D. Cooperative Research and Development
E. Effective Date
F. Expiration Date
G. Equivalent Proposals
H. Grant Support/Performance Period
I. Joint Venture
J. Permanent Equipment
K. Place of Performance
L. Principal Investigator
N. Overlapping Proposals
O. Research Institution
P. Research Institution Investigator
Q. Research or Research and Development (R/R&D)
R. Small Business Concern (SBC)
S. Socially and Economically Disadvantaged Small Business
T. Socially and Economically Disadvantaged Individual
U. Subaward (a.k.a. contract or subcontract)
V. Technical Data
W. Third Party Investor
X. Women-Owned Small Business
A. Commercialization The process of developing markets and producing and delivering products
or services for sale (whether by the originating party or by others).
As used here, commercialization includes both government and non-government
B. Consultant A person that is not an employee of the small business concern who is cited anywhere
in the proposal as contributing to the research, whether paid or
C. Development A systematic application of knowledge toward the production
of useful materials, devices, and systems or methods, including
design, development, and improvement of prototypes and new processes
to meet specific requirements.
Research and Development Research and development conducted jointly by a small business
concern and a research institution under the Small Business Technology
Transfer (STTR) Program in which not less than 40 percent of the
research, as measured by the budget, is performed by the small business
concern, and not less than 30 percent of the research, as measured
by the budget, is performed by the research institution.
E. Effective Date The effective date of a grant is the date specified in the grant
award letter on or after which the proposed work is expected to
begin. Do not confuse the "award date" (appearing
in the upper right hand corner of the letter, indicating when the
award is made administratively) with the "effective date," appearing in the body of the letter.
F. Expiration Date The expiration date of the Phase I grant is the last day of the
six-month grant performance period. For Phase II awards, the expiration
date is last day of the grant support period, which normally is
24 months in duration.
G. Equivalent Proposals One proposal that entails the performance of work that completely
overlaps with the work entailed by another proposal.
H. Grant Support/Performance Period For Phase I awards, the grant support/performance period is
the six-month period beginning on the effective date and ending
six months thereafter. For Phase II awards, the grant support/performance
period is the period beginning on the effective date and normally
ending 24 months thereafter.
I. Joint Venture An
association of persons or concerns with interests in any degree
or proportion by way of contract, express or implied, consorting
to engage in and carry out a single specific business venture for
joint profit, for which purpose they combine their efforts, property,
money, skill, or knowledge, but not on a continuing or permanent
basis for conducting business generally. A joint venture is
viewed as a business entity in determining power to control its
management, has its own Employer Identification Number as assigned
by the Internal Revenue Service, and is eligible under the SBIR
Program provided that the entity created qualifies as a "SBC" as
defined in this section.
J. Permanent Equipment Equipment is defined as an article of non-expendable, tangible
personal property, having a useful life of more than one year and
an acquisition cost of $5,000 or more per unit(companies may elect to establish their capitalization threshold at less than $5000).
K. Place of Performance For both Phases I and II, all research must be performed in the United
States. "United States" means the 50 states, the territories
and possessions of the U.S. Federal Government, the Commonwealth
of Puerto Rico, the District of Columbia, the
Republic of the Marshall Islands, the Federated States of Micronesia,
and the Republic of Palau.
L. Principal Investigator The Code of Federal Regulations, Title 42, Part 52, defines
a Principal Investigator as "the single individual designated
by the grantee in a grant application who is responsible for the
scientific and technical direction of the project." Any
change in PI must be approved by the cognizant Program Officer. NSF does
not permit Co-Principal Investigators on SBIR proposals.
M. Proposer A proposer for SBIR/STTR purposes is the company, not an individual.
N. Overlapping Proposals One proposal that entails the performance of work or portions there of that overlaps with the work entailed by another proposal.
O. Research Institution A research organization that is (1) a nonprofit university,
or (2) a nonprofit research institution as defined in section 4(5)
of the Stevenson-WydlerTechnology Innovation Act of 1980, or (3)
a contractor-operated federally-funded research and development
center (FFRDC), as identified by the National Science Foundation
in accordance with the government-wide Federal Acquisition Regulation
issued in accordance with section 35(c) (1) of the Office of Federal
Procurement Policy Act (or any successor legislation thereto).
P. Research Institution Investigator The single individual designated by the Research Institution
who is responsible for the scientific and technical direction of
a Small Business Technology Transfer project.
Q. Research or Research and Development (R/R&D) Any activity that is a (1) systematic, intensive study directed
toward greater knowledge or understanding of the subject studied,
(2) a systematic study directed specifically toward applying new
knowledge to meet a recognized need, or (3) a systematic application
of knowledge toward the production of useful materials, devices,
systems, or methods, including design, development, and improvement
of prototypes and new processes to meet specific requirements.
R. Small Business Concern (SBC) A business concern that at the time of the Phase I and Phase II awards meets the following criteria:
- Is organized for profit, with a place of business located in the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor; is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture there can be no more than 49 percent participation by foreign business entities in the joint venture; is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and has, including its affiliates, not more than 500 employees.
S. Socially and Economically Disadvantaged Small
Business A socially and economically disadvantaged small business concern
is one that is at least 51 percent owned by one or more socially
and economically disadvantaged individuals and whose management
and daily business operations are controlled by one or more such
individuals. "Control" in this context means exercising
the power to make policy decisions. "Operate" in this
context means being actively involved in the day-to-day management.
T. Socially and Economically Disadvantaged Individual A member of any of the following groups: Black Americans, Hispanic
Americans, Native Americans, Asian-Pacific Americans, Subcontinent
Asian Americans, other groups designated from time to time by the
Small Business Administration (SBA) to be socially disadvantaged,
and any other individual found to be socially and economically disadvantaged
by SBA pursuant to Section 8(a) of the Small Business Act, 15 U.S.C. ; 637(a). For more information on this definition, contact the SBA
U. Subaward (a.k.a. contract or subcontract) Any agreement, other than one involving an employer-employee
relationship, entered into by the small business concern calling
for supplies or services required solely for the performance of
the original funding agreement.
V. Technical Data Data developed by the grantee during the performance of a Small
Business Innovation Research/Small Business Technology Transfer
(SBIR/STTR) grant, such as information relating to an invention,
a manufacturing process, or software developed under the grant.
W. Third-Party Investor A third-party investor may include such entities as another
company, a venture capital firm, an individual "angel"
investor, federal (non-SBIR), state or local government, or any
combinations of the above. It does not include owners of the small
business, their family members, and/or "affiliates" of
the small business, as defined in Title 13 of the Code of Federal
Regulations (C.F.R.), Section 121.103. (Reference: http://law.justia.com/us/cfr/title13/13-220.127.116.11.18.104.22.168.html)
X. Women-Owned Small Business A small business concern that is at least 51 percent owned by
a woman or women, or in the case of any publicly owned business,
at least 51 percent of the your stock is owned by women, who also
control and operate it. "Control" in this context
means exercising the power to make policy decisions. "Operate" in this context means being actively involved in the day-to-day