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Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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The Advanced Technology Program: Assessing Outcomes

CHARLES W. WESSNER, EDITOR

Board on Science, Technology, and Economic Policy
Policy and Global Affairs
National Research Council


NATIONAL ACADEMY PRESS
Washington, D.C.


Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, D.C. 20418

    NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.

    This study was supported by Contract No. 50SBNB9C1080 between the National Academy of Sciences and the National Institute of Standards and Technology. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project.

    International Standard Book Number 0-309-07410-X

    Limited copies are available from Board on Science, Technology, and Economic Policy, National Research Council, 1055 Thomas Jefferson Street, N.W., Suite 2014, Washington, D.C. 20007; 202-334-2200.

    Additional copies of this report are available from National Academy Press , 2101 Constitution Avenue, N.W. , Lockbox 285, Washington, D.C. 20055 ; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu .

    Printed in the United States of America

    Copyright 2001 by the National Academy of Sciences . All rights reserved.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    THE NATIONAL ACADEMIES

    National Academy of Sciences

    National Academy of Engineering

    Institute of Medicine

    National Research Council

    The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences.

    The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering.

    The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine.

    The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    Steering Committee for Government-Industry Partnerships for the Development of New Technologies *

    Gordon Moore, Chair Chairman Emeritus Intel Corporation

    M. Kathy Behrens Managing Partner Robertson Stephens Investment Management and STEP Board

    Michael Borrus Managing Director The Petkevich Group, LLC

    Iain M. Cockburn Professor of Finance and Economics Boston University

    Kenneth Flamm Dean Rusk Chair in International Affairs LBJ School of Public Affairs University of Texas at Austin

    James F. Gibbons Professor of Engineering Stanford University

    W. Clark McFadden Partner Dewey Ballantine

    Burton J. McMurtry General Partner Technology Venture Investors

    William J. Spencer, Vice-Chair Chairman Emeritus SEMATECH and STEP Board

    Mark B. Myers Senior Vice-President, retired Xerox Corporation and STEP Board

    Richard Nelson George Blumenthal Professor of International and Public Affairs Columbia University

    Edward E. Penhoet Dean, School of Public Health University of California at Berkeley and STEP Board

    Charles Trimble Vice-Chairman Trimble Navigation

    John P. Walker Chairman and Chief Executive Officer Axys Pharmaceuticals, Inc.

    Patrick Windham President, Windham Consulting; and Lecturer, Stanford University

    * As of February 2001.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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Project Staff *

Charles W. Wessner Study Director

Duncan Brown Consultant

McAlister T. Clabaugh Program Associate

David E. Dierksheide Program Associate

Contributors **

David Austin Resources for the Future

Alan P. Balutis * National Institute of Standards and Technology

Tayler H. Bingham Research Triangle Institute

Jeffrey H. Dyer Brigham Young University

Maryann P. Feldman Johns Hopkins University

Maryellen R. Kelley * National Institute of Standards and Technology

Barbara Lambis National Institute of Standards and Technology

Albert N. Link University of North Carolina at Greensboro

Molly Macauley Resources for the Future

Benjamin C. Powell University of Pennsylvania

Rosalie Ruegg Technology Impact Assessment (TIA) Consulting

*As of February 2001.
**Biographies of the contributors are included in Annex B.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    For the National Research Council (NRC), this project was overseen by the Board on Science, Technology and Economic Policy (STEP), a standing board of the NRC established by the National Academies of Sciences and Engineering and the Institute of Medicine in 1991. The mandate of the STEP Board is to integrate understanding of scientific, technological, and economic elements in the formulation of national policies to promote the economic well-being of the United States. A distinctive characteristic of STEP's approach is its frequent interactions with public and private-sector decision makers. STEP bridges the disciplines of business management, engineering, economics, and the social sciences to bring diverse expertise to bear on pressing public policy questions. The members of the STEP Board * and the NRC staff are listed below:

    Dale Jorgenson, Chair Frederic Eaton Abbe Professor of Economics Harvard University

    M. Kathy Behrens Managing Partner Robertson Stephens Investment Management

    Vinton G. Cerf Senior Vice-President WorldCom

    Bronwyn Hall Professor of Economics University of California at Berkeley

    James Heckman Henry Schultz Distinguished Service Professor of Economics University of Chicago

    Ralph Landau Consulting Professor of Economics Stanford University

    Richard Levin President Yale University

    William J. Spencer, Vice-Chair Chairman Emeritus SEMATECH

    David T. Morgenthaler Founding Partner Morgenthaler

    Mark B. Myers Senior Vice-President, retired Xerox Corporation

    Roger Noll Morris M. Doyle Centennial Professor of Economics Stanford University

    Edward E. Penhoet Dean, School of Public Health University of California at Berkeley

    William Raduchel Chief Technology Officer AOL Time Warner

    Alan Wm. Wolff Managing Partner Dewey Ballantine

    *As of February 2001.

Page viii Cite
Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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STEP Staff *

Stephen A. Merrill Executive Director

Philip Aspden Senior Program Officer

Camille M. Collett Program Associate

David E. Dierksheide Program Associate

Charles W. Wessner Program Director

Craig M. Schultz Research Associate

McAlister T. Clabaugh Program Associate

*As of February 2001.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    National Research Council Board on Science, Technology, and Economic Policy

    Sponsors

    The National Research Council gratefully acknowledges the support of the following sponsors:

    National Aeronautics and Space Administration

    Office of the Director, Defense Research & Engineering

    National Science Foundation

    U.S. Department of Energy

    Office of Naval Research

    National Institutes of Health

    National Institute of Standards and Technology

    Sandia National Laboratories

    Electric Power Research Institute

    International Business Machines

    Kulicke and Soffa Industries

    Merck and Company

    Milliken Industries

    Motorola

    Nortel

    Proctor and Gamble

    Silicon Valley Group, Incorporated

    Advanced Micro Devices

    Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the project sponsors.

Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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Contents

FOREWORD 1
EXECUTIVE SUMMARY 3
I.     PREFACE 11
II.     INTRODUCTION 25
    A.     Background 25
    B.     Overview of the Papers 59
    C.     Summary of Symposium Proceedings 63
III.     FINDINGS AND RECOMMENDATIONS 85
IV.     PROCEEDINGS
    Welcome
Charles Wessner, National Research Council
101
    Introduction to the Symposium
Clark McFadden, Dewey Ballantine
103
    Panel I:     The ATP Objective: Addressing the Financing Gap for Enabling Technologies
Moderator: Charles Trimble, Trimble Navigation
105
Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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        The View from Industry: A Start-up's Perspective
Elizabeth Downing, 3D Technology Laboratories
105
        The Venture Capital Perspective
David Morgenthaler, Morgenthaler Venture Capital
108
        Lowering Hurdle Rates for New Technologies
Kathleen Kingscott, International Business Machines Corporation
112
    Panel II:     ATP's Assessment Program
Moderator: David Goldston, Office of Congressman Sherwood Boehlert
117
        Delivering Public Benefits with Private-Sector Efficiency Through the ATP
Rosalie Ruegg, Advanced Technology Program
117
        Perspectives on Program Evaluation
Irwin Feller, Pennsylvania State University
123
        Discussants:
Nicholas Vonortas, George Washington University James Turner, House Science Committee
126
    Panel III:     Stimulating R&D Investment
Moderator: David Finifter, College of William & Mary
131
        Assessing the ATP: Halo Effects and Added Value
Maryann Feldman, Johns Hopkins University
131
        Cheap Gas?: Joint Ventures and Fuel Efficiency
Mark A. Ehlen, National Institute of Standards and Technology
136
        Design Freedoms and Enhanced Value
Larry Rhoades, Extrude Hone Corporation
140
    Panel IV:     Assessing Progress: Case Study Cluster
Moderator: David Austin, Resources for the Future
145
        Xeno-Organ Transplant
David Ayares, PPL Therapeutics, Inc.
146
Page xiii Cite
Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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        Extending Case Study Methodologies For Technology Policy Evaluation
Todd A. Watkins, Lehigh University
149
        Economic Returns to New Medical Technologies
Tayler Bingham, Research Triangle Institute
154
        Discussant: Henry Kelly, White House Office of Science and Technology Policy 157
    Panel V:     Assessing the ATP Assessment Program: Challenges and Policy Issues
Moderator: Charles Wessner, National Research Council
160
        Panelists:
John Yochelson, Council on Competitiveness
Maryann Feldman, Johns Hopkins University
William Bonvillian, Office of Senator Joseph Lieberman
David Goldston, Office of Congressman Sherwood Boehlert
Todd A. Watkins, Lehigh University
160
    Concluding Remarks
Charles Wessner, National Research Council
169

Boxes within the Summary Report

Box A.     Partnerships Reviewed by the Government-Industry Partnerships Study 18
Box B.     Principal Federal Legislation Related to Cooperative Technology Programs 27
Box C.     R&D Programs: The Challenge for Policymakers 34
Box D.     What is the Advanced Technology Program? 40
Box E.     Critical Characteristics of the Advanced Technology Program 41
Box F.     GAO Reviews of the ATP 45
Box G.     “Picking Winners and Losers” and the Advanced Technology Program 51
Box H.     Why Should Government Fund Promising Technologies? 65
Box I.     A Venture Capitalist's Perspective on the ATP 66
Box J.     Advancing the Art of Program Assessment 68
V.     RESEARCH PAPERS
    The ATP Competition Structure
Alan P. Balutis and Barbara Lambis, National Institute of Standards and Technology
175
Suggested Citation:"Front Matter." National Research Council. 2001. The Advanced Technology Program: Assessing Outcomes. Washington, DC: The National Academies Press. doi: 10.17226/10145.
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    Leveraging Research and Development: The Impact of the Advanced Technology Program
Maryann P. Feldman, Johns Hopkins University, and Maryellen R. Kelley, National Institute of Standards and Technology
189
    Estimating Economic Benefits from ATP Funding of New Medical Technologies
Tayler H. Bingham, Research Triangle Institute
211
    Enhanced R&D Efficiency in an ATP-funded Joint Venture
Albert N. Link, University of North Carolina at Greensboro
223
    Estimating Future Benefits from ATP Funding of Digital Data Storage
David Austin and Molly Macauley, Resources for the Future
239
    Perspectives on the Determinants of Success in ATP-sponsored R&D Joint Ventures: The Views of Participants
Jeffrey H. Dyer, Brigham Young University, and Benjamin C. Powell, University of Pennsylvania
249
    Taking a Step Back: An Early Results Overview of Fifty ATP Awards
Rosalie Ruegg, Technology Impact Assessment (TIA) Consulting
259
VI.     ANNEX
    A.     Authorizing Legislation for the Advanced Technology Program 281
    B.     Biographies of Contributors 287
    C.     Participants List 25 April 2000 Conference 295
    D.     Internal and External Reviews of the ATP, Analyses Commissioned by the Office of Economic Assessment 299
    E.     Bibliography 303
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This report examines the operations of the APT, reviews its extensive assessment program, and provides NRC Committee findings concerning the ATP’s operations and recommendations for potential improvements to the program. The report includes a summary of a major conference held in April 2000 as well as seven papers, including surveys of the industry participants or users of the ATP program, a summary of the results of fifty awards, detailed assessments of major joint ventures, and a description of the current selection process. It is the most comprehensive study to date of the program’s origins, operations, achievements, and assessment. Its conclusion: the program works.

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