The following definitions apply for purposes of this solicitation:
3.1
RESEARCH OR RESEARCH AND DEVELOPMENT
Research or R&D is any scientific or engineering
activity which is (1) a systematic, intensive study directed toward greater
knowledge or understanding of the subject; (2) a systematic study directed
specifically toward applying new knowledge to meet a recognized need; and/or (3)
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.
Something new or improved, having marketable potential,
including (1) development of new technologies, (2) refinement of existing
technologies, or (3) of new applications for existing technologies.
A small business is one that at the time of award of Phase
I (and of Phase II, if awarded):
(1) is organized for profit, with a place of business located in the United States, which operates primarily within 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;
(2) 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;
(3) 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, except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and
(4) has, including its affiliates, not more than 500 employees and meets the other regulatory requirements found in 13 CFR Part 121. Business concerns, other than investment companies licensed, or state development companies qualifying under the Small Business Investment Act of 1958, 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) a third-party/parties controls 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 greater detail in 13 CFR 121.3-2(a). The term
“number of employees” is defined in 13 CRF 121.3-2(t).
Business concerns include, but are not limited to, any individual (sole proprietorship), partnership, corporation, joint venture, association, or cooperative. Further information may be obtained by contacting the Small Business Administration Size District Office at
http://www.sba.gov/size/.
3.4
SOCIALLY AND ECONOMICALLY DISADVANTAGED SMALL BUSINESS
A socially and economically
disadvantaged small business is one:
a.
that is at least 51 percent owned by (i) an Indian tribe or a
native Hawaiian organization, or (ii) one or more socially and economically
disadvantaged individuals; and,
b. whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals. A socially and economically disadvantaged individual is defined as 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, or 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).
Related information requested in
Appendix D, "Application Checklist," is provided to the Small Business
Administration for statistical purposes and is not considered in the evaluation
of grant applications or award of grants.
3.5
WOMAN-OWNED SMALL BUSINESS
A
woman-owned small business is a small business that is at least 51 percent
owned by a woman or 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
management.
Related information requested in Appendix D, "Application Checklist," is provided to the Small Business Administration for statistical purposes and is not considered in the evaluation of grant applications or award of grants.
A subcontract is any agreement,
other than one involving an employer-employee relationship, entered into
by the primary recipient of a Federal Government grant, calling for supplies or
services required solely for the performance of the original grant award.
3.7
HISTORICALLY UNDERUTILIZED BUSINESS ZONE
(HUBZONE)
A small
business concern meeting the following criteria:
1.
Located in a “historically underutilized business zone” or HUBZone
area located in one or more of the following:
a.
A qualified census tract (as defined in
section 42 (d)(5)(c)(i)(l) of the Internal Revenue Code of 1986; or
b.
A qualified “non-metropolitan
county” (as defined in section 143(k)(2)(B) of the International Revenue Code
of 1986) with a median household income of less than 80 percent of the state
median household income or with an unemployment rate of not less than 140
percent of the statewide average, based on U.S. Department of Labor recent data;
or
c.
Lands within the boundaries of federally
recognized Indian reservations.
To find out if your business is in a Hubzone, use the mapping utility provided by the Small Business Administration at its Hubzone Contracting Website: https://eweb1.sba.gov/hubzone/internet/general/findout.cfm. Related information requested in Appendix D, "Application Checklist," is provided to the Small Business Administration for statistical purposes and is not considered in the evaluation of grant applications or award of grants.
A joint venture is an association between two or more firms to participate jointly in a single business enterprise. There must be a community of interests, a sharing of profits and losses, and, for the purposes of this solicitation, the new entity must qualify as a small business (as defined in Section 2.3). If a joint venture is selected for award, the Contract Specialist from the Contracting Office will request a signed agreement from the parties involved. The agreement must state which company will negotiate the grant and serve as the main point of contact.
A research institution is a U.S.
research organization that is:
a. A non-profit research institution as defined in section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980 (i.e., an organization owned and operated exclusively for scientific or educational purposes, no part of the net earnings of which inures to the benefit of any private shareholders or individual), or
e.
A government-owned, government-operated facility, such as the National
Energy Technology Laboratory (NETL), is not
eligible to act as either a partner or subcontractor in DOE SBIR/STTR projects.
The process of developing markets
and producing and delivering products for sale (whether by the originating party
or by others). As used here,
commercialization includes both government and private sector markets.
An individual who provides
professional advice or services for a fee.
The separate and distinct types of intangible property that are referred to collectively as “intellectual property,” including but not limited to: patents, trademarks, copyrights, trade secrets, SBIR/STTR technical data, ideas, designs, know-how, business, technical and research methods, and other types of intangible business assets, and including all types of intangible assets either proposed or generated by a small business as a result of its participation in the SBIR or STTR program.