Bill Text: NY A04408 | 2015-2016 | General Assembly | Introduced

NOTE: There are more recent revisions of this legislation. Read Latest Draft

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Bill Title: Recodifies the small business innovation research program within the New York state urban development corporation act; alters provisions under the small business innovation research program particularly as they affect Phase I award winners; prohibits arbitrary exclusion of technologies and companies; provides for matching of federal funds, to a certain extent.

Spectrum: Partisan Bill (Democrat 5-0)

Status: (Introduced - Dead) 2016-05-04 - reported referred to ways and means [A04408 Detail]

Download: New_York-2015-A04408-Introduced.html

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                           S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
                                         4408
                              2015-2016 Regular Sessions
                                 I N  A S S E M B L Y
                                   January 30, 2015
                                      ___________
       Introduced  by M. of A. SCHIMMINGER, MORELLE, LUPARDO -- Multi-Sponsored
         by -- M. of A.  COLTON, MAGNARELLI -- read once and  referred  to  the
         Committee on Small Business
       AN ACT to amend the New York state urban development corporation act, in
         relation  to  recodification of the small business innovation research
         program and the awards made thereunder within  the  urban  development
         corporation;  and  to  repeal section 3102-c of the public authorities
         law relating to the small business innovation research program
         THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
       BLY, DO ENACT AS FOLLOWS:
    1    Section  1. Section 1 of chapter 174 of the laws of 1968, constituting
    2  the New York state urban development  corporation  act,  is  amended  by
    3  adding a new section 51 to read as follows:
    4    S  51.  SMALL BUSINESS INNOVATION RESEARCH PROGRAM. 1. AS USED IN THIS
    5  SECTION, THE FOLLOWING TERMS HAVE THE FOLLOWING MEANINGS:
    6    (A) "SMALL BUSINESS INNOVATION RESEARCH PROGRAM" OR "SBIR" MEANS  THAT
    7  PROGRAM,  ENACTED  PURSUANT TO THE SMALL BUSINESS INNOVATION DEVELOPMENT
    8  ACT OF 1982 (P.L. 97-219), WHICH PROVIDES FUNDS TO SMALL  BUSINESSES  TO
    9  CONDUCT INNOVATIVE RESEARCH HAVING COMMERCIAL APPLICATION.
   10    (B) "SMALL BUSINESS" MEANS A CORPORATION, PARTNERSHIP, LIMITED LIABIL-
   11  ITY  COMPANY,  SOLE  PROPRIETORSHIP, OR INDIVIDUAL, OPERATING A BUSINESS
   12  FOR PROFIT, WITH TWO HUNDRED FIFTY EMPLOYEES OR FEWER, INCLUDING EMPLOY-
   13  EES EMPLOYED IN ANY SUBSIDIARY OR AFFILIATED CORPORATION OR OTHER  ENTI-
   14  TY, WHICH OTHERWISE MEETS THE REQUIREMENTS OF THE FEDERAL SMALL BUSINESS
   15  INNOVATION RESEARCH PROGRAM.
   16    2.  (A)  WITHIN  THIRTY  DAYS  OF THE PUBLIC ANNOUNCEMENT OF THE SMALL
   17  BUSINESS INNOVATION RESEARCH PROGRAM PHASE I AWARD WINNERS BY THE APPRO-
   18  PRIATE FEDERAL AGENCY, THE CORPORATION SHALL CONTACT ALL PHASE  I  AWARD
   19  RECIPIENTS  WHOSE  PRINCIPAL PLACE OF BUSINESS IS LOCATED IN THIS STATE,
   20  PROVIDE THEM WITH INFORMATION CONCERNING THE PROGRAM AUTHORIZED PURSUANT
   21  TO THIS SECTION, AND ADVISE THEM OF THE REQUIREMENTS  RELATING  THERETO.
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD00667-01-5
       A. 4408                             2
    1  ANY  SUCH RECIPIENT, AT LEAST THIRTY DAYS PRIOR TO THE COMPLETION OF ITS
    2  SBIR PHASE I GRANT PERIOD, MAY, AT ITS DISCRETION, SUBMIT TO THE  CORPO-
    3  RATION A NOTICE OF ITS DESIRE TO SECURE RESEARCH FUNDING PURSUANT TO THE
    4  PROVISIONS  OF  THIS  SECTION, ALONG WITH A COPY OF ITS ORIGINAL FEDERAL
    5  SBIR PROPOSAL AND SUCH ADDITIONAL INFORMATION  AS  THE  CORPORATION  MAY
    6  REQUIRE  TO  ASSIST  IT IN DETERMINING THE ELIGIBILITY OF SUCH RECIPIENT
    7  FOR THIS PROGRAM.
    8    (B) IN ADDITION TO RECEIPT OF AN SBIR AWARD, ANY SMALL BUSINESS  SHALL
    9  MEET THE FOLLOWING CRITERIA:
   10    I.  SUCH SMALL BUSINESS'S PRINCIPAL PLACE OF BUSINESS SHALL BE LOCATED
   11  IN THIS STATE;
   12    II. SUCH  SMALL  BUSINESS  SHALL  CERTIFY  THAT  THE  RESEARCH  TO  BE
   13  CONDUCTED WILL BE PERFORMED SOLELY IN THIS STATE;
   14    III. NO MONEYS SHALL BE EXPENDED FOR TRAVEL, EQUIPMENT, OR FACILITIES;
   15  AND
   16    IV.  NOT  MORE  THAN  ONE-THIRD OF ANY MONEYS AWARDED TO A FIRM BY THE
   17  FOUNDATION MAY BE  USED  TO  CONTRACT  FOR  RESEARCH  OR  OTHER  RELATED
   18  SERVICES.
   19    (C) UPON A FINDING BY THE CORPORATION THAT: (I) A PHASE I AWARD RECIP-
   20  IENT WHOSE PRINCIPAL PLACE OF BUSINESS IS IN NEW YORK HAS SATISFACTORILY
   21  MET ALL THE REQUIREMENTS OF THIS SECTION AND ANY ADDITIONAL REQUIREMENTS
   22  THE  CORPORATION  MAY  DEEM  NECESSARY; PROVIDED, HOWEVER, THAT ANY SUCH
   23  ADDITIONAL REQUIREMENTS SHALL NOT ARBITRARILY EXCLUDE A PARTICULAR GROUP
   24  OR GROUPS OF TECHNOLOGIES OR COMPANIES; AND (II) THE RESEARCH  CONDUCTED
   25  MAY RESULT IN THE DEVELOPMENT OF INNOVATIVE TECHNOLOGY HAVING THE POTEN-
   26  TIAL  TO LEAD TO COMMERCIALIZATION OR FABRICATION WITHIN NEW YORK OF NEW
   27  OR IMPROVED PRODUCTS, PROCESSES,  OR  SERVICES,  THE  CORPORATION  SHALL
   28  NOTIFY  SUCH  SMALL  BUSINESS  THAT  IT  WILL  AWARD THE FIRM A RESEARCH
   29  CONTRACT. SUCH CONTRACT SHALL BE COMPATIBLE WITH AND A  CONTINUATION  OF
   30  THE  RESEARCH  TO  BE  PERFORMED  UNDER THE SBIR CONTRACT AWARDED BY THE
   31  FEDERAL AGENCY INVOLVED AND SHALL BE  CALCULATED  AS  FOLLOWS:  (I)  THE
   32  AMOUNT OF EACH CONTRACT SHALL EQUAL THE AMOUNT OF THE FEDERAL SBIR AWARD
   33  OR  FIFTY  THOUSAND  DOLLARS, WHICHEVER IS LESS; PROVIDED, HOWEVER, THAT
   34  THE TOTAL AMOUNT OF ALL SUCH  CONTRACTS  SHALL  NOT  EXCEED  THE  AMOUNT
   35  APPROPRIATED  FOR  THIS  PURPOSE,  OR  (II) IN THE EVENT THAT THE TOTAL,
   36  POSSIBLE, MAXIMUM AMOUNT OF ALL CONTRACTS, SUCH TOTAL, POSSIBLE, MAXIMUM
   37  AMOUNT CALCULATED ON THE BASIS OF MATCHING EACH FEDERAL SBIR AWARD IN AN
   38  AMOUNT EQUAL TO THE AMOUNT OF SUCH AWARD,  OR  FIFTY  THOUSAND  DOLLARS,
   39  WHICHEVER  IS  LESS,  EXCEEDS  THE  TOTAL  AMOUNT  APPROPRIATED FOR THIS
   40  PURPOSE, THE AMOUNT OF EACH CONTRACT SHALL BE REDUCED BY A  RATIO  EQUAL
   41  TO THE AMOUNT APPROPRIATED FOR THIS PURPOSE DIVIDED BY THE TOTAL, POSSI-
   42  BLE, MAXIMUM AMOUNT OF ALL CONTRACTS TO BE AWARDED.
   43    (D)  THE  CORPORATION  SHALL  ESTABLISH  RULES AND REGULATIONS FOR THE
   44  SMALL BUSINESS INNOVATION RESEARCH PROGRAM,  INCLUDING  AWARD  SELECTION
   45  CRITERIA,  WHICH  SHALL  SERVE AS THE BASIS FOR AWARDS FUNDED UNDER THIS
   46  PROGRAM.
   47    3. THE CORPORATION SHALL NOT DISBURSE ANY MONEYS TO A  SMALL  BUSINESS
   48  UNTIL:
   49    (A) SUCH SMALL BUSINESS HAS COMPLETED ITS SBIR PHASE I RESEARCH;
   50    (B) ITS FINAL PHASE I REPORT WITH RESPECT THERETO HAS BEEN ACCEPTED BY
   51  THE FEDERAL AGENCY INVOLVED;
   52    (C)  ITS PHASE II RESEARCH PROPOSAL HAS BEEN PROPERLY SUBMITTED TO THE
   53  FEDERAL AGENCY INVOLVED; AND
   54    (D) IT HAS SUBMITTED COPIES OF ITS FINAL PHASE I REPORT AND ITS  PHASE
   55  II PROPOSAL TO THE CORPORATION.
       A. 4408                             3
    1    4.  CONSISTENT WITH FEDERAL SBIR PROCEDURES, THE CORPORATION SHALL NOT
    2  DISCLOSE PROPRIETARY INFORMATION WHEN REQUESTED NOT TO DO SO BY  PARTIC-
    3  IPANTS IN THIS PROGRAM.
    4    5. THE CORPORATION SHALL ANNUALLY SUBMIT A REPORT TO THE GOVERNOR, THE
    5  TEMPORARY  PRESIDENT  OF  THE  SENATE,  AND  THE SPEAKER OF THE ASSEMBLY
    6  DETAILING THE RESULTS OF THE PROGRAM, INCLUDING BUT NOT LIMITED  TO  THE
    7  NUMBER OF NEW YORK SMALL BUSINESSES APPLYING FOR SBIR AWARDS, THE NUMBER
    8  RECEIVING  PHASE  I  AWARDS,  THE  NUMBER RECEIVING PHASE II AWARDS, ANY
    9  PRODUCTS OR PROCESSES  DEVELOPED  AS  A  RESULT  OF  THE  SBIR  RESEARCH
   10  INVOLVED,  ANY PATENTS APPLIED FOR OR LICENSES GRANTED BASED ON THE SBIR
   11  RESEARCH INVOLVED, AN ABSTRACT OF THE SBIR PHASE I AND II WORK PERFORMED
   12  BY NEW YORK FIRMS, AND ANY OTHER INFORMATION PERTINENT IN EVALUATING THE
   13  PROGRAM.
   14    6. THE CORPORATION SHALL CONDUCT A PROGRAM TO INFORM SMALL  BUSINESSES
   15  OF  THE FEDERAL SBIR PROGRAM AND THIS NEW YORK STATE PROGRAM IN ORDER TO
   16  ENSURE THAT ALL FIRMS HAVE  THE  OPPORTUNITY  TO  PARTICIPATE  IN  THESE
   17  PROGRAMS.
   18    7.  THE  CORPORATION SHALL FACILITATE AND PROMOTE THE ESTABLISHMENT OF
   19  JOINT SMALL BUSINESS-UNIVERSITY TECHNOLOGY COUNCILS AT THE  CENTERS  FOR
   20  ADVANCED  TECHNOLOGY  AND  OTHER  UNIVERSITIES  WITHIN THE STATE WHEREBY
   21  SMALL FIRMS AND UNIVERSITY EXPERTS CAN FACILITATE THE TRANSFER OF  TECH-
   22  NOLOGY  AND  WORK  TOGETHER  ON  RESEARCH  PROJECTS  RELATED TO THE SBIR
   23  PROGRAM OR OTHER RESEARCH PROJECTS OF MUTUAL INTEREST.
   24    8. THE PROVISIONS OF THIS SECTION SHALL BE EFFECTIVE IF, AND  AS  LONG
   25  AS,  FEDERAL  FINANCIAL  PARTICIPATION IS AVAILABLE THEREFOR PURSUANT TO
   26  THE SMALL BUSINESS INNOVATION DEVELOPMENT ACT OF 1982.
   27    S 2. Section 3102-c of the public authorities law is REPEALED.
   28    S 3. This act shall take effect immediately.