Proposed STTR Policy Directive 2003
Section 3 - Definitions
(a) Act. The Small Business Act (15 U.S.C. 631 et seq.), as amended.
(b) Applicant. The organizational entity that, at the time of award, will qualify as a SBC and that submits a contract proposal or a grant application for a funding agreement under the STTR Program.
(c) Affiliate. This term has the same meaning as set forth in 13 CFR part 121--Small Business Size Regulations, Sec. 121.103, What is affiliation?
(d) Awardee. The organizational entity receiving an STTR Phase I, Phase II, or Phase III award.
(e) Commercialization. The process of developing marketable products or services and producing and delivering products or services for sale (whether by the originating party or by others) to government or commercial markets.
(f) Cooperative Agreement. A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative Agreement contains the responsibilities and respective obligations of the parties.
(g) Cooperative Research and Development. R/R&D conducted jointly by a SBC and a research institution in which not less than 40 percent of the work is performed by the SBC, and not less than 30 percent of the work is performed by the single, partnering research institution.
(h) Essentially Equivalent Work. This 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.
(i) Extramural Budget. The sum of the total obligations for R/R&D minus amounts obligated for R/R&D activities by employees of a Federal agency in or through government-owned, government-operated facilities. For the Agency for International Development, the ``extramural budget'' must not include amounts obligated solely for general institutional support of international research centers or for grants to foreign countries. For the Department of Energy, the ``extramural budget'' must not include amounts obligated for atomic energy defense programs solely for weapons activities or for naval reactor programs.
(j) Feasibility. The practical extent to which a project can be performed successfully.
(k) Federal Agency. An executive agency as defined in 5 U.S.C. 105, or a military department as defined in 5 U.S.C. 102, except that it does not include any agency within the Intelligence Community as defined in Executive Order 12333, Section 3.4(f), or its successor orders.
(l) Funding Agreement. Any contract, grant, or cooperative agreement entered into between any Federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal government.
(m) Funding Agreement Officer. A contracting officer, a grants officer, or a cooperative agreement officer.
(n) Grant. A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. A grant is used whenever the Federal agency anticipates no substantial programmatic involvement with the awardee during performance.
(o) 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.
(p) 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, STTR technical data (as defined in this section), ideas, designs, know-how, business, technical and research methods, other types of intangible business assets, and all types of intangible assets either proposed or generated by an SBC as a result of its participation in the STTR Program.
(q) Joint Venture. An association of 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.
(r) Outcomes. The measures of long-term, eventual, program impact.
(s) Outputs. The measures of near-term program impact.
(t) Principal Investigator/Project Manager. The one individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement.
(u) Program Solicitation. A formal solicitation for proposals whereby a Federal agency notifies the small business community of its R/R&D needs and interests in broad and selected areas, as appropriate to the agency, and requests proposals from SBCs in response to these needs and interests. Announcements in the Federal Register or the GPE are not considered an STTR Program solicitation.
(v) Prototype. A model of something to be further developed, which includes designs, protocols, questionnaires, software, and devices.
(w) Research or Research and Development (R/R&D). Any activity that is:
(l) A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;
(x) Research Institution. One that has a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the U.S. economy through payment of taxes or use of American products, materials or labor, and is:
(l) A non-profit institution as defined in section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980 (that is, an organization that is owned and operated exclusively for scientific or educational purposes, no part of the net earnings of which inures to the benefit of any private shareholder or individual) and includes non- profit medical and surgical hospitals; or
(y) Small Business Concern. A concern that, on the date of award for both Phase I and Phase II funding agreements:
(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;(z) Socially and Economically Disadvantaged SBC. See 13 CFR part 124--8(A) Business Development/Small Disadvantaged Business Status Determinations, Sec. Sec. 124.103 (Who is socially disadvantaged?) and 124.104 (Who is economically disadvantaged?).
(aa) STTR Participants. Business concerns that have received STTR awards or that have submitted STTR proposals/applications.
(bb) STTR Technical Data. All data generated during the performance of an STTR award.
(cc) STTR Technical Data Rights. The rights an SBC obtains in data generated during the performance of any STTR Phase I, Phase II, or Phase III award that an awardee delivers to the government during or upon completion of a Federally-funded project, and to which the government receives a license.
(dd) Subcontract. Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement.
(ee) United States. 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.
(ff) Women-Owned SBC. A SBC that is at least 51 percent owned by one or more women, or in the case of any publicly owned business, at least 51 percent of the stock is owned by women, and women control the management and daily business operations.