Section 5400 - DefinitionsThe following terms shall have the meanings set forth below:
(a) "Act" means Chapter 3.5 (commencing with Section 15379) of Part 6.7 of Division 3 of Title 2 of the California Government Code.(b) "Affiliate", as to a specified person, means a person that directly, or through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. A person controls another person within the meaning of this definition through the possession, direct or indirect, of the power to direct or cause the direction of the management, policies or actions of such other person.(c) "Agency" means the Trade and Commerce Agency.(d) "Allowable overhead costs" means indirect costs or overhead calculated in conformity with the principals and procedures set forth in (1) the United States Federal Register, Vol. 53, No. 199, Part V, Office of Management and Budget, Circular No. A-87, Friday, October 14, 1988, or (2) the United States Federal Register, Volume 44, No. 45, Office of Management and Budget, Circular No. A-21, March 6, 1979, each as amended from time to time, or any successor thereto, incorporated by reference herein and available from the department.(e) "Applicant" means a public agency, or a not-for-profit or a nonprofit organization, which applies for a grant.(f) "Application" means the application for a grant submitted and filed pursuant to Article 2.(g) "California-based foundation" means a nonprofit organization which complies with all of the following: (1) it is a private foundation as defined in Title 26, Section 509 of the United States Codes;(2) it is incorporated in California; and(3) it receives at least 51% of its funding from California companies.(h) "California company" means a private firm which does not qualify as a nonprofit organization, which either: (1) has at least 100 employees in California, or(2) the average of the property factor, the payroll factor and the sales factor (as defined in Section 25129, 25132 and 25134 of the California Revenue and Taxation Code, incorporated by reference herein) with respect to such company exceeds 50% during the latest full income year, so that the weighted average of such company's property, sales and employment exceeds 50% in California.(i) "Collaborative research" means new or ongoing technological or scientific research that accelerates existing research towards the commercialization of product(s), process(es) or service(s), and is conducted jointly or funded jointly by some or all of the following: (1) Private sector, including intra-industry groups, California-based private foundations, industry associations, and nonprofit cooperative associations..(2) The federal government.(4) Public or private universities, colleges, and laboratories.(j) "Committee" means the Competitive Technology Advisory Committee created pursuant to Government Code Section 15333.6.(k) "Consortium" means a non-profit organization jointly funded and/or jointly operated by two or more funding sources, which is an independent research and development organization. As used in this subsection, "independent research and development organization" means an organization that performs technology transfer directly or by contracting with other entities to perform all or part of this function.(l) "Consortium development" means a project to organize and establish a consortium to fund and manage technology transfer with respect to a specific technology or industry and which meets the requirements of Sections 5413(a)(7) & (8) and 5450.(m) "Consortium project" means a project which is one of the following: (1) consortium development;(2) consortium technology transfer;(3) a combination of (1) and (2).(n) "Consortium technology transfer" means a project to fund and manage technology transfer with respect to a specific technology or industry priority where the applicant is either: (1) a consortium previously established by a consortium development project; or(2) a California nonprofit corporation previously established by all consortium funding sources for the purpose of funding technology transfer. As used in this subsection, "California nonprofit corporation" means a corporation organized and in good standing as a nonprofit corporation under Title 1, Division 2 of the California Corporations Code.(o) "Cooperative research" means a new collaborative research project.(p) "Discretionary grant" means a grant awarded in accordance with the provisions of Section 5431.(q) "Entrepreneurial business development" means a project which is intended to result in either (1) product(s), process(es) or service(s) made available for commercialization by small businesses, or (2) a procedure implemented by the applicant to assist commercialization of product(s), process(es) and service(s) by small businesses.(r) "Funding phase" means the nature and duration of a project as described in Section 5424.(s) "Grant" means funding for a project provided under the Act in the form of payment[s] to an applicant pursuant to a grant agreement.(t) "Grant agreement" means any agreement entered into between the agency and an applicant that is approved for funding by the secretary to provide a grant for a project on such terms and conditions as shall be required by the agency and agreed to by the applicant.(u) "Industry association" means either:(1) a nonprofit organization or a nonprofit association (as defined in Part 2 (commencing at Section 21000) of Title 3 of the Corporations Code) whose membership and funding includes a California company; or(2) any advisory board, committee, council or commission operating pursuant to either Chapter 1 (commencing at Section 58601) of Part 2 of Division 21 of the Food and Agriculture Code or Division 22 (commencing at Section 64001) of the Food and Agriculture Code.(v) "Industry member" means an entity other than a nonprofit organization or a public entity which is participating in the funding and/or management of a consortium project.(w) "In-kind contribution" means the value of personnel and equipment provided by any entity other than the agency and meeting the requirements of Section 5412(d) and (e).(x) "Matching contribution" means a contribution to the cost of a project made by a private sector participant pursuant to Section 5412.(y) "Multiyear grant" means a grant consisting of funds encumbered from more than one year, subject to the requirements of Sections 5430.(z) "Nonprofit cooperative association" means an association organized and operating pursuant to either Chapter 1 (commencing with Section 54001) of Division 20 of the Food and Agriculture Code or Part 2 (commencing with Section 12200) of Division 3 of Title 1 of the Corporations Code.(aa) "Nonprofit organization" means a corporation organized and in good standing as a nonprofit corporation under Title 1, Division 2 of the California Corporations Code or the equivalent nonprofit corporation law of any other state, or any organization which has received a determination letter to that effect from the Internal Revenue Service under Section 501(c) of the Internal Revenue Code of 1986.(bb) "Person" means an individual, a corporation, a partnership, a joint venture, an association, a joint stock company, a trust, or an unincorporated organization.(cc) "Private sector participant" means a company that makes a matching contribution that meets the requirements of Section 5416.(dd) "Program" means the California Competitive Technology Program created pursuant to the Act.(ee) "Program area" means one of the following categories which describe the purpose of a project: (1) cooperative research;(2) consortium development;(3) consortium technology transfer;(4) entrepreneurial business development;(5) technology transfer innovation; or(6) unsolicited proposal.(ff) "Program priority" means a category of technology or industry that receives priority for funding pursuant to Section 5423.(gg) "Project" means an endeavor designed to achieve technology transfer, including access to ongoing research and research findings, exchange or transfer of personnel, research support services including capital outlay, and collaborative research.(hh) "Public agency" means an agency, agency or instrumentality of the federal government, any state, or any political subdivision of a state.(ii) "Research institution" means a public or independent university, college or laboratory.(jj) "Secretary" means the secretary of the Agency.(kk) "Small business" means a United States domiciled concern as defined in Section 2 of Public Law 85-536(15 U.S.C. 632) and implementing regulations specified in 13 C.F.R. Section 121.2, as amended from time to time, or any successor thereto, incorporated by reference herein.(ll) "Sub-project" means a third-party project which is solicited, evaluated, funded and administered by a consortium technology transfer project.(mm) "Sub-solicitation" means the application instructions used to solicit third-party projects developed and utilized by an applicant awarded a grant in a consortium project. The requirements for a sub-solicitation are described in Article 5.(nn) "Technology transfer" means the movement of the results of basic or applied technological or scientific research to the design, development, and production of new or improved product(s), service(s), or process(es).(oo) "Technology transfer innovation" means a project to develop a new system or procedure by the applicant to assist California companies with technology transfer.(pp) "Unsolicited proposal" means an application for a project which is not described by any of the categories defined in Section 5400(ee)(1)-(5) of the definition of program area.Cal. Code Regs. Tit. 10, § 5400
1. Repealed by operation of Government Code section 11346.1(g) and new section filed 8-20-89; operative 8-20-89 (Register 89, No. 31). For prior history, see Register 89, No. 2.
2. Amendment filed 9-8-92 as an emergency; operative 9-8-92 (Register 92, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-8-93 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 3-8-93 as an emergency; operative 3-8-93 (Register 93, No. 11). A Certificate of Compliance must be transmitted to OAL by 9-4-93 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-8-93 order transmitted to OAL with amendments 9-2-93 and filed 10-18-93 (Register 93, No. 43).
5. Editorial correction amending HISTORY 2 and 3 (Register 93, No. 43).
6. New subsections (c) and (ll), repealer of subsections (o) and (p), subsection redesignation and amendment of subsections (w) and (jj) filed 2-7-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 6).
7. Amendment of subsection (q), repealer of subsections (y)-(z)(3) and (ss)-(ss)(3), subsection renumbering, amendment of newly designated subsection (pp), and amendment of NOTE filed 9-18-95; operative 10-18-95 (Register 95, No. 38). Note: Authority cited: Section 15378.99, Government Code. Reference: Sections 15333.5, 15333.6, 15379.1, 15379.3, 15379.4, 15379.5, 15379.6, 15379.7 and 15379.10, Government Code.
1. Repealed by operation of Government Code section 11346.1(g) and new section filed 8-20-89; operative 8-20-89 (Register 89, No. 31). For prior history, see Register 89, No. 2.
2. Amendment filed 9-8-92 as an emergency; operative 9-8-92 (Register 92, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-8-93 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 3-8-93 as an emergency; operative 3-8-93 (Register 93, No. 11). A Certificate of Compliance must be transmitted to OAL by 9-4-93 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-8-93 order transmitted to OAL with amendments 9-2-93 and filed 10-18-93 (Register 93, No. 43).
5. Editorial correction amending History 2 and 3 (Register 93, No. 43).
6. New subsections (c) and ( ll), repealer of subsections (o) and (p), subsection redesignation and amendment of subsections (w) and (jj) filed 2-7-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 6).
7. Amendment of subsection (q), repealer of subsections (y)-(z)(3) and (ss)-(ss)(3), subsection renumbering, amendment of newly designated subsection (pp), and amendment of Note filed 9-18-95; operative 10-18-95 (Register 95, No. 38).