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National Aeronautics and Space Administration
Small Business Technology Transfer 1998 Program Solicitation

Chapter 2. Definitions 

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2.1 Cooperative Research and Development
2.2 Research Institution (RI)
2.3 Small Business Concern (SBC)
2.4 Socially and Economically Disadvantaged SBC
2.5 Socially and Economically Disadvantaged Individual
2.6 Women-Owned SBC
2.7 Subcontract

For purposes of the NASA STTR Program, this means research and development conducted jointly by a SBC and a RI in which not less than 40 percent of the work (amount requested, including cost sharing if any, less fee if any) is performed by the SBC and not less than 30 percent of the work is performed by the RI.

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 as 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.

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; and

(2) Is at least 51 percent owned by, 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, (a) one concern controls or has the power to control the other or (b) a third party 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. The term "number of employees" is also defined in 13 CFR 121. Business concerns include, but are not limited to, any individual, partnership, corporation, joint venture, association, or cooperative.

A socially and economically disadvantaged SBC is: (1) one that is at least 51 percent owned by (i) an Indian tribe or a native Hawaiian organization or (ii) one or more individuals who are socially and economically disadvantaged individuals, and (2) whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals.

A member of any of the following groups:

(1) Black Americans
(2) Hispanic Americans
(3) Native Americans
(4) Asian-Pacific Americans
(5) Subcontinent Asian Americans
(6) Other groups designated from time to time by SBA to be socially disadvantaged; or
(7) 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).

A SBC 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.

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 contract. (Section 3.4.1, Part 10.)

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