III
APPENDIXES



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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium III APPENDIXES

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium Appendix A: Biographies of Speakers* MICHAEL CACCUITTO Michael Caccuitto serves as the SBIR/STTR Program Administrator for the Department of Defense (DoD) within the Office of Small and Disadvantaged Business Utilization (SADBU) in the Office of the Secretary of Defense (OSD). In this role, he is responsible for policy implementation and program administration across DoD, while program execution and management occurs at the component level. Prior to joining the OSD SADBU staff in February 2005, Mr. Caccuitto served on the staff of the Deputy Under Secretary of Defense for Industrial Policy. He worked a variety of industrial base issues during his five years in Industrial Policy focusing particularly on transformation, innovation, and emerging supplier access to DoD. Before joining the OSD staff in February 2000, Mr. Caccuitto served for nine years in the U.S. Air Force in a variety of research and development, acquisition program management, and staff roles, in active duty and reserve capacities. He remains in the Air Force Reserve assigned to the Assistant Secretary of the Air Force for Acquisition. He holds master’s degrees from the Harvard University’s John F. Kennedy School of Government and Rensselaer Polytechnic Institute, and a bachelor’s degree from the University of Rochester. * As of June 2005.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium RICHARD CARROLL Richard Carroll founded Digital System Resources, Inc. (DSR), a system integration 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 2003 of over $125 million. DSR now 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 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 program in meeting the need for government innovation. In 2003, DSR was acquired by General Dynamics Advanced Information Systems (GD-AIS). GD-AIS brings significant opportunities for the rapid use of DSR-developed technologies throughout the defense marketplace. In an effort to promote small business success, Richard Carroll joined the new Small Business Technology Coalition (SBTC), became a charter member, member of the Board of Directors, and served as its chairman between 1999 and 2001. Richard Carroll works closely with the Legislative Committee of SBTC and was responsible for getting SBIR reauthorization through Congress. Through the activity of the Legislative Committee, SBTC has become the recognized small business authority on SBIR reauthorization within the Small Business Administration and Congress. Richard Carroll serves on the board of directors of the Naval Submarine League. The League has the mission of promoting the advancement and a better understanding and appreciation of the need for a strong United States submarine fleet. He was also a member of the panel making recommendations to the Governor of Virginia on technology issues in the state and on the advocacy of small business contributions to employment and business growth in the Commonwealth of Virginia. Mr. Carroll was selected as the 1999 Ernst & Young Master Entrepreneur of the Year for the mid-Atlantic region. He was also a finalist for the Ernst & Young Entrepreneur of the Year in 1998 and was selected by the Virginia Secretary of Technology as the Virginia Entrepreneur of the Year for 1999.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium DSR and Lockheed Martin received a joint Hammer Award from Vice President Gore’s National Partnership for Reinventing Government. This reinventing government award was for DSR and Lockheed Martin’s collaboration on the Acoustic Rapid COTS Insertion (A-RCI) program which regained acoustic superiority for the U.S. submarine fleet. Mr. Carroll received a B.S. in physics, University of Vermont, 1976; and did graduate studies at the George Washington University, 1977-1978; and the University of Texas, 1978-1979. TOM CASSIN Tom Cassin is the president of Materials Sciences Corporation. Mr. Cassin has over 15 years’ experience in the analysis, design, and fabrication of composite material structures. Mr. Cassin is responsible for the development and execution of technology programs for the application of composite materials. Since joining MSC in 1987, Mr. Cassin has been involved in several different aspects of composite material applications. In the area of micromechanics, Mr. Cassin has been responsible for the development and application of physically based materials characterizations in brittle and ductile failure applications. Mr. Cassin has authored several of MSC’s in-house analysis codes and has presented work in these areas in scientific journals and papers. For the last decade, Mr. Cassin has been primarily involved with use of composites for Naval applications. He has acted as program manager on several applications of composites with the most recent work involving design, fabrication, and evaluation of solid and cored fiberglass materials for topside Naval structures. Mr. Cassin has B.S.M.E and M.S.M.E degrees from Villanova University and is a member of ASME, AIAA, SAMPE, and Pi Tau Sigma. THOMAS CRABB Thomas Crabb is vice president, chief financial officer, and treasurer of Orbitec. Headquartered in Madison, ORBITEC is Wisconsin’s aerospace research and product development leader, proving very strong in the use of the Small Business Innovative Research program as a catalyst for technology and product development. ORBITEC has had over 130 government contracts exceeding a total of nearly $92 million. Mr. Crabb provides technical, managerial, entrepreneurial, and financial capabilities and experiences enabling a unique perspective for strategies, operations, and developments for business. He has led major areas of business management including finance, accounting, large program development, marketing, proposal preparation, market research and business plan developments, patent development, quality, information technology, commercial product development, and project and personnel management. Mr. Crabb spearheaded, with two senior

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium partners, ORBITEC as a high-tech aerospace company headquartered in Madison, Wisconsin. To continue his vision for technology expansion into commercial markets, he developed an approach and incorporated the sister company, Planet Products Corporation (PLANET), which later transformed into PLANET LLC. He has been the key to ORBITEC’s expansion and success. As leader of ORBITEC’s largest profit center (of two), Mr. Crabb is involved in the strategic development of ORBITEC’s corporate technical, financial, and operational assets. He has been responsible for ORBITEC’s major and sustained growth, which include areas of spaceflight hardware development, environmental chambers and control systems, life support systems, sensors and instrumentation, 3D training systems, commercial product development. He is responsible for ORBITEC’s first patents, first commercial product, and first spaceflight hardware program. Mr. Crabb is directly responsible for attaining NASA’s two largest Phase III SBIR awards for flight programs that were led by Mr. Crabb at $57 million and $33 million. He also led the establishment of ISO certification, awarded in January 2005. Mr. Crabb’s current professional activities include Board of the Small Business Technology Coalition; member of the American Society of Gravitational Space Biology; senior member of the American Institute for Aeronautics and Astronautics (AIAA); and member of the Wisconsin Space Grant Consortium. Previously Mr. Crabb was chairman of the AIAA Space Systems Technical Committee (STTC); secretary of the Space Operations Technical Committee, member of the National Space Society; member of the Planetary Society; chairman of the AIAA Wisconsin Chapter; proposing founder of the Wisconsin Center for Space Automation and Robotics; and past director of Outreach–Wisconsin Space Grant Consortium. Mr. Crabb has also taught space system design coursework at the University of Wisconsin, Milwaukee. Over 60 reports, publications, and contributions to a wide range of technical areas are available on request. He was a finalist for 2002 Entrepreneur of the Year. Other awards include Superior Performance Award, NASA Johnson Space Center; First Shuttle Flight Achievement Award; Governor Thompson Award for High Tech Day, 1987; Wisconsin Innovation and Research Awards (each year 1988-2000); ORBITEC 1996 SBA/SBIR Tibbetts Award for Small Business; ORBITEC 1999 SBA/SBIR Tibbetts Award for Small Business; and Madison Civics Club Recognition for Outstanding Service (2001). Mr. Crabb has earned the following educational degrees: B.S., engineering mechanics and astronautics, The University of Wisconsin, Madison; M.S. engineering mechanics—Aerospace Option, The University of Wisconsin, Madison (began M.S. at the Aeronautical and Astronautical Engineering Department, The Ohio State University); M.B.A. at The University of Wisconsin, Madison. He has also taken the following training courses and classes: Independent finance and accounting coursework, University of Wisconsin, Madison; Large

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium Program Management; Technical Writing; Program Management Systems; Proposal Preparation; other courses relating to management and business. JACQUES S. GANSLER The Honorable Jacques S. Gansler, former Under Secretary of Defense for Acquisition, Technology and Logistics, is the first holder of the Roger C. Lipitz Chair in Public Policy and Private Enterprise at the University of Maryland, College Park. Dr. Gansler is also the chair of the National Academies SBIR study committee. As the third ranking civilian at the Pentagon from 1997 to 2001, Dr. Gansler was responsible for all research and development, acquisition reform, logistics, advanced technology, environmental security, defense industry, and numerous other security programs. Before joining the Clinton Administration, Dr. Gansler held a variety of positions in government and the private sector, including Deputy Assistant Secretary of Defense (Material Acquisition), assistant director of Defense Research and Engineering (Electronics), vice president of ITT, and engineering and management positions with Singer and Raytheon corporations. Throughout his career, Dr. Gansler has written, published and taught on subjects related to his work. He is the author of Defense Conversion: Transforming the Arsenal of Democracy, MIT Press, 1995; Affording Defense, MIT Press, 1989, and The Defense Industry, MIT Press, 1980. He has published numerous articles in Foreign Affairs, Harvard Business Review, International Security, Public Affairs, and other journals as well as newspapers and frequent Congressional testimonies. He is a member of the National Academy of Engineering and a Fellow of the National Academy of Public Administration. BILL GREENWALT Mr. Bill Greenwalt joined the staff of the Senate Armed Services Committee (Senator John Warner, Chairman) in March 1999 and is responsible for defense acquisition policy, information management, industrial base, export control, and management reform issues. He is also lead staff member for the Subcommittee on Readiness and Management Support. Previously, he served on the Senate Governmental Affairs Committee (Senator Fred Thompson, Chairman) as a professional staff member responsible for federal management issues and committee press relations. Mr. Greenwalt served as a staff member for the Senate Subcommittee on Oversight of Government Management and as a military legislative assistant to Senator William Cohen, where he was responsible for legislative efforts to reform federal information technology acquisition, culminating in the Clinger-Cohen Act of 1996. Prior to coming to the Senate in 1994, Mr. Greenwalt was a visiting fellow at the Center for Defense Economics, University of York, En-

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium gland, where he served as a country expert on several studies for the European Commission. Previously, he worked for the Immigration and Naturalization Service in Frankfurt, Germany, and also as an evaluator with the U.S. General Accounting Office in Los Angeles, California, where he specialized in defense acquisition issues. Mr. Greenwalt graduated from California State University at Long Beach in 1982 with a degree in economics and political science and received his M.A. in defense and security studies from the University of Southern California in 1989. RICHARD H. HENDEL Richard Hendel is a principal specialist in the Enterprise Supplier Diversity Program Office at The Boeing Company. He is located in St. Louis. Mr. Hendel is the Small Business Innovation Research program manager for The Boeing Company. As such he has the responsibility for developing and implementing strategies that will expand utilization of the Small Business Innovation Research program, the companies and their technologies and products across the Boeing Enterprise (Businesses and Functions). To accomplish this he works with various programs and personnel in the Boeing Phantom Works Engineering & Information Technology and Structural Technologies organizations and the Boeing Integrated Defense Systems business unit, as well as small businesses, concerning SBIR projects and activities. He represents the company at national SBIR conferences and has made presentations on the subject at national, regional, and local conferences. Mr. Hendel has been with Boeing for 28 years and held various positions in the Subcontract Management and Procurement organization prior to joining the Supplier Diversity Program in 1989. He received MDA Teammate of Distinction awards in 1994 and 1995; and an MDA Leadership Award in 1996 for his contributions to the, at the time, McDonnell Douglas small business program. Additionally, Mr. Hendel serves on the Incubator Advisory Committee of the St. Charles County Economic Development Council. He served as the 1998 St. Louis Small Business Week Committee chairperson and continues to serve on this annual event’s planning committee. Mr. Hendel received his undergraduate degree from the University of Missouri, Columbia and his graduate degree from Webster University in St. Louis. Rich is a member of the American Legion, the Knights of Columbus, and is a member of the American Baseball Coaches Association. CHARLES J. HOLLAND Dr. Holland is the Deputy Under Secretary of Defense (Science and Technology). He is responsible for Defense Science and Technology strategic plan-

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium ning, 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 United States. 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, with an annual budget of approximately $1.8 billion. Technology programs under his purview included decisionmaking; 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 an M.S. (1969) in applied mathematics from the Georgia Institute of Technology and a Ph.D. (1972) in applied mathematics from Brown University.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium PETER HUGHES Peter Hughes is the NASA Goddard Space Flight Center’s (GSFC) acting chief technologist, and (acting) head of the Goddard Technology Management Office (GTMO)/Code 502 and also serves as chair of the Technology Federation. The Technology Federation serves as a pro-active advisory board to Goddard’s management about centerwide technology issues and serves to stimulate innovation and bridge the science and engineering communities at GSFC. The Technology Federation brings together the many faces of GSFC and is comprised of representatives from GTMO, the Goddard Sciences and Exploration Directorate, Flight Programs and Projects Directorate, Wallops Flight Facility, and the AETD Engineering Divisions through their respective assistant chiefs for technology (ACTs). Previously, Mr. Hughes was the assistant chief for technology in the Information Systems Division (ISD)/Code 580 at GSFC. In this position, he led the ISD’s Strategic Technology Planning, served as the ISD liaison and point of contact for advanced technology, and managed the ISD advanced technology program in preparation for GSFC’s next generation science missions. Mr. Hughes has also served as a technology systems engineer in the Mission Implementation and Technology Management Office/Code 510.1. In this position, he initiated and led the Flight Testbed for Innovative Mission Operations and two satellite control center automation initiatives—the EUVE Automated Payload Operations Control Center (APOCC) and GRO Reduced Operations by Optimizing Techniques and Technologies (ROBOTT) projects. Mr. Hughes also served as the Mission Technologist for the Extreme UltraViolet Explorer (EUVE) and Hubble Space Telescope Ground System (for the Vision 2000 Project). In addition, he served as team lead for one of the Mission Operations and Data Systems Directorate’s re-engineering team. Mr. Hughes previously worked in the Data Systems Technology Division, where he served as the technical lead and Project Manager of the GenSAA System and for which he holds a U.S. Patent. He also designed and implemented the CLEAR System, the first real-time expert system to monitor a low-earth-orbit satellite. Additionally, he supported a number of other initiatives investigating advanced technologies in Artificial Intelligence, Software Engineering, and Human Factors research. Mr. Hughes received his B.S. in computer science from the College of William and Mary and an M.S. in computer science from Johns Hopkins University. In May 2004, he received an M.S. in management of technology from the University of Pennsylvania’s Executive Masters for Technology Management (EMTM) program, a joint program sponsored by the Wharton Business School and the SEAS School of Engineering. He was sponsored by the NASA Fellowship Program.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium TREVOR O. JONES Trevor O. Jones is the chairman and founder of BIOMEC Inc., an entrepreneurial company founded in 1998 engaged in the development and commercialization of biomedical engineered devices and products. After seven years, Mr. Jones retired from the board of directors of Echlin, Inc. in June 1998, where he served in a number of capacities as chairman, vice chairman, chief executive officer, and chairman of its European Advisory Committee. Mr. Jones was appointed chairman of the board of Libbey-Owens-Ford Co. in 1987, and assumed the additional positions of president and chief executive officer in May 1993. Mr. Jones retired from Libbey-Owens-Ford in 1994 but remained a member of the board of directors including chairman of their Salary and Bonus Committee until 1997. From 1978 to 1987, Mr. Jones was an officer of TRW, Inc. He joined TRW in 1978 as vice president, Engineering, Automotive Worldwide Sector and in 1979 he formed TRW’s Transportation Electronics Group and was appointed its group vice president and general manager. His responsibilities included activities in the United States, United Kingdom, and Japan. In 1985, his responsibilities were further expanded to include Sales, Marketing, Strategic Planning, and Business Development activities for the entire Automotive Sector. From 1959 to 1978, Mr. Jones spent 19 years with General Motors. His last position there was director of General Motors Proving Grounds, a post to which he was appointed in 1974. From 1959 to 1970, Mr. Jones was involved in General Motors’ aerospace activities at the Delco Electronics Division. During this period, he directed many major programs, including the B-52 bombing navigational system production program, advanced military avionic systems, and the Apollo lunar and command module computers. In 1969, he was selected to direct the application of aerospace technology to automotive safety and electronics systems. He became the director, Automotive Electronic Control Systems, a newly organized group at General Motors Technical Center in 1970 and was appointed director, Advanced Project Engineering in 1972. In this capacity, he directed many major vehicle, engine, and component development programs. In 1982 he was elected a member of the National Academy of Engineering and was cited for “leadership in the application of electronics to the automobile to enhance its mechanical performance.” He has been a member of a number of National Research Council (NRC) study committees, including “National Interests in an Age of Global Technology,” “Safety Research for a Changing Highway Environment,” “Engineering as an International Enterprise,” “Competitiveness of the U.S. Automotive Industry,” and “Time Horizons and Technology Investments.” In 1993, Mr. Jones chaired the National Academy of Engineering Committee on the effects of products liability law on innovation.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium Prior to joining the Senate staff, Mr. Levine was an associate at the law firm of Crowell & Moring. Mr. Levine graduated summa cum laude from Harvard College in 1979 and magna cum laude from Harvard Law School, where he was an editor of the Harvard Law Review, in 1983. MICHAEL MCGRATH Michael McGrath was appointed as the Deputy Assistant Secretary of the Navy for Research, Development, Test and Evaluation in February 2003. His role is to aggressively drive new technologies from all sources across Navy and Marine Corps platforms and systems, and to develop programs to bridge the gap in transitioning from science and technology to acquisition. He is also responsible for developing new ways to integrate Test and Evaluation (T&E) with the evolutionary acquisition process. Prior to his appointment to this position, Dr. McGrath spent 5 years as vice president for government business at the Sarnoff Corporation, a leading R&D company with both commercial and government clients. He was responsible for program development across all Sarnoff business units to meet government needs for innovative dual-use technologies in sensors and microelectronics, networking and information technology, and bio-technology. Dr. McGrath has 28 years of prior government experience. His early career was in weapon system logistics planning and management, first at the Naval Air Systems Command, and later in the Office of the Secretary of Defense, where he developed policies for Integrated Logistics Support and reviewed implementation in major weapon system acquisition programs in all three military departments. Dr. McGrath was appointed to the Senior Executive Service in 1986 as director of the OSD CALS Office, where he guided the Computer-aided Acquisition and Logistics Support program from its inception. Five years later he became the assistant director for manufacturing in DARPA’s Defense Sciences Office, where he managed programs in Agile Manufacturing, Electronic Commerce Resource Centers, and Affordable Multi Missile Manufacturing. He also served in leadership positions for several DoD-wide initiatives to improve manufacturing and reduce the cost of defense systems. In 1996-1997 he served as the Assistant Deputy Under Secretary of Defense (Dual Use and Commercial Programs), where he directed the Commercial Technology Insertion Program, the Commercial Operating and Support Savings Initiative, and the Department’s Title III industrial base investments. Dr. McGrath holds a B.S. in space science and applied physics (1970) and an M.S. in aerospace engineering (1972) from Catholic University, and a doctorate in operations research from George Washington University (1985). He has been active in several industry associations and study groups, including studies by the Defense Science Board and the National Research Council.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium RICHARD MCNAMARA Richard McNamara has provided technical direction and leadership for complex acoustic, mechanical, and electronic combat and weapon systems for more than 30 years, holding positions in the Naval Underwater Warfare Center (NUWC), Naval Sea Systems Command (NAVSEA), and Assistant Secretary of the Navy (Research, Development & Acquisition) (ASN(RDA)), and Program Executive Officer for Submarines (PEOSUB). Mr. McNamara’s civilian service began in a work-study program between the Naval Underwater Systems Center (NUSC) and Northeastern University. After graduation from Northeastern in 1972 with a B.S. degree in mechanical engineering he returned to NUSC to plan and direct numerous sonar and towed array test programs. In 1977 Mr. McNamara joined NAVSEA, and in 1983, as the Head of the PMS409 Combat Control Systems Engineering Branch, Mr. McNamara contributed to the successful submarine fleet introduction of TOMAHAWK and Over the Horizon Targeting (OTH-T) and initial testing of ADCAP torpedoes. After serving 10 months as a legislative fellow for Senator Gramm from Texas in 1986, Mr. McNamara became deputy program manager for Submarine Combat Systems (PMS409). From 1991-1992 Mr. McNamara served as the technical director for the PEO for Submarine Combat and Weapon Systems (SCWS), acting as the senior technical advisor for Flag-level decisions regarding submarine programs. In 1993 Mr. McNamara assumed responsibilities for all combat system activities for the Virginia Class SSN, spearheading the acquisition of the Virginia Class SSN Command, Control, Communications, and Intelligence (C3I) System. In 1997 Mr. McNamara was assigned as the deputy program manager for Submarine Electronic Systems Program Office (PMS401), providing leadership and management direction for the activities of the NSSN C3I System and ancillary submarine electronics systems. Mr. McNamara was selected as the deputy program manager for the ACAT 1D Virginia Class Submarine Program Office (PMS450) in December 1998. He now is responsible for managing the acquisition programs for PEO Submarines as executive director. Mr. McNamara has received a variety of awards throughout his career including Secretary of the Navy Competition Advocate Award, Association of Scientists and Engineers Silver Medal, and David Packard Award of Acquisition Excellence, among others. ANTHONY C. MULLIGAN Anthony C. Mulligan is the president and chief executive officer of Advanced Ceramics Research. He was one of the original founders of the company in 1989. ACR is one of a handful of companies to have achieved a perfect 100 commercial

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium activity index (CAI) in the Department of Defense SBIR program. In 2000 and 2004, ACR was featured by the U.S. Navy as a SBIR role model company. ACR has also been featured as a role model success story by the U.S. Department of Energy (2001 and 2002) and by the National Aeronautics and Space Administration (1997 and 2004). ACR has received three R&D 100 awards, The Tom Brown Entrepreneur Award, the Arizona Innovation Award, and was also a team member of the “ACTD Team of the Year Award” for the Expendable UAV ACTD project (2003). ACR has also created a Manufacturing Joint Venture Company, Advanced Ceramics Manufacturing, LLC, on the Tohono O’Odham Reservation in Southwest Arizona. Since 1989 ACR has generated 60 granted U.S. Patents, with Mr. Mulligan receiving 25. Mr. Mulligan was also the founder and a principal of Revdyne, Inc., a company that manufactured products for developmentally disabled individuals. Mr. Mulligan was also the founder and principal of a successful pet products manufacturing company, which manufactured and sold products in high volumes to major U.S. department stores including Kmart, Walgreens, Albertsons, Frys, PetSmart, and Ames. Mr. Mulligan is on the Industrial Advisory Counsel to the Aerospace and Mechanical Engineering Department at the University of Arizona. For two years he served on the board to the Arizona Manufacturing Extension Partnership (MEP). He has served as chairman to the Small Manufacturing Executives of Tucson for three years. He is a member of ASM, the American Ceramics Society, the Society of Manufacturing Engineers (SME), and is on the Structural Materials Committee for TMS where he served a term as chairman to the Young Leaders Committee. Mr. Mulligan received a B.S. in mechanical engineering from the University of Arizona in 1988. KENT MURPHY Kent Murphy is chief executive officer and founder of Luna Innovations, Inc., a Blacksburg, VA-based, employee-owned corporation. He also serves on the Committee for the National Academies SBIR study. Luna is a business development company that identifies significant market opportunities, builds promising intellectual property portfolios and prototypes, and delivers them into highly differentiated commercial applications. Since 2000, Luna has spun-off five new companies focusing on the areas of manufacturing process control, nanomaterials, proteomics and analytical instrumentation, petroleum monitoring systems, and integrated wireless sensing systems. Luna is a two-time Tibbetts award winner. Dr. Murphy is formerly a tenured professor in Virginia Tech’s Bradley Department of Engineering. He has over 35 patents which have generated hundreds of millions of dollars in product revenue. In 2001, he was named Virginia SBIR

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium Entrepreneur of the Year, and this year was recognized by the Governor and Science Museum of Virginia as Virginia’s Outstanding Industrialist of the Year. Dr. Murphy is a founding member of the Virginia Research and Technology Advisory Commission, appointed by the Governor, and continues to serve today. He is also a member of the Greater Washington Board of Trade Virtual Incubator Action Committee, and the Potomac Tech Task Force. In May of 2003, Dr. Murphy gave testimony at the Full Committee Hearing of the Senate Committee on Commerce, Science, and Transportation on S.189, the 21st Century Nanotechnology Research and Development Act, a $3.4 billion nanotechnology funding bill. ROBERT M. PAP Robert M. Pap is the president and cofounder of Accurate Automation Corporation (AAC). AAC, founded in 1985, is a woman-owned, high-tech developer of unmanned aircraft and guided missiles. Accurate is known for its expertise in intelligent control systems and signal processing technology. AAC is a world leader in plasma aerodynamic research. Its neural network hardware is being used around the world. The Accurate facilities support UAV development and manufacturing. AAC has world-class facilities for plasma research. Its ground stations support flight tests for its jet-powered aircraft including LoFLYTE and the X-43A-LS. Currently, Accurate Automation Corporation has the following commercial product areas: Unmanned Aerial Vehicles; Jet engines (150-200 lb thrust range); Flight control and telemetry systems; Neural Network Processor (NNP®); and Aircraft Safety and Security (Imagery/Telemetry) Systems. JOHN A. PARMENTOLA John A. Parmentola is the director for Research and Laboratory Management for the U.S. Army. In this position, he is responsible for the Army Basic Research Program and the Applied Research programs of the Army Research Laboratory, Army Research Institute, Corps of Engineers, and Simulation, Training and Instrumentation Command. In addition, his responsibilities encompass Environmental Quality Technology, Manufacturing Technology, Small Business Innovative Research, Dual Use Science and Technology, and Army High Performance Computing programs with an annual budget of approximately $750 million. Dr. Parmentola also oversees laboratory management policy for all Army laboratories and research, development, and engineering centers. Before coming to the Army, Dr. Parmentola was the science and technology advisor to the chief financial officer of the U.S. Department of Energy, where he was responsible for providing technical, budgetary, and programmatic advice to senior management for over $7 billion in science and technology investments.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium This responsibility included Defense, Non-proliferation, Science, Fossil Energy, Energy Efficiency, Nuclear Energy, and Environmental programs. Prior to joining the U.S. Department of Energy, he was the co-founder of the Advanced Systems and Concepts Office of the newly formed Defense Threat Reduction Agency. Dr. Parmentola has been a principal scientist at the MITRE Corporation, where he has worked in the area of arms control verification technology, strategic offense-defense integration, and strategic command, control, and communications associated with the Cheyenne Mountain Upgrade Program. Earlier in his career, he was executive director of the Panel on Public Affairs of the American Physical Society, a postdoctoral fellow with the Program of Science and Technology for International Security at MIT, and a postdoctoral fellow with the Laboratory for Nuclear Science of MIT. In the field of science, technology, and public policy, he has been a fellow of the Roosevelt Center for American Policy Studies and an Alfred P. Sloan Research Fellow at the Center for Science and International Affairs of the John F. Kennedy School of Government at Harvard University. Dr. Parmentola has published more than 50 scientific papers and articles in science and technology policy, and an authoritative book on space defense. He has been the recipient of the Alfred Raymond Prize, the Sigma Xi Research Award, has been an Andrew Mellon Postdoctoral Fellow, and an Alfred P. Sloan Fellow. Recently, he was the Air Intelligence Agency nominee for the R.V. Jones Central Intelligence Agency Award and has been awarded the Outstanding Civilian Service Award for his exemplary dedication to public service and his numerous contributions to the U.S. Army. Dr. Parmentola was born in the Bronx, New York, and received his B.S. degree in physics from Polytechnic Institute of Brooklyn in 1971 and his Ph.D. in physics from the Massachusetts Institute of Technology, Cambridge, Massachusetts in 1977. MARIO RAMIREZ Mario Ramirez is the F-35/Joint Strike Fighter Small Business Officer for Lockheed Martin Aeronautics. CARL G. RAY Carl G. Ray is the NASA program executive for the NASA Small Business Innovative Research and Small Business Technology Transfer (SBIR/STTR) Element Programs. He is the source selection official (SSO) for these programs and as such responsible for all final awards under these programs, and their agency-level policy and strategic oversight. These element programs are part of the Innovative Partnerships Program under the Exploration Systems Mission Directorate.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium Mr. Ray is also the NASA technical director for NASA’s renowned “NASA Tech Briefs” magazine. MARK REDDING Mark Redding is the president of Impact Technologies. He has been participating in the SBIR program since 1990. While vice president at a 25-person mechanical engineering firm during the 1990’s, the company was awarded three DoD Phase I contracts and two Phase II contracts. Since he co-founded Impact Technologies in 1999, Impact has been awarded over 45 Phase I and 30 Phase II DoD SBIRs, making it the top award winner in New York State each of the past three years. The awards have included most DoD agencies (Navy, ONR, Army, Air Force, DARPA, and AFOSR) in addition to a few NASA and Department of Transportation SBIRs. The resulting technologies have been transitioned to more than a dozen military platforms, including the JSF F135/F136. EARLE RUDOLPH Earle Rudolph is vice president for business and strategy development in the ATK Mission Research Group. He spent 23 years in the Navy with tours as the first deputy program manager for JDAM under the Air Force program manager. He also served as professor of Information Based Warfare at the National Defense University. After leaving the Navy, Mr. Rudolph joined Texas Instruments, “New Business Strategy Group”, chartered to develop advanced systems value propositions for the Defense Systems Group. When DSEG was sold to Raytheon he moved to the Raytheon Missile Systems Advanced Programs Division as a program/ capture manager. In 2000 he moved to Draper Laboratories Washington office as the business development director. Mr. Rudolph joined ATK as vice president for business and strategy development in 2002 and currently serves in that capacity in the recently acquired ATK Mission Research Group. MARK D. STEPHEN Col. Mark D. Stephen is the chief, Science and Technology Division, Deputy Assistant Secretary (Science, Technology & Engineering), Pentagon, Washington D.C.—the Air Force Secretariat focal point for policy, programming, planning, budgeting, and Congressional matters concerning the Air Force science and technology program. In his previous assignment, Col. Stephen was serving as the acting director of the Directed Energy Directorate, Air Force Research Laboratory, Kirtland Air Force Base, NM, the organization responsible for advancing all Air Force high-energy laser, high-power microwave, and other directed energy technologies. He

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium was commissioned as a distinguished graduate through the Reserve Officer Training Corps in 1978. His first assignment was to the Air Force Institute of Technology where he earned a master’s of science degree in engineering physics. He is a level three acquisition manager and has earned the Air Force Master Space Badge, Master Acquisition Badge, Senior Missile Badge, and the Information Management Badge. He is also a fully trained joint specialty officer. Col. Stephen earned a B.S. in physics, University of South Carolina, Columbia, South Carolina, 1978; an M.S. in engineering physics, Air Force Institute of Technology, Wright-Patterson Air Force Base, Ohio, 1979; and completed Squadron Officers School (outstanding contributor), Maxwell Air Force Base, Alabama, 1983; Program Management Course, Defense Systems Management College, 1989; Air Command and Staff College (distinguished graduate), Maxwell Air Force Base, Alabama, 1990; Armed Forces Staff College, Norfolk, Virginia, 1990; Air War College, seminar, Kirtland Air Force Base, New Mexico; 1995; Executive Refresher Course, Defense Acquisition University, 2001. Col. Stephen’s major awards and decorations include the Defense Meritorious Service Medal, Meritorious Service Medal (four oak leaf clusters), Joint Service Commendation Medal, Air Force Commendation Medal, Joint Service Achievement Medal, Air Force Achievement Medal, and Military Outstanding Volunteer Service Medal. JAMES TURNER James Turner currently serves as the chief Democratic counsel for the House Committee on Science where he works across the broad range of issues concerning science, technology, energy, and space exploration that characterize the Science Committee’s legislative agenda. Having served on the professional staff of the Committee for approximately 20 years, Mr. Turner brings an exceptional perspective on the legislative history and process in the area of U.S. science and technology policy. He is widely recognized in U.S. policy circles for his experience, effectiveness, and willingness to find common ground on complex issues of national policy. For the 10 years prior to the Republican’s winning the majority in the Congress, Mr. Turner served as the Committee’s senior staff member for technology policy including four years as staff director for the Subcommittee on Technology, as well as 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 played a major role in the drafting and negotiation of numerous legislative initiatives, Congressional reports, and hearings on a wide variety of topics. These include the international competitiveness of U.S. industry, environmental and energy research and devel-

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium opment, trade and technology policy, intellectual property, standards, and technology transfer. Mr. Turner’s experience also includes work outside the Science Committee. He spent three years working for Wheelabrator-Frye, two years for Congressman Gary Myers, two years for the State of Connecticut, and shorter periods in the executive branch with NASA and the FAA. He holds degrees from Westminster College and from the Universities of Georgetown and Yale. Reflecting his accomplishments, he was selected to attend Harvard University’s Senior Managers in Government Program. TRACY VAN ZUIDEN Major Tracy Van Zuiden is the Technology Transition lead for the Joint Strike Fighter Office in Arlington, Virginia. This program will develop and produce the next generation strike warfare weapon system for the United States Navy, Marines, Air Force; for the Royal Navy and Air Force; and for Italy, the Netherlands, Turkey, Canada, Australia, Denmark, Norway, as well as other foreign military sales customers. In his current position Major Van Zuiden is responsible for roadmapping technologies to meet current and future F-35 capability requirements. Major Van Zuiden was commissioned in 1989 through the ROTC graduating from the University of Central Florida. During his career he has held numerous positions in both acquisitions and aircraft maintenance to include F-15 flight-line and intermediate maintenance, C-5 modernization programs, in-country logistics liaison to the Royal Saudi Air Force, and in the Air Force Program Executive Office for Airlift & Trainer. JOHN P. WASZCZAK John P. Waszczak is the director of Advanced Technology and SBIR/ STTR, for Raytheon Missile Systems (RMS). RMS designs, manufactures, and services tactical weapon systems for the United States and allied governments. Most recently, Dr. Waszczak served as the RMS Product Line deputy for Guided Projectiles, which included ERGM (Extended Range Guided Munition) for the Navy, and Excalibur (XM982) for the Army and Marine Corps. Dr. Waszczak’s career with Raytheon (formerly General Motors Hughes and General Dynamics) spans over 30 years. He served as the director of Materiel Operations for GM Hughes/Raytheon Missile Systems, responsible for the annual procurement of $1B in materials and services. At GM Hughes, Dr. Waszczak served as the deputy managing director of Hughes UK Ltd., while stationed in London, England. He previously served as the deputy director of Tomahawk Cruise Missile Programs. Dr. Waszczak was

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium the recipient of the Hughes Electronics Malcolm R. Currie Innovation Award in 1996. At GD Convair, Dr. Waszczak held numerous positions, including director of Tomahawk Cruise Missile Production Programs, director of division planning, director of strategic planning, director of Zero Defect Management Administration, and director of facility management. Dr. Waszczak led the GD Convair Division transition team during the split of the Convair Division into the Convair & Space Systems Divisions. At GD he helped develop a new product line, Energy Systems, serving sequentially as marketing manager, chief engineer, program manager, and then manager of Energy Systems. John also served as principal investigator, project manager, and pro gram manager in advanced composite materials research. Dr. Waszczak was special assistant to the U.S. Department of Transportation’s Assistant Secretary for Policy and International Affairs while a member of the President’s Executive Exchange Program during the Carter Administration. Dr. Waszczak is an alumnus of Carnegie-Mellon University where he obtained his B.S., M.S., and Ph.D. degrees in mechanical engineering with a minor in economics. His thesis work focused on automated design procedures for advanced composite materials, sponsored by the U.S. Air Force and General Dynamics. Dr. Waszczak was commissioned in the U.S. Army Corps of Engineers and was honorably discharged as Captain. He is a member of Pi Tau Sigma, Tau Beta Pi and Phi Kappa Phi honorary fraternities, and the National Management Association. CHARLES W. WESSNER Charles W. Wessner is the director of the National Academies study of SBIR. He is a policy advisor recognized nationally and internationally for his expertise on innovation policy, including public-private partnerships, entrepreneurship, early-stage financing for new firms, and the special needs and benefits of high-technology industry. He testifies to the U.S. Congress and major national commissions, advises agencies of the U.S. government and international organizations, and lectures at major universities in the United States and abroad. Reflecting the strong global interest in innovation, he is frequently asked to address issues of shared policy interest with foreign governments, universities, and research institutes, often briefing government ministers and senior officials. He has served as an advisor to the 30-nation OECD Committee on Science and Technology Policy, the Mexican National Council on Science and Technology, and the National Technology agencies of Finland (TEKES) and Sweden (VINNOVA), and is a member of the Norwegian Technology Forum. He also serves as a member of the Prime Minister of Taiwan’s Science and Technology Advisory Group and is a member

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium of the Lithuanian Prime Minister’s International Innovation Advisory Committee and the board of the Vilnius Sunrise Valley S&T Park. Most recently, he was named to the U.S.-Russian Council on Innovation, established by Presidents Putin and Bush. Dr. Wessner’s work focuses on the linkages between science-based economic growth, entrepreneurship, new technology development, university-industry clusters, regional development, small firm finance, and public-private partnerships. His program at the National Academies also addresses policy issues associated with international technology cooperation, investment, and trade in high-technology industries. Currently, he directs a series of studies centered on government measures to encourage entrepreneurship and support the development of new technologies. Foremost among these is a Congressionally mandated study of the $2 billion Small Business Innovation Research program. A major new comparative study of National Innovation Policies is now underway. Dr. Wessner is an Ameritech Research Fellow at the Indiana University School of Public and Environmental Affairs where he also serves on the Visiting Committee. He teaches as an adjunct professor at George Washington University’s Elliott School of International Affairs, is a research professor at the Max Planck Institute for Research into Economic Systems in Jena, Germany, and is a visiting professor at the University of Vilnius, Lithuania. As a recognized expert on U.S. innovation policy, he has spoken before the House Science, Small Business, and Armed Services Committees and the Senate Small Business Committee, and to the President’s Council of Advisors on Science and Technology (PCAST). Reflecting the growing overseas interest in understanding U.S. innovation policy, he has addressed parliamentarians from the 33 EUREKA countries in the Danish Parliament, the Canadian Prime Minister’s Advisory Council on Science and Technology, the Board of the European Investment Bank, CDU members of the Education and Research Committee in the Bundestag, and members of the Swedish and Lithuanian Parliaments. KEVIN WHEELER Ms. Kevin Wheeler is the deputy Democratic staff director for Senator John F. Kerry (D-Mass.) on the Committee on Small Business & Entrepreneurship. She handles legislation and policy that covers the Small Business Administration’s credit and venture capital programs, hi-technology programs for small businesses, and SBA’s budget and appropriations. Before joining Senator Kerry’s staff in 1998, she spent three years as the assistant editor of Business New Haven, a regional business journal in Connecticut. Prior to that, she worked for Senators Lloyd Bentsen and Bob Krueger of Texas, and Bill Curry, a Democrat who ran for Governor of Connecticut in 1993 and later became counsel in the Clinton White House.

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SBIR and the Phase III Challenge of Commercialization: Report of a Symposium JOHN WILLIAMS John Williams is the program manager for the Navy’s Small Business Innovation Research Program and the Small Business Technology Transfer Program. He has been with the Navy for 17 years, spending time at the Naval Surface Warfare Center, Naval Sea Systems Command, and his last nine years with the Office of Naval Research. During his career with the Navy he has worked with the Navy’s Manufacturing Technology Program, the Navy and Private Shipyards, and the National Shipbuilding Research Program, and he has been the program officer for multiple SBIR projects. In 1996 Mr. Williams joined ONR and became the deputy to the Navy SBIR program. His main focus has been to transition the Navy SBIR program into a paperless environment, to manage the STTR program, and most recently to increase the commercialization or more accurately the transition of Navy SBIR and STTR technologies into the fleet. In 2000 John initiated the Transition Assistance Program (TAP), a 10-month program designed to educate and assist all Navy Phase II awardees in the technology transition process. Recently this effort was expanded to include the Primes Initiative, which is focused on increasing the involvement of DoD prime contractors into the SBIR program. TAP concludes with the Navy Opportunity Forum, scheduled for the first Monday and Tuesday in May, and this year’s event had over 700 representatives from DoD primes, program offices, and small business. The Navy has led the way at increasing the involvement of acquisition program offices and major defense contractors in the SBIR program with the goal that developing closer partnership between our nation’s small high-tech firms and these organizations will ultimately increase the transition of SBIR- and STTR-funded technologies. This has proven true, and the Navy has the highest record of Government Phase III contracts across the DoD. Mr. Williams has a degree in mechanical engineering from the University of Maryland, College Park and a master’s in engineering management, marketing of technology from the George Washington University.