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228 APPENDIX E Baron, Jonathan. 1998. âDoD SBIR/STTR Program Manager.â Comments at the Methodology Work- shop on the Assessment of Current SBIR Program Initiatives, Washington, DC, October. Barry, C. B. 1994. âNew directions in research on venture capital finance.â Financial Management 23 (Autumn):3â15. Bator, Francis. 1958. âThe anatomy of market failure.â Quarterly Journal of Economics 72:351â 379. Bingham, R. 1998. Industrial Policy American Style: From Hamilton to HDTV. New York: M.E. Sharpe. Birch, D. 1981. âWho Creates Jobs.â The Public Interest 65 (Fall):3â14. Branscomb, Lewis M. 2000. Managing Technical Risk: Understanding Private Sector Decision  aking on Early Stage Technology Based Projects. Washington, DC: Department of Com- M merce/National Institute of Standards and Technology. Branscomb, Lewis M., and Philip E. Auerswald. 2001. Taking Technical Risks: How Innovators,  anagers, and Investors Manage Risk in High-Tech Innovations, Cambridge, MA: MIT Press. M Branscomb, Lewis M., and J. Keller. 1998. Investing in Innovation: Creating a Research and Innova- tion Policy. Cambridge, MA: MIT Press. Brav, A., and P. A. Gompers. 1997. âMyth or reality?: Long-run underperformance of initial public of- ferings; Evidence from venture capital and nonventure capital-backed IPOs.â Journal of Finance 52:1791â1821. Brodd, R. J. 2005. Factors Affecting U.S. Production Decisions: Why Are There No Volume Lithium- Ion Battery Manufacturers in the United States? ATP Working Paper No. 05-01, June 2005. Brown, G., and J. Turner. 1999. âReworking the Federal Role in Small Business Research.â Issues in Science and Technology XV, no. 4 (Summer). Bush, Vannevar. 1946. Scienceâthe Endless Frontier. Republished in 1960 by U.S. National Science Foundation, Washington, DC. Carden, S. D. and O. Darragh. 2004. âA Halo for Angel Investors.â The McKinsey Quarterly 1. Cassell, G. 2004. âSetting Realistic Expectations for Success.â In National Research Council. SBIR: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Caves, Richard E. 1998. âIndustrial organization and new findings on the turnover and mobility of firms.â Journal of Economic Literature 36(4):1947â1982. Clinton, William Jefferson. 1994. Economic Report of the President. Washington, DC: U.S. Govern- ment Printing Office. Clinton, William Jefferson. 1994. The State of Small Business. Washington, DC: U.S. Government Printing Office. Coburn, C., and D. Bergland. 1995. Partnerships: A Compendium of State and Federal Cooperative Technology Programs. Columbus, OH: Battelle. Cochrane, J. 2005. âThe Risk and Return of Venture Capital.â Journal of Financial Economics 75(1): 3-52. Cohen, L. R., and R. G. Noll. 1991. The Technology Pork Barrel. Washington, DC: The Brookings Institution. Congressional Commission on the Advancement of Women and Minorities in Science, Engineering, and Technology Development. 2000. Land of Plenty: Diversity as Americaâs Competitive Edge in Science, Engineering and Technology. Washington, DC: National Science Foundation/U.S. Government Printing Office. Cooper, R.G. 2001. Winning at New Products: Accelerating the process from idea to launch. In Dawnbreaker, Inc. 2005. âThe Phase III Challenge: Commercialization Assistance Programs 1990â2005.â White paper. July 15. Council of Economic Advisers. 1995. Supporting Research and Development to Promote Economic Growth: The Federal Governmentâs Role. Washington, DC.
APPENDIX E 229 Cramer, Reid. 2000. âPatterns of Firm Participation in the Small Business Innovation Research Pro- gram in Southwestern and Mountain States.â In National Research Council. 2000. The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press. Davis, S. J., J. Haltiwanger, and S. Schuh. 1994. âSmall Business and Job Creation: Dissecting the Myth and Reassessing the Facts,â Business Economics 29(3):113â122. Dawnbreaker, Inc. 2005. âThe Phase III Challenge: Commercialization Assistance Programs 1990â 2005.â White paper. July 15. Dertouzos. 1989. Made in America: The MIT Commission on Industrial Productivity. Cambridge, MA: MIT Press. DoE Opportunity Forum. 2005. âPartnering and Investment Opportunities for the Future.â Tysons Corner, VA. October 24â25. Eckstein, O. 1984. DRI Report on U.S. Manufacturing Industries. New York: McGraw Hill. Eisinger, P. K. 1988. The Rise of the Entrepreneurial State: State and Local Economic Development Policy in the United State. Madison, WI: University of Wisconsin Press. Feldman, Maryann P. 1994a. âKnowledge complementarity and innovation.â Small Business Economics 6(5):363â372. Feldman, Maryann P. 1994b. The Geography of Knowledge. Boston, MA: Kluwer Academic. Feldman, M. P., and M. R. Kelley. 2001. Winning an Award from the Advanced Technology Program: Pursuing R&D Strategies in the Public Interest and Benefiting from a Halo Effect. NISTIR 6577. Washington, DC: Advanced Technology Program/National Institute of Standards and Technol- ogy/U.S. Department of Commerce. Fenn, G. W., N. Liang, and S. Prowse. 1995. The Economics of the Private Equity Market. Washington, DC: Board of Governors of the Federal Reserve System. Flamm, K. 1988. Creating the Computer. Washington, DC: The Brookings Institution. Freear, J., and W. E. Wetzel Jr. 1990. âWho bankrolls high-tech entrepreneurs?â Journal of Business Venturing 5:77â89. Freeman, Chris, and Luc Soete. 1997. The Economics of Industrial Innovation. Cambridge, MA: MIT Press. Galbraith, J. K. 1957. The New Industrial State. Boston: Houghton Mifflin. Geroski, Paul A. 1995. âWhat do we know about entry?â International Journal of Industrial Orga- nization 13(4):421â440. Gompers, P. A., and J. Lerner. 1977. âRisk and Reward in Private Equity Investments: The Challenge of Performance Assessment.â Journal of Private Equity 1(Winter):5-12. Gompers, P. A. 1995. âOptimal investment, monitoring, and the staging of venture capital.â Journal of Finance 50:1461â1489. Gompers, P. A., and J. Lerner. 1996. âThe use of covenants: An empirical analysis of venture partnership agreements.â Journal of Law and Economics 39:463â498. Gompers, P. A., and J. Lerner. 1998a. âWhat drives venture capital fund-raising?â Unpublished work- ing paper. Harvard University. Gompers, P. A., and J. Lerner. 1998b. âCapital formation and investment in venture markets: A report to the NBER and the Advanced Technology Program.â Unpublished working paper. Harvard University. Gompers, P. A., and J. Lerner. 1999. âAn analysis of compensation in the U.S. venture capital partner- ship.â Journal of Financial Economics 51(1):3â7. Gompers, P. A., and J. Lerner. 1999. The Venture Cycle. Cambridge, MA: MIT Press. Good, M. L. 1995. Prepared testimony before the Senate Commerce, Science, and Transportation Committee, Subcommittee on Science, Technology, and Space (photocopy, U.S. Department of Commerce). Goodnight, J. 2003. Presentation at National Research Council Symposium. âThe Small Business Innovation Research Program: Identifying Best Practice.â Washington, DC May 28.
230 APPENDIX E Graham, O. L. 1992. Losing Time: The Industrial Policy Debate. Cambridge, MA: Harvard University Press. Greenwald, B. C., J. E. Stiglitz, and A. Weiss. ����������������������������������������������������������� 1984. âInformation imperfections in the capital market and macroeconomic fluctuations.â American Economic Review Papers and Proceedings 74:194â199. Griliches, Z. 1990. The Search for R&D Spillovers. Cambridge, MA: Harvard University Press. Hall, Bronwyn H. 1992. âInvestment and research and development: Does the source of financing matter?â Working Paper No. 92â194, Department of Economics/University of California at Berkeley. Hall, Bronwyn H. 1993. âIndustrial research during the 1980s: Did the rate of return fall?â Brookings Papers: Microeconomics 2:289â343. Hamberg, Dan. 1963. âInvention in the industrial research laboratory.â Journal of Political Economy (April):95â115. Hao, K. Y., and A. B. Jaffe. 1993. âEffect of liquidity on firmsâ R&D spending.â Economics of Innova- tion and New Technology 2:275â282. Hebert, Robert F., and Albert N. Link. 1989. âIn search of the meaning of entrepreneurship.â Small Business Economics 1(1):39â49. Himmelberg, C. P., and B. C. Petersen. 1994. âR&D and internal finance: A panel study of small firms in high-tech industries.â Review of Economics and Statistics 76:38â51. Hubbard, R. G. 1998. âCapital-market imperfections and investment.â Journal of Economic Literature 36:193â225. Huntsman, B., and J. P. Hoban Jr. 1980. âInvestment in new enterprise: Some empirical observations on risk, return, and market structure.â Financial Management 9 (Summer):44â51. Jaffe, A. B. 1996. âEconomic Analysis of Research Spillovers: Implications for the Advanced Technol- ogy Program.â Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce). Jaffe, A. B. 1998a. âEconomic Analysis of Research Spillovers: Implications for the Advanced Technology Program.â Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce. Jaffe, A. B. 1998b. âThe importance of âspilloversâ in the policy mission of the Advanced Technology Program.â Journal of Technology Transfer (Summer). Jewkes, J., D. Sawers, and R. Stillerman. 1958. The Sources of Invention. New York: St. Martinâs Press. Johnson, M. 2004. âSBIR at the Department of Energy: Achievements, Opportunities, and Challenges.â In National Research Council. SBIR: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, D.C.: The National Academies Press, 2004. Kauffman Foundation. About the Foundation. Available online at <http://www.kauffman.org/founda- tion.cfm>. Kleinman, D. L. 1995. Politics on the Endless Frontier: Postwar Research Policy in the United States. Durham, NC: Duke University Press. Kortum, Samuel, and Josh Lerner. 1998. âDoes Venture Capital Spur Innovation?â NBER Working ����������������������������������������������������� Paper No. 6846, National Bureau of Economic Research. Krugman, P. 1990. Rethinking International Trade. Cambridge, MA: MIT Press. Krugman, P. 1991. Geography and Trade. Cambridge, MA: MIT Press. Langlois, Richard N., and Paul L. Robertson. 1996. âStop Crying over Spilt Knowledge: A Critical Look at the Theory of Spillovers and Technical Change.â Paper prepared for the MERIT Confer- ence on Innovation, Evolution, and Technology. Maastricht, Netherlands, August 25â27. Lebow, I. 1995. Information Highways and Byways: From the Telegraph to the 21st Century. New York: Institute of Electrical and Electronic Engineering. Lerner, J. 1994. âThe syndication of venture capital investments.â Financial Management 23 (  Autumn):16â27. Lerner, J. 1995. âVenture capital and the oversight of private firms.â Journal of Finance 50:301â 318.
APPENDIX E 231 Lerner, J. 1996. âThe government as venture capitalist: The long-run effects of the SBIR program.â Working Paper No. 5753, National Bureau of Economic Research. Lerner, J. 1998. âAngel financing and public policy: An overview.â Journal of Banking and Finance 22(6â8):773â784. Lerner, J. 1999a. âThe government as venture capitalist: The long-run effects of the SBIR program.â Journal of Business 72(3):285â297. Lerner, J. 1999b. âPublic venture capital: Rationales and evaluation.â In The SBIR Program: Chal- lenges and Opportunities. Washington, DC: National Academy Press. Levy, D. M., and N. Terleckyk. 1983. âEffects of government R&D on private R&D investment and productivity: A macroeconomic analysis.â Bell Journal of Economics 14:551â561. Liles, P. 1977. Sustaining the Venture Capital Firm. ������������������������������������������� Cambridge, MA: Management Analysis Center. Link, Albert N. 1998. âPublic/Private Partnerships as a Tool to Support Industrial R&D: Experiences in the United States.â Paper prepared for the working group on Innovation and Technology Policy of the OECD Committee for Science and Technology Policy, Paris. Link, Albert N., and John Rees. 1990. âFirm size, university based research and the returns to R&D.â Small Business Economics 2(1):25â32. Link, Albert N., and John T. Scott. 1998a. âAssessing the infrastructural needs of a technology-based service sector: A new approach to technology policy planning.â STI Review 22:171â207. Link, Albert N., and John T. Scott. 1998b. Overcoming Market Failure: A Case Study of the ATP Focused Program on Technologies for the Integration of Manufacturing Applications (TIMA). Draft final report submitted to the Advanced Technology Program. Gaithersburg, MD: National Institute of Technology. October. Link, Albert N., and John T. Scott. 1998c. Public Accountability: Evaluating Technology-Based Institutions. Norwell, MA: Kluwer Academic. Link, A. N., and J. T. Scott. 2005. Evaluating Public Research Institutions: The U.S. Advanced Tech- nology Programâs Intramural Research Initiative. London: Routledge. Longini, P. 2003. âHot buttons for NSF SBIR Research Funds,â Pittsburgh Technology Council, TechyVent. November 27. Malone, T. 1995. The Microprocessor: A Biography. Hamburg, Germany: Springer Verlag/Telos. Mansfield, E. 1985. âHow Fast Does New Industrial Technology Leak Out?â Journal of Industrial Economics 34(2). Mansfield, E. 1996. Estimating Social and Private Returns from Innovations Based on the Advanced Technology Program: Problems and Opportunities. Unpublished report. Mansfield, E., J. Rapoport, A. Romeo, S. Wagner, and G. Beardsley. 1977. âSocial and private rates of return from industrial innovations.â Quarterly Journal of Economics 91:221â240. Martin, Justin. 2002. âDavid Birch.â Fortune Small Business (December 1). McCraw, T. 1986. âMercantilism and the Market: Antecedents of American Industrial Policy.â In C. Barfield and W. Schambra, eds. The Politics of Industrial Policy. Washington, DC: American Enterprise Institute for Public Policy Research. Mervis, Jeffrey D. 1996. âA $1 Billion âTaxâ on R&D Funds.â Science 272:942â944. Moore, D. 2004. âTurning Failure into Success.â In National Research Council. The Small Business Innovation Research Program: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Mowery, D. 1998. âCollaborative R&D: how effective is it?â Issues in Science and Technology (Fall):37â44. Mowery, D., ed. 1999. U.S. Industry in 2000: Studies in Competitive Performance. Washington, DC: National Academy Press. Mowery, D., and N. Rosenberg. 1989. Technology and the Pursuit of Economic Growth. New York: Cambridge University Press. Mowery, D., and N. Rosenberg. 1998. Paths of Innovation: Technological Change in 20th Century America. New York: Cambridge University Press.
232 APPENDIX E Myers, S., R. L. Stern, and M. L. Rorke. 1983. A Study of the Small Business Innovation Research Program. Lake Forest, IL: Mohawk Research Corporation. Myers, S. C., and N. Majluf. 1984. âCorporate financing and investment decisions when firms have information that investors do not have.â Journal of Financial Economics 13:187â221. National Research Council. 1986. The Positive Sum Strategy: Harnessing Technology for Economic Growth. Washington, DC: National Academy Press. National Research Council. 1987. Semiconductor Industry and the National Laboratories: Part of a National Strategy. Washington, DC: National Academy Press. National Research Council. 1991. Mathematical Sciences, Technology, and Economic Competitive- ness. James G. Glimm, ed. Washington, DC: National Academy Press. National Research Council. 1992. The Government Role in Civilian Technology: Building a New Al- liance. Washington, DC: National Academy Press. National Research Council. 1995. Allocating Federal Funds for R&D. Washington, DC: National Academy Press. National Research Council. 1996. Conflict and Cooperation in National Competition for High-Tech- nology Industry. Washington, DC: National Academy Press. National Research Council. 1997. Review of the Research Program of the Partnership for a New Generation of Vehicles: Third Report. Washington, DC: National Academy Press. National Research Council. 1999a. The Advanced Technology Program: Challenges and Opportuni- ties. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999b. Funding a Revolution: Government Support for Computing Re- search. Washington, DC: National Academy Press. National Research Council. 1999c. Industry-Laboratory Partnerships: A Review of the Sandia Science and Technology Park Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999d. New Vistas in Transatlantic Science and Technology Cooperation. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999e. The Small Business Innovation Research Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000a. The Small Business Innovation Research Program: A Review of the Department of Defense Fast Track Initiative. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000b. U.S. Industry in 2000: Studies in Competitive Performance. Washington, DC: National Academy Press. National Research Council. 2001a. The Advanced Technology Program: Assessing Outcomes. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001b. Attracting Science and Mathematics Ph.Ds to Secondary School Education. Washington, DC: National Academy Press. National Research Council. 2001c. Building a Workforce for the Information Economy. Washington, DC: National Academy Press. National Research Council. 2001d. Capitalizing on New Needs and New Opportunities: Government- Industry Partnerships in Biotechnology and Information Technologies. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001e. A Review of the New Initiatives at the NASA Ames Research Center. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001f. Trends in Federal Support of Research and Graduate Education. Washington, DC: National Academy Press. National Research Council. 2002a. Government-Industry Partnerships for the Development of New Technologies: Summary Report. Charles W. Wessner, ed. Washington, DC: The National Acad- emies Press. National Research Council. 2002b. Measuring and Sustaining the New Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: National Academy Press.
APPENDIX E 233 National Research Council. 2002c. Partnerships for Solid-State Lighting. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2004a. An Assessment of the Small Business Innovation Research Pro- gram: Project Methodology. Washington, DC: The National Academies Press. National Research Council. 2004b. Capitalizing on Science, Technology, and Innovation: An Assess- ment of the Small Business Innovation Research Program/Program Manager Survey. Completed by Dr. Joseph Hennessey. National Research Council. 2004c. Productivity and Cyclicality in Semiconductors: Trends, Implica- tions, and Questions.. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2004d. The Small Business Innovation Research Program: Program Diversity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2006a. Beyond Bias and Barriers: Fulfilling the Potential of Women in Academic Science and Engineering. National Research Council. 2006b. Deconstructing the Computer. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2006c. Capitalizing on Science, Technology, and Innovation: An Assess- ment of the Small Business Innovation Research Program/Firm Survey. National Research Council. 2006d. Capitalizing on Science, Technology, and Innovation: An Assess- ment of the Small Business Innovation Research Program/Phase I Survey. National Research Council. 2006e. Capitalizing on Science, Technology, and Innovation: An Assess- ment of the Small Business Innovation Research Program/Phase II Survey. National Research Council. 2006f. Software, Growth, and the Future of the U.S. Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2006g. The Telecommunications Challenge: Changing Technologies and Evolving Policies. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2007a. Enhancing Productivity Growth in the Information Age: Mea- suring and Sustaining the New Economy. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2007b. Indiaâs Changing Innovation System: Achievements, Challenges, and Opportunities for Cooperation. Charles W. Wessner and Sujai J. Shivakumar, eds. Wash- ington, DC: The National Academies Press. National Research Council. 2007c. Innovation Policies for the 21st Century. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Research Council. 2007d. SBIR and the Phase III Challenge of Commercialization. Charles W. Wessner, ed. Washington, DC: The National Academies Press. National Science Foundation. Committee of Visitors Reports and Annual Updates. Available online at <http://www.nsf.gov/eng/general/cov/>. National Science Foundation. Emerging Technologies. Available online at <http://www.nsf.gov/eng/ sbir/eo.jsp>. National Science Foundation. Guidance for Reviewers. Available online at <http://www.eng.nsf. gov/sbir/peer_review.htm>. National Science Foundation. National Science Foundation at a Glance. Available online at <http:// www.nsf.gov/about>. National Science Foundation. National Science Foundation Manual 14, NSF Conflicts of Interest and Standards of Ethical Conduct. Available online at <http://www.eng.nsf.gov/sbir/COI_Form. doc>. National Science Foundation. The Phase IIB Option. Available online at <http://www.nsf.gov/eng/ sbir/phase_IIB.jsp#ELIGIBILITY>.
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