U.S. Department of Transportation
Office of the Secretary
of Transportation
DTRT57-08-R-SBIR2
FY08.2
PROGRAM SOLICITATION
Small Business Innovation Research Program
II. Definitions
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A. Research or Research and Development (R/R&D)
R/R&D means any activity which is:
- A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;
- A systematic study directed specifically toward applying new knowledge to meet a recognized need; or
- 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.
B. Small Business Concern
A small business concern is one that at the time of award of Phase I and Phase II contracts meets all of the following criteria:
- Is independently owned and operated, is not dominant in the field of operation in which it is proposing, and has a place of business in the United States and operates primarily within the United States or makes a significant contribution to the U.S. economy, and is organized for profit.
- Is (a) at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States or (b) it must be a for–profit business concern that is at least 51% owned and controlled by another for–profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States.
Has, including its affiliates, an average number of employees for the preceding 12 months of less than 500, and meets the other regulatory requirements found in 13 CFR Part 121. Business concerns are generally considered to be 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 121.103. The term "number of employees" is defined in 13 CFR 121.106.
A business concern may be in the form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust, or cooperative. Further information may be obtained at http://www.sba.gov/size, or by contacting the Small Business Administration’s Government Contracting Area Office or Office of Size Standards.
C. Socially and Economically Disadvantaged Small Business Concern
A socially and economically disadvantaged small business concern is one that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals, or an Indian tribe, including Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO), or a Community Development Corporation (CDC). Control includes both strategic planning (as that exercised by boards of directors) and the day–to–day management and administration of business operations. See 13 CFR 124.109, 124.110, and 124.111 for special rules pertaining to concerns owned by Indian Tribes (including ANCs), NHOs, or CDCs, respectively.
D. Women–Owned Small Business Concern
A woman–owned small business concern is one that is at least 51% owned and controlled by a woman or women. Control includes both the strategic planning (as that exercised by boards of directors) and the day–to–day management and administration of business operations.
E. Veteran–Owned Small Business
A veteran–owned small business concerns is one that is at least 51 percent owned and controlled by one or more veterans (as defined at 38 U.S.C. 101(2) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans, and the management and daily business operations of which are controlled by one or more veterans.
F. 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.
G. Historically Underutilized Business Zone (HUBZone)
A HUBZone small business concern is one that meets the following criteria:
- Located in "historically underutilized business zone" or HUBZone area located in one or more of the following:
- A qualified census tract (as defined in Section 42(d)(5)(i)(l) of the Internal Revenue Code of 1986);
- A qualified "non-metropolitan county" (as defined in Section 143(k)(2)(B) of the Internal Revenue Code of 1986) with a median household income of less than 80% of the state median household income or with an unemployment of not less than 140% of the statewide average based on U.S. Department of Labor recent data; or
- Lands within the boundaries of Federally recognized Indian reservations.
- Owned and controlled by one or more U.S. citizen(s).
- At least 35% of its employees must reside in a HUBZone.
