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DTF-620-

(10/05) Page 3 of 4

There are two average ratios for all surveyed companies classiﬁed

limited to, the following: operating and applications software,

on the NSF’s survey. One average ratio is for companies doing

artiﬁcial intelligence, computer modeling and simulation,

research and development funded by the federal government,

high-level software languages, neural networks, processor

and the other average ratio is for companies doing research and

architecture, animation and full-motion video, graphics

development without funding by the federal government. The

hardware and software, speech and optical character

average ratio for all surveyed companies classiﬁed is the lesser of

recognition, high-volume information storage and retrieval,

these two ratios.

data compression, broadband switching, multiplexing, digital

signal processing, and spectrum technologies.

Currently, the average ratio is 3.9% (see Table A-26 of the advance

(5) Biotechnologies, which shall be deﬁned as technologies

release of the NSF’s survey Research and Development in Industry:

involving the scientiﬁc manipulation of living organisms,

2002) for companies doing research and development funded by

especially at the molecular and or the sub-molecular genetic

the federal government, and 3.6% (see Table A-27 of the advance

level, to produce products conducive to improving the

release of the NSF’s survey Research and Development in Industry:

lives and health of plants, animals, and humans; and the

2002) for companies doing research and development without

associated scientiﬁc research, pharmacological, mechanical,

funding by the federal government. Single copies of the survey are

and computational applications and services connected

available free of charge from the Division of Science Resources

with these improvements. Activities included with such

Statistics, National Science Foundation, 4201 Wilson Boulevard,

applications and services shall include, but not be limited

Suite 965, Arlington VA 22230. It may also be available through

to, alternative mRNA splicing, DNA sequence ampliﬁcation,

their Web site at

antigenetic switching, bio-augmentation, bio-enrichment,

bio-remediation, chromosome walking, cytogenetic

Accordingly, the most recently published lesser average ratio of

engineering, DNA diagnosis, ﬁngerprinting, and sequencing,

the two categories comprising all surveyed companies classiﬁed is

electroporation, gene translocation, genetic mapping,

determined to be 3.6%. Therefore, to qualify under item (2) above,

site-directed mutagenesis, bio-transduction, bio-mechanical

a company must have a ratio of research and development funds to

and bio-electrical engineering, and bio-informatics.

net sales of at least 3.6%.

(6) Remanufacturing technologies, which shall be deﬁned

Emerging technologies under section 3102-e(1)(b) of the PAL

as processes whereby eligible commodities are restored

means:

to their original performance standards and are thereby

(1) Advanced materials and processing technologies that

diverted from the solid waste stream, retaining the majority

involve the development, modiﬁcation, or improvement of

of components that have been through at least one life

one or more materials or methods to produce devices and

cycle and replacing consumable portions to enable such

structures with improved performance characteristics or

commodities to be restored to their original functions. For the

special functional attributes, or to activate, speed up, or

purposes of this subdivision, eligible commodities shall mean

otherwise alter chemical, biochemical, or medical processes.

commodities (excluding paper) used in conjunction with or

Such technologies shall include, but not be limited to,

as a part of equipment performing the functions of facsimile

the following: metal alloys, metal matrix and ceramic

machines, photocopiers, printers, duplication equipment,

composites, advanced polymers, thin ﬁlms, membranes,

or any combination thereof, including, but not limited to the

superconductors, electronic and photonic materials,

following: magnetic ink character recognition cartridges,

bioactive materials, bioprocessing, genetic engineering,

photo conductor assemblies, electrostatic cartridges, thermal

catalysts, waste emissions reduction, and waste processing

imaging cartridges, toner cartridges, ink jet cartridges, and

technologies;

printer cartridges. In addition, eligible commodities shall

also include equipment used to record single frame images

(2) Engineering, production, and defense technologies that

on ﬁlm, where such equipment and ﬁlm are marketed and

involve knowledge-based control systems and architectures,

sold as a single integrated consumer product, and where

advanced fabrication and design processes, equipment,

such equipment and ﬁlm may be submitted in whole to a

and tools, or propulsion, navigation, guidance, nautical,

photograph processor for the purposes of processing.

aeronautical and astronautical ground and airborne systems,

instruments, and equipment. Such technologies shall

Total annual product sales means the amount reported or that

include, but not be limited to, the following: computer-aided

should have been reported for federal income tax purposes as

design and engineering, computer-integrated manufacturing,

gross receipts or sales from the sale of all products during the

robotics and automated equipment, integrated circuit

preceding period for which you are ﬁling this application. If there is

fabrication and test equipment, sensors, biosensors, signal

no preceding period, total annual product sales means the amount

and image processing, medical and scientiﬁc instruments,

projected to be reported for federal income tax purposes as gross

precision machining and forming, biological and genetic

receipts or sales from the sale of all products during the ﬁling period

research equipment, environmental analysis, remediation,

shown on the application for certiﬁcation (no consideration is given

control, and prevention equipment, defense command and

to the preceding period).

control equipment, avionics and controls, guided missile

Net sales means total annual product sales less the amount

and space vehicle propulsion units, military aircraft, space

reported or that should have been reported for federal income tax

vehicles, and surveillance, tracking, and defense warning

purposes as returns and allowances during the preceding period for

systems;

which you are ﬁling this application. If there is no preceding period,

(3) Electronic and photonic devices and components for use in

net sales means the amount projected to be reported for federal

producing electronic, optoelectronic, mechanical equipment

income tax purposes as returns and allowances during the ﬁling

and products of electronic distribution with interactive media

period shown on the application for certiﬁcation (no consideration is

content. Such technologies shall include, but not be limited

given to the preceding period).

to, the following: microprocessors, logic chips, memory chips,

Primary products or services means that more than 50% of a

lasers, printed circuit board technology, electroluminescent,

taxpayer’s receipts from products or services are derived from

liquid crystal, plasma, and vacuum ﬂuorescent displays,

emerging technology products or services during the preceding

optical ﬁbers, magnetic and optical information storage,

period for which this application is being ﬁled. If there is no

optical instruments, lenses, and ﬁlters, simplex and duplex

preceding period, primary products or services means that more

data bases, and solar cells; and

than 50% of a taxpayer’s receipts from products or services are

(4) Information and communication technologies, equipment

projected to be derived from emerging technology products or

and systems that involve advanced computer software and

services during the ﬁling period shown on the application for

hardware, visualization technologies, and human interface

certiﬁcation (no consideration is given to the preceding period).

technologies. Such technologies shall include, but not be

Instructions For Form Dtf-620 - Application For Certification Of A Qualified Emerging Technology Company Page 3

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