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INTRODUCTION
The State University of New York has long engaged in activities supporting
economic development in furtherance of the University's education, research,
and public service missions. Its Small Business network supports economic
development activities, such as employee/employer training, sponsored
research, technology transfer, productivity enhancement, and direct
entrepreneurial counseling. State University seeks research grants and
contracts with industrial concerns, maintains (through the Research
Foundation) an Office of Technology Transfer for the licensing of inventions,
and encourages the enhancement of industrial technological research
through a special program of cooperative University-industry use of
University research equipment.
The University now seeks to provide an additional opportunity for certain
emerging technology companies to benefit from the instructional, research,
and public service resources of the University by locating on or proximate
to State University campuses in new or renovated Incubator facilities.
The companies affected are emerging businesses involved in the application
of technological research and/or development of new products related
to such research.
The State of New York needs the stimulus to technological development
that could be supplied by the creative interaction of units of its State
University with emerging technology companies. A policy which encourages
such emerging technology enterprises to locate on the University campuses
for limited periods of time serves the interests of New York State by
encouraging the development of such enterprises. It also benefits the
University by providing excellent laboratories for student learning,
increased opportunities for student employment in areas related to their
academic programs, and unique opportunities for involving faculty and
advanced students in applied research projects.
The opportunity to work with entrepreneurial ventures involving new
technology is a powerful attraction for talented faculty, students,
and professional staff. In addition, such efforts tend to broaden and
stimulate campus research activities and invigorate graduate and undergraduate
instruction. Since Incubator programs are already a reality at many
institutions of higher education in New York State and across the country,
SUNY campuses face the choice of providing their own Incubators or risking
the loss of able faculty and students and the erosion of scholarly quality
and competitiveness.
The State of New York has moved vigorously to plan for its economic
future, which includes the fostering of new high-technology industries.
A leading example of this encouragement is the enactment of Chapter
280 of the Laws of 1984 authorizing the Urban Development Corporation
(UDC) to finance or arrange financing for University-industry ''cooperative
research facilities" and "Incubator facilities." In accordance
with this authorization, funds have been appropriated for the UDC to
pursue Incubator programs at two SUNY campuses -- the University Centers
at Buffalo and Stony Brook (Laws of 1985, Chapter 54).
The State's Incubator strategy calls for cooperation of public and
private institutions of higher education, local governments, other non-profit
research institutions, and the private sector in plans for the development
of Incubators throughout the State, with State funding to come primarily
from three sources: UDC, the Job Development Authority, and the New
York State Science and Technology Foundation. The State University of
New York wants to contribute to this strategy in every way possible,
consistent with its mission in instruction, research, and public service.
POLICY AND GUIDELINES
In recognition of this State strategy, a policy has been formulated
that enables SUNY, in support of its instruction, research, and public
service missions, to participate actively in the State's program of
Incubator development pursuant to necessary authorization. This policy
will be implemented in accordance with the following guidelines:
Each campus, which wishes to participate, will formulate its own specific
guidelines, consistent with the following criteria, submitting them
for review and approval of the Office of the Provost.
- The chief administrative officer of each campus shall
establish an independent review committee that represents both local
or regional development and industrial interests and campus academic
interests to review applications from emerging technology
companies to occupy authorized Incubator facilities on University-owned
or controlled property for limited periods of time. Applications may
be granted for industrial or business ventures that substantially
meet the following criteria:
- Engage in application and commercialization of faculty research
and advanced technology;
- Develop, use, or produce products, processes or -- service
that could benefit from campus academic programs
or research activities of faculty, staff, and students and
-- could stimulate employment opportunities for students and
consulting and collaborative research activities with faculty.
- Submit business plans indicating the potential for future employment
and for relocation to non-University space within
a reasonable period of time.
- Offer evidence of the potential contribution to the economic
development of New York State.
- Demonstrate the capacity of meeting user fee obligations and/or
the willingness to grant royalties or other forms
of compensation in exchange for use of facilities and University
services.
- Costs associated with the use of these Incubator facilities, including
the cost of support services, shall be paid from user
fees, from other non-SUNY resources, or from funds incremental to
the campus funding base.
- Appropriate support services may be provided by campuses to emerging
technology enterprises provided that the provision
of needed services to campus academic and administrative units will
not be diminished.
- Constructed or renovated facilities authorized for use under this
policy will be managed directly by the campus, The Research Foundation,
or separate non-profit organizations under contract with The Research
Foundation.
- Emerging technology enterprises, including their employees and consultants
from outside the University who utilize University
Incubator facilities under this policy, will retain ownership of all
patentable inventions and discoveries.
- Other applicable campus and SUNY guidelines shall be complied with,
including those governing cooperative University-industry
use of research equipment, the professional obligations of faculty,
and conflicts of interest.
- Appropriate permit procedures should be followed consistent with
the procedures developed for the use of University facilities by outside
organizations or with such procedures as may be developed
and authorized specifically for Incubator facilities.
- Each campus implementing this policy shall establish a campus review
committee to prepare and revise guidelines for the
operation of Incubator facilities and provide periodic evaluations
of the success of the program.
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