2010 New York Code
EXC - Executive
Article 10-B - (209 - 209-T) NEW YORK STATE OFFICE OF SCIENCE, TECHNOLOGY AND ACADEMIC RESEARCH
209-T - College applied research and technology (CART) program.

§  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.