9 NYCRR Part 6500 - Executive Department

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Source versions current through Mar 31, 2022 - Apr 15, 2022 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 6500.1 - Authority and purpose

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

The comprehensive Jobs Two Thousand for New York State (J2K) Act recognizes that research performed at institutions of higher education has played a valued role in the welfare and success of New York's economy. The act further recognizes that in order to serve the best interests of higher education institutions and business in New York State, it is important to foster university-industry relationships and remove those barriers that impede or slow the development of these relationships. In order to facilitate university-industry relationships and to advance the State's world-class research institutions, the act established the New York State Office of Science, Technology and Academic Research (NYSTAR), a new State agency within the Executive Department. NYSTAR is charged with encouraging research and economic development involving academic institutions and with the administration of the newly created Research Development Program which includes the Faculty Development Program. The Faculty Development Program assists institutions of higher education in New York State to recruit and retain leading research faculty in the fields of science and technology. The Faculty Development Program is intended to provide interim State assistance to generate a long-term commitment by the academic institution to the funded entrepreneurial research endeavor. State funds will be provided to enhance the research environment of New York academic institutions in order to attract stellar research faculty. Such faculty are intended to:

(a)pursue entrepreneurial enterprises resulting in new businesses or the expansion of existing businesses in New York State;

(b)enhance the research capabilities and reputation of their respective academic institutions; and

(c)leverage and attract Federal funds, venture capital, and private industry funds. The goal of the resulting faculty research teams is to spur economic development in New York through their high technology initiatives.

9 NYCRR 6500.2 - Definition of terms

Source version current through Apr 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Apr 15, 2022

As used in this Subtitle, the following terms shall have the following meaning unless otherwise specified:

(a)Advisory council shall mean the advisory council of the New York State Office of Science, Technology and Academic Research as established in Executive Law, article 10-B, section 209-b.

(b)Award recipient shall mean an academic institution of higher education that receives funds from the Faculty Development Program through a contract with the State.

(c)Contract shall mean the agreement between the State and the award recipient approved by the Attorney General of the State of New York and the Office of the State Comptroller.

(d)Executive director shall mean the executive director of the New York State Office of Science, Technology and Academic Research.

(e)Federal assistance shall mean funds available, other than by loan, from the Federal government, either directly, or through allocation by the State for program purposes pursuant to any Federal law or program.

(f)Match, matching share, or matching funds shall mean the portion of the total cost of a project which the award recipient must provide. Any match item may be donated by the recipient or reflect the recipient's use for the project of such an item donated by a third party (such as industry or alumni/ae). The match shall be no less than the State assistance provided and will increase pursuant to the schedule set forth in section 6500.5 of this Part. The match is a nonreimbursable component of the project's total cost and is reflective of the award recipient's long-term commitment to the project. Items eligible to be approved as match are items directly related to the purpose of the project, including, but not limited to: compensation for the recruited and/or retained faculty member; support for research staff and graduate students who are members of the faculty member's team; certain relocation expenses; preparing and equipping the faculty member's work space; support for new faculty lines in research areas to complement the recruited and/or retained faculty member and his/her team; Federal assistance; donations from third parties; and the support of an endowed chair that directly supports the entrepreneurial goals of the project. Match must be expended during the contract term; however, NYSTAR, in its sole discretion, may approve match expended no more than one year prior to the application provided the recipient can demonstrate a direct relationship between such expenditure and the project.

(g)NYSTAR or office shall mean the New York State Office of Science, Technology and Academic Research.

(h)Primary host institution shall mean, in a case where two or more institutions form a partnership or consortium of research entities, the single institution which is designated to apply for and administer the award.

(i)Project shall mean the scope of activities supported by State assistance and the award recipient's matching share.

(j)Project applicant or applicant shall mean an institution of higher education and/or primary host institution within the State which applies for State assistance pursuant to this Part.

(k)Reimbursable expenses shall mean approved costs incurred by the award recipient to perform the proposal. Reimbursable expenses must be incurred during the contract term; however, NYSTAR, in its sole discretion, may approve expenses incurred no more than one year prior to the application provided the recipient can demonstrate a direct relationship between such expense and the project. An item included as a match cannot also be included as a reimbursable expense. That is, reimbursable expenses are separate and independent of match.

(l)Research Development Program shall mean the program established by section 209-p of article 10-B of the Executive Law to encourage and enhance the economic development role of academic institutions in New York State. Such programs shall include, but not be limited to, the Faculty Development Program, Capital Facility Program, the Incentive Program, and the Centers for Advanced Technology Development Program.

(m)State assistance payment shall mean the payment of monies by the State for projects authorized by section 209-p(3) of title 10-B of the Executive Law.

9 NYCRR 6500.3 - Eligibility

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

Consideration for the allocation of awards shall be given to institutions of higher education within the State which satisfactorily demonstrate:

(a)a specific need for such funds; and

(b)the manner in which such award would enhance the research capabilities and reputation of the respective academic institution.

9 NYCRR 6500.4 - Duration of award

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

Awards will be for a term no greater than five years subject to availability of funds and continued satisfactory performance.

9 NYCRR 6500.5 - Matching fund requirement

Source version current through Apr 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Apr 15, 2022

(a)The award recipient's match obligation is reflected in the schedule below:

(1)In year one of the award, for each dollar of State assistance payment made to the award recipient for a reimbursable expense, the award recipient is required to demonstrate one dollar of match.

(2)In year two of the award, for each dollar of State assistance payment made to the award recipient for a reimbursable expense, the recipient is required to demonstrate 1.25 dollars of match.

(3)In year three of the award, for each dollar of State assistance payment made to the award recipient for a reimbursable expense, the recipient is required to demonstrate 1.5 dollars of match.

(4)In year four of the award, for each dollar of State assistance payment made to the award recipient for a reimbursable expense, the recipient is required to demonstrate 1.75 dollars of match.

(5)In year five of the award, for each dollar of State assistance payment made to the award recipient, the recipient is required to demonstrate 2.0 dollars of match.

(b)Where the period of the award is less than five years, the match commitment will increase in accordance with the schedule set forth in subdivision (a) of this section until the end of the term. For example, the award recipient's match commitment in year three of a three year award would be in accordance with paragraph (a)(3) of this section—1.5 dollars of match for each dollar of State assistance.

9 NYCRR 6500.6 - Award amount and schedule of reduction

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)The executive director in consultation with the advisory council will determine the types of projects to be funded from the allocation for each fiscal year based on factors which shall include, but need not be limited to:

(1)consistency with the requirements and intent of the Jobs Two Thousand for New York State (J2K) Act;

(2)demand as evidenced by the number and type of applications previously received for this and other programs administered by NYSTAR; and

(3)public comments and requests received by NYSTAR or other appropriate evidence of need.

(b)Consistent with the number of applications and the funds appropriated, the executive director in consultation with the advisory council may limit the maximum amount of State assistance available for any project.

(c)The Faculty Development Program is intended to provide interim State assistance to generate long-term commitment by the award recipient to the funded entrepreneurial research endeavor. Accordingly, the proportion of State assistance to the total cost of the proposal decreases relative to the increased financial responsibility borne by the award recipient as reflected in the required increase in match set forth in section 6500.5 of this Part.

9 NYCRR 6500.7 - Application process and selection criteria

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Awards will be made through a request for proposals.

(b)The request for proposals shall include the criteria upon which the awards will be made.

(c)Criteria for such awards shall include, but are not limited to:

(1)the ability of the faculty member to leverage and attract Federal funds, venture capital and private industry funds; and

(2)the willingness of the faculty member to pursue entrepreneurial enterprises resulting in new business or the expansion of business in New York State.

(d)The applicant's response to the request for proposals shall include the following minimum documentation:

(1)general applicant information;

(2)a demonstration of the applicant's specific need for such funds and the manner in which such award would enhance the research capabilities and reputation of the respective institution of higher education;

(3)a narrative description of the proposed project, its expected public benefit and economic impact, the applicant's commitment to maintaining the project beyond the period of State assistance and how the project conforms to NYSTAR's funding priority for the cycle for which the application is submitted;

(4)profiles of the proposed recruited and/or retained faculty member(s), including, but not limited to, education, employment history, publications, awards, areas of research, and experience with emerging technology companies;

(5)a budget detailing the total cost of the project, and the sources of the applicant's match;

(6)anticipated performance timelines for initiating and completing the project;

(7)a statement of support of the applicant, which is executed by the president or chief executive officer of the applicant, and in a format approved by NYSTAR, recommending the application to NYSTAR and authorizing an official of the applicant to execute documents necessary for the project; and

(8)such other information as may be required by the executive director in order to implement this program and to accommodate requirements arising from cyclical program priorities.

(e)Ratings will take into account cyclical programmatic and funding priorities as established by NYSTAR in consultation with the advisory council pursuant to section 6500. 6 of this Part. Specific rating factors for each award cycle and their relative weights will be available in the request for proposals.

(f)In addition to the rating factors considered by the proposal evaluation team, the executive director's award determination may take into account the past performance, if any, of the applicant on previous projects administered by NYSTAR or its predecessor, and other information relevant to determining whether the award is in the best interests of the State and is consistent with the Jobs Two Thousand for New York State (J2K) Act.

9 NYCRR 6500.8 - Reimbursement process

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)State assistance will be available on a reimbursement basis. Award recipients shall submit periodic invoices and requests for payment, in formats acceptable to NYSTAR, as work is performed and costs incurred.

(b)NYSTAR will establish periodic reporting requirements to monitor ongoing progress toward stated objectives and the performance of activities stipulated in the contract.

(c)Costs eligible for reimbursement include costs directly associated with the purpose of the project including but not limited to:

(1)compensation for the recruited and/or retained faculty member;

(2)support for research staff and graduate students on the faculty member's team;

(3)certain relocation expenses; and

(4)preparing and/or equipping the faculty member's work space.

(d)An item included as match cannot also be included as a reimbursable expense.

(e)NYSTAR may determine not to reimburse eligible expenses if the award recipient fails to maintain its required level of match during a specific contract period.

(f)Reimbursements requested from NYSTAR shall not duplicate payments received, or receivable, from other sources.

9 NYCRR 6500.9 - Continuing obligations of award recipients

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)NYSTAR may request that the award recipient continue to provide to NYSTAR following termination of the contract certain data and information about the progress achieved by the project, including without limitation the economic impact of the project.

(b)To the extent that the contract provides that revenues from royalties, licenses or other sources shall be payable to the State, such payments may continue subsequent to the termination of the contract as provided in the contract.

9 NYCRR 6500.10 - Award limitations

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)No awards shall be made to an institution of higher education within the State for the purposes of recruiting a faculty member from another institution of higher education within the State unless the applying institution can demonstrate to NYSTAR's satisfaction, in its sole discretion, that such recruitment is in the best interests of the State.

(b)No award recipient who received an award for either recruitment or retention may apply for an award for retention of the same faculty member within three years of the termination of the prior award

(c)No State assistance payments awarded by NYSTAR, or any other state funds made available by another State agency or State public authority, may be included as part of the applicant's match. The executive director, in his/her sole discretion, may waive this prohibition upon a finding of good cause. Nothing in the subdivision prohibits the State University of New York or the City University of New York from using a portion of their respective operating funds as match.

(d)NYSTAR, in its sole discretion, may terminate contracts which do not adhere to the timelines established in the contract.

(e)The term of the employment agreement between the award recipient and the recruited and/or retained faculty member shall be at a minimum for a period coextensive with the term of the award unless NYSTAR, for good cause shown, determines that it may be of a shorter duration.

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