New York Laws
Title 1 - New York State Science and Technology Foundation
3102-B - Centers for Advanced Technology.

(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.