2023 New York Laws › PBA - Public Authorities › Article 10-A - New York State Science and Technology › Title 1 - New York State Science and Technology Foundation › 3102-B - Centers for Advanced Technology.

§  3102-b.  Centers  for  advanced  technology.  In order to encourage
greater collaboration between private industry and the  universities  of
the  state  in  the development and application of new technologies, the
foundation is authorized to designate for advanced technology such areas
as integrated electronics,  optics,  biotechnology,  telecommunications,
automation  and  robotics, electronics packaging, imaging technology and
others identified by the foundation as having significant potential  for
economic  growth  in  New  York,  or  in  which  the  application of new
technologies could significantly enhance the productivity and  stability
of  New  York  businesses. Such designations shall be made in accordance
with the standards and criteria set forth in  subdivision  two  of  this
section.  Centers  so  designated shall be eligible for support from the
foundation 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) "center for advanced technology" or "center" means a university or
university-affiliated   research  institute  or  a  consortium  of  such
institutions, designated by the foundation, which conducts a  continuing
program  of  basic  and  applied  research,  development, and technology
commercialization in one or more technological areas,  in  collaboration
with and through the support of private business and industry; and
(b)  "applicant"  means a university or university-affiliated research
institute or a consortium of such institutions which request designation
as a center in accordance with such requirements as are  established  by
the foundation for this purpose.
2. The foundation shall:
(a)   identify   technological  areas  for  which  centers  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 must satisfy for designation as
a center, 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 center, in amounts at least  equal
to 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; and 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;
(v) the ability and willingness to cooperate with the  foundation  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  centers
for advanced technology.
(d)  establish  such  procedures  as  it  deems  appropriate  for  the
evaluation of applications  for  designation  as  centers  for  advanced
technology,  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  foundation  may  provide  financial  support,  through
contracts or other means, to designated centers for advanced technology,
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
foundation, but may not be used for capital construction. In each  case,
the  amount  provided  by the foundation to a center shall be matched by
commitments of support from private and governmental  other  than  state
sources provided that:
(i)  funds  or  in-kind  resources  provided  by the public or private
university of which the center is a part  may  be  counted  towards  the
match;
(ii) such match shall not be required on a project-by-project basis;
(iii)  matching  funds  received from businesses with no more than one
hundred employees shall count as double the actual dollar amount  toward
the center's overall match requirement;
(iv) funds used by the center for any workforce development activities
required by the foundation shall not be included as part of the center's
award  when  determining  the  amount  of matching funds required by the
foundation. Such activities shall  include,  but  are  not  limited  to,
helping incumbent workers expand their skill sets through short courses,
seminars,  and  workshops;  providing industry-driven research assistant
opportunities  for  students,  and  aiding   in   the   development   of
undergraduate  and  graduate courses in the center's technology focus to
help ensure that students are trained to meet the needs of industry;
(v) centers may use not more  then  twenty-five  percent  of  indirect
costs towards any match requirements.
(b)  The amount provided by the foundation shall be made in accordance
with the following:
(i) for the academic year in which it is first funded as a  designated
center,  and  the  five  subsequent  years,  the  amount provided by the
foundation to a center shall be matched equally by the center;
(ii) beginning in the sixth academic year following the academic  year
in  which  a  center is first funded as a designated center and for each
academic year thereafter, amounts provided by the foundation  of  up  to
seven  hundred  fifty  thousand  dollars shall be matched equally by the
center, amounts in excess of seven hundred fifty thousand dollars  shall
be matched by the center in amounts of at least the percentage set forth
herein:  in  the  sixth year, one hundred twenty percent; in the seventh
year, one hundred forty percent; in the eighth year, one  hundred  sixty
percent;  in  the  ninth  year, one hundred eighty percent; in the tenth
year and each year thereafter, two hundred percent;
(iii) beginning in the ninth academic year following the academic year
in which a center is first funded as a designated center, the foundation
shall evaluate such center's area of advanced  technology  to  determine
whether  it  has  continued significant potential for enhancing economic
growth in New York, or whether the application of  technologies  in  the
area  could  significantly enhance the productivity and stability of New
York businesses;
(iv) upon a finding  by  the  foundation  that  an  area  of  advanced
technology  has  continued  significant potential for enhancing economic
growth in New York, or that the application of technologies in the  area
could  significantly  enhance the productivity and stability of New York
businesses, the foundation will  initiate  a  redesignation  process  in
accordance with the standards and criteria set forth in paragraph (b) of

subdivision  two  and  in  accordance  with  paragraphs  (c)  and (d) of
subdivision two of this section.
(1)  In  the  event  a  new  center  is  selected in the redesignation
process, the foundation shall  provide  funds  to  such  new  center  in
accordance   with   the   funding   match   requirements  set  forth  in
subparagraphs (i) and (ii) of paragraph (a) of this subdivision.
(2) In the event a previously designated center is redesignated in the
same area of technology, which redesignation is effective for the  tenth
academic  year following the first academic year of both designation and
funding, then, in that year and in each year thereafter, the  foundation
shall  provide funds of up to seven hundred fifty thousand dollars to be
matched equally by the center, amounts in excess of seven hundred  fifty
thousand  dollars  shall be matched by the center in amounts of at least
two hundred percent.
(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
foundation  that  the  area  of  advanced  technology  does   not   have
significant potential for enhancing economic growth in New York, or upon
a  finding  that  the application of technologies in that area would not
significantly  enhance  the  productivity  and  stability  of  New  York
businesses,  then  the  foundation  shall,  in  the  tenth 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 five hundred thousand dollars.
(c)  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 foundation 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  foundation;  evidence  of  partnerships  with  other
appropriate  entities  to  develop  outreach  networks  and  ensure that
companies receive access to appropriate federal funding  for  technology
development  and  commercialization  as  well as non-research assistance
such as general business consulting. Appropriate partners are those with
which the center demonstrates a relationship that enhances and  advances
the  center's  ability  to  aid  economic  growth in New York state; and
compliance with the rules, regulations and guidelines of the foundation;
and, compliance with  any  contracts  between  the  foundation  and  the
designated center.
(d)  Each center shall report on its activities to the foundation in a
manner and according to the schedule established by the foundation,  and
shall  provide such additional information as the foundation may require
provided, that quantifiable economic development impact measures are not
restricted to any period less than five years and that centers provide a
full description of all non-quantifiable measures. The foundation  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
foundation 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  commercialization  activities  and
shall  work  with  such centers to remedy such findings. If such factors
are not remedied, the foundation may withdraw the state funding support,
in whole or in part, or withdraw the center designation.
(e) 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
foundation   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 foundation.
4.  From  such  funds  as  may be appropriated for this purpose by the
legislature, the foundation may provide grants to any one university  or
university-affiliated  research institution for purposes of planning and
program   development   aimed   at   enabling   such    university    or
university-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
foundation 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
foundation  to enhance center activities in areas of crucial interest in
the state's economic development, the foundation 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 foundation, which may consider the type of project and  the
availability of amounts from private, university and governmental, other
than state, sources.
6.  (a)  The foundation shall make an annual report of the centers for
advanced technology program to the  governor  and  the  legislature  not
later  than September first of each year. Such report shall include, but
not be limited to, the results of the foundation's  evaluation  of  each
center,   a   description   of  the  achievement  of  each  center,  any
deficiencies in the operation of each center or its research,  education
and    technology   commercialization   activities,   remedial   actions
recommended by the foundation, 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
foundation  and  the  achievements  of  such  program, and the amount of
financial assistance  provided  by  the  foundation  and  the  level  of
matching funds provided by each center and the uses of such monies.
(b)  Annual  reports  shall  include  a  discussion  of  any fields of
technology that the foundation  has  identified  as  having  significant
potential  for economic growth or improved productivity and stability of
New York businesses and in which no center for advanced  technology  has
been designated and recommendations of the foundation as to actions that
should be taken.