III
APPENDIXES



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SBIR Program Diversity and Assessment Challenges: Report of a Symposium III APPENDIXES

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium Appendix A: Biographies of Speakers * 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, a government funded research think tank, between 1984 and 1997, serving as its Acting Director from 1989 to 1991. In 1991, he became the 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, 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, 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 *   As of October 2002.

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium 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. 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 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

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium reforms that greatly increased the effectiveness of the program in spawning successful new companies and technologies, according to an independent evaluation by the National Academy of Sciences. 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. ROSCOE G. BARTLETT Roscoe G. Bartlett considers himself a citizen-legislator, not a politician. Prior to his election to Congress, he pursued successful careers as a professor, research scientist and inventor, small business owner, and farmer. Still an active farmer and retired from teaching and building homes, he was first elected in 1992 to represent Maryland’s Sixth District in the United States Congress. He has been reelected to each succeeding Congress, most recently in 2000, and is currently serving his fifth term. In the 107th Congress, Bartlett serves as Chairman of the Energy Subcommittee of the Science Committee. He has also been named to chair the Panel on Morale, Welfare, and Recreation (MWR) of the Armed Services Committee. Due to his extensive work experience, he also serves on the Small Business Committee as its Vice Chairman. In addition to his Energy Subcommittee and MWR Panel chairmanships, Congressman Bartlett serves on several subcommittees and panels as well. Roscoe and his wife Ellen have been married for more than 30 years. They have 10 children and 12 grandchildren. Because of his commitment to philanthropy and the importance of education as a tool for success, Bartlett donates a significant portion of his Congressional salary to scholarships for undergraduate students at the 10 colleges in the district. Bartlett attended Columbia Union College where he majored in theology and biology and minored in chemistry with the intention of becoming a minister. Considered too young for the ministry after receiving his bachelor’s degree at age 21, Bartlett was encouraged to attend graduate school at the University of Mary-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium land at College Park. He studied anatomy, physiology, and zoology earning a Master’s degree in physiology. Bartlett was then hired as a U-MD faculty member and taught anatomy, physiology, and zoology while simultaneously earning a Ph.D. in physiology. Bartlett engaged in research in addition to teaching first as an instructor, and later as an Assistant Professor at Loma Linda University School of Medicine in California. He relocated to Howard University in Washington, D.C. as a professor of physiology and endocrinology at its Medical School. Bartlett left to pursue research full-time first at the National Institutes of Health (NIH) and then at the U.S. Navy’s School of Aviation Medicine (U.S. NAMI) in Pensacola, Florida. While at U.S. NAMI, Bartlett invented a series of break-through respiratory support equipment. He holds the basic patents for rebreathing equipment that recycle the oxygen from exhaled air in closed systems. This technological advance extends oxygen supplies and makes them portable. Bartlett’s inventions are critical components of the equipment that supplies oxygen to astronauts, pilots, and fire/rescue personnel. In 1961, Bartlett returned to Maryland and to farming after purchasing a 145-acre dairy farm on the Monocacy River in Frederick County. While running his farm, he worked at the Johns Hopkins Applied Physics Laboratory (APL) as director of a new 30-member research group in Space Life Sciences. The group designed and conducted a series of pioneering research experiments that contributed to NASA’s successful Apollo missions to land men on the moon and bring them back safely to earth. Dr. Bartlett later joined IBM and worked there on numerous biomedical engineering projects. With IBM’s assistance, he formed his own research and development company, Roscoe Bartlett and Associates. He also taught anatomy and physiology to nursing students at Frederick Community College. His company later diversified into land development and home construction. Over 10 years, his firm built more than 100 homes in Frederick County, many of them solar powered. In 1999, the American Institute of Aeronautics and Astronautics (AIAA) awarded Dr. Bartlett its Jeffries Aerospace Medicine and Life Sciences Research Award. Recognizing the importance of scientific aeronautics and space discoveries to the field of medicine, the award was established in 1940 in honor of Dr. John Jeffries, the American physician who made the earliest recorded scientific observations from the air. The association to recognize outstanding career research accomplishments in aerospace medicine and space life sciences presents it annually. Bartlett continues to raise sheep and goats on his farm and commutes the 50 miles to Washington, D.C. when Congress is in session. WILLIAM B. BONVILLIAN William Bonvillian is the Legislative Director and Chief Counsel to Senator Joseph I. Lieberman (D-CT). Prior to his work on Capitol Hill, he was a partner at both the law firms of Jenner & Block as well as Brown & Roady. Early in his career, he served as the Deputy Assistant Secretary and Director of Congressional Affairs at the Department of Transportation.

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium His recent articles include, “Organizing Science and Technology for Home-land Security,” in Issues in Science and Technology and “Science at a Cross-roads,” published in Technology in Society this past February. His current legislative efforts at Senator Lieberman’s office include science education, homeland research and development, and nanotechnology legislation. Mr. Bonvillian is married to Janis Ann Sposato and has two children. He received his B.A. from Columbia University; his M.A.R. from Yale University; and his J.D. from Columbia Law School where he also served on the Board of Editors for the Columbia Law Review. He is a member of the Connecticut Bar, the District of Columbia Bar, and the U.S. Supreme Court Bar. JOSEPH BORDOGNA Joseph Bordogna is Deputy Director and Chief Operating Officer of the National Science Foundation. Complementing his NSF duties, he is a member of the President’s Management Council, has chaired Committees on Manufacturing, Environmental Technologies, and automotive technologies within the President’s National Science and Technology Council; and was a member of the U.S.-Japan Joint Optoelectronics Project. He received the B.S.E.E. and Ph.D. degrees from the University of Pennsylvania and the S.M. degree from the Massachusetts Institute of Technology. As well as his assignment at NSF, his career includes experience as a line officer in the U.S. Navy, a practicing engineer in industry, and a professor. Prior to appointment at NSF, he served at the University of Pennsylvania as Alfred Fitler Moore Professor of Engineering, Director of The Moore School of Electrical Engineering, Dean of the School of Engineering and Applied Science, and Faculty Master of Stouffer College House, a living-learning student residence at the University. He has made contributions to the engineering profession in a variety of areas including early laser communications systems, electro-optic recording materials, holographic television playback systems, and early space capsule recovery. He was a founder of PRIME (Philadelphia Regional Introduction for Minorities to Engineering) and served on the Board of The Philadelphia Partnership for Education, community coalitions providing, respectively, supportive academic programs for K-12 students and teachers. He is a Fellow of the American Association for the Advancement of Science (AAAS), the American Society for Engineering Education (ASEE), the Institute of Electrical and Electronics Engineers (IEEE), and the International Engineering Consortium. He also served his profession globally as president of the IEEE. MICHAEL BORRUS Michael Borrus is a Managing Director of Petkevich Group, which is 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

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium 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. RICHARD CARROLL Richard Carroll founded Digital System Resources, Inc., a computer hardware and software company specializing in technology critical to national security. The company was formed in 1982, incorporated in 1985, and has grown to 480 people with net revenues for 2001 of over $110 million. Richard Carroll has taken DSR from a fledgling defense-consulting firm into a major military hardware and software provider. DSR is in the top 100 largest prime Department of Defense contractors for Research, Development, Test, and Evaluation, and is a recognized leader in providing state-of-the-art high quality products. DSR, under the leadership of Richard Carroll, has taken on the challenge of introducing a radically new software model to defense systems. DSR’s products and services have been recognized with numerous awards and a continuum of competitive contract awards. DSR’s experience includes the development and production of systems for passive and active sonar, electronic warfare, combat control, and computer-based training and simulation for these systems. DSR has an outstanding record of delivering these systems on time and within budget. Richard Carroll has been called upon on several occasions to testify on the role of small high-tech business in providing innovation. He has become a recognized expert on the potential of small high-tech businesses to provide cost-effective solutions to complex problems. In particular, he has testified on the importance and limitations of the Small Business Innovation Research (SBIR) program in meeting the need for government innovation. 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 since 1989 during her leadership. She is a current member of the Director’s Advisory Committee of the Na-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium tional Centers of 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 of the National Academy of Sciences; 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 worked to develop the material processing capabilities and has 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. In a business climate where IPO mania has often replaced common business sense, 3DTL has methodically used government funding (NIST-ATP, DARPA-BAA, SBIRs) to mitigate technical risk, ensuring that key technical barriers to

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium commercialization could be successfully addressed. As a result, 3DTL is ready to embark on the next round of challenges, namely transition, to begin tailoring, testing, and evaluating crossed-beam volumetric displays for the Department of Defense. 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 the field, and is the author of several innovative scientific publications relating to three-dimensional display, nonlinear optics, non-oxide glasses and their applications. MARYANN FELDMAN Maryann Feldman is currently the Policy Director at the Johns Hopkins University Institute for Information Security (JHUISI) of the Whiting School of Engineering. In addition, she is a Research Scientist for the Program on Entrepreneurship and Management in the Department of Mathematical Sciences and adjunct Associate Professor in the Department of Economics at Johns Hopkins University. Before beginning her work as Policy Director, Dr. Feldman was Research Scientist for the Institute for Policy Studies at Johns Hopkins University. Prior to her work at John Hopkins, she was Visiting Assistant Professor at the H. J. Heinz III School of Public Policy and Management, Carnegie Mellon University, and Assistant Professor of Management and Economics at Goucher College in Baltimore, Maryland. As of January 2003, she will be Associate Professor of Business Economics at the Rotman School of Business at the University of Toronto. Dr. Feldman is the author of over 40 referred articles on a variety of topics related to science and technology policy including the economics of science and technology, the location of innovative activity, and university technology transfer activities. Her research has been funded by the National Science Foundation, the Andrew W. Mellon Foundation, the Advanced Technology Program as well as her current work with the National Academy of Sciences’ Board on Science, Technology and Economic Policy. Throughout her career, Dr. Feldman has received numerous fellowships and professional awards. She received a B.A. in economics and geography from Ohio State University, a M.S. in management and policy analysis and a Ph.D. in economics and management from Carnegie Mellon University. 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

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium 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. He 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. His 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. 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, where he served 11 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 MIT 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 as well.

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium Goldston was Boehlert’s top environmental aide and also oversaw the legislative and press operations of the office. Goldston came to Capitol Hill in 1983 as Boehlert’s press secretary. From 1985 to 1994, he served on the Science Committee as the Special Assistant on the Subcommittee on Science, Research and Technology. In that role, Goldston oversaw the programs of the National Science Foundation and the National Institute of Standards and Technology and also directed Boehlert’s efforts to shut down the Superconducting Super Collider (SSC). In 1994 and 1995, Goldston was Project Director at the Council on Competitiveness, a private sector group with members from industry, labor and academia. Goldston directed work on the report, Endless Frontier, Limited Resources: U.S. R&D Policy for Competitiveness. Goldston was graduated magna cum laude with a B.A. in American history from Cornell University in 1978. He has completed the course work for a Ph.D. in American history at the University of Pennsylvania. JO ANNE GOODNIGHT Ms. Goodnight currently holds the position as the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program Coordinator of the National Institutes of Health (NIH) and the Department of Health and Human Services (DHHS) Public Health Service. She has held this position, which is located in the NIH Office of Extramural Research (OER), Office of the Director, since March 1999. Prior to joining OER, she served in positions encompassing research, program administration and program management. During nearly 20 years of Government service she has held positions in the U.S. Department of Agriculture (USDA), the Food and Drug Administration, and now the NIH. As part of her undergraduate education (1978-1983), she spent four years as a Cooperative Education student conducting research at the USDA’s Animal Para-sitology Institute. While at NIH, she has been a part of the National Cancer Institute’s (NCI) Intramural Research Program (1989-1994) and the NCI’s Extramural Research Program (1994-1999). As an intramural scientist, she published over 20 studies about the selective involvement of Protein Kinase C in differen-tiation and neoplastic transformation. She joined the NCI’s Extramural Research Program in 1994 where she served as a Special Assistant to the Director in the Division of Cancer Biology and Program Director for SBIR/STTR grants that supported studies in the field of cancer biology, cancer genetics, and cancer immunology as well as the SBIR/STTR Program Policy Coordinator for the entire NCI. She was appointed as the NIH SBIR/STTR Program Coordinator in 1999 where she continues today. She was intimately involved in the development and implementation of the NIH SBIR/STTR Fast Track Program and continues to develop other programs that assist the small business community in commercialization of their technolo-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium gies. She has been an invited participant in numerous SBIR/STTR conferences to discuss funding opportunities for small businesses through the NIH. She also has provided written and oral testimony at Congressional hearings related to the reauthorization of the SBIR and STTR programs. Ms. Goodnight has received several national awards including an NIH Merit Award (1998) for her “exemplary contributions in the administration and coordination of the extramural research programs of the Division of Cancer Biology” and a Tibbetts award from the Small Business Administration for her “leadership role in making the SBIR and STTR programs more accessible, more relevant, and more effective.” Ms. Goodnight received a Bachelor of Science degree in microbiology from Virginia Tech in 1983. CAROLE A. HEILMAN Dr. Carole Heilman is the Director of the Division of Microbiology and Infectious Diseases (DMID), NIAID, NIH. Previously, Dr. Heilman served as Deputy Director of the Division of AIDS, NIAID, NIH for 3 years. As Director of DMID she has the responsibility for scientific direction, oversight, and management of all infectious diseases, except AIDS, within the NIH. Dr. Heilman has a Ph.D. in microbiology from Rutgers University. She did her post-doctoral work in molecular virology at the National Cancer Institute and continued on at the NCI as a senior staff fellow in molecular oncology. She moved into the health science administration area in 1986 where she focused on respiratory pathogens, in particular vaccine development. She has received numerous awards for scientific management and leadership, including two DHHS Secretary Awards for Distinguished Service for her efforts on pertussis vaccine and AIDS vaccine development. CHARLES J. HOLLAND Dr. Holland is the Deputy Under Secretary of Defense (Science and Technology). He is responsible for Defense Science and Technology strategic planning, budget allocation, and program review and execution. He ensures that the National Defense objectives are met by the $9 billion per year DoD Science and Technology program. Dr. Holland is the Principal U.S. representative to the Technical Cooperation Program between Australia, Canada, New Zealand, the United Kingdom, and the U.S. He is also responsible for the DoD High Performance Computing Modernization Program, the Defense Modeling and Simulation Office, and management oversight of the Software Engineering Institute. Previously, he was Director for Information Systems within the ODUSD (S&T). He formulated guidance, developed the strategic plans, and provided the technical leadership for the entire DoD information technologies R&D effort,

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium with an annual budget of approximately $1.8 billion. Technology programs under his purview included: decision making; modeling and simulation; high performance computing; information management, distribution and security; seamless communications; and computing and software technology. He served as the DoD representative to the interagency Critical Infrastructure Protection R&D group responding to Presidential Decision Directive 63. Prior to being appointed the Director for Information Technologies in March 1998, Dr. Holland was the Director of the DoD High Performance Computing Modernization Program Office reporting to DUSD(S&T). A substantial portion of Dr. Holland’s government career involved the direction of basic research programs in applied mathematics and information technology at the Air Force Office of Scientific Research (1988-1997) and at the Office of Naval Research (1981-1988). He served as a liaison scientist at the European Office of Naval Research in London from 1984-1985. Prior to joining government service, Dr. Holland was a faculty member and researcher at Purdue University and the Courant Institute of Mathematical Sciences at New York University. He has authored more than 20 research publications on control and systems theory, probabilistic methods in partial differential equations, and in reaction-diffusion phenomena. He is professionally recognized, along with his co-author, Dr. Jim Berryman, for the analysis of fast diffusion phenomena. Dr. Holland was an Army ROTC graduate in 1968. Following an education delay for graduate school, he served as a 1st Lt. in the U.S. Army, Military Intelligence, in 1972. Dr. Holland received the Presidential Rank Award, Meritorious Executive (2000) and the Society for Industrial and Applied Mathematics Commendation for Public Service Award (1999). He is a recipient of the Meritorious Civilian Service Award from the Secretary of Defense (2001), Air Force (1998), and the Navy (1984). Dr. Holland received a B.S. (1968) and M.S. (1969) in applied mathematics from the Georgia Institute of Technology and a Ph.D. (1972) in applied mathematics from Brown University. MILTON D. JOHNSON Dr. Milton D. Johnson is the Deputy Director for Operations for the Office of Science (SC) in the Department of Energy (DoE). SC, formerly the Office of Energy Research, is the third largest federal sponsor of basic research in the United States and is viewed as one of the premier science organizations in the world. Its fiscal year 2002 budget of $3.3 billion funds programs in high energy and nuclear physics, basic energy sciences, magnetic fusion energy, biological and environmental research, and computational science. Dr. Johnson became the Deputy Director for Operations in January 2000. In this position, he is the focal point within the SC Director’s Office for field and

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium laboratory management issues and concerns. His responsibilities include management oversight of the DoE Chicago and Oak Ridge Operations Offices, the Berkeley and Stanford Site Offices, their 10 associated research laboratories, and their other facilities and operational activities. Dr. Johnson directed the day-to-day technical and management activities for all SC headquarters and field components when he served as the Acting Principal Deputy Director between January 2001 and March 2002. Dr. Johnson has also held several other positions within the Department. He joined the Office of Fusion Energy, Office of Energy Research, in 1975 as a program manager. He left Washington in 1980 to become Chief of the Engineering Branch at the DoE Princeton Area Office (PAO) and was promoted to the position of PAO Manager in 1987. His responsibilities included operational and contractual oversight of the Princeton Plasma Physics Laboratory. Dr. Johnson returned to DoE headquarters in July 1996 as the Deputy Associate Director of the Office of Fusion Energy Sciences. In August 1997, Dr. Johnson became the Associate Director of the newly-created SC Office of Laboratory Operations and Environment, Safety, and Health. Dr. Johnson’s responsibilities included providing leadership and corporate focus within SC headquarters for operations-related activities including construction and infrastructure management, integrated safety management, environmental management, and security. Dr. Johnson has also served as the Acting Assistant Manager for Laboratory Operations in the Chicago Operations Office and as the Source Selection Official for the management contract that went into effect in April 2000 at the Oak Ridge National Laboratory. Before joining DoE, Dr. Johnson was employed as an engineer in the electronics industry, at universities, and at the Lawrence Livermore National Laboratory. His research interests included laser diagnostics and wave propagation in the ionosphere. Dr. Johnson received his B.S. and M.S. degrees in electrical engineering from the University of Arizona (1962 and 1966, respectively), and a Ph.D. from Cornell University in 1975. His field of research was experimental plasma physics. Dr. Johnson has received numerous awards from DoE including a Presidential Meritorious Rank Award. An avid runner, Dr. Johnson completed the Marine Corps Marathon in 2000. Dr. Johnson was born in Jamestown, New York, and was raised in Arizona. He is married and has two adult children. CHARLES KOLB Charles Kolb is the President and Chief Executive Officer of Aerodyne Research, Inc., (ARI) a position he has held since 1984. 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

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium 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 the Science Advisory Committee of the Radcliffe Institute for Advanced Study at Harvard University. He has contributed to a variety of National Academies of Sciences studies including: the Board on Atmospheric Sciences and Climate, Committee to Assess the North American Research Strategy for Tropospheric Ozone, the Committee to Review NARSTO’s Assessment of Airborne Particulate Matter and served 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 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 250 reports, non-refereed symposia papers, patents, book reviews, and policy papers, Dr. Kolb has published over 160 archival journal articles and book chapters. HENRY LINSERT, JR. Henry Linsert joined Martek as Chairman of the Board in 1988 and became its Chief Executive Officer in 1989. 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. 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.

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium 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. 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, New York, 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. ROBERT L. NORWOOD Dr. Robert L. Norwood currently serves as Director for Commercial Technology in the Office of Aerospace Technology (OAT). The position is responsible for overall strategy and management of NASA’s Commercial Technology program within NASA and the Strategic leadership of the NASA SBIR program. Dr. Norwood has previously served as Deputy Director for Space Technol-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium ogy in the Office of Aeronautics and Space Technology since January 1991. In this position, he assisted the Director for Space Technology in the overall direction, advocacy, and budgeting for NASA Space Research and Technology Program. Dr. Norwood comes to NASA from the Department of Defense where he held the position of Deputy for Space and Strategic Systems in the Office of the Assistant Secretary of the Army (Research, Development, and Acquisition) since 1979. Prior to that, Dr. Norwood held operations research and engineering positions with the Center for Naval Analyses and McDonnell Douglas Astronautics Corporation, respectively. Dr. Norwood received a B.S. in engineering mechanics from the University of Illinois in 1964, a M.S. in mechanical engineering from the University of Southern California in 1969, and a Ph.D. in theoretical and applied mechanics from the University of Illinois in 1980. His professional activities have spanned several organizations including the American Institute of Aeronautics and Astronautics, the American Society of Mechanical Engineers, the National Space Club, Board of Directors, and the Board of Technical Advisors for the National Technical Association. In addition to the above, Dr. Norwood has served on Fairfax County Education Advocacy Councils and serves on the Fairfax County Engineering Standards Review Board, and the College of Engineering Advisory Board, University of Illinois, from 2001-2004. GREGORY H. OLSEN Gregory H. Olsen received his B.S. in physics in 1966, a BSEE and M.S. physics (magna cum laude) in 1968 from Fairleigh Dickenson University, and a Ph.D. in material science in 1971 from the University of Virginia. From 1971 to 1972, he was a visiting scientist at the University of Port Elizabeth (South Africa), Physics Department. In 1972, Dr. Olsen joined RCA Laboratories at Princeton, NJ as a Member of the Technical Staff. He brought major innovations to the hydride vapor phase crystal growth of InGaAsP alloys and developed long-wavelength lasers and detectors. His background covers vapor phase epitaxy crystal growth, crystal defects, characterization of III-V compounds, and optoelectronic devices for fiber optics, near-infrared instrumentation, and imaging applications. Dr. Olsen is a Fellow of the IEEE, has been active in many technical societies and has ten patents and over 100 publications. He was a 1992 IEEE/ LEOS Distinguished Lecturer and a member of the LEOS Board of Governors and CLEO Steering Committee. In 1984, he founded EPITAXX Inc., a high-technology company in Princeton, NJ, which manufactured fiber optic detectors and emitters. Nippon Sheet Glass acquired it in 1990. Dr. Olsen founded Sensors Unlimited in 1991 for the development and manufacture of optoelectronic devices for dense wavelength division multiplexing fiber optic systems, spectros-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium copy, photonic and near infrared imaging devices. Finisar Corporation acquired this in 2000. He has also been a board member of a number of high-tech firms including QED, ASIP, and Finisar. Dr. Olsen remains as president, and is active in the NJ Tech Council Venture Fund. In October 2002 he led the employee “buy back” of Sensors Unlimited from Finisar Corp., which had acquired it for $700 million in October 2000. LINDA F. 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 cofounder 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 Deputy Assistant Secretary of Commerce in the Bush 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. Ms. Powers has also taught International Business Transactions and European Business Law at Georgetown Law School for 8 years, as an adjunct professor. She is a graduate, magna cum laude, of both Princeton University and Harvard Law School. ROSALIE RUEGG Rosalie Ruegg has more than 30 years experience in economic impact assessment of advanced technologies. Her current projects include preparing a cross-cutting retrospective analysis of methodologies and findings from a large number of evaluation studies; organizing a workshop on best practices in evaluating federal technology programs; and developing, documenting, and applying a project performance scoring system for a multi-objective technology program. Prior to founding TIA Consulting, Ms. Ruegg was Director of the Advanced

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium Technology Program’s Economic Assessment Office. In this capacity, she developed and implemented a comprehensive evaluation program, and led and served on boards responsible for selecting R&D projects for more than $1 billion of federal awards. She also formed and convened panels of industry executives, business specialists, and senior economists who provided advice to the government on the business and economic merit of industry proposals. Before joining ATP, Ms. Ruegg was a senior economist in NIST’s Center for Applied Mathematics, where she led an award-winning, multi-sector economic impact study for Congress. Earlier, she was a financial economist for the Federal Reserve System’s Board of Governors. She has more than 60 publications, among them a case-study guide for science managers and an economics textbook. As a member of the Federal Senior Executive Service, she received DOC’s Gold Medal for excellence. A member of Phi Beta Kappa and a Woodrow Wilson Fellow, she received degrees in economics from the Universities of North Carolina and Maryland, an M.B.A from The American University, and has extensive executive training from the Federal Executive Institute and Harvard University. In 2001, she was the recipient of the Institute of Industrial Engineers’ Wellington Award, for outstanding contributions in the field of engineering economics. 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 3-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, Eco-

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium nomic 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 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. JAMES TURNER Jim Turner has served on the professional staff of the Committee on Science in the U.S. House of Representatives for approximately 20 years. He currently serves as the Full Committee Chief Democratic Counsel where he works across the board on the Committee’s legislative agenda. For the 10 years prior to the Republican takeover of Congress, Mr. Turner was the Committee’s senior staff member for technology policy including four years as technology subcommittee staff director. He also served as a subcommittee legal counsel. During the late 1970s and early 1980s, Mr. Turner worked on the Committee’s Republican staff as Minority Energy Counsel. During his years on the Committee, Mr. Turner has worked on numerous bills, reports, and hearings on a wide variety of topics. These include the international competitiveness of U.S. industry, environmental and energy research and development, trade and technology policy, intellectual property, standards, and technology transfer. Mr. Turner also spent 3 years working for Wheelabrator-Frye, 2 years for Congressman Gary Myers, 2 years for the State of Connecticut, and shorter periods with NASA and FAA. He holds degrees from Georgetown and Yale Universities and from Westminster College and attended the Senior Managers in Government Program at Harvard. CHARLES W. WESSNER Dr. Charles Wessner is widely 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

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SBIR Program Diversity and Assessment Challenges: Report of a Symposium shared policy 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 and as a member of the Norwegian Technology Forum. Dr. Wessner’s work focuses on the linkages between science-based economic growth, new technology development, university-industry clusters, regional development, small-firm finance and public-private partnerships. His program at the Academies also addresses policy issues associated with international technology cooperation, investment and trade in high-technology industries. Dr. Wessner’s portfolio at the National Academies has included a White House-initiated study on U.S. aerospace competitiveness and a major cooperative review, with Hamburg’s HWWA, of international competition and cooperation in high-technology industry. Currently, he directs a series of studies 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. Since joining the National Research Council, Dr. Wessner has directed several major studies, generating more than 15 reports.