of R&D Policy. Westport, CT: Quorum Books. Tibbetts, R. 1997. “The Role of Small Firms in Developing and Commercializing New Scientific Instrumentation: Lessons from the U.S. Small Business Innovation Research Program,” in J. Irvine, B. Martin, D. Griffiths, and R. Gathier, eds. Equipping Science for the 21st Century. Cheltenham UK: Edward Elgar Press. Tirman, John. 1984. The Militarization of High Technology. Cambridge, MA: Ballinger. Tyson, Laura, Tea Petrin, and Halsey Rogers. 1994. “Promoting entrepreneurship in Eastern Europe.” Small Business Economics 6:165-184. University of New Hampshire Center for Venture Research. 2007. The Angel Market in 2006. Avail- able online at <http://wsbe2.unh.edu/files/Full%20Year%202006%20Analysis%20Report%20- %20March%202007.pdf>. U.S. Congress, House Committee on Science, Space, and Technology. 1992. SBIR and Commercial- ization: Hearing Before the Subcommittee on Technology and Competitiveness of the House Committee on Science, Space, and Technology, on the Small Business Innovation Research [SBIR] Program. Testimony of James A. Block, President of Creare, Inc. Pp. 356-361. U.S. Congress. House Committee on Science, Space, and Technology. 1998. Unlocking Our Future: Toward a New National Science Policy: A Report to Congress by the House Committee on Sci- ence, Space, and Technology. Washington, DC: Government Printing Office. Available online at <http://www.access.gpo.gov/congress/house/science/cp105-b/science105b.pdf>. U.S. Congress. House Committee on Small Business. Subcommittee on Workforce, Empower- ment, and Government Programs. 2005. The Small Business Innovation Research Program: Opening Doors to New Technology. Testimony by Joseph Hennessey. 109th Cong., 1st sess., November 8. U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Technology and Innovation. 2007. Hearing on “Small Business Innovation Research Authorization on the 25th Program Anniversary.” Testimony by Robert Schmidt. April 26.

APPENDIX F 315 U.S. Congress. Senate Committee on Small Business. 1999. Senate Report 106-330. Small Business Innovation Research (SBIR) Program. August 4, 1999. Washington, DC: U.S. Government Printing Office. U.S. Congress. Senate Committee on Small Business. 1981. Small Business Research Act of 1981. S.R. 194, 97th Congress. U.S. Congress. Senate Committee on Small Business. 1999. Senate Report 106-330. Small Business Innovation Research (SBIR) Program. August 4. Washington, DC: U.S. Government Printing Office. U.S. Congress. Senate Committee on Small Business. 2006. Strengthening the Participation of Small Businesses in Federal Contracting and Innovation Research Programs. Testimony by Michael Squillante. 109th Cong., 2nd sess., July 12. U.S. Congressional Budget Office. 1985. Federal financial support for high-technology industries. Washington, DC: U.S. Congressional Budget Office. U.S. Department of Education. 2005. “Scientifically-Based Evaluation Methods: Notice of Final Priority.” Federal Register 70(15):3586-3589. U.S. Food and Drug Administration. 1981. Protecting Human Subjects: Untrue Statements in Ap- plication. 21 C.F.R. §314.12 U.S. Food and Drug Administration. Critical Path Initiative. Available online at <http://www.fda. gov/oc/initiatives/criticalpath/>. U.S. General Accounting Office. 1987. Federal research: Small Business Innovation Research par- ticipants give program high marks. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1989. Federal Research: Assessment of Small Business Innovation Research Program. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1992. Federal Research: Small Business Innovation Research Pro- gram Shows Success but Can Be Strengthened. RCED–92–32. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1997. Federal Research: DoD’s Small Business Innovation Research Program. RCED–97–122, Washington, DC: U.S. General Accounting Office. U. S. General Accounting Office. 1998. Federal Research: Observations on the Small Business Inno- vation Research Program. RCED–98–132. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1999. Federal Research: Evaluations of Small Business Innovation Research Can Be Strengthened. RCED–99–198, Washington, DC: U.S. General Accounting Office. U.S. Government Accountability Office. 2006. Small Business Innovation Research: Agencies Need to Strengthen Efforts to Improve the Completeness, Consistency, and Accuracy of Awards Data, GAO-07-38, Washington, DC: U.S. Government Accountability Office. U.S. Government Accountability Office. 2006. Small Business Innovation Research: Information on Awards made by NIH and DoD in Fiscal years 2001-2004. GAO-06-565. Washington, DC: U.S. Government Accountability Office. U.S. Public Law 106-554, Appendix I–H.R. 5667—Section 108. U.S. Small Business Administration. 1992. Results of Three-Year Commercialization Study of the SBIR Program. Washington, DC: U.S. Government Printing Office. U.S. Small Business Administration. 1994. Small Business Innovation Development Act: Tenth-Year Results. Washington, DC: U.S. Government Printing Office. U.S. Small Business Administration. 1998. “An Analysis of the Distribution of SBIR Awards by States, 1983-1996.” Washington, DC: Small Business Administration. U.S. Small Business Administration. 2003. “Small Business by the Numbers.” SBA Office of Ad- vocacy. May. U.S. Small Business Administration. 2006. Frequently Asked Questions, June 2006. Available online at <http://www.sba.gov/advo/stats/sbfaq.pdf>. U.S. Small Business Administration. 2006. “Small Business by the Numbers.” SBA Office of A ­ dvocacy. May.

316 APPENDIX F Venture Economics. 1988. Exiting Venture Capital Investments. Wellesley, MA: Venture E ­ conomics. Venture Economics. 1996. “Special Report: Rose-colored asset class.” Venture Capital Journal 36 (July):32-34. VentureOne. 1997. National Venture Capital Association 1996 annual report. San Francisco: V ­ entureOne. Wallsten, S. J. 1996. The Small Business Innovation Research Program: Encouraging Technologi- cal Innovation and Commercialization in Small Firms. Unpublished working paper. Stanford University. Wallsten, S. J. 1998. “Rethinking the Small Business Innovation Research Program,” in Investing In Innovation. L. M. Branscomb and J. Keller, eds., Cambridge, MA: MIT Press. Weiss, S. 2006. “The Private Equity Continuum.” Presentation at the Executive Seminar on Angel Funding, University of California at Riverside, December 8-9, Palm Springs, CA. Wessner, Charles W. 2004. Partnering Against Terrorism. Washington, DC: The National Academies Press.

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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships. Founded in 1982, SBIR was designed to encourage small business to develop new processes and products and to provide quality research in support of the many missions of the U.S. government, including health, energy, the environment, and national defense. In response to a request from the U.S. Congress, the National Research Council assessed SBIR as administered by the five federal agencies that together make up 96 percent of program expenditures.

This book, one of six in the series, reports on the SBIR program at the National Aeronautics and Space Administration, and finds that the program is making significant progress in achieving the Congressional goals for the program. Keeping in mind NASA's unique mission and the recent significant changes to the program, the committee found the SBIR program to be sound in concept and effective in practice at NASA.. The book recommends programmatic changes that should make the SBIR program even more effective in achieving its legislative goals.

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