Appendix E
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Appendix E Bibliography Acs, Z., and D. Audretsch. 1988. “Innovation in Large and Small Firms: An Empirical Analysis.” The American Economic Reiew. 78(4):678-690. Acs, Z., and D. Audretsch. 1990. Innoation and Small Firms. Cambridge, MA: MIT Press. Advanced Technology Program. 2001. Performance of 0 Completed ATP Projects, Status Report . 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: Harvard Business School Press. American Association for the Advancement of Science. “R&D Funding Update on NSF in the FY2007.” Available online at: . American Heart Association. “Heart Attack and Angina Statistics.” Available online at: . American Psychological Association. 2002. “Criteria for Evaluating Treatment Guidelines.” Ameri- can 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 Innoation Research Program: An Assessment of the Department of Defense Fast Track Initiatie. Charles W. Wessner, ed. Washington, DC: Na- tional Academy Press. Arrow, Kenneth. 1962. “Economic welfare and the allocation of resources for Invention.” Pp. 609- 625 in The Rate and Direction of Inentie Actiity: 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. Innoation and Industry Eolution. 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 Reiew 86(3):630-640. 

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 APPENDIX E National Research Council. 1991. Mathematical Sciences, Technology, and Economic Competitie- ness. James G. Glimm, ed. Washington, DC: National Academy Press. National Research Council. 1992. The Goernment Role in Ciilian 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. Reiew 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 Adanced Technology Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999. Funding a Reolution: Goernment Support for Computing Re- search. Washington, DC: National Academy Press. National Research Council. 1999. Industry-Laboratory Partnerships: A Reiew of the Sandia Science and Technology Park Initiatie. 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 Innoation Research Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000. The Small Business Innoation Research Program: An Asssessment of the Department of Defense Fast Track Initiatie. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000. U.S. Industry in 000: Studies in Competitie Performance. Wash- ington, DC: National Academy Press. National Research Council. 2001. A Reiew of the New Initiaties at the NASA Ames Research Center. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001. The Adanced 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: Goernment- Industry Partnerships in Biotechnology and Information Technologies. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001. A Reiew of the New Initiaties 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. Goernment-Industry Partnerships for the Deelopment 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: The National Academies 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 Innoation Research Pro- gram—Project Methodology. Washington, DC: The National Academies Press.

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 APPENDIX E 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. Productiity 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 Innoation Research Program: Program Di- ersity 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. 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 Eoling Policies. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2007. India’s Changing Innoation System: Achieements, Challenges, and Opportunities for Cooperation. Charles W. Wessner and Sujai J. Shivakumar, eds. Wash- ington, DC: The National Academies Press. National Research Council. 2007. Innoation Policies for the st Century. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2007. Enhancing Productiity 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. 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. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Science Board. 2005. Science and Engineering Indicators 00. Arlington, VA: National Science Foundation. National Science Board. 2006. Science and Engineering Indicators 00. Arlington, VA: National Science Foundation. National Science Foundation. Committee of Visitors Reports and Annual Updates. Available online at: . National Science Foundation. Emerging Technologies. Available online at: . National Science Foundation. Guidance for Reviewers. Available online at: . National Science Foundation. National Science Foundation at a Glance. Available online at: . National Science Foundation. National Science Foundation Manual 14, NSF Conflicts of Interest and Standards of Ethical Conduct. Available online at: . National Science Foundation. The Phase IIB Option. Available online at: . National Science Foundation. Proposal and Grant Manual. Available online at: . National Science Foundation. 2004. Women, Minorities, and Persons with Disabilities in Science and Engineering. Table 15. Arlington, VA: National Science Foundation. May.

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 APPENDIX E 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. Puget Sound Business Journal. 2000. “Phillips to Acquire Optiva Corp.” August 22. Available online at: Roberts, Edward B. 1968. “Entrepreneurship and technology.” Research Management (July): 249-266. Roberts, E. 1991. Entrepreneurs in High Technology: Lessons from MIT and Beyond. Oxford, U.K.: Oxford University Press. Romer, P. 1990. “Endogenous technological change.” Journal of Political Economy 98:71-102. Rosa, P. and A. Dawson. 2006. “Gender and the commercialization of university science: academic founders of spinout companies.” Entrepreneurship & Regional Deelopment. 18(4):341-366. Rosenbloom, R. and W. Spencer. 1996. Engines of Innoation: U.S. Industrial Research at the End of an Era. Boston: Harvard Business School Press. Rubenstein, A. H. 1958. Problems Financing New Research-Based Enterprises in New England. Boston, MA: Federal Reserve Bank. Ruegg, Rosalie. 2001. “Taking a Step Back: An Early Results Overview of Fifty ATP Awards.” In National Research Council. The Adanced Technology Program: Assessing Outcomes. Charles W. Wessner, ed. Washington, DC: National Academy Press. Ruegg, Rosalie, and Irwin Feller. 2003. A Toolkit for Ealuating Public R&D Inestment 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 Ad- anced Energy Storage to Hybrid Electric Vehicles, Plug-in Hybrid Electric Vehicles, and Elec- tric Vehicles. 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. Salomo, S., R. Leifer, and H. G. Gemünden, eds. 2007. “Research on Corporate Radical Innovation Systems-A Dynamic Capabilities Perspective.” Journal of Engineering and Technology Man- agement, 24(1-2):1-166. Saxenian, Annalee. 1994. Regional Adantage: Culture and Competition in Silicon Valley and Route . Cambridge, MA: Harvard University Press. SBIR World. SBIR World: A World of Opportunities. Available online at: . Scarpa, Toni. 2006. “Research Funding: Peer Review at NIH.” Science. 311(5757):41. January 6. 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. Innoation and Incenties. Cambridge MA: The MIT Press. Scott, John T. 1998. “Financing and Leveraging PublicPrivate Partnerships: The Hurdle-lowering Auction.” STI Reiew 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 Eidence: Criteria for Efficacy, Effectieness and Dissemination. Avilable online at: . Sohl, Jeffrey. 1999. Venture Capital 1(2). Sohl, J., J. Freear, and W.E. Wetzel Jr. 2002. “Angles on Angels: Financing Technology-Based Ven- tures—A Historical Perspective.” Venture Capital: An International Journal of Entrepreneurial Finance 4 (4). Solow, R. S. 1957. “Technical Change and the Aggregate Production Function.” Reiew of Economics and Statistics 39:312-320.

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 APPENDIX E Stiglitz, J. E., and A. Weiss. 1981. “Credit Rationing in Markets with Incomplete Information.” American Economic Reiew 71:393-409. Stokes, D.E. 1997. Pasteur’s Quadrant: Basic Science and Technological Innoation. Washington, DC: Brookings Institution Press. 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 st Century. Cheltenham UK: Edward Elgar Press. Tirman, John. 1984. The Militarization of High Technology. Cambridge, MA: Ballinger. Turner, J., and G. Brown. 1999. “The Federal Role in Small Business Research.” Issues in Science and Technology. 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 00. Avail- able online at: U.S. Census Bureau. 2007. “Table 130: Consumer Price Indexes of Medical Care Prices: 1980 to 2005.” In Statistical Abstract of the United States. Washington, DC: U.S. Census Bureau. U.S. Congress. House Committee on Science, Space, and Technology. 1992. SBIR and Commercial- ization: Hearing Before the Subcommittee on Technology and Competitieness of the House Committee on Science, Space, and Technology, on the Small Business Innoation 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: . U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Environ- ment, Technology, and Standards. 2005. Hearing on “Small Business Innovation Research: What is the Optimal Role of Venture Capital.” Hearing Charter. June 28. U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Environ- ment, Technology, and Standards. 2005. Hearing on “Small Business Innovation Research: What is the Optimal Role of Venture Capital.” Testimony by Frederic Abramson. June 28. U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Environ- ment, Technology, and Standards. 2005. Hearing on “Small Business Innovation Research: What is the Optimal Role of Venture Capital.” Testimony by Jonathan Cohen. June 28. U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Environ- ment, Technology, and Standards. 2005. Hearing on “Small Business Innovation Research: What is the Optimal Role of Venture Capital.” Testimony by Ron Cohen. June 28. U.S. Congress. House Committee on Science, Space, and Technology. Subcommittee on Environ- ment, Technology, and Standards. 2005. Hearing on “Small Business Innovation Research: What is the Optimal Role of Venture Capital.” Testimony by Carol Nacy. June 28. 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. U.S. Congress. House Committee on Small Business. Subcommittee on Workforce, Empowerment, and Government Programs. 2005. The Small Business Innoation Research Program: Opening Doors to New Technology. Testimony by Joseph Hennessey. 109th Cong., 1st sess., November 8.

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7 APPENDIX E U.S. Congress. Senate Committee on Small Business. 1981. Senate Report 97-194. Small Business Research Act of . September 25. Washington, DC: U.S. Government Printing Office. U.S. Congress. Senate Committee on Small Business. 1999. Senate Report 106-330. Small Business Innoation 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 Innoation Research Programs. Testimony by Thomas Bigger. 109th Cong., 2nd sess., July 12. U.S. Congress. Senate Committee on Small Business. 2006. Strengthening the Participation of Small Businesses in Federal Contracting and Innoation 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. Court of Appeals for the Federal Circuit. 2006. Night Vision Corp. . The United States of America. No. 06-5048. November 22. U.S. Court of Federal Claims. 2005. Night Vision Corp. . The United States of America. No. 03- 1214C. 25 May. U.S. Department of Defense, Under Secretary for Acquisition, Technology, and Logistics. 2004. In- terim Defense Acquisition Guidebook. Available online at: . U.S. Department of Education. 2005. “Scientifically-Based Evaluation Methods: Notice of Final Priority.” Federal Register. 70(15):3586-3589. January 25. 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 Initiatie. Available online at: U.S. General Accounting Office. 1987. Federal research: Small Business Innovation Research partici- pants give program high marks. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1989. Federal Research: Assessment of Small Business Innoation Research Program. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1992. Small Business Innoation Research Program 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 Innoation Research Program. RCED-97-122, Washington, DC: U.S. General Accounting Office. U. S. General Accounting Office. 1998. Federal Research: Obserations on the Small Business Inno- ation Research Program. RCED-98-132. Washington, DC: U.S. General Accounting Office. U.S. General Accounting Office. 1999. Federal Research: Ealuations of Small Business Innoation Research Can Be Strengthened. RCED-99-198, Washington, DC: U.S. General Accounting Office. U.S. Government Accountability Office. 2005. Defense Technology Deelopment: Management Pro- cess Can Be Strengthened for New Technology Transition Programs. GAO-05-480. Washington, DC: U.S. Government Accountability Office. June. U.S. Government Accountability Office. 2006. Small Business Innoation Research: Agencies Need to Strengthen Efforts to Improe 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 Innoation Research: Information on Awards made by NIH and DoD in Fiscal years 00-00. GAO-06-565. Washington, DC: U.S. Government Accountability Office. 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 Innoation Deelopment Act: Tenth-Year Results. Washington, DC: U.S. Government Printing Office (and earlier years).

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