National Science Foundation
Small Business Innovation Research and Small Business Technology Transfer
1999 SBIR/STTR Phase I Program Solicitation and Phase II Instruction Guide
CHAPTER 2.0 Definitions
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2.1 Commercialization
2.2 Consultant
2.3 Development
2.4 Cooperative Research and Development
2.5 Effective Date
2.6 Expiration Date
2.7 Equivalent Proposals
2.8 Grant Support/Performance Period
2.9 Permanent Equipment
2.10 Principal Investigator
2.11 Overlapping Proposals
2.12 Research Institution
2.13 Research Institution Investigator
2.14 Research or Research and Development (R/R&D)
2.15 Small Business Concern (SBC)
2.16 Socially and Economically Disadvantaged Small Business
2.17 Socially and Economically Disadvantaged Individual
2.18 Subaward (a.k.a. contract or subcontract)
2.19 Technical Data
2.20 Women-Owned Small Business
2.1 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 markets.
2.2 Consultant. A person, not an employee of the
small business concern, who is cited anywhere in the proposal as contributing to the
research - whether paid or unpaid.
2.3 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.
2.4 Cooperative Research and Development. Research
and development conducted jointly by a small business concern and a research institution
in which not less than 40 percent of the work is performed by the small business concern,
and not less than 30 percent of the work is performed by the research institution.
2.5 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.
2.6 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 is normally 24
months in duration.
2.7 Equivalent Proposals. One proposal that entails
the performance of work that completely overlaps with the work entailed by another
proposal.
2.8 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.
2.9 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.
2.10 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." NSF does not permit
Co-Principal Investigators on SBIR proposals.
2.11 Overlapping Proposals. One proposal that
entails the performance of work or portions thereof that overlaps with the work entailed
by another proposal.
2.12 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, 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).
2.13 Research Institution Principal Investigator. The
single individual designated by the Research Institution who is responsible for the
scientific and technical direction of the project.
2.14 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.
2.15 Small Business Concern (SBC). A business
concern that at the time of the Phase I and Phase II awards meets the following criteria:
· It is independently owned and operated, is not dominant in
the field of operation in which it is proposing, has its principal place of business
located in the United States, and is organized for profit.
· It is at least 51 percent owned, or in the case of a
publicly owned business, at least 51 percent of its voting stock is owned, by United
States citizens or lawfully admitted permanent resident aliens.
· It has, including its affiliates, a number of employees not
exceeding 500, and meets the other regulatory requirements found in 13 CFR Part 121.
Business concerns, other than licensed investment companies, or state development
companies qualifying under the Small Business Investment Act of 1938, 15 U.S.C. 661, et
seq., are affiliates of one another when either directly or indirectly, (a) one concern
controls or has the power to control the other; or (b) third parties (or party) control(s)
or has the power to control both. Control can be exercised through common ownership,
common management, and contractual relationships. The term "affiliates" is
defined in great detail in 13 CFR 121.3-2(a). The term "number of employees" is
defined in 13 CFR 121.3.2(t). Business concerns include, but are not limited to, any
individual, partnership, corporation, joint venture, association, or cooperative.
2.16 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.
2.17 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 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 (http://www.sbaonline.sba.gov/).
2.18 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.
2.19 Technical Data. Data developed by the grantee
during the performance of a Small Business Innovation Research (SBIR) grant, such as
information relating to an invention, a manufacturing process, or software developed under
the grant.
2.20 Women-Owned Small Business. A small business
that is at least 51 percent owned by a woman or women who also control and operate it is
women-owned. "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.