N.Y. EXC Law § 209-T — New York Code / Act EXC / Article 10-B / Section 209-T
College applied research and technology (CART) program
Status: in_force

§ 209-t. College applied research and technology (CART) program. In\norder to encourage greater collaboration between private industry,\nuniversities and colleges within the state in the development and\napplication of new technologies, the office is authorized to designate\nsuch technological areas as the office identifies as having significant\npotential for economic growth in New York state, or in which the\napplication of new technologies could significantly enhance the\nproductivity and stability of New York state businesses. Such\ndesignations shall be made in accordance with the standards and criteria\nset forth in subdivision two of this section. Colleges so designated\nshall be eligible for support from the office in the manner provided for\nin subdivision three of this section, and for such additional support as\nmay otherwise be provided by law.\n  1. As used in this section:\n  (a) "College applied research and technology center" or "CART" means a\ncollege or college-affiliated research institute or a consortium of such\ninstitutions, designated by the office, which conducts a continuing\nprogram of basic and applied research, development, and technology\ntransfer in one or more technological areas, in collaboration with and\nthrough the support of private business and industry; and\n  (b) "Applicant" means a college or college-affiliated research\ninstitute or a consortium of such institutions which request designation\nas a CART center in accordance with such requirements as are established\nby the office for this purpose. For purposes of this section, applicant\nshall not include any college or university that has a center for\nadvanced technology pursuant to subdivision three of section thirty-one\nhundred two-b of the public authorities law.\n  2. The office shall:\n  (a) identify technological areas for which a CART center should be\ndesignated, including technological areas that are related to industries\nwith significant potential for economic growth and development in New\nYork state, and technological areas that are related to the enhancement\nof productivity in various industries located in New York state;\n  (b) establish criteria that applicants shall satisfy for designation\nas a CART, including, but not limited to the following:\n  (i) an established record of research, development and instruction in\nthe area or areas of technology involved;\n  (ii) the capacity to conduct research and development activities in\ncollaboration with business and industry;\n  (iii) the capacity to secure substantial private and other\ngovernmental funding for the proposed college or college-affiliated\nresearch institute or a consortium of such institutions, in amounts at\nleast fifty percent of the total of support sought from the state;\n  (iv) the ability and willingness to cooperate with other institutions\nin the state in conducting research and development activities, and in\ndisseminating research results;\n  (v) the ability and willingness to work with technical and community\ncolleges in the state to enhance the quality of technical education in\nthe area or areas of technology involved;\n  (vi) the ability and willingness to cooperate with the office and\nother economic development agencies in promoting the growth and\ndevelopment in New York state of industries based upon or benefiting\nfrom the area or areas of technology involved;\n  (c) establish such requirements as it deems appropriate for the\nformat, content and filing of applications for designation as CART\ncenters; and\n  (d) establish such procedures as it deems appropriate for the\nevaluation of applications for designation as a college applied research\nand technology center, including the establishment of peer review panels\ncomposed of nationally recognized experts in the technological areas and\nindustries to which the application is related.\n  3. (a) From such funds as may be appropriated for this purpose by the\nlegislature, the office may provide financial support, through contracts\nor other means, to designated college applied research and technology\ncenters in order to enhance and accelerate the development of such\ncenters. Funds received pursuant to this subdivision may be used for\npurchase of equipment and fixtures, employment of faculty and support\nstaff, provision of graduate fellowships, and other purposes approved by\nthe office, but may not be used for capital construction. In each case,\nthe amount provided by the office to a center shall be matched by\ncommitments of support from private and governmental, other than state,\nsources in accordance with the following:\n  (i) for the academic year in which it is first funded as a designated\ncenter, and the four subsequent years, the amount provided by the office\nto a center shall be matched fifty percent by the center; and\n  (ii) upon a finding by the office that a technological area has\ncontinued significant potential for enhancing economic growth in New\nYork state, or the application of technologies in the area could\nsignificantly enhance the productivity and stability of New York state\nbusinesses, the office shall initiate a redesignation process in\naccordance with subdivision two of this section. Such redesignation\nprocess shall be initiated by the office in such a manner that not more\nthan one-third of the centers in existence at the time of redesignation\nshall become due for such redesignation at the same time.\n  (1) In the event a new center is selected in the redesignation\nprocess, the office shall provide funds to such new center in accordance\nwith the funding match requirements set forth in this paragraph.\n  (2) In the event a previously designated center is redesignated in the\nsame area of technology, which redesignation is effective for the sixth\nacademic year following the first academic year of both designation and\nfunding, then, in that year and in each year thereafter, the office\nshall provide funds of up to three hundred fifty thousand dollars to be\nmatched fifty percent by the center, amounts in excess of three hundred\nfifty thousand dollars shall be matched seventy-five percent by the\ncenter.\n  (3) In the event a currently designated center is not selected in the\nredesignation process for an additional term, or upon a finding by the\noffice that the area of advanced technology does not have significant\npotential for enhancing economic growth in New York state, or upon a\nfinding that the application of technologies in that area would not\nsignificantly enhance the productivity and stability of New York state\nbusinesses, then the office shall, in the fifth academic year following\nsuch center's first both designation and funding, which year shall be\nthe final year of funding for such center, provide an amount of up to\ntwo hundred fifty thousand dollars.\n  (b) Continued funding of the operations of each center shall be based\nupon a showing that: the center continues to comply with the criteria\nestablished by the office pursuant to paragraph (b) of subdivision two\nof this section; a demonstration of assistance to small businesses in\nNew York state through research, technology transfer or other means as\napproved by the office; compliance with the rules, regulations and\nguidelines of the office; and, compliance with any contracts between the\noffice and the designated applied research center.\n  (c) Each center shall report on its activities to the office in a\nmanner and according to the schedule established by the office, and\nshall provide such additional information as the office may require. The\noffice shall evaluate center operations using methods such as site\nvisits, reporting of specified information and peer review evaluations\nusing experts in the field of technology in which the center was\ndesignated. The office shall notify each center of the results of its\nevaluations and findings of deficiencies in the operation of such center\nor its research, education, or technology transfer activities and shall\nwork with such centers to remedy such findings. If such factors are not\nremedied, the office may withdraw the state funding support, in whole or\nin part, or withdraw the center designation.\n  (d) In order to encourage that the results of center research benefit\nNew York state, designation and continued funding of each center shall\nbe contingent upon each center's establishing within its licensing\nguidelines the following: after payment of the inventor's share, a\nreduced payment due to the university of any royalty, income or other\nconsideration earned from the license or sale of intellectual property\nrights created or developed at, or through the use of, the facilities of\nthe center by any person or entity if the manufacturing or use resulting\nfrom such intellectual property rights occurs within New York state. The\noffice shall promulgate rules and regulations regarding the provisions\nof the licensing guidelines described herein as they apply to such\nreduced payment, and such provisions shall be subject to the approval of\nthe office.\n  4. From such funds as may be appropriated for this purpose by the\nlegislature, the office may provide grants to any one college or\ncollege-affiliated research institution for purposes of planning and\nprogram development aimed at enabling such college or college-affiliated\nresearch institution to qualify for designation as a center. Such grants\nshall be awarded on a competitive basis, and shall be available only to\nthose applicants which, in the judgment of the office, may reasonably be\nexpected to be designated as centers. No applicant shall receive more\nthan one such grant.\n  5. (a) From such funds as may be appropriated for the purpose of\nincentive grants or other funds which may be available from the office\nto enhance center activities in areas of crucial interest in the state's\neconomic development, the office may provide grants, on a competitive\nbasis, to centers for projects including, but not limited to, those\nwhich:\n  (i) explore new technologies with commercial application conducted\njointly by two or more centers or a center and non-center university,\ncollege or community college;\n  (ii) are aimed at enhancing or accelerating the process of bringing\nnew products, particularly those under development by new small\nbusinesses, to the marketplace; or\n  (iii) increase technology transfer projects with the state's mature\nmanufacturing industries in applying technology in their manufacturing\nprocesses or for new product development.\n  (b) State support for incentive grants may be matched on an individual\nbasis by the office, which may consider the type of project and the\navailability of amounts from private, university and governmental, other\nthan state, sources.\n  6. (a) The office shall make a biannual report of the CART program to\nthe governor and the legislature not later than September first of every\nother year. Such report shall include, but not be limited to, the\nresults of an evaluation of each center by the office, a description of\nthe achievement of each center, any deficiencies in the operation of\neach center or its research, education and technology transfer\nactivities, remedial actions recommended by the office, remedial actions\ntaken by each center, a description of the small business assistance\nprovided by each center, a description of any incentive grant program\nawarded a grant by the office and the achievements of such program, and\nthe amount of financial assistance provided by the office and the level\nof matching funds provided by each center and the uses of such monies.\n  (b) Bi-annual reports shall include a discussion of any fields of\ntechnology that the office has identified as having significant\npotential for economic growth or improved productivity and stability of\nNew York state businesses and in which collaboration with a center for\nadvanced technology is encouraged.\n