New York State - Executive - EXC - Article 10-B
ARTICLE 10-B NEW YORK STATE OFFICE OF SCIENCE, TECHNOLOGY AND ACADEMIC RESEARCH
Section 209. Definitions.
209-d. Transfer of powers of science and technology foundations.
209-e. Abolition of science and technology foundation.
209-f. Transfer of certain functions of the science and technology foundation.
209-g. Transfer of assets and liabilities.
209-h. Continuity of authority.
209-i. Transfer of records.
209-j. Completion of unfinished business.
209-k. Terms occurring in laws, contracts or other documents.
209-l. Existing rights and remedies preserved.
209-m. Pending actions and proceedings.
209-n. Continuance of rules and regulations.
209-o. Transfer of appropriations heretofore made to the science and technology foundation.
209-p. Research development program.
209-r. Gen*NY*sis program.
209-s. James D. Watson investigator program.
209-t. College applied research and technology (CART) program.
§ 209. Definitions. As used in this article, the following terms shall have the following meaning unless otherwise specified:
1. "Office" shall mean the New York state office of science, technology and academic research.
2. "Advisory council" shall mean the advisory council of the New York state office of science, technology, and academic research.
3. "Executive director" shall mean the executive director of the New York state office of science, technology, and academic research.
4. "Research development program" shall mean the program established by section two hundred nine-p of this article to encourage and enhance the economic development role of academic institutions in New York state. Such program shall include, but not be limited to, the faculty development program, the capital facilities program, the incentive program, and the centers for advanced technology development program.
5. "Primary host institution" shall mean, in a case where two or more institutions form a partnership or consortium of research entities, one institution must be designated the institution through which awards shall be administered.
6. "Life sciences" shall mean those science disciplines relating to the study of living organisms and vital processes.
7. "Enabling sciences" shall mean those science disciplines which may be directly applied to life science research, including but not limited to, engineering, material science, chemistry, computer science, electronics, physics, bioinfomatics, nanotechnologies and applications of microelectronics and micro-electromechanical devices.
8. "Project sponsor" shall mean any public, not-for-profit private or academic research institution or any subsidiary thereof located in the state of New York. A project sponsor may include a not-for-profit corporation created on behalf of a public, not-for-profit private or academic research institution.
9. "Construction" shall mean the erection, acquisition, alteration, reconstruction, rehabilitation, improvement, equipping, enlargement or extension of a life sciences and/or enabling sciences facility, including land acquisition and the engineering, architectural, legal, fiscal and economic investigations, studies, surveys, designs, plans, drawings, specifications, procedures and other actions relating to a life science or enabling science facility.
§ 209-d. Transfer of powers of science and technology foundations. Except as otherwise provided in section two hundred nine-f of this article, the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law shall be transferred and assigned to, assumed by and devolved upon the office. Such transfer shall occur no later than January thirty-first, two thousand, provided, however, that such transfer may occur prior to January thirty-first, two thousand pursuant to a memorandum of understanding executed by the chairman of the science and technology foundation and the executive director of the office, and provided that, in the event that it is impractical to effectuate such transfer on or before January thirty-first, two thousand, the chairperson of the science and technology foundation and the executive director of the office may upon notification to the governor, temporary president of the senate, and speaker of the assembly on or before January fifteenth, two thousand, execute a memorandum of understanding to govern the expeditious transfer required pursuant to this section.
§ 209-e. Abolition of science and technology foundation. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office, the science and technology foundation shall be abolished, and sections thirty-one hundred, thirty-one hundred three and thirty-one hundred nine of the public authorities law shall be repealed.
§ 209-f. Transfer of certain functions of the science and technology foundation. 1. Transfer of the small business technology investment fund. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, notwithstanding section twenty-eight of section one of chapter one hundred seventy-four of the laws of nineteen hundred sixty-eight, the administration of the small business technology investment fund shall be transferred and assigned to, assumed by and devolved upon the urban development corporation, and the administration of the small business technology investment fund is hereby determined to be a corporate purpose of the urban development corporation.
2. Transfer of certain assets and liabilities. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, all of the assets and liabilities of the small business technology investment fund established pursuant to appropriations made by various chapters of the law including, but not limited to chapter fifty-three of the laws of nineteen hundred eighty-one, chapter fifty-three of the laws of nineteen hundred eighty-five, chapter fifty-three of the laws of nineteen hundred eighty-six, chapter fifty-three of the laws of nineteen hundred eighty-seven, chapter fifty-three of the laws of nineteen hundred eighty-eight, chapter fifty-three of the laws of nineteen hundred eighty-nine, chapter fifty-three of the laws of nineteen hundred ninety, chapter fifty-three of the laws of nineteen hundred ninety-one, chapter fifty-three of the laws of nineteen hundred ninety-two, chapter fifty-three of the laws of nineteen hundred ninety-three, chapter fifty-three of the laws of nineteen hundred ninety-four, and chapter fifty-three of the laws of nineteen hundred ninety-five shall be transferred to the urban development corporation.
3. Transfer of certain appropriations. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, appropriations enacted heretofore for the small business technology investment fund made pursuant to various chapters of the law including, but not limited to, chapter fifty-three of the laws of nineteen hundred eighty-one, chapter fifty-three of the laws of nineteen hundred eighty-five, chapter fifty-three of the laws of nineteen hundred eighty-six, chapter fifty-three of the laws of nineteen hundred eighty-seven, chapter fifty-three of the laws of nineteen hundred eighty-eight, chapter fifty-three of the laws of nineteen hundred eighty-nine, chapter fifty-three of the laws of nineteen hundred ninety, chapter fifty-three of the laws of nineteen hundred ninety-one, chapter fifty-three of the laws of nineteen hundred ninety-two, chapter fifty-three of the laws of nineteen hundred ninety-three, chapter fifty-three of the laws of nineteen hundred ninety-four, and chapter fifty-three of the laws of nineteen hundred ninety-five, all appropriations and reappropriations heretofore made to the science and technology foundation, or segregated pursuant to law, to the extent of remaining unexpended or unencumbered balances thereof, whether allocated or unallocated and obligated or unobligated, shall be transferred and made available to for use and expenditure by the urban development corporation for the same purpose for which originally appropriated or reappropriated and shall be payable on vouchers certified or approved by the commissioner of taxation and finance, on audit and warrant of the comptroller.
4. Transfer of certain records. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, all books, papers, records and property pertaining to the small business technology investment fund shall be maintained by the urban development corporation.
§ 209-g. Transfer of assets and liabilities. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all assets and liabilities of the science and technology foundation are hereby transferred to and assumed by the office.
§ 209-h. Continuity of authority. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, for the purpose of succession to all functions, powers, duties and obligations of the science and technology foundation, the office shall be deemed and held to constitute the continuation of such authority and not a different agency or authority.
§ 209-i. Transfer of records. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all books, papers, records and property pertaining to the science and technology foundation shall be transferred to and maintained by the office.
§ 209-j. Completion of unfinished business. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, any business or other matter undertaken or commenced by the science and technology foundation pertaining to or connected with the functions, powers, obligations and duties so transferred and assigned to the office may be conducted or completed by the executive director of the office.
§ 209-k. Terms occurring in laws, contracts or other documents. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, whenever the science and technology foundation and the chairperson thereof, the functions, powers, obligations and duties of which are transferred to the office are referred to or designated in any law, contract or document pertaining to the functions, powers, obligations and duties transferred and assigned pursuant to this article, such reference or designation shall be deemed to refer to the office and its executive director.
§ 209-l. Existing rights and remedies preserved. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, no existing right or remedy of the state, including the science and technology foundation, shall be lost, impaired or affected by reason of this article.
§ 209-m. Pending actions and proceedings. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, no action or proceeding pending on the effective date of this article, brought by or against the science and technology foundation or chairperson thereof shall be affected by any provision of this article, but the same may be prosecuted or defended in the name of the executive director of the office. In all such actions and proceedings, the office, upon application to the court, shall be substituted as a party.
§ 209-n. Continuance of rules and regulations. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all rules, regulations, acts, determinations and decisions of the science and technology foundation, pertaining to the functions transferred and assigned by this article to the office in force at the time of such transfer, assignment, assumption or devolution shall continue in force and effect as rules, regulations, acts, determinations and decisions of the office until duly modified or repealed.
§ 209-o. Transfer of appropriations heretofore made to the science and technology foundation. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all appropriations and reappropriations which shall have been made available as of the date of such transfer to the science and technology foundation or segregated pursuant to law, to the extent of remaining unexpended or unencumbered balances thereof, whether allocated or unallocated and whether obligated or unobligated, shall be transferred to and made available for use and expenditure by the office for the same purposes for which originally appropriated or reappropriated and shall be payable on vouchers certified or approved by the commissioner of taxation and finance, on audit and warrant of the comptroller. Payments of liabilities for expenses of personal service, maintenance and operation which shall have been incurred as of the date of such transfer by the science and technology foundation, and for liabilities incurred and to be incurred in completing its affairs shall also be made on vouchers certified or approved by the executive director of the office, on audit and warrant of the comptroller.
§ 209-p. Research development program. 1. There is hereby established the research development program. The program shall include but need not be limited to: the faculty development program, capital facility program, incentive program, and centers for advanced technology development program.
2. The office shall provide no later than March first, two thousand, a strategic plan to the governor, the temporary president of the senate and the speaker of the assembly which shall:
(a) establish criteria for the awarding of funds made available through the research development program; all awards shall be made on a competitive basis;
(b) provide a schedule for issuance of requests for proposals for the research development program awards;
(c) provide a schedule for completion of review of proposals submitted by institutions of higher education and research institutions to the office;
(d) provide procedures for the issuance of awards from the research development program.
3. The faculty development program is hereby created to assist institutions of higher education and research institutions with the retention and recruitment of research faculty. Funds appropriated for this program shall be administered by the office pursuant to request for proposals. Consideration for the allocation of awards shall be given to all institutions of higher education and research institutions within the state provided such institutions demonstrate to the satisfaction of the advisory council a specific need for such funds and the manner in which such award for the recruitment and retention of research faculty would enhance the research capabilities and reputation of the institution. Criteria for such awards shall include, but not be limited to, the ability of the faculty member to leverage and attract federal funds, venture capital and private industry funds, and the willingness of the faculty member to pursue entrepreneurial enterprises resulting in new business or the expansion of existing business in New York state. The office shall promulgate rules and regulations to establish:
(a) the duration of grants for faculty awards;
(b) matching funds required from the academic and research institutions;
(c) a schedule for an annual reduction of the faculty development award, and a corresponding increase in the matching funds from the academic or research institution; and
(d) other rules and regulations deemed necessary by the office for the administration of this program.
3-a. The faculty development and technology transfer advisory council shall be established by the commissioner of economic development to review and recommend proposals submitted for consideration under subdivisions three and five of this section. The council shall consist of eleven members that shall include representatives from four different universities, one national lab, two New York state incubators or New York state innovation hot spots, two companies and two non-profits with a statewide economic development mission. Each representative shall have technology transfer experience. In addition, at least six members of the council shall have a demonstrated background in bio-medicine, biotechnology or other life sciences.
4. (a) The capital facility program shall provide financing for the design, acquisition, construction, reconstruction, rehabilitation or improvement of research and development facilities, including equipment. Funds appropriated or reappropriated for the capital facility program by chapter six hundred twenty-four of the laws of nineteen hundred ninety-nine shall be awarded to no more than six primary host institutions.
(b) Criteria for the issuance of awards by the advisory council shall include but need not be limited to the following: potential future growth and economic impact within New York state of the proposed research to be undertaken at such facilities, available expertise at such campus in the scientific discipline designated for the center for advanced technology and/or the center's host campus, an evaluation of the ability of the proposed research to be undertaken at such facilities to aid existing business and to create new business in New York state, and the ability of the proposal to leverage and attract federal funds, venture capital and private industry funds.
(d) The capital facility program shall also provide financing for the reconstruction, rehabilitation or improvement of existing laboratory facilities. Funds available pursuant to this subdivision shall be available for research facilities at all institutions of higher education and research institutions in New York state.
(e) The office and the city university construction fund may contract for the construction fund to design, construct, acquire, reconstruct, rehabilitate and improve research and development facilities for those primary host institutions which are senior colleges of the city university of New York.
5. An incentive program is hereby created to provide additional assistance to technology transfer or commercialization activities at institutions of higher education and research institutions in the state of New York for the purpose of encouraging technology transfer from institutions of higher education and research institutions to businesses and for commercialization within New York state. Funds appropriated for this program shall be available for personal service expenses to enhance the technology transfer abilities or commercialization of research of higher education and research institutions to businesses within New York state including but not limited to patent applications, the creation of business and marketing plans, venture capital conferences and non-capital costs associated with the development of real property owned by such institution of higher education or research institution for research and development purposes. Funds awarded under the incentive program shall not exceed fifty percent of the cost of the purpose for which such funds shall be applied. The faculty development and technology transfer advisory council, as established by subdivision three-a of this section, shall review and recommend proposals submitted for consideration pursuant to this subdivision. Preference shall be given to proposals developed in coordination with a private or public medical school located in the state.
6. A center for advanced technology development program is created whereby funds shall be awarded to centers for advanced technology for the purpose of enhancing and expanding the existing role of the center in the area for which it is designated. Funds appropriated for the development program shall be awarded to such centers for advanced technology. Criteria for the issuance of awards shall be established by the office and shall include but need not be limited to the economic development potential of the research undertaken at such center for advanced technology, funding leveraged from other sources including private interests and the federal government, potential of revenues accruing to the institution of higher education or research institution from the licensing of the products of research conducted at such center of advanced technology and the interaction of such center with private industry.
§ 209-r. Gen*NY*sis program. 1. The Gen*NY*sis program is hereby created to assist research and technology development programs in the life sciences or in enabling sciences affiliated with public, not-for-profit private or academic research institutions located within New York state to develop and commercialize new discoveries for the improvement of human, plant and animal health and to expand businesses and employment in New York state.
2. Funds appropriated or transferred to the Gen*NY*sis program shall be made available to project sponsors for the construction of life sciences and/or enabling science facilities including, but not limited to, equipment, laboratory facilities and laboratory equipment, incubator facilities, manufacturing facilities, bioscience parks or any combination thereof. Funds shall not be used for projects that are already completed at the time of application.
3. Funding for each project shall be made available upon submission of a Gen*NY*sis program and financing plan to the executive director and to the director of the budget. Such program and financing plan shall be prepared by the project sponsor and shall include, where applicable, a description of the proposed project, a description of the consortium of institutions/organizations involved including respective responsibilities and contributions, the structure and governance of the collaboration, efforts to obtain and administer corporate, federal and/or foundation support, the scientific and technical quality of the proposed research to be undertaken at such facility, the expected increase in research activity in specified research areas derived from such project, projections of discoveries from such research sponsor, and an economic plan to further develop any discoveries from such project to include the development of new businesses and jobs within New York state or if such discovery is to be licensed to another entity, the terms under which the project sponsor would undertake such licensing agreements. The urban development corporation shall provide assistance to the office, as requested by the executive director, with respect to the evaluation of any economic plan or licensing terms.
4. Funding for each project shall not exceed seventy-five percent of the cost of such project, provided that, in estimating the residual percentage of funding, such funding provided by the project sponsor for each project may include allocated funds (cash); in-kind personnel, equipment or material donations; federal funds; significant financial contributions to the project sponsor; university internal sources, prorated operational costs; or any combinations thereof.
5. Project sponsors receiving awards pursuant to the Gen*NY*sis program in an amount in excess of ten percent of the total cost of such project as submitted in the program and financing plan pursuant to this section shall, for a period not to exceed five years after the receipt of such award, provide an annual report to the executive director, the chairman of the senate finance committee and the chairman of the assembly ways and means committee detailing the use of such award and the progress of the project sponsor in meeting the criteria set forth in paragraph three of this section as expressed in the program and financing plan submitted for review to the executive director.
6. Notwithstanding any other law, rule or regulation to the contrary, no more than three and one-half of one percent of any grant issued under this program may be allocated to any grant recipient or to any subsidiary or organization associated therewith for purposes which may include, but not be limited to, any direct or indirect costs of administering the program not contained in the application requesting such funds, provided however, that no monies granted under the Gen*NY*sis program may be used to supplant any direct or indirect costs of the grant recipient.
§ 209-s. James D. Watson investigator program. 1. The James D. Watson investigator program is hereby created to recognize outstanding early career scientists who demonstrate the potential for leadership at the frontiers of knowledge in the life sciences and demonstrate an entrepreneurial spirit to help foster economic development in New York state into the future.
2. This program shall be administered by the executive director. Funds shall be awarded to the institution at which the investigator is employed on behalf of the recipient.
3. Within available funds, each award granted under the James D. Watson investigator program shall equal two hundred thousand dollars over a two year period. Selection of such awards shall be made pursuant to an application process to be conducted no more than once annually. Eligible recipients of such awards shall include researchers at academic, public, or not-for-profit private research institutions located within New York state. Such awards shall be provided for the purpose of supporting the research activities of such researcher not otherwise supported by the research institution. Such awards may be used for the salaries of such investigators, the salaries of support research personnel and for the purchase of equipment used directly in the pursuit of research not otherwise provided by the research program at such institution.
4. Eligible applicants for grants issued under this program shall be full-time staff members who are United States citizens or legal permanent residents, have been awarded their doctoral degrees, and have less than five years of post-doctoral experience, and are conducting research in the life sciences or in enabling sciences as defined in this article. All applicants must demonstrate expertise in the life sciences or in the enabling science discipline as stated in their application. Preference shall be given to researchers who demonstrate a willingness and ability to develop their research into economic development opportunities in New York state.
5. No academic, public, or not-for-profit private research institution shall receive more than one award per year. No more than three-fifths of available awards in any year shall be granted to employees of public, not-for-profit, private or academic research institutions within the metropolitan commuter transportation district.
§ 209-t. College applied research and technology (CART) program. In order to encourage greater collaboration between private industry, universities and colleges within the state in the development and application of new technologies, the office is authorized to designate such technological areas as the office identifies as having significant potential for economic growth in New York state, or in which the application of new technologies could significantly enhance the productivity and stability of New York state businesses. Such designations shall be made in accordance with the standards and criteria set forth in subdivision two of this section. Colleges so designated shall be eligible for support from the office in the manner provided for in subdivision three of this section, and for such additional support as may otherwise be provided by law.
1. As used in this section:
(a) "College applied research and technology center" or "CART" means a college or college-affiliated research institute or a consortium of such institutions, designated by the office, which conducts a continuing program of basic and applied research, development, and technology transfer in one or more technological areas, in collaboration with and through the support of private business and industry; and
(b) "Applicant" means a college or college-affiliated research institute or a consortium of such institutions which request designation as a CART center in accordance with such requirements as are established by the office for this purpose. For purposes of this section, applicant shall not include any college or university that has a center for advanced technology pursuant to subdivision three of section thirty-one hundred two-b of the public authorities law.
2. The office shall:
(a) identify technological areas for which a CART center should be designated, including technological areas that are related to industries with significant potential for economic growth and development in New York state, and technological areas that are related to the enhancement of productivity in various industries located in New York state;
(b) establish criteria that applicants shall satisfy for designation as a CART, including, but not limited to the following:
(i) an established record of research, development and instruction in the area or areas of technology involved;
(ii) the capacity to conduct research and development activities in collaboration with business and industry;
(iii) the capacity to secure substantial private and other governmental funding for the proposed college or college-affiliated research institute or a consortium of such institutions, in amounts at least fifty percent of the total of support sought from the state;
(iv) the ability and willingness to cooperate with other institutions in the state in conducting research and development activities, and in disseminating research results;
(v) the ability and willingness to work with technical and community colleges in the state to enhance the quality of technical education in the area or areas of technology involved;
(vi) the ability and willingness to cooperate with the office and other economic development agencies in promoting the growth and development in New York state of industries based upon or benefiting from the area or areas of technology involved;
(c) establish such requirements as it deems appropriate for the format, content and filing of applications for designation as CART centers; and
(d) establish such procedures as it deems appropriate for the evaluation of applications for designation as a college applied research and technology center, including the establishment of peer review panels composed of nationally recognized experts in the technological areas and industries to which the application is related.
3. (a) From such funds as may be appropriated for this purpose by the legislature, the office may provide financial support, through contracts or other means, to designated college applied research and technology centers in order to enhance and accelerate the development of such centers. Funds received pursuant to this subdivision may be used for purchase of equipment and fixtures, employment of faculty and support staff, provision of graduate fellowships, and other purposes approved by the office, but may not be used for capital construction. In each case, the amount provided by the office to a center shall be matched by commitments of support from private and governmental, other than state, sources in accordance with the following:
(i) for the academic year in which it is first funded as a designated center, and the four subsequent years, the amount provided by the office to a center shall be matched fifty percent by the center; and
(ii) upon a finding by the office that a technological area has continued significant potential for enhancing economic growth in New York state, or the application of technologies in the area could significantly enhance the productivity and stability of New York state businesses, the office shall initiate a redesignation process in accordance with subdivision two of this section. Such redesignation process shall be initiated by the office in such a manner that not more than one-third of the centers in existence at the time of redesignation shall become due for such redesignation at the same time.
(1) In the event a new center is selected in the redesignation process, the office shall provide funds to such new center in accordance with the funding match requirements set forth in this paragraph.
(2) In the event a previously designated center is redesignated in the same area of technology, which redesignation is effective for the sixth academic year following the first academic year of both designation and funding, then, in that year and in each year thereafter, the office shall provide funds of up to three hundred fifty thousand dollars to be matched fifty percent by the center, amounts in excess of three hundred fifty thousand dollars shall be matched seventy-five percent by the center.
(3) In the event a currently designated center is not selected in the redesignation process for an additional term, or upon a finding by the office that the area of advanced technology does not have significant potential for enhancing economic growth in New York state, or upon a finding that the application of technologies in that area would not significantly enhance the productivity and stability of New York state businesses, then the office shall, in the fifth academic year following such center's first both designation and funding, which year shall be the final year of funding for such center, provide an amount of up to two hundred fifty thousand dollars.
(b) Continued funding of the operations of each center shall be based upon a showing that: the center continues to comply with the criteria established by the office pursuant to paragraph (b) of subdivision two of this section; a demonstration of assistance to small businesses in New York state through research, technology transfer or other means as approved by the office; compliance with the rules, regulations and guidelines of the office; and, compliance with any contracts between the office and the designated applied research center.
(c) Each center shall report on its activities to the office in a manner and according to the schedule established by the office, and shall provide such additional information as the office may require. The office shall evaluate center operations using methods such as site visits, reporting of specified information and peer review evaluations using experts in the field of technology in which the center was designated. The office shall notify each center of the results of its evaluations and findings of deficiencies in the operation of such center or its research, education, or technology transfer activities and shall work with such centers to remedy such findings. If such factors are not remedied, the office may withdraw the state funding support, in whole or in part, or withdraw the center designation.
(d) In order to encourage that the results of center research benefit New York state, designation and continued funding of each center shall be contingent upon each center's establishing within its licensing guidelines the following: after payment of the inventor's share, a reduced payment due to the university of any royalty, income or other consideration earned from the license or sale of intellectual property rights created or developed at, or through the use of, the facilities of the center by any person or entity if the manufacturing or use resulting from such intellectual property rights occurs within New York state. The office shall promulgate rules and regulations regarding the provisions of the licensing guidelines described herein as they apply to such reduced payment, and such provisions shall be subject to the approval of the office.
4. From such funds as may be appropriated for this purpose by the legislature, the office may provide grants to any one college or college-affiliated research institution for purposes of planning and program development aimed at enabling such college or college-affiliated research institution to qualify for designation as a center. Such grants shall be awarded on a competitive basis, and shall be available only to those applicants which, in the judgment of the office, may reasonably be expected to be designated as centers. No applicant shall receive more than one such grant.
5. (a) From such funds as may be appropriated for the purpose of incentive grants or other funds which may be available from the office to enhance center activities in areas of crucial interest in the state's economic development, the office may provide grants, on a competitive basis, to centers for projects including, but not limited to, those which:
(i) explore new technologies with commercial application conducted jointly by two or more centers or a center and non-center university, college or community college;
(ii) are aimed at enhancing or accelerating the process of bringing new products, particularly those under development by new small businesses, to the marketplace; or
(iii) increase technology transfer projects with the state's mature manufacturing industries in applying technology in their manufacturing processes or for new product development.
(b) State support for incentive grants may be matched on an individual basis by the office, which may consider the type of project and the availability of amounts from private, university and governmental, other than state, sources.
6. (a) The office shall make a biannual report of the CART program to the governor and the legislature not later than September first of every other year. Such report shall include, but not be limited to, the results of an evaluation of each center by the office, a description of the achievement of each center, any deficiencies in the operation of each center or its research, education and technology transfer activities, remedial actions recommended by the office, remedial actions taken by each center, a description of the small business assistance provided by each center, a description of any incentive grant program awarded a grant by the office and the achievements of such program, and the amount of financial assistance provided by the office and the level of matching funds provided by each center and the uses of such monies.
(b) Bi-annual reports shall include a discussion of any fields of technology that the office has identified as having significant potential for economic growth or improved productivity and stability of New York state businesses and in which collaboration with a center for advanced technology is encouraged.
Section 209. Definitions.
209-d. Transfer of powers of science and technology foundations.
209-e. Abolition of science and technology foundation.
209-f. Transfer of certain functions of the science and technology foundation.
209-g. Transfer of assets and liabilities.
209-h. Continuity of authority.
209-i. Transfer of records.
209-j. Completion of unfinished business.
209-k. Terms occurring in laws, contracts or other documents.
209-l. Existing rights and remedies preserved.
209-m. Pending actions and proceedings.
209-n. Continuance of rules and regulations.
209-o. Transfer of appropriations heretofore made to the science and technology foundation.
209-p. Research development program.
209-r. Gen*NY*sis program.
209-s. James D. Watson investigator program.
209-t. College applied research and technology (CART) program.
§ 209. Definitions. As used in this article, the following terms shall have the following meaning unless otherwise specified:
1. "Office" shall mean the New York state office of science, technology and academic research.
2. "Advisory council" shall mean the advisory council of the New York state office of science, technology, and academic research.
3. "Executive director" shall mean the executive director of the New York state office of science, technology, and academic research.
4. "Research development program" shall mean the program established by section two hundred nine-p of this article to encourage and enhance the economic development role of academic institutions in New York state. Such program shall include, but not be limited to, the faculty development program, the capital facilities program, the incentive program, and the centers for advanced technology development program.
5. "Primary host institution" shall mean, in a case where two or more institutions form a partnership or consortium of research entities, one institution must be designated the institution through which awards shall be administered.
6. "Life sciences" shall mean those science disciplines relating to the study of living organisms and vital processes.
7. "Enabling sciences" shall mean those science disciplines which may be directly applied to life science research, including but not limited to, engineering, material science, chemistry, computer science, electronics, physics, bioinfomatics, nanotechnologies and applications of microelectronics and micro-electromechanical devices.
8. "Project sponsor" shall mean any public, not-for-profit private or academic research institution or any subsidiary thereof located in the state of New York. A project sponsor may include a not-for-profit corporation created on behalf of a public, not-for-profit private or academic research institution.
9. "Construction" shall mean the erection, acquisition, alteration, reconstruction, rehabilitation, improvement, equipping, enlargement or extension of a life sciences and/or enabling sciences facility, including land acquisition and the engineering, architectural, legal, fiscal and economic investigations, studies, surveys, designs, plans, drawings, specifications, procedures and other actions relating to a life science or enabling science facility.
§ 209-d. Transfer of powers of science and technology foundations. Except as otherwise provided in section two hundred nine-f of this article, the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law shall be transferred and assigned to, assumed by and devolved upon the office. Such transfer shall occur no later than January thirty-first, two thousand, provided, however, that such transfer may occur prior to January thirty-first, two thousand pursuant to a memorandum of understanding executed by the chairman of the science and technology foundation and the executive director of the office, and provided that, in the event that it is impractical to effectuate such transfer on or before January thirty-first, two thousand, the chairperson of the science and technology foundation and the executive director of the office may upon notification to the governor, temporary president of the senate, and speaker of the assembly on or before January fifteenth, two thousand, execute a memorandum of understanding to govern the expeditious transfer required pursuant to this section.
§ 209-e. Abolition of science and technology foundation. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office, the science and technology foundation shall be abolished, and sections thirty-one hundred, thirty-one hundred three and thirty-one hundred nine of the public authorities law shall be repealed.
§ 209-f. Transfer of certain functions of the science and technology foundation. 1. Transfer of the small business technology investment fund. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, notwithstanding section twenty-eight of section one of chapter one hundred seventy-four of the laws of nineteen hundred sixty-eight, the administration of the small business technology investment fund shall be transferred and assigned to, assumed by and devolved upon the urban development corporation, and the administration of the small business technology investment fund is hereby determined to be a corporate purpose of the urban development corporation.
2. Transfer of certain assets and liabilities. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, all of the assets and liabilities of the small business technology investment fund established pursuant to appropriations made by various chapters of the law including, but not limited to chapter fifty-three of the laws of nineteen hundred eighty-one, chapter fifty-three of the laws of nineteen hundred eighty-five, chapter fifty-three of the laws of nineteen hundred eighty-six, chapter fifty-three of the laws of nineteen hundred eighty-seven, chapter fifty-three of the laws of nineteen hundred eighty-eight, chapter fifty-three of the laws of nineteen hundred eighty-nine, chapter fifty-three of the laws of nineteen hundred ninety, chapter fifty-three of the laws of nineteen hundred ninety-one, chapter fifty-three of the laws of nineteen hundred ninety-two, chapter fifty-three of the laws of nineteen hundred ninety-three, chapter fifty-three of the laws of nineteen hundred ninety-four, and chapter fifty-three of the laws of nineteen hundred ninety-five shall be transferred to the urban development corporation.
3. Transfer of certain appropriations. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, appropriations enacted heretofore for the small business technology investment fund made pursuant to various chapters of the law including, but not limited to, chapter fifty-three of the laws of nineteen hundred eighty-one, chapter fifty-three of the laws of nineteen hundred eighty-five, chapter fifty-three of the laws of nineteen hundred eighty-six, chapter fifty-three of the laws of nineteen hundred eighty-seven, chapter fifty-three of the laws of nineteen hundred eighty-eight, chapter fifty-three of the laws of nineteen hundred eighty-nine, chapter fifty-three of the laws of nineteen hundred ninety, chapter fifty-three of the laws of nineteen hundred ninety-one, chapter fifty-three of the laws of nineteen hundred ninety-two, chapter fifty-three of the laws of nineteen hundred ninety-three, chapter fifty-three of the laws of nineteen hundred ninety-four, and chapter fifty-three of the laws of nineteen hundred ninety-five, all appropriations and reappropriations heretofore made to the science and technology foundation, or segregated pursuant to law, to the extent of remaining unexpended or unencumbered balances thereof, whether allocated or unallocated and obligated or unobligated, shall be transferred and made available to for use and expenditure by the urban development corporation for the same purpose for which originally appropriated or reappropriated and shall be payable on vouchers certified or approved by the commissioner of taxation and finance, on audit and warrant of the comptroller.
4. Transfer of certain records. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, all books, papers, records and property pertaining to the small business technology investment fund shall be maintained by the urban development corporation.
§ 209-g. Transfer of assets and liabilities. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all assets and liabilities of the science and technology foundation are hereby transferred to and assumed by the office.
§ 209-h. Continuity of authority. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, for the purpose of succession to all functions, powers, duties and obligations of the science and technology foundation, the office shall be deemed and held to constitute the continuation of such authority and not a different agency or authority.
§ 209-i. Transfer of records. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all books, papers, records and property pertaining to the science and technology foundation shall be transferred to and maintained by the office.
§ 209-j. Completion of unfinished business. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, any business or other matter undertaken or commenced by the science and technology foundation pertaining to or connected with the functions, powers, obligations and duties so transferred and assigned to the office may be conducted or completed by the executive director of the office.
§ 209-k. Terms occurring in laws, contracts or other documents. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, whenever the science and technology foundation and the chairperson thereof, the functions, powers, obligations and duties of which are transferred to the office are referred to or designated in any law, contract or document pertaining to the functions, powers, obligations and duties transferred and assigned pursuant to this article, such reference or designation shall be deemed to refer to the office and its executive director.
§ 209-l. Existing rights and remedies preserved. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, no existing right or remedy of the state, including the science and technology foundation, shall be lost, impaired or affected by reason of this article.
§ 209-m. Pending actions and proceedings. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, no action or proceeding pending on the effective date of this article, brought by or against the science and technology foundation or chairperson thereof shall be affected by any provision of this article, but the same may be prosecuted or defended in the name of the executive director of the office. In all such actions and proceedings, the office, upon application to the court, shall be substituted as a party.
§ 209-n. Continuance of rules and regulations. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all rules, regulations, acts, determinations and decisions of the science and technology foundation, pertaining to the functions transferred and assigned by this article to the office in force at the time of such transfer, assignment, assumption or devolution shall continue in force and effect as rules, regulations, acts, determinations and decisions of the office until duly modified or repealed.
§ 209-o. Transfer of appropriations heretofore made to the science and technology foundation. Upon the transfer pursuant to section two hundred nine-d of this article of the functions and powers possessed by and all of the obligations and duties of the science and technology foundation as established pursuant to article ten-A of the public authorities law to the office as prescribed by section two hundred nine-d of this article, except as otherwise provided in section two hundred nine-f of this article, all appropriations and reappropriations which shall have been made available as of the date of such transfer to the science and technology foundation or segregated pursuant to law, to the extent of remaining unexpended or unencumbered balances thereof, whether allocated or unallocated and whether obligated or unobligated, shall be transferred to and made available for use and expenditure by the office for the same purposes for which originally appropriated or reappropriated and shall be payable on vouchers certified or approved by the commissioner of taxation and finance, on audit and warrant of the comptroller. Payments of liabilities for expenses of personal service, maintenance and operation which shall have been incurred as of the date of such transfer by the science and technology foundation, and for liabilities incurred and to be incurred in completing its affairs shall also be made on vouchers certified or approved by the executive director of the office, on audit and warrant of the comptroller.
§ 209-p. Research development program. 1. There is hereby established the research development program. The program shall include but need not be limited to: the faculty development program, capital facility program, incentive program, and centers for advanced technology development program.
2. The office shall provide no later than March first, two thousand, a strategic plan to the governor, the temporary president of the senate and the speaker of the assembly which shall:
(a) establish criteria for the awarding of funds made available through the research development program; all awards shall be made on a competitive basis;
(b) provide a schedule for issuance of requests for proposals for the research development program awards;
(c) provide a schedule for completion of review of proposals submitted by institutions of higher education and research institutions to the office;
(d) provide procedures for the issuance of awards from the research development program.
3. The faculty development program is hereby created to assist institutions of higher education and research institutions with the retention and recruitment of research faculty. Funds appropriated for this program shall be administered by the office pursuant to request for proposals. Consideration for the allocation of awards shall be given to all institutions of higher education and research institutions within the state provided such institutions demonstrate to the satisfaction of the advisory council a specific need for such funds and the manner in which such award for the recruitment and retention of research faculty would enhance the research capabilities and reputation of the institution. Criteria for such awards shall include, but not be limited to, the ability of the faculty member to leverage and attract federal funds, venture capital and private industry funds, and the willingness of the faculty member to pursue entrepreneurial enterprises resulting in new business or the expansion of existing business in New York state. The office shall promulgate rules and regulations to establish:
(a) the duration of grants for faculty awards;
(b) matching funds required from the academic and research institutions;
(c) a schedule for an annual reduction of the faculty development award, and a corresponding increase in the matching funds from the academic or research institution; and
(d) other rules and regulations deemed necessary by the office for the administration of this program.
3-a. The faculty development and technology transfer advisory council shall be established by the commissioner of economic development to review and recommend proposals submitted for consideration under subdivisions three and five of this section. The council shall consist of eleven members that shall include representatives from four different universities, one national lab, two New York state incubators or New York state innovation hot spots, two companies and two non-profits with a statewide economic development mission. Each representative shall have technology transfer experience. In addition, at least six members of the council shall have a demonstrated background in bio-medicine, biotechnology or other life sciences.
4. (a) The capital facility program shall provide financing for the design, acquisition, construction, reconstruction, rehabilitation or improvement of research and development facilities, including equipment. Funds appropriated or reappropriated for the capital facility program by chapter six hundred twenty-four of the laws of nineteen hundred ninety-nine shall be awarded to no more than six primary host institutions.
(b) Criteria for the issuance of awards by the advisory council shall include but need not be limited to the following: potential future growth and economic impact within New York state of the proposed research to be undertaken at such facilities, available expertise at such campus in the scientific discipline designated for the center for advanced technology and/or the center's host campus, an evaluation of the ability of the proposed research to be undertaken at such facilities to aid existing business and to create new business in New York state, and the ability of the proposal to leverage and attract federal funds, venture capital and private industry funds.
(d) The capital facility program shall also provide financing for the reconstruction, rehabilitation or improvement of existing laboratory facilities. Funds available pursuant to this subdivision shall be available for research facilities at all institutions of higher education and research institutions in New York state.
(e) The office and the city university construction fund may contract for the construction fund to design, construct, acquire, reconstruct, rehabilitate and improve research and development facilities for those primary host institutions which are senior colleges of the city university of New York.
5. An incentive program is hereby created to provide additional assistance to technology transfer or commercialization activities at institutions of higher education and research institutions in the state of New York for the purpose of encouraging technology transfer from institutions of higher education and research institutions to businesses and for commercialization within New York state. Funds appropriated for this program shall be available for personal service expenses to enhance the technology transfer abilities or commercialization of research of higher education and research institutions to businesses within New York state including but not limited to patent applications, the creation of business and marketing plans, venture capital conferences and non-capital costs associated with the development of real property owned by such institution of higher education or research institution for research and development purposes. Funds awarded under the incentive program shall not exceed fifty percent of the cost of the purpose for which such funds shall be applied. The faculty development and technology transfer advisory council, as established by subdivision three-a of this section, shall review and recommend proposals submitted for consideration pursuant to this subdivision. Preference shall be given to proposals developed in coordination with a private or public medical school located in the state.
6. A center for advanced technology development program is created whereby funds shall be awarded to centers for advanced technology for the purpose of enhancing and expanding the existing role of the center in the area for which it is designated. Funds appropriated for the development program shall be awarded to such centers for advanced technology. Criteria for the issuance of awards shall be established by the office and shall include but need not be limited to the economic development potential of the research undertaken at such center for advanced technology, funding leveraged from other sources including private interests and the federal government, potential of revenues accruing to the institution of higher education or research institution from the licensing of the products of research conducted at such center of advanced technology and the interaction of such center with private industry.
§ 209-r. Gen*NY*sis program. 1. The Gen*NY*sis program is hereby created to assist research and technology development programs in the life sciences or in enabling sciences affiliated with public, not-for-profit private or academic research institutions located within New York state to develop and commercialize new discoveries for the improvement of human, plant and animal health and to expand businesses and employment in New York state.
2. Funds appropriated or transferred to the Gen*NY*sis program shall be made available to project sponsors for the construction of life sciences and/or enabling science facilities including, but not limited to, equipment, laboratory facilities and laboratory equipment, incubator facilities, manufacturing facilities, bioscience parks or any combination thereof. Funds shall not be used for projects that are already completed at the time of application.
3. Funding for each project shall be made available upon submission of a Gen*NY*sis program and financing plan to the executive director and to the director of the budget. Such program and financing plan shall be prepared by the project sponsor and shall include, where applicable, a description of the proposed project, a description of the consortium of institutions/organizations involved including respective responsibilities and contributions, the structure and governance of the collaboration, efforts to obtain and administer corporate, federal and/or foundation support, the scientific and technical quality of the proposed research to be undertaken at such facility, the expected increase in research activity in specified research areas derived from such project, projections of discoveries from such research sponsor, and an economic plan to further develop any discoveries from such project to include the development of new businesses and jobs within New York state or if such discovery is to be licensed to another entity, the terms under which the project sponsor would undertake such licensing agreements. The urban development corporation shall provide assistance to the office, as requested by the executive director, with respect to the evaluation of any economic plan or licensing terms.
4. Funding for each project shall not exceed seventy-five percent of the cost of such project, provided that, in estimating the residual percentage of funding, such funding provided by the project sponsor for each project may include allocated funds (cash); in-kind personnel, equipment or material donations; federal funds; significant financial contributions to the project sponsor; university internal sources, prorated operational costs; or any combinations thereof.
5. Project sponsors receiving awards pursuant to the Gen*NY*sis program in an amount in excess of ten percent of the total cost of such project as submitted in the program and financing plan pursuant to this section shall, for a period not to exceed five years after the receipt of such award, provide an annual report to the executive director, the chairman of the senate finance committee and the chairman of the assembly ways and means committee detailing the use of such award and the progress of the project sponsor in meeting the criteria set forth in paragraph three of this section as expressed in the program and financing plan submitted for review to the executive director.
6. Notwithstanding any other law, rule or regulation to the contrary, no more than three and one-half of one percent of any grant issued under this program may be allocated to any grant recipient or to any subsidiary or organization associated therewith for purposes which may include, but not be limited to, any direct or indirect costs of administering the program not contained in the application requesting such funds, provided however, that no monies granted under the Gen*NY*sis program may be used to supplant any direct or indirect costs of the grant recipient.
§ 209-s. James D. Watson investigator program. 1. The James D. Watson investigator program is hereby created to recognize outstanding early career scientists who demonstrate the potential for leadership at the frontiers of knowledge in the life sciences and demonstrate an entrepreneurial spirit to help foster economic development in New York state into the future.
2. This program shall be administered by the executive director. Funds shall be awarded to the institution at which the investigator is employed on behalf of the recipient.
3. Within available funds, each award granted under the James D. Watson investigator program shall equal two hundred thousand dollars over a two year period. Selection of such awards shall be made pursuant to an application process to be conducted no more than once annually. Eligible recipients of such awards shall include researchers at academic, public, or not-for-profit private research institutions located within New York state. Such awards shall be provided for the purpose of supporting the research activities of such researcher not otherwise supported by the research institution. Such awards may be used for the salaries of such investigators, the salaries of support research personnel and for the purchase of equipment used directly in the pursuit of research not otherwise provided by the research program at such institution.
4. Eligible applicants for grants issued under this program shall be full-time staff members who are United States citizens or legal permanent residents, have been awarded their doctoral degrees, and have less than five years of post-doctoral experience, and are conducting research in the life sciences or in enabling sciences as defined in this article. All applicants must demonstrate expertise in the life sciences or in the enabling science discipline as stated in their application. Preference shall be given to researchers who demonstrate a willingness and ability to develop their research into economic development opportunities in New York state.
5. No academic, public, or not-for-profit private research institution shall receive more than one award per year. No more than three-fifths of available awards in any year shall be granted to employees of public, not-for-profit, private or academic research institutions within the metropolitan commuter transportation district.
§ 209-t. College applied research and technology (CART) program. In order to encourage greater collaboration between private industry, universities and colleges within the state in the development and application of new technologies, the office is authorized to designate such technological areas as the office identifies as having significant potential for economic growth in New York state, or in which the application of new technologies could significantly enhance the productivity and stability of New York state businesses. Such designations shall be made in accordance with the standards and criteria set forth in subdivision two of this section. Colleges so designated shall be eligible for support from the office in the manner provided for in subdivision three of this section, and for such additional support as may otherwise be provided by law.
1. As used in this section:
(a) "College applied research and technology center" or "CART" means a college or college-affiliated research institute or a consortium of such institutions, designated by the office, which conducts a continuing program of basic and applied research, development, and technology transfer in one or more technological areas, in collaboration with and through the support of private business and industry; and
(b) "Applicant" means a college or college-affiliated research institute or a consortium of such institutions which request designation as a CART center in accordance with such requirements as are established by the office for this purpose. For purposes of this section, applicant shall not include any college or university that has a center for advanced technology pursuant to subdivision three of section thirty-one hundred two-b of the public authorities law.
2. The office shall:
(a) identify technological areas for which a CART center should be designated, including technological areas that are related to industries with significant potential for economic growth and development in New York state, and technological areas that are related to the enhancement of productivity in various industries located in New York state;
(b) establish criteria that applicants shall satisfy for designation as a CART, including, but not limited to the following:
(i) an established record of research, development and instruction in the area or areas of technology involved;
(ii) the capacity to conduct research and development activities in collaboration with business and industry;
(iii) the capacity to secure substantial private and other governmental funding for the proposed college or college-affiliated research institute or a consortium of such institutions, in amounts at least fifty percent of the total of support sought from the state;
(iv) the ability and willingness to cooperate with other institutions in the state in conducting research and development activities, and in disseminating research results;
(v) the ability and willingness to work with technical and community colleges in the state to enhance the quality of technical education in the area or areas of technology involved;
(vi) the ability and willingness to cooperate with the office and other economic development agencies in promoting the growth and development in New York state of industries based upon or benefiting from the area or areas of technology involved;
(c) establish such requirements as it deems appropriate for the format, content and filing of applications for designation as CART centers; and
(d) establish such procedures as it deems appropriate for the evaluation of applications for designation as a college applied research and technology center, including the establishment of peer review panels composed of nationally recognized experts in the technological areas and industries to which the application is related.
3. (a) From such funds as may be appropriated for this purpose by the legislature, the office may provide financial support, through contracts or other means, to designated college applied research and technology centers in order to enhance and accelerate the development of such centers. Funds received pursuant to this subdivision may be used for purchase of equipment and fixtures, employment of faculty and support staff, provision of graduate fellowships, and other purposes approved by the office, but may not be used for capital construction. In each case, the amount provided by the office to a center shall be matched by commitments of support from private and governmental, other than state, sources in accordance with the following:
(i) for the academic year in which it is first funded as a designated center, and the four subsequent years, the amount provided by the office to a center shall be matched fifty percent by the center; and
(ii) upon a finding by the office that a technological area has continued significant potential for enhancing economic growth in New York state, or the application of technologies in the area could significantly enhance the productivity and stability of New York state businesses, the office shall initiate a redesignation process in accordance with subdivision two of this section. Such redesignation process shall be initiated by the office in such a manner that not more than one-third of the centers in existence at the time of redesignation shall become due for such redesignation at the same time.
(1) In the event a new center is selected in the redesignation process, the office shall provide funds to such new center in accordance with the funding match requirements set forth in this paragraph.
(2) In the event a previously designated center is redesignated in the same area of technology, which redesignation is effective for the sixth academic year following the first academic year of both designation and funding, then, in that year and in each year thereafter, the office shall provide funds of up to three hundred fifty thousand dollars to be matched fifty percent by the center, amounts in excess of three hundred fifty thousand dollars shall be matched seventy-five percent by the center.
(3) In the event a currently designated center is not selected in the redesignation process for an additional term, or upon a finding by the office that the area of advanced technology does not have significant potential for enhancing economic growth in New York state, or upon a finding that the application of technologies in that area would not significantly enhance the productivity and stability of New York state businesses, then the office shall, in the fifth academic year following such center's first both designation and funding, which year shall be the final year of funding for such center, provide an amount of up to two hundred fifty thousand dollars.
(b) Continued funding of the operations of each center shall be based upon a showing that: the center continues to comply with the criteria established by the office pursuant to paragraph (b) of subdivision two of this section; a demonstration of assistance to small businesses in New York state through research, technology transfer or other means as approved by the office; compliance with the rules, regulations and guidelines of the office; and, compliance with any contracts between the office and the designated applied research center.
(c) Each center shall report on its activities to the office in a manner and according to the schedule established by the office, and shall provide such additional information as the office may require. The office shall evaluate center operations using methods such as site visits, reporting of specified information and peer review evaluations using experts in the field of technology in which the center was designated. The office shall notify each center of the results of its evaluations and findings of deficiencies in the operation of such center or its research, education, or technology transfer activities and shall work with such centers to remedy such findings. If such factors are not remedied, the office may withdraw the state funding support, in whole or in part, or withdraw the center designation.
(d) In order to encourage that the results of center research benefit New York state, designation and continued funding of each center shall be contingent upon each center's establishing within its licensing guidelines the following: after payment of the inventor's share, a reduced payment due to the university of any royalty, income or other consideration earned from the license or sale of intellectual property rights created or developed at, or through the use of, the facilities of the center by any person or entity if the manufacturing or use resulting from such intellectual property rights occurs within New York state. The office shall promulgate rules and regulations regarding the provisions of the licensing guidelines described herein as they apply to such reduced payment, and such provisions shall be subject to the approval of the office.
4. From such funds as may be appropriated for this purpose by the legislature, the office may provide grants to any one college or college-affiliated research institution for purposes of planning and program development aimed at enabling such college or college-affiliated research institution to qualify for designation as a center. Such grants shall be awarded on a competitive basis, and shall be available only to those applicants which, in the judgment of the office, may reasonably be expected to be designated as centers. No applicant shall receive more than one such grant.
5. (a) From such funds as may be appropriated for the purpose of incentive grants or other funds which may be available from the office to enhance center activities in areas of crucial interest in the state's economic development, the office may provide grants, on a competitive basis, to centers for projects including, but not limited to, those which:
(i) explore new technologies with commercial application conducted jointly by two or more centers or a center and non-center university, college or community college;
(ii) are aimed at enhancing or accelerating the process of bringing new products, particularly those under development by new small businesses, to the marketplace; or
(iii) increase technology transfer projects with the state's mature manufacturing industries in applying technology in their manufacturing processes or for new product development.
(b) State support for incentive grants may be matched on an individual basis by the office, which may consider the type of project and the availability of amounts from private, university and governmental, other than state, sources.
6. (a) The office shall make a biannual report of the CART program to the governor and the legislature not later than September first of every other year. Such report shall include, but not be limited to, the results of an evaluation of each center by the office, a description of the achievement of each center, any deficiencies in the operation of each center or its research, education and technology transfer activities, remedial actions recommended by the office, remedial actions taken by each center, a description of the small business assistance provided by each center, a description of any incentive grant program awarded a grant by the office and the achievements of such program, and the amount of financial assistance provided by the office and the level of matching funds provided by each center and the uses of such monies.
(b) Bi-annual reports shall include a discussion of any fields of technology that the office has identified as having significant potential for economic growth or improved productivity and stability of New York state businesses and in which collaboration with a center for advanced technology is encouraged.
