10 CCR s 5400

Cal. Admin. Code tit. 10, s 5400

CALIFORNIA CODE OF REGULATIONS
TITLE 10. INVESTMENT
CHAPTER 7.7. DEPARTMENT OF COMMERCE: COMPETITIVE TECHNOLOGY PROGRAM
ARTICLE 1. DEFINITIONS
This database is current through 01/05/07, Register 2007, No. 1.
s 5400. Definitions.

The 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.

(3) The state.

(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.

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.

HISTORY

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).

10 CCR s 5400, 10 CA ADC s 5400
1CAC

10 CA ADC s 5400

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