National Aeronautics and Space Administration
Small Business Innovation Research & Technology Transfer 2002 Program Solicitations

Chapter 2. Definitions

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2. Definitions

2.1 Commercialization

Commercialization is a 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 Cooperative R/R&D Agreement

A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative R/R&D Agreement contains the responsibilities and respective obligations of the parties.

2.3 Cooperative Research or Research and Development

For purposes of the NASA STTR Program, cooperative R/R&D is that which is to be conducted jointly by the SBC and the RI in which at least 40 percent of the work (amount requested, including cost sharing if any, less fee if any) is performed by the SBC and at least 30 percent of the work is performed by the RI.

2.4 Essentially Equivalent Work

The “scientific overlap,” which occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

2.5 Funding Agreement

Any contract, grant, cooperative agreement, or other funding transaction entered into between any Federal agency and any entity for the performance of experimental, developmental, research and development, services, or research work funded in whole or in part by the Federal Government.

2.6 Innovation

Something new or improved, having marketable potential, including (1) development of new technologies, (2) refinement of existing technologies, or (3) development of new applications for existing technologies.

2.7 Intellectual Property

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 (as defined in this section), 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 and SBC as a result of its participation in the SBIR/STTR Program.

2.8 Research Institution

A U.S. research institution is one that is: (1) 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 section 35(c)(1) of the Office of Federal Procurement Policy Act (or any successor legislation thereto), or (2) a non-profit research institution as defined in section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980, or (3) a non-profit college or university.

2.9 Research or Research and Development (R/R&D)

Any activity that is (1) a 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 the design, development, and improvement of prototypes and new processes to meet specific requirements.

2.10 SBIR/STTR Technical Data

Technical data includes all data generated in the performance of any SBIR/STTR funding agreement.

2.11 SBIR/STTR Technical Data Rights

The rights an SBC obtains in data generated in the performance of any SBIR/STTR funding agreement that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

2.12 Small Business Concern

A SBC is one that, at the time of award of Phase I and Phase II funding agreements, meets the following criteria:

1. 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;
   
   
2. 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; and
   
   
3. 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 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, (1) one concern controls or has the power to control the other or (2) a third party controls or has the power to control both. Control can be exercised through common ownership, common management, and contractual relationships. The terms "affiliates" and "number of employees" are defined in greater detail in 13 CFR 121.

Small business concerns include sole proprietorships, partnerships, corporations, joint ventures, associations, or cooperatives. Eligible joint ventures are limited to no more than 49 percent participation by foreign business entities.

2.13 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 disad-vantaged, 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).

2.14 Socially and Economically Disadvantaged Small Business Concern

A socially and economically disadvantaged SBC is one that is: (1) 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 (2) whose management and daily business operations are controlled by one or more socially and economically dis-advantaged individuals. See 13 CFR Part 124.103 and 124.104.

2.15 Subcontract

Any agreement, other than one involving an employer-employee relationship, entered into by a Federal Government contractor calling for supplies or services required solely for the performance of the original funding agreement.

2.16 United States

Means the 50 states, the territories and possessions of the 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.

2.17 Women-Owned Small Business

A women-owned SBC is one 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.

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