Appendix E
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Arrow, Kenneth. 1962. “Economic welfare and the allocation of resources for Invention.” Pp. 609–625 in The Rate and Direction of Inventive Activity: Economic and Social Factors. Princeton, NJ: Princeton University Press.

Arrow, Kenneth. 1973. “The theory of discrimination.” Pp. 3–331 in Discrimination in Labor Market. Orley Ashenfelter and Albert Rees, eds. Princeton, NJ: Princeton University Press.

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Audretsch, David B., and Paula E. Stephan. 1996. “Company-scientist locational links: The case of biotechnology.” American Economic Review 86(3):641–642.

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Appendix E Bibliography Acs, Z., and D. Audretsch. 1991. Innoation and Small Firms. Cambridge, MA: MIT Press. Advanced Technology Program. 2001. Performance of 0 Completed ATP Projects, Status Report . National Institute of Standards and Technology Special Publication 950-2. Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Depart- ment of Commerce. Alic, John A., Lewis Branscomb, Harvey Brooks, Ashton B. Carter, and Gerald L. Epstein. 1992. Beyond Spinoff: Military and Commercial Technologies in a Changing World. Boston, MA: Harvard Business School Press. American Association for the Advancement of Science. “R&D Funding Update on NSF in the FY2007.” Available online at . Archibald, R., and D. Finifter. 2000. “Evaluation of the Department of Defense Small Business In- novation Research Program and the Fast Track Initiative: A Balanced Approach.” In National Research Council. The Small Business Innoation Research Program: An Assessment of the Department of Defense Fast Track Initiatie. Charles W. Wessner, ed. Washington, DC: National Academy Press. Arrow, Kenneth. 1962. “Economic welfare and the allocation of resources for Invention.” Pp. 609–625 in The Rate and Direction of Inentie Actiity: Economic and Social Factors. Princeton, NJ: Princeton University Press. Arrow, Kenneth. 1973. “The theory of discrimination.” Pp. 3−31 in Discrimination in Labor Market. Orley Ashenfelter and Albert Rees, eds. Princeton, NJ: Princeton University Press. Audretsch, David B. 1995. Innoation and Industry Eolution. Cambridge, MA: MIT Press. Audretsch, David B., and Maryann P. Feldman. 1996. “R&D spillovers and the geography of innova- tion and production.” American Economic Reiew 86(3):630–640. Audretsch, David B., and Paula E. Stephan. 1996. “Company-scientist locational links: The case of biotechnology.” American Economic Reiew 86(3):641–642. Audretsch, D., and R. Thurik. 1999. Innoation, Industry Eolution, and Employment. Cambridge, MA: MIT Press. Baker, Alan. No date. “Commercialization Support at NSF.” Draft. Barfield, C., and W. Schambra, eds. 1986. The Politics of Industrial Policy. Washington, DC: Ameri- can Enterprise Institute for Public Policy Research. 7

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0 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. “Information imperfections in the capital market and macroeconomic fluctuations.” American Economic Reiew Papers and Proceedings 74:194–199. Griliches, Z. 1990. The Search for R&D Spilloers. Cambridge, MA: Harvard University Press. Hall, Bronwyn H. 1992. “Investment and research and development: Does the source of financing matter?” Working Paper No. 92–194, Department of Economics/University of California at Berkeley. Hall, Bronwyn H. 1993. “Industrial research during the 1980s: Did the rate of return fall?” Brookings Papers: Microeconomics 2:289−343. Hamberg, Dan. 1963. “Invention in the industrial research laboratory.” Journal of Political Economy (April):95−115. Hao, K. Y., and A. B. Jaffe. 1993. “Effect of liquidity on firms’ R&D spending.” Economics of Innoa- tion and New Technology 2:275–282. Hebert, Robert F., and Albert N. Link. 1989. “In search of the meaning of entrepreneurship.” Small Business Economics 1(1):39–49. Himmelberg, C. P., and B. C. Petersen. 1994. “R&D and internal finance: A panel study of small firms in high-tech industries.” Reiew of Economics and Statistics 76:38–51. Hubbard, R. G. 1998. “Capital-market imperfections and investment.” Journal of Economic Literature 36:193–225. Huntsman, B., and J. P. Hoban Jr. 1980. “Investment in new enterprise: Some empirical observations on risk, return, and market structure.” Financial Management 9 (Summer):44–51. Jaffe, A. B. 1996. “Economic Analysis of Research Spillovers: Implications for the Advanced Technol- ogy Program.” Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce). Jaffe, A. B. 1998a. “Economic Analysis of Research Spillovers: Implications for the Advanced Technology Program.” Washington, DC: Advanced Technology Program/National Institute of Standards and Technology/U.S. Department of Commerce. Jaffe, A. B. 1998b. “The importance of ‘spillovers’ in the policy mission of the Advanced Technology Program.” Journal of Technology Transfer (Summer). Jewkes, J., D. Sawers, and R. Stillerman. 1958. The Sources of Inention. New York: St. Martin’s Press. Johnson, M. 2004. “SBIR at the Department of Energy: Achievements, Opportunities, and Challenges.” In National Research Council. SBIR: Program Diersity and Assessment Challenges. Charles W. Wessner, ed. Washington, D.C.: The National Academies Press, 2004. Kauffman Foundation. About the Foundation. Available online at . 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. “Does Venture Capital Spur Innovation?” 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. “Stop Crying over Spilt Knowledge: A Critical Look at the Theory of Spillovers and Technical Change.” Paper prepared for the MERIT Confer- ence on Innovation, Evolution, and Technology. Maastricht, Netherlands, August 25–27. Lebow, I. 1995. Information Highways and Byways: From the Telegraph to the st Century. New York: Institute of Electrical and Electronic Engineering. Lerner, J. 1994. “The syndication of venture capital investments.” Financial Management 23 (Autumn):16–27. Lerner, J. 1995. “Venture capital and the oversight of private firms.” Journal of Finance 50:301– 318.

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 APPENDIX E Lerner, J. 1996. “The government as venture capitalist: The long-run effects of the SBIR program.” Working Paper No. 5753, National Bureau of Economic Research. Lerner, J. 1998. “Angel financing and public policy: An overview.” Journal of Banking and Finance 22(6–8):773–784. Lerner, J. 1999a. “The government as venture capitalist: The long-run effects of the SBIR program.” Journal of Business 72(3):285–297. Lerner, J. 1999b. “Public venture capital: Rationales and evaluation.” In The SBIR Program: Chal- lenges and Opportunities. Washington, DC: National Academy Press. Levy, D. M., and N. Terleckyk. 1983. “Effects of government R&D on private R&D investment and productivity: A macroeconomic analysis.” Bell Journal of Economics 14:551–561. Liles, P. 1977. Sustaining the Venture Capital Firm. Cambridge, MA: Management Analysis Center. Link, Albert N. 1998. “Public/Private Partnerships as a Tool to Support Industrial R&D: Experiences in the United States.” 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. “Firm size, university based research and the returns to R&D.” Small Business Economics 2(1):25–32. Link, Albert N., and John T. Scott. 1998a. “Assessing the infrastructural needs of a technology-based service sector: A new approach to technology policy planning.” STI Reiew 22:171–207. Link, Albert N., and John T. Scott. 1998b. Oercoming 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: Ealuating Technology-Based Institutions. Norwell, MA: Kluwer Academic. Link, A. N., and J. T. Scott. 2005. Ealuating Public Research Institutions: The U.S. Adanced Tech- nology Program’s Intramural Research Initiatie. London: Routledge. Longini, P. 2003. “Hot buttons for NSF SBIR Research Funds,” Pittsburgh Technology Council, TechyVent. November 27. Malone, T. 1995. The Microprocessor: A Biography. Hamburg, Germany: Springer Verlag/Telos. Mansfield, E. 1985. “How Fast Does New Industrial Technology Leak Out?” Journal of Industrial Economics 34(2). Mansfield, E. 1996. Estimating Social and Priate Returns from Innoations Based on the Adanced Technology Program: Problems and Opportunities. Unpublished report. Mansfield, E., J. Rapoport, A. Romeo, S. Wagner, and G. Beardsley. 1977. “Social and private rates of return from industrial innovations.” Quarterly Journal of Economics 91:221–240. Martin, Justin. 2002. “David Birch.” Fortune Small Business (December 1). McCraw, T. 1986. “Mercantilism and the Market: Antecedents of American Industrial Policy.” 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. “A $1 Billion ‘Tax’ on R&D Funds.” Science 272:942−944. Moore, D. 2004. “Turning Failure into Success.” In National Research Council. The Small Business Innoation Research Program: Program Diersity and Assessment Challenges. Charles W. Wessner, ed. Washington, DC: The National Academies Press. Mowery, D. 1998. “Collaborative R&D: how effective is it?” Issues in Science and Technology (Fall):37–44. Mowery, D., ed. 1999. U.S. Industry in 000: Studies in Competitie 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 Innoation: Technological Change in 0th Century America. New York: Cambridge University Press.

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 APPENDIX E Myers, S., R. L. Stern, and M. L. Rorke. 1983. A Study of the Small Business Innoation Research Program. Lake Forest, IL: Mohawk Research Corporation. Myers, S. C., and N. Majluf. 1984. “Corporate financing and investment decisions when firms have information that investors do not have.” Journal of Financial Economics 13:187–221. National Research Council. 1986. The Positie 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 Competitie- ness. James G. Glimm, ed. Washington, DC: National Academy Press. National Research Council. 1992. The Goernment Role in Ciilian 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. Reiew 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 Adanced Technology Program: Challenges and Opportuni- ties. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 1999b. Funding a Reolution: Goernment Support for Computing Re- search. Washington, DC: National Academy Press. National Research Council. 1999c. Industry-Laboratory Partnerships: A Reiew of the Sandia Science and Technology Park Initiatie. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 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 Innoation Research Program: Challenges and Opportunities. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000a. The Small Business Innoation Research Program: A Reiew of the Department of Defense Fast Track Initiatie. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2000b. U.S. Industry in 000: Studies in Competitie Performance. Washington, DC: National Academy Press. National Research Council. 2001a. The Adanced 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: Goernment- Industry Partnerships in Biotechnology and Information Technologies. Charles W. Wessner, ed. Washington, DC: National Academy Press. National Research Council. 2001e. A Reiew of the New Initiaties 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. Goernment-Industry Partnerships for the Deelopment 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.

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 APPENDIX E 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 Innoation 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. Productiity and Cyclicality in Semiconductors: Trends, Implica- tions, and Questions.. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2004d. The Small Business Innoation Research Program: Program Diersity 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 Eoling Policies. Dale W. Jorgenson and Charles W. Wessner, eds. Washington, DC: The National Academies Press. National Research Council. 2007a. Enhancing Productiity 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. India’s Changing Innoation System: Achieements, Challenges, and Opportunities for Cooperation. Charles W. Wessner and Sujai J. Shivakumar, eds. Wash- ington, DC: The National Academies Press. National Research Council. 2007c. Innoation Policies for the st 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 . National Science Foundation. Emerging Technologies. Available online at . National Science Foundation. Guidance for Reviewers. Available online at . National Science Foundation. National Science Foundation at a Glance. Available online at . National Science Foundation. National Science Foundation Manual 14, NSF Conflicts of Interest and Standards of Ethical Conduct. Available online at . National Science Foundation. The Phase IIB Option. Available online at .

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