Annex H:
Committee and Research Team Bios

The National Academies

Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program

Steering Committee Background Information

Jacques Gansler: Chairman

Jacques Gansler, former Under Secretary of Defense for Acquisition, Technology, and Logistics, is the first to hold the University of Maryland’s Roger C. Lipitz Chair in Public Policy and Private Enterprise. As the third ranking civilian at the Pentagon from 1997 to 2001, Dr. Gansler was responsible for all research and development activities, acquisition reform, logistics, advanced technology, environmental security, defense industry, and other programs. Before joining the Clinton Administration, Dr. Gansler held a variety of positions in government and the private sector, including those of Deputy Assistant Secretary of Defense (Material Acquisition), Assistant Director of Defense Research and Engineering (Electronics), Vice President of ITT, and engineering and management positions with Singer and Raytheon Corporations.

Throughout his career, Dr. Gansler has written, published, and taught on subjects related to his work. He is the author of Defense Conversion: Transforming the Arsenal of Democracy, MIT Press, 1995; Affording Defense, MIT Press, 1989, and The Defense Industry, MIT Press, 1990. He has published numerous articles in Foreign Affairs, Harvard Business Review, International Security, Public Affairs, and other journals as well as newspapers and through the proceedings of Congressional hearings.

David Audretsch

David B. Audretsch is the Ameritech Chair of Economic Development and the Director of the Institute for Development Strategies at Indiana University. He is also a Research Fellow of the Centre for Economic Policy Research (London). He was at the Wissenschaftszentrum Berlin fuer Sozialforschung in Berlin, Germany, a government funded research think tank, between 1984 and 1997, serving as its Acting Director from 1989 to 1991. In 1991, he became a Research Professor.

Dr. Audretsch’s research has focused on the links between entrepreneurship, government policy, innovation, economic development, and global competitiveness. He has consulted with the World Bank, National Academy of Sciences, U.S. State Department, United States Federal Trade Commission, General Accounting Office and International Trade Commission as well as the United Nations, the Commission of the European Union, the European Parliament, the OECD, numerous private corporations, state governments, and a number of European Governments. He is a member of the Advisory Board to a number of international research and policy institutes, including the Zentrum fuer Europaeisch Wirtschaftsforschung (ZEW, Centre for Economic Research), Mannheim, Germany and the Hamburgisches Welt-Wirtschafts-Archiv (HWWA, Hamburg Institute of International Economics), and the American Institute for Contemporary German Studies (AICGS), Washington, D.C.

His research has been published in over one hundred scholarly articles in the leading academic journals. He has published 25 books including, Innovation and Industry Evolution, with MIT Press. He is founder and editor of the premier journal on small business and economic development, Small Business Economics: An International Journal.



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Annex H: Committee and Research Team Bios The National Academies Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program Steering Committee Background Information Jacques Gansler: Chairman Jacques Gansler, former Under Secretary of Defense for Acquisition, Technology, and Logistics, is the first to hold the University of Maryland’s Roger C. Lipitz Chair in Public Policy and Private Enterprise. As the third ranking civilian at the Pentagon from 1997 to 2001, Dr. Gansler was responsible for all research and development activities, acquisition reform, logistics, advanced technology, environmental security, defense industry, and other programs. Before joining the Clinton Administration, Dr. Gansler held a variety of positions in government and the private sector, including those of Deputy Assistant Secretary of Defense (Material Acquisition), Assistant Director of Defense Research and Engineering (Electronics), Vice President of ITT, and engineering and management positions with Singer and Raytheon Corporations. Throughout his career, Dr. Gansler has written, published, and taught on subjects related to his work. He is the author of Defense Conversion: Transforming the Arsenal of Democracy, MIT Press, 1995; Affording Defense, MIT Press, 1989, and The Defense Industry, MIT Press, 1990. He has published numerous articles in Foreign Affairs, Harvard Business Review, International Security, Public Affairs, and other journals as well as newspapers and through the proceedings of Congressional hearings. David Audretsch David B. Audretsch is the Ameritech Chair of Economic Development and the Director of the Institute for Development Strategies at Indiana University. He is also a Research Fellow of the Centre for Economic Policy Research (London). He was at the Wissenschaftszentrum Berlin fuer Sozialforschung in Berlin, Germany, a government funded research think tank, between 1984 and 1997, serving as its Acting Director from 1989 to 1991. In 1991, he became a Research Professor. Dr. Audretsch’s research has focused on the links between entrepreneurship, government policy, innovation, economic development, and global competitiveness. He has consulted with the World Bank, National Academy of Sciences, U.S. State Department, United States Federal Trade Commission, General Accounting Office and International Trade Commission as well as the United Nations, the Commission of the European Union, the European Parliament, the OECD, numerous private corporations, state governments, and a number of European Governments. He is a member of the Advisory Board to a number of international research and policy institutes, including the Zentrum fuer Europaeisch Wirtschaftsforschung (ZEW, Centre for Economic Research), Mannheim, Germany and the Hamburgisches Welt-Wirtschafts-Archiv (HWWA, Hamburg Institute of International Economics), and the American Institute for Contemporary German Studies (AICGS), Washington, D.C. His research has been published in over one hundred scholarly articles in the leading academic journals. He has published 25 books including, Innovation and Industry Evolution, with MIT Press. He is founder and editor of the premier journal on small business and economic development, Small Business Economics: An International Journal. 63

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He was awarded the 2001 International Award for Entrepreneurship and Small Business Research by the Swedish Foundation for Small Business Research. Gene Banucci Gene Banucci, a founder of Advanced Technology Materials, Inc., has served as Chief Executive Officer, Chairman of the Board, and as Director since 1986. At its inception, ATMI focused its core expertise on materials for Chemical Vapor Deposition (CVD) technology and has since developed a unique portfolio of leading-edge materials technologies for innovative packaging, productive delivery systems, accurate solid-state sensors, low-impact environmental equipment, and engineered services that are combined into materials solutions. Before co-founding ATMI in 1986, Gene Banucci served as a Director for American Cyanamid's Chemical Research Division, where he directed more than 400 scientists and engineers in new product research and development for this $1 billion unit. He also created and directed Cyanamid's Discovery Research Department where he managed the creation of new specialty chemical and materials technologies, leading to new business ventures. Dr. Banucci holds 21 issued U.S. patents and is an author of numerous published scientific articles. He is a founding member of the Connecticut Technology Council, a member of the Board of Directors of Precision Combustion, Inc., and a member of the Board of Trustees of Beloit College. He received his Ph.D. in Organic Chemistry from Wayne State University, and his B.A. in Chemistry from Beloit College. Jon Baron Jon Baron is the Executive Director of the Coalition for Evidence-Based Policy, a project launched under the sponsorship of the Council for Excellence in Government in September 2001 to promote government policymaking based on rigorous evidence of program effectiveness. Before joining the Council, he served as the Executive Director of the Presidential Commission on Offsets in International Trade (2000-2001). In that position, he developed and built consensus for a major Commission report to Congress that was approved by the Director of the Office of Management and Budget, with the concurrence of all Commission members. From 1995-2000, he was the Program Manager for the Defense Department's Small Business Innovation Research (SBIR) program, which provides over a half-billion dollars each year to small technology companies to develop new commercial/military technologies. In that position, he initiated and led major program reforms that greatly increased the effectiveness of the program in spawning successful new companies and technologies. The reforms received the Vice President's Hammer Award for reinventing government and were recognized by Harvard University’s Innovations Awards Program as one of the top government innovations in the United States. From May 1993 to May 1994, he was a special assistant for dual-use technology policy in the Office of the Secretary of Defense. From 1989-1994, he served as counsel to the House of Representatives Committee on Small Business, where among other activities he initiated, led, and worked successfully to secure enactment of legislation establishing the federal Small Business Technology Transfer (STTR) program. The program funds cooperative R&D projects involving universities and small technology companies, and was recently reauthorized by Congress and expanded to $130 million per year. Mr. Baron holds a law degree from Yale Law School, a master's degree in public affairs from Princeton University, and a Bachelor of Arts degree in economics from Rice University. 64

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Michael Borrus Michael Borrus is a Managing Director of the Petkevich Group, an investment bank focused on the health-care and information technology industries. Before joining the Petkevich Group, Mr. Borrus was a Co-Director of the Berkeley Roundtable on the International Economy (BRIE) at the University of California at Berkeley and Adjunct Professor in the College of Engineering, where he taught Management and Technology. He is the author of two books and over 60 chapters, articles and monographs on a variety of topics including high- technology competition, international trade and investment and the impact of new technologies on industry and society. For the last decade, he has served as consultant to a variety of governments and firms in the U.S., Asia and Europe on policy and business strategy for international competition in high-technology industries. Mr. Borrus is a graduate of Harvard Law School and a member of the California State Bar. Gail Cassell Gail Cassell is currently Vice President of Infectious Diseases, Eli Lilly and Company. She was previously the Charles H. McCauley Professor and Chairman of the Department of Microbiology at the University of Alabama Schools of Medicine and Dentistry at Birmingham, a department that ranked first in research funding from the National Institutes of Health under her leadership. She is a current member of the Director's Advisory Committee of the National Centers for Disease Control and Prevention. She is a past President of the American Society for Microbiology, a former member of the National Institutes of Health Director's Advisory Committee, and a former member of the Advisory Council of the National Institute of Allergy and Infectious Diseases of NIH. Dr. Cassell served 8 years on the Bacteriology-Mycology 2 Study Section and as Chair for 3 years. She also was previously chair of the Board of Scientific Councilors of the Center for Infectious Diseases, Centers for Disease Control. Dr. Cassell has been intimately involved in establishment of science policy and legislation related to biomedical research and public health. She is the chairman of the Public and Scientific Affairs Board of the American Society for Microbiology; a member of the Institute of Medicine; has served as an advisor on infectious diseases and indirect costs of research to the White House Office of Science and Technology Policy, and has been an invited participant in numerous Congressional hearings and briefings related to infectious diseases, antimicrobial resistance, and biomedical research. She has served on several editorial boards of scientific journals and has authored over 250 articles and book chapters. Dr. Cassell has received several national and international awards and an honorary degree for her research in infectious diseases. Elizabeth Downing Elizabeth Downing is President, CEO, and founder of 3D Technology Labs in Sunnyvale, California. She is a winner of Technology and Innovation awards from Discover Magazine, Industry Week Magazine, and Saatchi & Saatchi, and was recently featured, along with Hillary Rodham Clinton, Madeleine K. Albright, and Sandra Day O’Connor in Feminine Fortunes – Women of the New Millennium. Dr. Downing is well known for her contributions to the field of volumetric visualization and display technology. She holds more than a dozen patents on optical and laser-based instrumentation, working not only to develop a paradigm shifting technology, but also to channel it into key initial markets where time-critical visualization of volumetric data can mean the difference between life and death. A mechanical engineer specializing in systems integration by training, Dr. Downing not only conceived of the basic concepts, but also has developed the material processing capabilities and integrated the optical systems to create the world’s first 360-degree walk-around three-dimensional display. Founded in 1996 with the help of key technical and business experts, her company, 3D Technology Labs has meticulously pushed the performance envelope of a challenging new visualization frontier. 65

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Since 1996, Dr. Downing has been invited to speak as an expert in her field by the National Academy of Sciences, the Optical Society of America, SIGGRAPH, and the U.S. Display Consortium. In addition, she continues to push the boundaries of field, and is the author of several scientific publications relating to three-dimensional display, nonlinear optics, non-oxide glasses and their applications. Kenneth Flamm Kenneth Flamm is the Dean Rusk Professor of International Affairs at the LBJ School at the University of Texas– Austin. Before this, he worked at the Brookings Institution in Washington, D.C, where he served eleven years as a Senior Fellow in the Foreign Policy Studies Program. He is a 1973 honors graduate of Stanford University and received a Ph.D. in economics from M.I.T. in 1979. From 1993 to 1995, Dr. Flamm served as Principal Deputy Assistant Secretary of Defense for Economic Security and Special Assistant to the Deputy Secretary of Defense for Dual Use Technology Policy. He was awarded the Department's Distinguished Public Service Medal by Defense Secretary William J. Perry in 1995. Dr. Flamm has been a professor of economics at the Instituto Tecnológico de México in Mexico City, the University of Massachusetts, and George Washington University. He has also been an adviser to the Director General of Income Policy in the Mexican Ministry of Finance and a consultant to the Organization for Economic Cooperation and Development, the World Bank, the National Academy of Sciences, the Latin American Economic System, the U.S. Department of Defense, the U.S. Department of Justice, the U.S Agency for International Development, and the Office of Technology Assessment of the U.S. Congress. He has played an active role in the National Research Council’s committee on Government-Industry Partnerships, under the direction of Gordon Moore, and played a key role in that study’s review of the SBIR program at the Department of Defense. Dr. Flamm has made major contributions to our understanding of the growth of the electronics industry, with a particular focus on the development of the computer and the U.S. semiconductor industry. He is currently working on an analytical study of the post-Cold War defense industrial base and has expert knowledge of international trade and high technology industry issues. Christina Gabriel Christina Gabriel is Vice Provost for Corporate Partnerships and Technology Development at Carnegie Mellon University. Dr. Gabriel came to Carnegie Mellon from CASurgica, Inc., a Carnegie Mellon spin-off company focusing on computer-assisted orthopedic surgery, where she was President and CEO. In earlier university positions, Dr. Gabriel has served as Director of Collaborative Initiatives at Carnegie Mellon as well as Vice President for Research and Technology Transfer at Case Western Reserve University in Cleveland, Ohio. Dr. Gabriel spent five years with the National Science Foundation in Washington, D.C., and Arlington, VA, most recently serving as Deputy Assistant Director for Engineering, which is the chief operating officer of the Engineering Directorate, an organization of 140 staff members (half Ph.D.-level) which awards over $300 million to universities and small businesses for engineering research and education. In earlier assignments at NSF, Dr. Gabriel served as program director within several engineering research programs, as well as Coordinator for the $50 million university- industry collaborative Engineering Research Centers program. Dr. Gabriel spent most of the year 1994 at the United States Senate Appropriations Committee, working as one of three majority professional staff members for the Subcommittee on VA, HUD and Independent Agencies, chaired by Senator Barbara Mikulski. This subcommittee was responsible for appropriating about $90 billion annually among 25 federal organizations. Dr. Gabriel was also a researcher for six years at AT&T Bell Laboratories in New Jersey and spent six months in 1990 as a visiting professor at the University of Tokyo in Japan. She received her masters and doctorate degrees in electrical engineering and computer science from the Massachusetts Institute of Technology and her undergraduate electrical engineering degree from the University of Pittsburgh. She was an AT&T Bell Laboratories GRPW Fellow and a National Merit Scholar (Richard King Mellon Foundation). Her research publications 66

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focus on digital optical switching devices and systems exploiting ultra fast optical non-linearities in fibers and wave guides of glasses, polymers and semiconductors, and she holds three patents. Trevor O. Jones Trevor O. Jones is the Chairman and Founder of BIOMEC Inc., an entrepreneurial company founded in 1998 engaged in the development and commercialization of biomedical engineered devices and products. After 7 years, Mr. Jones retired from the Board of Directors of Echlin, Inc. in June 1998 where he served in a number of capacities as Chairman, Vice Chairman, CEO and Chairman of its European Advisory Committee. Mr. Jones was appointed Chairman of the Board of Libbey-Owens-Ford Co. in 1987, and assumed the additional positions of President and CEO in May 1993. Mr. Jones retired from LOF in 1994 but remained a member of the Board of Directors including Chairman of their Salary and Bonus Committee until 1997. From 1978 to 1987, Mr. Jones was an officer of TRW, Inc. He joined TRW in 1978 as Vice President, Engineering, Automotive Worldwide Sector and in 1979 he formed TRW's Transportation Electronics Group and was appointed its Group Vice President and General Manager. His responsibilities included activities in the United States, United Kingdom and Japan. In 1985, his responsibilities were further expanded to include Sales, Marketing, Strategic Planning, and Business Development activities for the entire Automotive Sector. From 1959 to 1978, Mr. Jones spent 19 years with General Motors. His last position there was Director of General Motors Proving Grounds, a post to which he was appointed in 1974. From 1959 to 1970, Mr. Jones was involved in General Motors' aerospace activities at the Delco Electronics Division. During this period, he directed many major programs, including the B-52 bombing navigational system production program, advanced military avionic systems, and the Apollo lunar and command module computers. In 1969, he was selected to direct the application of aerospace technology to automotive safety and electronics systems. He became the Director, Automotive Electronic Control Systems, a newly organized group at General Motors Technical Center in 1970 and was appointed Director, Advanced Project Engineering in 1972. In this capacity, he directed many major vehicle, engine and component development programs. In 1982 he was elected a member of the National Academy of Engineering and was cited for "leadership in the application of electronics to the automobile to enhance its mechanical performance." He has been a member of a number of National Research Council (NRC) study committees, including "National Interests in an Age of Global Technology", "Safety Research for a Changing Highway Environment","Engineering as an International Enterprise", "Competitiveness of the US Automotive Industry" and "Time Horizons and Technology Investments". In 1993, Mr. Jones chaired the National Academy of Engineering Committee on the effects of products liability law on innovation. From 1994 to 2000, Mr. Jones chaired the National Research Council's Standing Committee for the Partnership for a New Generation Vehicle, which is often referred to as the "80 mile per gallon super car". Mr. Jones continues to be active in fuel cell developments and is a member of UTC's Fuel Cell Advisory Committee and a member of the Executive Committee of the Ohio Fuel Cell Coalition. He is a Fellow of the British Institute of Electrical Engineers and received its Hooper Memorial Prize in 1950. He is a Life Fellow of the American Institute of Electrical and Electronics Engineers, and has been cited for "leadership in the application of the electronics to the automobile." He is also a Fellow of the Society of Automotive Engineers and received SAE's Arch T. Colwell Award in 1974 and in 1975, Vincent Bendix Automotive Electronics Engineering Award in 1976, Buckendale Lecturer Award in 1986, and Edward N. Cole Automotive Engineering Award 1988. He is a Fellow of the Royal Society for the Encouragement of Arts, Manufacturing and Commerce (FRSA), an Honorary Fellow, Institution of Mechanical Engineers, a Fellow of the Engineering Society of Detroit and a Life 67

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Member of the Cleveland Engineering Society. He received the U.S. Department of Transportation of Safety Award for Engineering Excellence in 1978, and in 1991, he received the H.H. Bliss Award from The Center for Study of Responsive Law; both awards recognized his pioneering contributions to inflatable occupant restraint systems development. Mr. Jones holds many patents, has lectured and authored numerous papers on automotive electronics, occupant safety, fuel cells and international human resource management. Mr. Jones was appointed to the National Motor Vehicle Safety Advisory Council by the Secretary of Transportation in 1971, and was appointed vice chairman of the council in 1972. In 1975, President Ford appointed him to a three-year term on the National Highway Safety Advisory Committee. In 1976, he was appointed the first non-governmental chairman of the committee. In 1995, Mr. Jones was appointed to the Secretary of Defense's Defense Science Board's Committee for "Technology Investments for the 21st Century Military Superiority" and in 1996, to the Task Force on International Arms Development Cooperation. Ohio's Governor Taft appointed Mr. Jones a Trustee of Cleveland State University in February 2001. Mr. Jones is also a member of the Visiting Committee for Biomedical Engineering at Case Western Reserve University and a member of its Medical School Technology Advisory Council. Mr. Jones is also a member of the Board of the Cleveland Orchestra and a member of the Development Committee of the Cleveland Clinic Foundation's Heart Center. A native of Maidstone, England, Mr. Jones completed his formal engineering education in electrical engineering at Aston Technical College in 1952 and in mechanical engineering in Liverpool Technical College in 1957, prior to moving to the United States. He is a registered Professional Engineer in the State of Wisconsin and a Chartered Engineer in the United Kingdom. Charles Kolb Charles Kolb is the President and Chief Executive Officer of Aerodyne Research, Inc., (ARI) a position he has held since 1994. Since 1970, ARI has provided research and development services requiring expertise in the physical and engineering sciences to commercial and government clients working to solve national and international environmental problems. These include a wide range of topics such as global and regional environmental quality and the development of clean and efficient energy and new propulsion technologies. Dr. Kolb has received numerous professional honors and has served in a broad range of professional and Academy related positions. He is currently a member of the Advisory Council for the Department of Civil and Environmental Engineering at Princeton University and has served as a committee member of the Richards Medal Committee for the American Chemical Society since 1998. He has contributed to a variety of National Academies’ studies and is currently serving as Chairman on the National Research Council’s Committee on Review and Evaluation of Chemical Events at Army Chemical Disposal Facilities. Dr. Kolb holds an S.B. in Chemistry (Chemical Physics option) from the Massachusetts Institute of Technology, an M.S. in Physical Chemistry from Princeton University, and a Ph.D. in Physical Chemistry from Princeton University. His research interests include: atmospheric, combustion and materials chemistry as well as physics and chemistry of aircraft and rocket exhaust plumes. In addition to over 200 reports, non-refereed symposia papers, patents, book reviews, and policy papers, Dr. Kolb has published over 150 archival journal articles and book chapters. 68

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Henry Linsert Henry Linsert joined Martek as Chairman of the Board in 1988 and became its Chief Executive Officer in 1989. Martek Biosciences Corporation develops and sells products from microalgae. Microalgae are microplants. The Company is engaged in the commercial development of microalgae into a portfolio of high value products and product candidates consisting of Nutritional Products, Advanced Detection Systems and Other Products, primarily Algal Genomics. Nutritional products include nutritional oils for infant formula, dietary supplementation and other products. Advanced Detection Systems products include fluorescent dyes from various algae for use in scientific applications for detection of certain biological processes. From 1987 to 1988, he was primarily engaged as President of American Technology Investments Corp. ("ATI"), a consulting company specializing in the development and financing of early stage companies in the Mid-Atlantic area. He was President and Chief Executive Officer of Suburban Capital Corporation, a venture capital subsidiary of Sovran Financial Corporation (now part of Bank of America), from 1983 to 1987. Before 1983, Mr. Linsert was Vice President of Inverness Capital Corporation, a small business investment company, and Vice President of First Virginia Bank. He also served as a Captain in the U.S. Marine Corps and as an artillery officer in Vietnam. Mr. Linsert received an M.A. in economics from George Washington University and a B.A. from Duke University. Clark McFadden Clark McFadden, a partner at the law firm Dewey Ballantine, specializes in international corporate transactions, especially the formulation of joint ventures, consortia, and international investigations and enforcement proceedings. Mr. McFadden has had a broad background in foreign affairs and international trade, with experience with Congressional committees, the U.S. Department of Defense and the National Security Council. In 1986, he was appointed General Counsel, President's Special Review Board, to investigate the National Security Council system ("Tower Commission"). In 1979, Mr. McFadden served as Special Counsel to the Senate Foreign Relations Committee on the Strategic Arms Limitation Treaty (SALT II). Previously, from 1973-1976, he worked as General Counsel, Senate Armed Services Committee and was responsible to the Committee for all legislative, investigatory, and oversight activities. Mr. McFadden has a B.A. from Williams College (1968), M.B.A. from Harvard University (1972), and J.D. from Harvard Law School (1972). Duncan T. Moore Duncan Moore is the Rudolf and Hilda Kingslake Professor of Optical Engineering and Professor of Biomedical Engineering at the University of Rochester. He is also Special Assistant to the University President and Executive Director of the University, Industry and Government Partnership for Advanced Photonics. Previously, from 1995 until the end of 1997, he served as Dean of Engineering and Applied Sciences at the University. In 1996, Dr. Moore also served as President of the Optical Society of America (OSA), a professional organization of 12,000 members worldwide. From January 2001 to the present, he has served as Senior Science Advisor at OSA. The U.S. Senate confirmed Dr. Moore in the fall of 1997 for the position of Associate Director for Technology in The White House Office of Science and Technology Policy (OSTP). In this position, which ended December 2000, he worked with Dr. Neal Lane, President Clinton's Science Advisor, to advise the President on U.S. technology policy, including the Next Generation Internet, Clean Car Initiative, elder tech, crime tech, and NASA. From January through May 2001, Dr. Moore served as Special Advisor to the Acting Director of OSTP. 69

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Dr. Moore has extensive experience in the academic, research, business, and governmental arenas of science and technology. He is an expert in gradient-index optics, computer-aided design, and the manufacture of optical systems. He has advised nearly 50 graduate thesis students. In addition, Dr. Moore began a one-year appointment as Science Advisor to Senator John D. Rockefeller IV of West Virginia in 1993. He also chaired the successful Hubble Independent Optical Review Panel organized in 1990 to determine the correct prescription of the Hubble Space Telescope. Dr. Moore is also the founder and former president of Gradient Lens Corporation of Rochester, NY, a company that manufactures the high-quality, low-cost Hawkeye boroscope. Dr. Moore was elected to the National Academy of Engineering in February 1998. He has been the recipient of the Science and Technology Award of the Greater Rochester Metro Chamber of Commerce (1992), Distinguished Inventor of the Year Award of the Rochester Intellectual Property Law Association (1993), Gradient-Index Award of the Japanese Applied Physics Society (1993), and an Honorary Doctor of Science degree from the University of Maine (1995). In 1999, he received the National Engineering Award of the American Association of Engineering Societies and was recognized as the Engineer of the Year by the Rochester Engineering Society. Most recently, he was the recipient of the 2001 OSA Leadership Award. Dr. Moore holds a Ph.D. in Optics (1974) from the University of Rochester. He had previously earned a master's degree in Optics at Rochester and a bachelor's degree in Physics from the University of Maine. Kent Murphy Dr. Kent Murphy is the Founder and CEO of Luna Innovations, a next-generation, employee-owned company. Luna has built a complete network for driving innovative technologies through the development cycle all the way to fully functioning separate subsidiary companies. Luna has 200+ working the technology sector in biotechnology, nanomaterials, optical fiber telecommunications and instrumentation, and control and predictive based maintenance as well as other key technologies of the future. Luna Innovations has licensed patents from Virginia universities, government labs, and large industrial partners, and is ranked second only to GM in industrial-funded research at Virginia Tech. Murphy is a recipient of both the High Tech Entrepreneur Award for the New Century Technology Council and the Entrepreneur of the Year Award for Virginia Small Business Innovations Research. Murphy holds the B.S. Degree in Engineering Science and Mechanics and the Master of Science and Ph.D. in Electrical Engineering from Virginia Tech. Linda Powers Linda Powers has more than fifteen years of experience in the fields of corporate mergers and acquisitions (both hostile and friendly), restructurings, and highly leveraged, structured and specialty finance transactions. She is a co- founder and Managing Director of Toucan Capital Corporation. Before co-founding Toucan Capital, Ms. Powers was Senior Vice President, Global Finance, at Enron Corporation. Before joining Enron, Ms. Powers served as the Deputy Assistant Secretary of Commerce in the Bush, Sr. Administration. In that capacity, she was responsible for a number of small business programs, mainly concerned with access to capital. She also assisted financial services, information services and related businesses in entering foreign markets, and was responsible for government-to-government negotiations to remove foreign market entry restrictions for U.S. firms. She was co-lead negotiator for the U.S. on the North American Free Trade Agreement, financial sector agreement, which opened banking, securities, insurance, pension fund and related opportunities in Canada and Mexico. During the 1980s, Ms. Powers practiced law, specializing in corporate mergers, acquisitions and financings, and certain kinds of intellectual property transactions. While working for the headquarters of the European Union in Brussels, she was responsible for drafting the initial intellectual property rules that now govern know-how licensing in the European Union. 70

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Ms. Powers has also taught International Business Transactions and European Business Law at Georgetown Law School for eight years, as an adjunct professor. She is a graduate, magna cum laude, of both Princeton University and Harvard Law School. Patrick Windham Until April 1997, Patrick Windham served as Senior Professional Staff Member for the Subcommittee on Science, Technology, and Space of the U.S. Senate’s Committee on Commerce, Science, and Transportation. He helped the Senators oversee and draft legislation for several major civilian R&D agencies with responsibility for science, technology, and U.S. competitiveness; industry-government-university R&D partnerships; state economic development; federal laboratory technology transfer; high-performance computing; and computer encryption. From 1982 to 1984, he served as a legislative aide in the personal office of Senator Ernest Hollings. From 1976 to 1978, he worked as a Congressional fellow with the Senate Commerce Committee and then returned to California from 1978 to 1982 to pursue graduate studies in political science at the University of California at Berkeley. Mr. Windham holds a Masters of Public Policy from the University of California at Berkeley and a B.A. from Stanford University. He is currently an independent, California-based consultant on science and technology policy issues. Tyrone C. Taylor Tyrone C. Taylor brings an exceptional combination of hands on experience in technology development and commercialization. He has held senior management positions in the federal government, worked extensively in the R&D community. He also is the founder and President of Capitol Advisors on Technology, a technology consulting firm that serves the Washington, D.C. area, and until recently Mr. Taylor was also the Senior Vice President of Unisphere. Capital Advisors represents industry, federal, and non-profit clients and assists them in all aspects of technology commercialization. Mr. Taylor is well known within the federal research and development (R&D) associations and small business community as an authoritative source with hands-on experience in launching new initiatives. Reflecting his broad experience, he has been asked to serve on numerous technology advisory committees such as the National Science Foundation, National Defense Industrial Association, and the Minority Business Technology Transfer Consortium. Congressional science and technology committees have also called upon him to assess the impact of legislation affecting the technology commercialization community. As an executive on loan, Mr. Taylor represented the entire Federal R&D community as the Washington, D.C. Representative for the Federal Laboratory Consortium for Technology Transfer, a Congressionally chartered organization. In this capacity, he provided leadership in developing legislation that governs the private and public sectors? ability to collaborate in R&D activities, manage intellectual property, and commercialize technologies. Recognized for his efforts by Congress, Mr. Taylor often addresses audiences throughout the United States and abroad on technology development, transfer, and commercialization issues. Until recently Mr. Taylor served as the Senior Vice President for Marketing and Business Development for Unisphere, Inc., a technology assessment firm aimed at developing dual-use technologies for the defense and commercial marketplace. In this capacity, he aided in the expansion and growth of small businesses and their clients, helping to generate about $35 million in revenue and produce over $64 million in cost savings. Due to his broad technology background, he is able to interact effectively with all aspects of the technology commercialization field including inventors, attorneys, and acquisition managers as well as aspects of commercialization testing, engineering, and marketing. His technology management experience covers such areas as medical technologies, energy and environment, advanced materials, infrared imaging, and aerospace. Before joining Unisphere, Mr. Taylor served in the Senior Executive Service in a variety of executive management positions at NASA. He brings extensive program/project experience having managed over $1 billion in contracts and grants for systems engineering, information systems, facilities management, and technical and administrative services as a member of the International Space Station program, which included Japan, Canada and the European 71

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Space Agency and the Space Science management team. Tyrone Taylor has a Masters in Business Administration from Southeastern University. He earned an A.B. in Business Administration from Wilmington College, and has served as Adjunct Professor for numerous technology transfer/commercialization courses. Other activities include serving on the board of Pediatric AIDS/HIV Care in Washington, D.C. and nurturing businesses in the assistive technology arena. Charles Trimble As President, Chief Executive Officer, and as one of the Company’s founders, Charles Trimble guided Trimble Navigation to its dominant role in the GPS (Global Positioning System) information technology market. Before founding Trimble, Mr. Trimble was manager of Integrated Circuit Research and Development at Hewlett-Packard’s Santa Clara Division. During his tenure at HP, he was recognized for developing commercial advances in efficient signal processing, high-speed analog-to-digital converters, and digital time measurement techniques to the picosecond level. Mr. Trimble received his B.S. degree in Engineering Physics, with honors, in 1963, and his M.S. degree in Electrical Engineering, in 1964, from the California Institute of Technology. He was a member of the Vice President’s Space Advisory Board’s task group on the future of U.S. Space Industrial Base for the National Space Council. In September of 1994, Mr. Trimble was honored with the Piper General Aviation award from the American Institute of Aeronautics and Astronautics (AIAA) for pioneering the manufacture and application of affordable GPS. 72

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SBIR Research Team Background Information Zoltan Acs Zoltan J. Acs is the Doris and Robert McCurdy distinguished Professor of Entrepreneurship and Innovation and director of the Entrepreneurship Program in the Robert G. Merrick School of Business, University of Baltimore. He has a Ph.D. in Economics from the New School University in New York City. His primary research focus is in the area of understanding the dynamics of small business growth and failure from a global perspective. He has published over 100 scholarly articles in leading journals. Dr. Acs is a leading advocate of the importance of entrepreneurship as an emerging engine of economic growth. He is the recipient of the 2001 Small Business and Entrepreneurship Research Award given by the Swedish Foundation for Small Business. His most recent publication is Innovation and the Growth of Cities, Edward Elgar 2002. He is also the founder and editor of Small Business Economics, the leading international journal in entrepreneurship and small business research. Philip A. Auerswald Philip Auerswald is an Assistant Professor at the School of Public Policy, George Mason University, and an Adjunct Lecturer and Assistant Director of the Science, Technology, and Public Policy Program at the Kennedy School of Government, Harvard University. He is co-author with Lewis Branscomb of Taking Technical Risk: How Innovators, Executives and Investors Manage High-Tech Risks, MIT Press, 2001.He is currently a member of the research team for a multi-year National Academies study of the Small Business Innovation Research (SBIR) program. He has been a consultant to the Department of Economic Development of the Commonwealth of Massachusetts and is principal author of Competitive Imperatives for the Commonwealth: A conceptual framework to guide the design of state economic strategy. He has published on topics pertaining to science and technology policy, entrepreneurship, and the economics of innovation. He is also co-editor with David Auerswald of The Kosovo Conflict: A Diplomatic History Through Documents, 2001 (foreword by Sen. Joseph Biden Jr.), and since has been Editor of the Foreign Policy Bulletin: The Documentary Record of United States Foreign Policy. He holds a Ph.D. in economics from the University of Washington and a B.A. (political science) from Yale University. Grant Black Grant Black is an economist at the Andrew Young School of Policy Studies, Georgia State University. He has contributed to research funded by the Alfred P. Sloan Foundation, the Andrew W. Mellon Foundation, the National Science Foundation, the South African Revenue Service, and the United States Agency for International Development. He has participated in national and international conferences on science and technology policy issues and is a regular participant in the Scientific Workforce Project sponsored by the National Bureau of Economic Research and Alfred P. Sloan Foundation. Black's research interests focus on the economics of science, including the transfer of knowledge in the economy, the geographic dimension of innovation, and the education and careers of scientists. Recent research has examined the importance of the local knowledge infrastructure to small-firm innovation, patent activity in academe, the location decision of foreign-born doctorate recipients, industrial placements of new Ph.D.s, and patterns of research collaboration. Other research has focused on the impact of immigration on scientific labor markets; women and minorities in the sciences; and educational training and labor market outcomes in the emerging field of bioinformatics. Black is also knowledgeable about the Small Business Innovation Research Program, the largest federal R&D program targeting small high-tech businesses. Black received a B.S. and M.A. in economics from the University of Missouri, St. Louis, and a Ph.D. in economics from Georgia State University. He has taught economics at the University of Missouri-St. Louis and Georgia State University, and was a visiting scholar at the University of Pretoria, South Africa, in spring 2002. His collaborative 73

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work on foreign-born Ph.D. recipients has received considerable media attention. He is the author of The Geography of Small Firm Innovation forthcoming from Kluwer Academic Publishers (2003). Pete Cahill Peter J. Cahill is a Senior Principal Analyst and Program Manager at BRTRC, Inc. In this position he has performed extensive analysis of and provided support to the Small Business Innovation Research Program (SBIR). Following an in-depth survey and series of interviews of Department of Defense (DoD) agencies and SBIR awardees, he conducted a two-year survey and interview study of the entire federal SBIR program for the Small Business Administration (SBA). He developed and implemented a web-based system to measure past commercialization performance of SBIR firms as a part of the award evaluation process for DoD SBIR proposals. He conducted the survey and provided database support as a member of the research team that conducted the NRC study of the DoD SBIR Fast Track Initiative. Other recent projects have included research and analysis of a number of military systems, including bridging, mine clearing, and battle simulation models. Prior to joining BRTRC, Inc. in 1993, Mr. Cahill’s U.S. Army assignments included professor of management engineering at the U.S. Military Academy at West Point, Deputy Commander of the U.S. Army Research Laboratory, and command and staff positions in construction, research, development, and engineering. Robert Carpenter University of Maryland, Baltimore County Julie Ann Elston Julie Ann Elston is a professor of economics in the College of Business Administration (CBA) at the University of Central Florida. She is currently teaching in the graduate and undergraduate programs on comparative markets and institutions, macroeconomics, and quantitative methods. Dr. Elston is a regular contributor to the field small firm studies, serving as Review Editor of Small Business Economics since 1998. She has worked as a consultant to a number of international governmental agencies firms including: National Oceanic and Atmospheric Administration (NOAA), Organization for Economic Cooperation and Development (OECD), the Deutsche Bundesbank (German Central Bank), and the National Academies of Science. Dr. Elston graduated from the University of Washington’s Department of Economics in June 1992. From 1992-1996 she was a Research Fellow at the Wissenschaftszentrum Berlin (WZB) in Germany. In 1995-1996 she was invited as a Visiting Scholar to the Hoover Institution, Stanford University, where she participated in the Comparative Institutional Analysis program sponsored by the Economics Department and the School of Business. 1996-97 she taught at the California Institute of Technology and has been on the economics faculty here at UCF since 1998. In 2001 Dr. Elston was selected as a Policy Fellow in the Robert Bosch Foundation Scholars Program in Comparative Public Policy and Institutions at the American Institute for Contemporary German Policy. David H. Finifter David H. Finifter is Dean of Research and Graduate Studies in Arts and Sciences and Professor of Economics and Public Policy at The College of William and Mary. He served as founding director of The Thomas Jefferson Program in Public Policy at William and Mary, a position he held from 1987 to 2000. He was also founding director of the Program’s Center for Public Policy Research. His teaching and scholarly interests include the economics of higher education and public policy, human resource economics, science and technology policy, evaluation and benefit/cost analysis, labor economics, public health service delivery and finance, and microeconomics and econometrics applied to public policy analysis. Dr. Finifter has been on the faculty at The College of William and Mary since completing his Ph.D. in economics from the University of Pittsburgh. He also holds a B.S. degree from Loyola College of Maryland and an M.A. degree in economics from the University of Pittsburgh. 74

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Dr. Finifter has published several articles and reports in the area of evaluation of human resources and public policy on issues including federally subsidized employment and training programs, and veterans' job training programs. He has also published research on workplace literacy and productivity. He has co-edited two books on higher education and public policy and a special edition of the Quarterly Review of Economics and Business on health care policy. He has served as a consultant to several federal government agencies, including the U.S. Department of Labor, the Veterans Administration, NASA, Sandia National Laboratories, and the Environmental Protection Agency. During 1978-79, he served as a Staff Associate in Employment Policy at the Brookings Institution and the U.S. Department of Labor. During the summer of 1995, he served as a faculty summer fellow, American Society for Engineering Education (ASEE) at NASA-Langley Research Center, and worked on technology transfer policy and performance measurement/metrics. Dr. Finifter’s research over the past few years has emphasized work in collaboration with Dr. Robert B. Archibald on the Small Business Innovation Research (SBIR) Program. They evaluated the SBIR Program at NASA-Langley Research Center and for the U.S. Department of Defense as part of the National Academy of Sciences team working on the SBIR Fast Track Program. Dr. Finifter also has a research interest in the future of graduate and professional education and the linkages to research funding. Michael Fogarty University of Portland Robin Gaster Dr. Robin Gaster has been president of North Atlantic Research Inc (a Washington-based consulting firm) since 1991. Before that he was a fellow at the Congressional Office of technology assessment, worked at the IMF, and was an associate professor at the University of Virginia. Dr. Gaster has authored many reports and publications covering a wide arrange of topics broadly related to technology, trade, and e-commerce. His work has been published in Foreign Policy and The Atlantic, and his consulting clients include the European Commission, Deloitte and Touche, the Economist Intelligence Unit, the National Academy of Sciences, and the Electric Power Research Institute, as well as many corporate clients such as Philips, Olivetti, Mitsubishi Research, and Dataquest. In addition, Dr. Gaster has founded several companies, covering local and online information services. He received a Ph.D. from U.C. Berkeley and a B.A. from Oxford University in the U.K. Rosalie Ruegg Rosalie Ruegg, managing director of TIA Consulting, Inc., specializes in the economic assessment of new technologies. Recent accomplishments include development of an evaluation toolkit for public R&D investments; a composite performance rating system for project and program portfolio analysis; a case-study guide for science managers; and a benchmarking report comparing evaluation practices in five science and technology programs in the U.S., and programs in Canada, Israel, and Finland. Clients include government agencies in the U.S. and abroad, universities, companies, and non-profit institutions. Ruegg’s prior positions include director of the Advanced Technology Program’s Economic Assessment Office, senior economist in NIST’s Center for Applied Mathematics, and financial economist for the Federal Reserve System’s Board of Governors. She has more than 60 publications, including an economics textbook; has served on editorial boards, most recently as economics editor of Macmillan’s Encyclopedia of Energy; and has served on advisory and steering committees, such Harvard University’s advisory committee for a study of technical risk management, and the Department of Energy’s steering committee for benefits estimation. A former member of the Federal Senior Executive Service, Ruegg received both the Department of Commerce’s Gold and Silver Medal Awards, and also the Institute of Industrial Engineers’ 2001 Wellington Award for contributions to the field of engineering economics. Mrs. Ruegg’s degrees in economics are from the Universities of North Carolina (B.A., Phi Beta Kappa, cum laude) and Maryland (M.A., Woodrow Wilson Fellow), and she holds an M.B.A. (specialty in finance) from The American 75

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University. She received extensive executive training from The Federal Executive Institute, Georgetown University, and Harvard University. Donald Siegel Donald Siegel is Professor of Economics and Chair of the Department of Economics at Rensselaer Polytechnic Institute. He received his bachelor's, master's, and doctoral degrees from Columbia University. After receiving his Ph.D., he was a Alfred P. Sloan Foundation post-doctoral fellow at the National Bureau of Economic Research, under the supervision of Ernie Berndt at MIT and the late Zvi Griliches at Harvard. He then served as an assistant professor at SUNY-Stony Brook, a full professor at Arizona State University, and held a chair in industrial economics at the University of Nottingham in the U.K. He has also been a faculty research fellow of the NBER and an ASA/NSF Senior Research Fellow at the U.S. Bureau of Labor Statistics. Professor Siegel is editor of the Journal of Technology Transfer, an international journal devoted to the managerial and policy implications of technology transfer. He is also an associate editor of the Journal of Productivity Analysis and recently co-edited a special issue of Small Business Economics on "Policies to Promote Innovation and Entrepreneurship in a Knowledge-Based Economy: Evidence from the U.S. and U.K." In 2003-2004, he will be co- editing special issues of the International Journal of Industrial Organization on the “Economics of Intellectual Property at Universities", Structural Change and Economic Dynamics on the “Economics of Corporate Social Responsibility," and the Journal of Business Venturing on "Science Parks and Incubators." Dr. Siegel’s research interests are the economics of technological change, productivity analysis, and corporate social responsibility. His papers have appeared in such leading journals as the American Economic Review, Economic Journal, Review of Economics and Statistics, Journal of Law and Economics, Journal of Financial Economics, Brookings Papers on Economic Activity, Research Policy, Academy of Management Review, Academy of Management Journal, Strategic Management Journal, IEEE Transactions on Engineering Management, and the Journal of Management. He has also authored or co-authored three books, Skill-Biased Technological Change: Evidence from a Firm-Level Survey, The Economics of Science and Technology: An Overview of Recent Initiatives to Foster Innovation, Entrepreneurship, and Economic Growth, and Technological Change and Economic Performance. Professor Siegel has received grants from the Alfred P. Sloan Foundation, NSF, W. E. Upjohn Institute for Employment Research, the U.S. Department of Labor, and the Samuel Neaman Institute for Advanced Studies in Science and Technology at the Technion-Israel Institute of Technology. He has also served as a consultant to the United Nations, the National Research Council, the United Nations, Her Majesty's Customs and Excise, Chase Manhattan, the Securities Industry Association, Morgan Stanley, Goldman Sachs & Co, Deloitte and Touche, and the National Association of Manufacturers. Paula E. Stephan Paula Stephan is Professor of Economics, Andrew Young School of Policy Studies, Georgia State University. Her research interests focus on the careers of scientists and engineers and the process by which knowledge moves across institutional boundaries in the economy. Stephan's research has been supported by the Alfred P. Sloan Foundation, the Andrew Mellon Foundation, the Exxon Education Foundation, the National Science Foundation, the North Atlantic Treaty Organization and the U.S. Department of Labor. She has served on several National Research Council committees including the committee on Dimensions, Causes, and Implications of Recent Trends in the Careers of Life Scientists, Committee on Methods of Forecasting Demand and Supply of Doctoral Scientists and Engineers, and the Committee to Assess the Portfolio of the Science Resources Studies Division of NSF. She is a regular participant in the National Bureau of Economic Research's meetings in Higher Education and has testified before the U.S. House Subcommittee on Basic Science. She currently is serving a three-year term as a member of CEOSE, the National Science Foundation's Committee on Equal Opportunity in Science and Engineering and is a member of the SBE Advisory Committee, National Science Foundation. Dr. Stephan graduated from Grinnell College (Phi Beta Kappa) with a B.A. in Economics and earned both her M.A. and Ph.D. in Economics from the University of Michigan. She has published numerous articles in journals such as The American Economic Review, Science, The Journal of Economic Literature, Economic Inquiry and Social Studies of Science. Stephan coauthored with Sharon Levin Striking the Mother Lode in Science, published by Oxford University Press, 1992. The book was reviewed in Science, Chemical and Engineering News, Journal of Economic Literature, The Southern Economic Journal and The Journal of Higher Education. Her research on the careers of scientists has been 76

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the focus of articles in The Economist, Science and The Scientist. Stephan is a frequent presenter at meetings such as The American Economic Association, the American Association for the Advancement of Science, and the Society for the Social Studies of Science. Stephan reviews regularly for the National Science Foundation and a number of academic journals including The American Economic Review, The American Sociological Review, Economic Inquiry, The Journal of Political Economy, and The Journal of Human Resources. Dr. Stephan has lectured extensively in Europe. She was a visiting scholar at the Wissenschaftszentrum Berlin für Sozialforschung, Berlin, Germany, intermittently during the period 1992-1995. Nicholas Vonortas Nick Vonortas is the director of the Center for International Science and Technology Policy and of the Science, Technology and Public Policy graduate program of George Washington University’s Elliott School of International Affairs. He is also an Associate Professor at the Department of Economics. He holds a Ph.D. in Economics from New York University, an M.A. in Economic Development from Leicester University (U.K.), and a B.A. in Economics from the University of Athens. Professor Vonortas’ teaching and research interests are in industrial organization, the economics of technological change, and science and technology policy. He is currently working on several research topics including technology licensing agreements, strategic partnerships, innovation networks, intellectual property rights protection mechanisms in research collaborations, R&D program evaluation, and the knowledge based economy. Charles Wessner Dr. Charles (Chuck) Wessner is recognized as a national and international expert on public private partnerships, early stage financing for new firms, and the special needs and benefits of high technology industry. He regularly testifies to the U.S. Congress and major national commissions, acts as an advisor to agencies of the Executive Branch of the U.S. Government, and lectures at major universities in the U.S and abroad. He is frequently asked to address policy issues of shared international interest with foreign governments, universities, and research institutes. In this capacity, he serves as an advisor to the 30-nation OECD Committee on Science and Technology Policy. Dr. Wessner’s work focuses on the linkages between science-based economic growth, new technology development, university-industry clusters, regional development, and small firm finance. He has also addressed policy issues associated with international technology cooperation and investment as well as trade in high technology industries. Dr. Wessner’s work at the National Academies has included a study for the White House on U.S. aerospace competitiveness and a major cooperative review of international competition and cooperation in high-technology industry. Currently, he directs a portfolio of activities centered on government measures to support the development of new technologies and the policies that may be required to continue the productivity gains characteristic of the New Economy. Specifically, the Academy leadership has given him responsibility for three high-profile studies. A major study, now in its concluding phase, is the first program-based review of Public-Private Partnerships, carried out under the direction of Gordon Moore, Chairman Emeritus of Intel and Bill Spencer, Chairman Emeritus of SEMATECH. The second area of work focuses on the New Economy. The Chairman of the NRC Board on Science, Technology, and Economy Policy, Dale Jorgenson of Harvard University, has charged him with a major research program focused on Measuring and Sustaining the New Economy. In addition, the successful review of the Small Business Innovation Research Program at the Department of Defense led the Congress to task the NRC with a major study, to be led by Dr. Wessner, of this $1.2 billion R&D program at the five agencies responsible for 96 percent of the program’s expenditures. A better understanding of early stage finance for new firms, a key phase in the U.S. innovation system, should improve our ability to capitalize on the nation’s substantial R&D investment. Dr. Wessner holds degrees in International Affairs from Lafayette College (Phi Beta Kappa) and the Fletcher School of Law and Diplomacy where he obtained an M.A., an M.A.L.D. and a Ph.D. as a Shell Fellow. He began his career in the Office of the Secretary at the Department of the Treasury, joined the OECD to work on economic development issues, served in the Diplomatic Corps, and directed the Office of International Technology Policy in the Department of Commerce. 77