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VI

ANNEX



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Page 135 VI ANNEX

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Page 136

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Page 137 Annex A Ames White Paper on the Research Park NASA has a bold new vision for the 21st century to partner with local communities, government, academia, private industry, and non-profit organizations. The goal is to establish a world-class, shared-use education and R&D campus featuring partnerships in astrobiology, information technology, aerospace, education, and commercialization. “Not from NASA alone, not from Silicon Valley industry alone, and not from world-class universities alone will tomorrow's required innovations emerge. This will come from all of us working together and making the most of the special attributes each of us brings to the table. That is what we will do at Ames.” —Daniel S. Goldin, Administrator, NASA This is NASA's vision for a bold new way of doing business at Ames. This vision includes goals for collaboration, business incubation, and education. NASA Research Park is one component of the 2,000-acre Ames Research Center. The Research Park site was transferred to NASA in 1994 from the Navy as a result of the Base Realignment and Closure Act. With its prime Silicon Valley location, prominent architecture, and availability of land, NASA Research Park will be an ideal place where NASA, its collaborative partners, and the public can come together to expand human understanding of the origins of life on Earth, promote advances in aerospace and aviation technology, and understand advances in technology though public displays, interactive exhibits, lectures, and school programs. NASA plans to create a unique community of research scientists, students,

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Page 138 and educators with a shared mission to advance human knowledge of space, the Earth, and society. A lively and vibrant community will attract industry. To support this community, NASA, directly or through its collaborative partners, will offer support services and programs such as child care, housing, retail goods, business support services, meeting spaces, overnight accommodations, and recreational opportunities. In addition, NASA will provide critical public safety services and other services typically furnished by municipal government. In partnership with academia and industry, NASA will promote entrepreneurship and innovation at NASA Ames Research Park. By taking advantage of its proximity to leading entrepreneurs and heads of innovative organizations, NASA and its partners can support the development of business incubators focused on the high-technology and bio-technology industries. Linkages can be formed with business education programs to provide forums, seminars, executive lecture series, and other venues to facilitate the exchange of information and experience to solve real-world business problems related to technology innovation, technology commercialization, and technology management. NASA seeks partners who are compatible with NASA's mission at Ames Research Center, possess the financial capacity and experience to implement their proposed occupancy, and accept NASA's minimum business terms. Prospective collaborative partners will be evaluated based on established criteria. Primary factors of importance are the degree of collaboration in support of NASA's and Ames' mission, the degree of educational and learning programs supporting NASA's mission, and partnerships fostering business incubation and technology transfer. The activities of Ames Research Center are governed by the National Aeronautics and Space Act of 1958 (42 U.S.C. § 2451 et set.) as well as other applicable laws. NASA has several available authorities under which partners can use and occupy buildings. Reuse of the buildings and new construction at NASA Research Park must be for purposes that are consistent with the National Aeronautics and Space Act. The Space Act has several provisions relating to agreements, including concession contracts, leases, cooperative agreements, and permits. NASA has authority to use a “Reimbursable Space Act Agreement” for certain building occupancy transactions involving non-federal entities. Reimbursable Space Act Agreements are based on cost recovery from on-site parties engaged in research relating to NASA's mission. NASA also utilizes the leasing authority granted to federal agencies under the National Historic Preservation Act of 1966 to enter into “historic leases” for specific buildings. NASA's management and governance responsibilities include providing overall management of NASA facilities and NASA Research Park; ensuring compliance with the Space Act and all other applicable federal laws, regulations, and NASA policies; establishing programmatic guidelines and goals and communicating these to existing and prospective partners; monitoring adherence to the development plan and approving any modifications to or amendments of the

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Page 139 plan; providing technical assistance, particularly in science education, research program development and program management to existing and prospective partners; identifying and managing improvements to facilities and infrastructure; adopting and applying design and construction guidelines for historic and non-historic properties; and monitoring rehabilitation and construction activities of on-site partners. NASA's primary financial goal for the NASA Research Park is to leverage existing federal appropriations to support the maximum level of research and development, education programming, and learning opportunities possible. To accomplish this goal, NASA seeks to obtain cost reimbursement from NASA partners, charge appropriate rent for historic properties in NASA Research Park to ensure the integrity of the historic district, and generate new funds for collaborative scientific research from new construction within NASA Research Park. A Master Plan for the physical lay-out and characteristics has been completed and a financial feasibility analysis has been performed on the concept. The concept includes retention and enhancement of the existing historic district, construction of a new Astrobiology Laboratory, development of the California Air and Space Center in Hangar 1, construction of a Computer History Museum, incorporation of the California Center for Business of the Future, establishment of one or more university campuses, protection and expansion of natural and specie habitat, utilization of a new light rail station, and total build-out of approximately three million square feet of office, laboratory, retail, and institutional space.

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Page 141 Annex B Biographies of Contributors David B. Audretsch David B. Audretsch is the Ameritech Chair of Economic Development and 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, which is a government-funded, research think tank between 1984 and 1997. Between 1989 and 1991 he served as Acting Director of the Institute. In 1991 he became the Research Professor. 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, Commission of the European Union, the European Parliament, the OECD, as well as 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, 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 twenty-five books, including Innovation and Industry Evolution, with MIT Press. He is founder and editor of the

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Page 142 premier journal on small business and economic development, Small Business Economics: An International Journal. He was awarded the 2001 International Award for Entrepreneurship and Small Business Research by the Swedish Foundation for Small Business Research. Michael I. Luger Michael Luger is a professor of public policy analysis, planning, and business at the University of North Carolina at Chapel Hill (UNC-CH). He is the founding director of the university's Office of Economic Development. He previously was the Carl H. Pegg professor of planning and chairman of the Curriculum in Public Policy Analysis at UNC-CH. He taught previously in the economics departments at Duke University and has been a visiting faculty member at the University of Maryland and Wirtschaftsuniversitat Wien. Dr. Luger's research is on topics in economic development, science and technology policy, infrastructure finance, and urban and regional economics. His most recent book, published in December 2000 by Rutgers University Press, is Red Tape and the Cost of New Residential Development. He is the guest editor of a forthcoming issue of the Journal of Comparative Policy Analysis, on information technology and regional development. He has written widely about the role of science parks and universities in economic policy, including the book, Technology in the Garden: Research Parks and Regional Economic Development. He has served as a consultant and advisor on science parks and other S&T development strategies to the EU, UNIDO, OECD, the World Bank, USAID, the governments of Japan, Korea, Thailand, Palestine, China, and others. Professor Luger received his Ph.D. in economics and an M.C.P. (planning) from the University of California, Berkeley, and an M.P.A. (public and international affairs) and A.B. (architecture and planning) from Princeton University.

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Page 143 Annex C Participants List * * Speakers are italicized Duane Adams Carnegie Mellon University James Arnold NASA Ames Research Center David B. Audretsch Indiana University William Ballhaus Lockheed Martin Kathy Behrens Robertson Stephens Investment Management Jan Behrsin University of California Thomas Berndt NASA Ames Research Center William Berry NASA Ames Research Center Nancy Bingham NASA Ames Research Center Carolina Blake NASA Ames Research Center John Boyd NASA Ames Research Center Lewis Braxton NASA Ames Research Center Robert Caret San Jose State University McAlister Clabaugh National Research Council Jana Coleman NASA Ames Research Center

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Page 144 Elizabeth Downing 3D Technology Laboratories Maylene Duenas NASA Ames Research Center Leroy Fletcher NASA Ames Research Center William Foster Invisible Studios Lori Garver NASA Headquarters James Gill University of California at Santa Cruz M.R.C. Greenwood University of California at Santa Cruz Anthony Gross NASA Ames Research Center Susan Hackwood California Council on Science and Technology Warren Hall NASA Ames Research Center Robert Hansen NASA Ames Research Center Marla Harrison NASA Ames Research Center Diana Hoyt NASA Headquarters Cliff Imprescia NASA Ames Research Center Robin Kennedy NASA Ames Research Center George Kidwell NASA Ames Research Center Stephanie Langhoff NASA Ames Research Center Vic Lebacz NASA Ames Research Center Zoe Lofgren U.S. House of Representatives Gilman G. Louie In-Q-Tel Michael I. Luger University of North Carolina Patrick Mantey University of California at Santa Cruz Michael Marlaire NASA Ames Research Center Connie Martinez University of California at Santa Cruz Sally Maudlin NASA Ames Research Center Henry McDonald NASA Ames Research Center Burton McMurtry Technology Venture Investors

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Page 145 Meredith Michaels University of California at Santa Cruz James Morris Carnegie Mellon University Thomas Moyles NASA Ames Research Center Mark Myers Xerox Corporation Robert Norwood NASA Headquarters Edward Penhoet University of California at Berkeley and Chiron Corporation Robert Rosen NASA Ames Research Center Allison Rosenberg University of California Ken Souza NASA Ames Research Center James Turner House Science Committee Thomas Vani University of California at Santa Cruz Samuel Venneri (via videoconference) NASA Headquarters Mark Weiss Xerox Corporation Charles Wessner National Research Council Robert Wilson University of Texas at Austin Patrick Windham Stanford University and Windham Consulting Steve Zornetzer NASA Ames Research Center

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Page 147 Annex D Bibliography * * Includes selected references from the papers as well as a variety of references of general interest. Alic, John. 1992. Beyond Spinoff: Military and Commercial Technologies in a Changing World. Boston: Harvard Business School Press. Allen, David N., and David J. Hayward. 1990. “The Role of New Venture Formation/Entrepreneurship in Regional Economic Development.” Economic Development Quarterly 4(1): 55-63. Allesch, J., and H. Fieldler, eds. 1985. Management of Science Parks and Innovation Centers. Berlin. Ambrose, Stephen. 2000. Nothing Like It In the World: The Men Who Built the Transcontinental Railroad, 1863-1869. New York: Simon & Schuster. Association of University Related Research Parks. 1997. (www.aurrp.org). Audretsch, David B., and Roy Thurik. 1999. Innovation, Industry Evolution, and Employment. Cambridge: Cambridge University Press. BankBoston Economics Department. 1997. MIT: The Impact of Innovation. Boston: BankBoston Economics Department. Barro, Robert J. 1990. Macroeconomic Policy. Cambridge, Massachusetts: Harvard University Press. Berglund, Dan, and Chris Coburn. 1995. Partnerships. Columbus, Ohio: Batelle Press. Berry, Brian J. L. 1973. Growth Centers in the American Urban System. Cambridge, MA: Ballinger. Branscomb, Lewis. 1999. “The False Dichotomy: Scientific Creativity and Utility.” Issues in Science and Technology. 16(1). Branscomb, Lewis. 2000. Taking Technical Risks: How Innovators, Managers, and Investors Manage Risks in High-Tech Innovations. Cambridge, MA: MIT Press. Branscomb, Lewis M., and James H. Keller, eds. 1998. Investing in Innovation: Creating a Research and Innovation Policy . Cambridge, MA: MIT Press. Braun, Bradley M. 1992. “Science Parks as Economic Development Policy: A Case Study Approach.” Economic Development Quarterly 6(2): 135-147. Brown, Wayne S. 1987. “Locally-Grown High Technology Business Development: The Utah Experience,” pp. 177-83 . Entrepreneurship and Technology: World Experiences and Policies. W. Brown and R. Rothwell, eds. Harlow, Essex: Longmans.

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Page 148 Castells, Manuel, and Peter Hall. 1994. Technopoles of the World: The Making of Twenty-First-Century Industrial Complexes. New York: Routledge. Cohen, Linda, and Roger G. Noll, 1991. The Technology Pork Barrel, Washington, D.C.: The Brookings Institution. Cox, R. N. 1985. “Lessons from 30 years of Science Parks in the U.S.A,” pp. 7-25 . Science Parks and Innovation Centers: Their Economic and Social Impact. J.M. Gibb, ed. Amsterdam: Elsevier Science Publications. DeVol, Ross C., et al. 1999. America's High-Tech Economy: Growth, Development, and Risks for Metropolitan Areas. Santa Monica, CA: Milken Institute. Drescher, Denise, April 13, 1998. Research Parks in the United States: A Literature Review. For PLAN 261 Department of City and Regional Planning, UNC-Chapel Hill. ( www.aurrp.org). Durso, Thomas W. 1996. “Home-Grown R&D.” The Scientist 10(14): 1. European Commission, 1995. Research and Technology: The Fourth Framework Programme (1994-1998). Brussels, Belgium. Fallows, James. 1994. Looking at the Sun: The Rise of the New East Asian Economic and Political System. New York: Pantheon Books. Feller, Irwin. 1990. “Universities as Engines of R&D-Based Economic Growth: They Think They Can.” Research Policy 19(4): 335-48. Florax, Raymond, and H. Folmer. 1989 (November). Regional Economic Effects of Universities: The Impact of Knowledge Production on Investments of Industry. Paper presented at the 1989 Meetings of the Regional Science Association. Santa Barbara, CA. Florida, Richard. 1999. “The Role of the University: Leveraging Talent, Not Technology.” Issues in Science and Technology. 16(1). Franco, Michael R. 1985. Key Success Factors for University-Affiliated Research Parks. Ph.D. dissertation. University of Rochester. Garbarine, Rachelle. Nov. 23, 1997. “Newark's Science Park Takes Another Step Forward.” The New York Times. Gibb, J. M., ed. 1985. Science Parks and Innovation Centers: Their Economic and Social Impact. Amsterdam: Elsevier Science Publications. Glasmeier, A. 1987. “Factors Governing the Development of High-Tech Industry Agglomerations: A Tale of Three Cities.” Regional Studies 22(4): 287-301. Glasmeier, A. 1990. The Making of High Tech Regions. Princeton: Princeton University Press. Goldberg, Carey. Oct. 8, 1999. “Across the U.S., Universities Are Fueling High-Tech Economic Booms.” The New York Times. Goldstein, Harvey A., and Michael I. Luger. Spring 1989. “Research Parks: Do They Stimulate Regional Economic Development?” Economic Development Commentary 13: 3-9. Goldstein, Harvey A., and Michael I. Luger. 1990. Universities and Regional Economic Development in the 1990s. Paper presented at the annual conference of the Association for Policy Analysis and Management, San Francisco , October 19, 1990. Grindley, Peter, David Mowery, and Brian Silverman. 1996. “SEMATECH and Collaborative Research: Lessons in the Design of High-Technology Consortia.” Journal of Policy Analysis and Management , 13(4). Ham, R. M. and D. C. Mowery. 1995. “Improving Industry-Government Cooperative R&D.” Issuesin Science and Technology. 11(4). Hamilton, Alexander. 1791. Report on Manufactures. Kenney, Martin, ed. 2000. Understanding Silicon Valley: The Anatomy of an Entrepreneurial Region. Stanford: Stanford University Press. Larson, Charles F. 2000. “The Boom in Industry Research.” In Issues in Science and Technology 16(4). Lebow, Irwin. 1995. Information Highways & Byways: From the Telegraph to the 21st Century. New York: Institute of Electrical and Electronics Engineers.

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Page 149 Levitt, Rachelle, ed., 1987. The University/Real Estate Connection: Research Parks and Other Ventures. Washington, D.C.: Urban Land Institute. Link, Albert N. 1995. A Generosity of Spirit: The Early History of the Research Triangle Park . Durham: Duke University Press. Link, Albert N. and Maryann P. Feldman, eds. 2001. Innovation Policy in the Knowledge-based Economy. Boston: Kluwer Academic Publishers. Luebke, Paul, Stephen Peters, and John Wilson. 1985. “The Political Economy of Microelectronics in North Carolina,” pp. 1310-28. High Hopes for High Tech: The Microelectronics Industry in North Carolina. Dale Whittington, ed. Chapel Hill: University of North Carolina Press. Luger, Michael I. 1987. “The States and Industrial Development: Program Mix and Policy Effectiveness,” pp. 29-64. Perspectives on Local Public Finance and Public Policy. John M. Quigley, ed. Greenwich, CT: JAI Press. Luger, Michael I., and Harvey A. Goldstein. 1991. Technology in the Garden: Research Parks & Regional Economic Development. Chapel Hill: University of North Carolina Press. Luger, Michael, Deog Song Oh, and David Gibson, eds. 1998. Technopolis as Regional Development Policy. World Technolopolis Association. Malecki, E. J. 1991. Technology and Economic Development. New York: John Wiley. Markusen, Ann, Peter Hall, and Amy Glasmeier. 1986. High Tech America: The What, How, Where, and Why of the Sunrise Industries. Boston: Allen and Unwin. Miller, Roger, and Marcel Cote. 1987. Growing the Next Silicon Valley: A Guide for Successful Regional Planning. Toronto: D.C. Heath and Company. Monck, C.S.P., et al. 1988. Science Parks and the Growth of High Technology Firms. London: Croom Helm. Mowery, David C. 1998. “Collaborative R&D: How Effective is It?” Issues in Science and Technology. 15(1). National Research Council. 1986. The Positive Sum Strategy: Harnessing Technology for Economic Growth. Ralph Landau and Nathan Rosenberg, eds. Washington, D.C.: National Academy Press. National Research Council. 1995. Allocating Federal Funds for Science and Technology. Washing-ton, D.C.: National Academy Press. National Research Council. 1996. Conflict and Cooperation in National Competition for High-Technology Industry . Washington, D.C.: National Academy Press. National Research Council. 1996. Improving America's Schools: The Role of Incentives. Eric A. Hanushek and Dale W. Jorgenson, eds. Washington, D.C.: National Academy Press. National Research Council. 1999. The Advanced Technology Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, D.C.: National Academy Press. National Research Council. 1999. Harnessing Science and Technology for America's Economic Future. Washington, D.C.: 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, D.C.: NationalAcademy Press. National Research Council. 1999. The Small Business Innovation Research Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, D.C.: 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. Washing-ton, D.C.: National Academy Press. National Research Council. Forthcoming. The Advanced Technology Program: Assessing Outcomes. Charles W. Wessner, ed. Washington, D.C.: National Academy Press. National Research Council. Forthcoming. Government-Industry Partnerships in Biotechnology and Information Technologies: New Needs and New Opportunities. Charles W. Wessner, ed. Washington, D.C.: National Academy Press.

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Page 150 National Research Council. Forthcoming. Regional and National Programs to Support the Development of the Semiconductor Industry. Charles W. Wessner, ed. Washington, D.C.: National Academy Press. Nelson, Richard R. 1986. “Institutions Supporting Technical Advances in Industry .” American Economic Review, Papers and Proceedings 76(2): 188. Nelson, Richard R., ed. . Government and Technical Progress: A Cross-Industry Analysis. New York: Pergamon Press. Nelson, Richard R. 1998. Technical Advance and Economic Growth. Paper prepared for the NRC Forum on Harnessing Science and Technology for America's Economic Future, Washington, D.C., February. ( www2.nas.edu/harness/21b6.html). Okimoto, Daniel I. 1989. Between MITI and the Market: Japanese Industrial Policy for High Technology. Stanford: Stanford University Press. Porter, Michael E. 1985. Competitive Advantage: Creating and Sustaining Superior Performance. New York: The Free Press, A Division of Macmillan, Inc. Romer, Paul. 1990. “Endogenous technological change.” Journal of Political Economy 98: 71-102. Rosenberg, Nathan, Ralph Landau, and David C. Mowery, eds. 1992. Technology and the Wealth of Nations. Stanford: Stanford University Press. Saxenian, Annalee. 1994. Regional Advantage: Culture and Competition in Silicon Valley and Route 128 . Cambridge, MA: Harvard University Press. Sternberg, Rolf. 1990. “The Impact of Innovation Centres on Small Technology-Based Firms.” Small Business Economics . 2(2): 105-118. Sternberg, Rolf. 1996. “Technology Policies and the Growth of Regions.” Small Business Economics . 8(2): 75-86. Stokes, Donald. 1997. Pasteur's Quadrant: Basic Science and Technological Innovation . Washington, D.C.: Brookings Institute Press. The Services Group. 1999. A Feasibility Study for the Khadouri Technology Development Center . Arlington, VA: U.S. Agency for International Development. U.S. Department of Energy, 1995. Task Force on Alternative Futures for the Department of Energy National Laboratories . Washington, D.C.: U.S. Department of Energy. von Hippel, Eric. 1988. The Sources of Innovation . New York: Oxford University Press.