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Small Business Innovation Research
2003 Program Solicitation
DTRS57-03-R-SBIR

II. Definitions

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1. Research or Research and Development

   Research or research and development (R or R&D) means any activity which 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, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

2. Small Business Concern

   A small business concern is one that at the time of award of Phase I and Phase II contracts meets the following criteria:

   1. Is independently owned and operated, is not dominant in the field of operation in which it is proposing, and 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 (A) one concern controls or has the power to control the other; or (B) a third party or parties controls or has the power to control both. Control can be exercised through common ownership, common management, and contractual relationships. The term "affiliation" is defined in greater detail in 13 CFR 121.401. The term "number of employees" is defined in 13 CFR 121.407. Business concerns include, but are not limited to, any individual, partnership, corporation, joint venture, association or cooperative.

3. Minority and Disadvantaged Small Business Concern

   A minority and disadvantaged small business concern is one that is:

   1. At least 51 percent owned by one or more minority and disadvantaged individuals; or in the case of a publicly owned business, at least 51 percent of the voting stock of which is owned by minority and disadvantaged individuals; and

   2. Whose management and daily business operations are controlled by one or more such individuals.

   A minority and disadvantaged individual is defined as 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.

4. Women-Owned Small Business Concern

   A women-owned small business concern 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.

5. Subcontract

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

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