UAlbany START-UP NY Campus Plan - 03-04-14
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The University at START UP NY
March 2 14
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Overview of S T A R T - U P NY Plan
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C a m p u s c on t a ct .
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Identification of d esi g na te d space a n d /o r l and
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Description of the the type type of business or b u si ne ss e s
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Ali Alignin gning g with or Furtheri ng t he A c a d e m i c M issi on
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How STARTSTART-UP UP
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Description of ho w the the Univ Univer ersi sity ty will sele select ct busi busine ness ss under under ST STAR ART-U T-UP P y
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O t h e r Issues
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A tt a ch m en t s/ A pp e nd i cie s A tttt ac ach me me n ntt 1 - T ax ax Free A rre e a Plan O ve ve rv rv ie ie w A tta ttach chme ment nt 2a - Up Upto town wn Camp Campus us - S h hap apef efil ile e A tta ttach chme ment nt 2b - Do Down wnto town wn Camp Campus us - S h hap apef efil ile e A tttt ac ach me me n ntt 2 c - East C a am m pu pu s - S hap ef efi l e A tttt ac ach me me n ntt 3 - List of Properties A tta ttach chme ment nt 4 - P ubl ublic ic Of Offi fice cers rs La Law w A tta ttach chme ment nt 5 - S UNY UNY Conf Confli lict ct of Interes Interestt Pol Policy icy A tta ttach chme ment nt 6 - RF-S RF-SUN UNY Y Conf Confllict ict of Intere Interest st Pol Policy icy A tta ttach chme ment nt 7 - S UNY UNY Rese Resear arch ch Princ rincip iple le of Integrity Atta Attach chme ment nt 8 - Th The e Univ Univer ersi sity ty at Al Alba bany ny Foun Founda dati tion on - Po Poli lici cies es Pr Proc oced edur ures es
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busine bus iness sses es wi will ll genera generate te posit positiv ive e commun community ity e c o n o m i c benefi ts
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Guid Guidel elin ines es
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Th The e Univer Universit sity y at Alba Albany ny (U (UAl Alba bany ny)) is plea please sed d to subm submit it its STAR STARTT-UP UP NY Univ Univer ersi sity ty Plan to th the e NYS Depa Depart rtme ment nt of Econ Econom omic ic Deve Develo lopm pmen entt (D (DED ED)) and St Stat ate e Univ Univer ersi sity ty of New New York York (SUN (SUNY) Y).. Upon Up on impl implem emen enta tati tion on,, th this is pla plan wi will ll en enab able le UA UAlb lban any y to ad adva vanc nce e it its s ac acad adem emic ic,, re rese sear arch ch and serv servic ice e mi miss ssio ion n by leve levera ragi ging ng ST STAR ARTT-UP UP NY ta tax-f x-fre ree e ince incent ntiv ives es to es esta tabl blis ish h pu publ blic ic-p -pri riva vate te pa part rtne ners rshi hips ps,, ulti ultima mate tely ly lead leadin ing g to en enha hanc nced ed job crea creati tion on and en entr trep epre rene neur ursh ship ip at UAlb UAlban any y an and d ac acro ross ss th the e broade bro aderr Capi Capita tall Regi Region on.. equa equall im impo port rtan ance ce,, th this is plan will prov provid ide e novel ovel oppo opport rtun unit itie ies s for UAlb UAlban any y to i de deve velo lop p ne new w know knowle ledg dge e and disc discov over ery, y, ii) ge gene nera rate te ne new w ex exte tern rnal al re rese sear arch ch fu fund ndin ing, g, iii) crea create te ex expe peri rien enti tial al le lear arni ning ng op oppo port rtun unit itie ies, s, iv) pr prom omot ote e work work fo forc rce e tr trai aini ning ng and de devel velop opme ment nt pr prog ogra rams ms,, an and d v invest in underserv unde rserved, ed, economic economically ally distress distressed ed comm communit unities ies in the re regi gion on..
UAlban UAlb any y s plan addr addres esse ses s th the e fo foll llow owiing key elem elemen ents ts of Gove Govern rnor or Cuom Cuomo o s STAR STARTT-UP UP NY by in init itia iati tive ve that that are are ex expl plic icit itly ly cite cited d in th the e en enab abli ling ng legi legisl slat atio ion n an and/ d/or or re requ quir ired ed th the e cont contro roll ag agen enci cies es regul reg ulat atin ing g the initi initiati ative ve incl includ udin ing: g: • • • • •
Ide Identif ntific ica ation ion of th the e ca camp mpu us co cont ntac actt person, off ffiice and ad add dre ress ss to ad adm min inis iste terr the STARTSTA RT-UP UP NY initia initiativ tive e Iden Identi tiffic ica atio tion of design signa ate ted d sp spac ace e an and/ d/o or land for th the e STA START-U RT-UP P NY initiative tive A description of the type of business or businesse sses that the University will pursue, as wel elll as a desc descri ript ptio ion n of how how th the e Univ Univer ersi sity ty will se sele lect ct busi busine ness ss unde underr STAR STARTT-UP UP NY Al Alig ignm nmen entt of th the e STA START-U RT-UP P NY initiative tive with Uni Unive vers rsit ity y s miss ssiion How How STA START-U RT-UP P NY bu busi sin nes esse ses s will gen ene era rate te pos osiitive tive co comm mmu uni nitty and ec econ onom omic ic be ben nefits its
As a majo majorr publ public ic rese resear arch ch unive nivers rsit ity, y, UAlb UAlban any y is poise ised to ca capi pita tali lize ze on th the e STAR STARTT-UP UP NY init initia iati tive ve gi give ven n the the brea breadt dth h of its lead leadiing acad academ emic ic and re rese sear arch ch pr prog ogra rams ms and its appr approv oved ed NYSU NY SUNY NY 20 2020 20 plan plan fe feat atur urin ing g th the e 22 225, 5,00 000 0 squa square re fo foot ot Emer Emergi ging ng Te Tech chno nolo logi gies es an and d Entreprene Entre preneurshi urship p Complex Complex (E-TEC (E-TEC). ).
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STAR ST ART T UP NY CA CAMP MPUS US CO CONT NTAC ACT T PERS RSON ON OF OFFI FICE CE AND AD ADDR DRES ESS S
UAlban UAlb any y s STAR STARTT-UP UP NY in init itia iati tive ve will will be ad admi mini nist ster ered ed ou outt an and d Econ Econom omic ic Deve Develo lopm pmen entt in the Divi Divisi sion on for Rese Resear arch ch..
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th the e Of Offi fice ce of Busi Business ness Partners Partnerships hips
Th The e pr prog ogra ram m he hea ad an and d cont contac actt will be: Shimazu Michael Ass Associ ociate ate Vice Vice Presid President ent for Bu Busin sines ess s Partne Partners rship hips s and and Eco Econom nomic ic Develo Developme pment nt Unive Un ivers rsity ity at Albany Albany Univer Uni versity sity Hall Hall 7 1400 140 0 Was Washin hingto gton n Avenue Avenue Alba Alban ny, New New York York 12 1222 222 2 518) 518) 956-81 956-8170 70 [email protected]
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C IDEN IDENTI TIFI FICA CATI TION ON OF DE DESI SIGN GNAT ATED ED SP SPAC ACES ES AN AND/ D/OR OR LAN LAND D UNDER NDER STAR ST ARTT-UP UP NY SPACE V IL
CAMPUS PUS BUILDI BUILDINGS NGS LE IN CAM
At this this tim time. UAlb UAlban any y has has iden identi tifi fied ed th the e belo below w list ist of sp spac aces es with within in its ca camp mpus us boun bounda dari ries es to be de desi sign gnat ated ed un unde derr the the STAR STARTT-UP UP NY initi nitiat ativ ive. e. Th Thes ese e id iden enti tifi fied ed sp spac aces es ar are e base based d on exis existi ting ng camp campus us faci facili liti ties es va vaca canc ncie ies, s, both curr curren entt and in th the e immedi immediate ate fu futu ture re,, in th the e cont contex extt of an anti tici cipa pate ted d new facu facult lty y and staff staff hiri hiring ng.. ou outt-ye year ar reno renova vati tion on,, an and d pr proj ojec ecte ted d re rese sear arch ch gr grow owth th.. UAlb UAlban any y care carefu full lly y cons consid ider ered ed thes these e fact factor ors s to en ensur sure e th that at it its s ex exis isti ting ng ac acad adem emic ic,, re rese sear arch ch and st stud uden entt supp suppor ortt prog progra rams ms are are no nott impa impact cted ed by th the e desi design gnat atio ion n of spac space e unde underr the STAR STARTT-UP UP NY in iniitiat tiatiive ve.. Up to to wn
c ad ad e em m ic ic P o d dii u um m - Up to 1,065 SF we t lab la b wi th th su p pp p o rrtt spaces
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Abo bout ut this this Loca cattion - Home to STEM disc sciipline nes. s. ar arts ts and humanities, social sciences, business, and educ educat atiion, on, the Upto Uptown wn Acad Academ emic ic Podi Podium um pr prov ovid ides es th the e hi high ghes estt leve vell of acce access ss and inte interco rconn nnect ected edne ness ss wi with th UAlb UAlban any y st stud uden ents ts,, fa facu cult lty, y, re rese sear arch cher ers, s, an and d st staf aff. f. It al also so prov provid ides es ac acce cess ss to high high-q -qua uali lity ty supp suppor ortt serv servic ices es.. reso resour urce ces s and amen amenit itie ies. s.
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Description of Space - UAlbany has identified Biology Building lab suite B 031 for designat designation ion un unde derr the the STAR STARTT-UP UP NY ini initiat tiatiive. ve. Th This is spac space e is cu curr rren entl tly y va vaca cant nt and will re requ quir ire e upgr upgrad ades es prio pr iorr to occu occupa panc ncy. y. Th The e suit suite e incl includ udes es wo work rk bench ar are eas, as, lab sh shel elvi ving ng and ca case se wor ork, k, and equipment and an d writ write-up e-up spaces. spaces.
Downtown ca cademi demic c Cam Campus pus - Up to 10,000 SF i n S c ch h uyl uyl e err S c ch h oo oo l
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u i lld d in in g
About the Location - The Downtown Acad cademic Campus, at 135 Western Avenue, is in the cent center er of the the City City of Alba Albany ny and home home to nati nation onal ally ly ra ran nke ked d UAlb UAlban any y pr prog ogra rams ms in Criminal Ju Just stic ice, e, Soci Social al Welf Welfar are, e, an and d Poli Politi tica call Scie Scienc nce. e. The The Schu Schuyl yler er Scho School ol Buil Buildi ding ng was was re rece cent ntly ly acquired by the the Univ Univer ersi sity ty and prov provid ides es an oppo opport rtun unit ity y fo forr busi busine ness sses es to in inte tegr grat ate e with ith th thes ese e instr instruct uctio iona nall and and re rese sear arch ch progra programm mmin ing g on th the e down downto town wn ca camp mpus us.. Addi Additi tion onal ally ly,, th this is fa faci cili lity ty is geographi geog raphicall cally y sit situat uated ed in an un unde ders rser erve ved d area area fu furt rthe herr crea creati ting ng a ne nexu xus s to UAlb UAlban any y s acade academi mic c and rese resear arch ch prog progra rams ms e. e.g. g.,, micr microo-lo loan an en entr trep epre rene neur ursh ship ip)) whic which h coul could d spur spur gr grow owth th in economical econo mically ly distresse distressed d areas. areas. Descri Desc rip ption of Spa pace ce - UAlban any y has has identified up to 10,00 000 0 SF of sp spac ace e with within in th the e Schu Schuyl yler er Buil Bu ildi ding ng un unde derr the the STAR STARTT-UP UP NY init initia iati tive ve.. Wh Whil ile e th the e en enti tire re 12 127, 7,00 000 0 SF fa faci cili lity ty is vaca vacant nt and requ requir ires es gu gutt reno renova vati tion on,, it is a pr prio iori rity ty of UAlb UAlban any y s Ca Capi pita tall Plan; and th the e Univ Univer ersi sity ty will expl explor ore e opport opp ortuni unitie ties s for STA START-U RT-UP P NY ventures as oppor opportunit tunities ies arise. arise.
East Campus - Up to 8 6 3 1 S F o f lab a n nd d o ffff iic c e s pa pa ce ce s •
About the Location - Home to the UAlbany s top ranked School of Public Health, this techno tec hnolog logy-f y-focu ocused sed hub hub locat located ed in Re Rens nsse sela laer er Coun County ty cons consis ists ts of in inst stru ruct ctio iona nal, l, of offi fice ce.. and rese resear arch ch sp spac ace, e, incl includ udin ing g high high qu qual alit ity y biol biolog ogy, y, chem chemis istr try. y. mate materi rial als s scien science ce and an anim imal al rese resear arch ch lab abs, s, alon along g wi with th ap appr prox oxim imat atel ely y 20 te tena nant nts s in incl clud udin ing g Ta Taco coni nic c Fa Farm rms s an and d Alba Albany ny Molecular Molecu lar Resear Research. ch.
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Description o f Space - UAlbany has earmarked up to 8,631 S F o n it its s East East Camp Campus us,, in incl clud udin ing g 10 we wett labs, most most wit with fume ume hoods, ranging from 45 453 3 to 1,366 ,366 SF The sp spac ace es also inc ncllud ude e5 offi ffice ces s of va varrious sizes. The East Camp Campus us is owned and opera ratted by a UAlb UAlban any y af affi fili liat ate, e, the Univer Uni versit sity y at Albany Albany Biosc Bioscien ience ce Develo Developme pment nt Corpo Corporat ratio ion. n.
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Guidance on dditional Space f or ST STAR ARTT-UP UP NY
UAlban UAlb any' y's s Exec Execut utiv ive e Space Space Co Comm mmitt ittee ee wil illl gu guid ide e th the e STA START RT-U -UP P NY Camp Campus us Advi Adviso sory ry Comm Committ ittee ee on matter matters s of futur future e ava availa ilable ble spa space ce n not ote: e: th the e STAR START-U T-UP P Ca Camp mpus us Ad Advis visory ory Comm Commit itte tee e is The Th e Exec Ex ecut utiv ive e Sp Spac ace e Comm Co mmit itte tee, e, a n al alre read ady y es esta tabl blis ishe hed d stru st ruct ctur ure, e, de defin fined ed later later in the do docu cume ment nt . pr prov ovid ides es th the e ex expe pert rtis ise e and kn know owle ledg dge e ab abou outt sp spac ace e allo alloca cati tio on, both cu curr rren entt and pl plan anne ned d, and can prov provid ide e es esse sent ntia iall in insi sigh ghtt in into to space space op oppo port rtun unit itie ies s an and d co cons nstr trai aint nts s with within in a pa part rtic icul ular ar bu buil ildi ding ng or ca camp mpus us lo loca cati tio on. More More in info form rmat atio ion n re rega gard rdin ing g th the e Exec Execut utiv ive e Comm Commit itte tee e ca can n be foun found d at: http://vvww.albany.edu/facili http://vvww.alb any.edu/facilities/campuspla ties/campusplanning/space nning/spacemembers.htm members.htm Execuhve Execuhv e Space Commltlee exists)
ST RT UP NY C
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DVISORYCOMMITIEE
L ND V IL BLE ON EXIS EXISTI TING NG C MPUS PROPERTIES
UAlb UA lban any y ha has s ve verry few few av avai aila labl ble e camp campus us pa parrce cels ls of land for for de deve velo lopm pmen entt gi give ven n its urb rba an se sett ttin ing g and rig igiid si site te plan. The The foll follow owin ing g tw two o parc rce els ls,, each of wh whic ich h co coul uld d be su subd bdiv ivid ided ed,, ha have ve be been en id iden enti tifi fied ed for de desi sign gnat atio ion n an and d po pote tent ntia iall deve develop lopme ment nt un unde derr the the START START-U -UP P NY in init itia iati tive ve.. •
East Campu Campus s L an an d P a arr ce ce ls ls - Up to 36 acres UAl Alba bany ny ha has s ear earmar marked ked up to 36 acre cres of bui uilldab dable land on its East East Campu mpus, in th the e To Tow wn of
East Gr East Gree eenb nbus ush, h, for de desi sign gnat atio ion n unde underr the START START-U -UP P NY in init itia iati tive ve.. In ad addi diti tion on to the the East East Camp Ca mpus us'' Scho School ol of Publ Public ic He Heal alth th an and d ex exis isti ting ng bi biot otec echn hnol olog ogy y pa part rtne ners rs,, th this is site site is di dire rect ctly ly ad adja jace cent nt to Rege Regene nero ron n Phar Pharma mace ceut utic ical als. s. The The land land is a stra strate tegi gic c lo loca cati tion on forfuture growth, particularly in the the bi biom omed edic ical al an and d publ public ic he heal alth th di disci scipl plin ines es gi give ven n th the e ca camp mpus' us's s stat statee-of of-t -the he-a -art rt in infra frastr struct uctur ure e and and brea breadt dth h of huma human n capita capital. l. •
Fuller Road West Land Par c el Up to approximately 18 acres UAlb UA lban any y ha has s id iden enti tifi fied ed up to apprOXim Ximat ate ely 18 ac acre res s of la land nd on Fu Full ller er Road, in th e City o f
Alba Albany ny,, fo forr de desi sign gnat atio ion n un unde derr the the STAR STARTT-UP UP NY in init itiiative tive.. Th This is site site in incl clud udes es ac acre reag age e ad adja jace cent nt to UAlb UAlban any y st stud uden entt ho hou using sing fa faci cili liti ties es an and d the the Nano NanoCo Coll lleg ege e Comp Comple lex. x. It is su suit itab able le fo forr lo low w im impa pact ct de deve velo lopm pmen ent, t, pr prov ovid idin ing g ac acce cess ss to th the e Nano NanoCo Coli lieg ege e faci facili liti ties es as we well ll as UAlb UAlban any y re rese sear arch cher ers, s, stude stu dent nts, s, fa facul culty ty and and st staf aff. f. Guidance on Fut Future ure Developme Development nt o f C am am p u us s L an an d
Guidan Guid ance ce on fu futu ture re land land-u -use se pla plann nnin ing g matt matter ers s on UAlb UAlban any' y's s stat state e op oper erat ated ed ca camp mpus uses es woul would d be provided by UA UAlb lban any's y's Advi Adviso sory ry Pl Plan anni ning ng,, Ar Arch chit itec ectu ture re,, and Aesth Aesthet etics ics Comm Commit itte tee. e. This This gr grou oup p he help lps s sh shap ape e la land nd us use e and site site plan lannin ning de deci cisi sion ons, s, es espe peci cial ally ly im impo port rtan antt on UAlb UAlban any' y's s Upto Uptown wn and Downto Dow ntown wn campu campuses ses,, both both of wh whic ich h ar are e ve very ry dens densel ely y co cons nstr truc ucte ted d and de desi sign gnat ated ed as re regu gula late ted d hi hist stor oric ic si sittes. Addi Additi tion onal al info inform rmat atio ion n for for th this is Comm Commit itte tee e can be fo foun und d at http://www.albany.edu/facilities/apaac.html. AdVisoryy Planmng. AJchlleclure AdVisor Aeslhebcs Cl Jmmltlee tlee eXists)
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DVISORYCOMMITIEE
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Ad Hoc Hoc Academe Review Committee new)
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With rega regard rd to affi affili liat atee-ow owne ned d prop proper erty ty,, th the e ST STAR ARTT-UP UP NY Camp Campus us Advi Adviso sory ry Comm Commit itte tee e wi will ll liai liaiso son n wi with th the the ap appr prop opri riat ate e go gover verna nance nce bo bodi dies es wi with thin in th the e af affi fili liat ate e conc concer erni ning ng pr prop oper erty ty th that at migh mightt be cons consid ider ered ed for for futu future re de desi sign gnat atio ion n un unde derr th the e STARTSTART-UP UP NY in init itia iati tive ve.. 200. 200.00 000 0 SQ SQUA UARE RE FEET FEET OF SPAC SPACE E N D LAN LAND D BEYO BEYOND ND TH THE E CAMP CAMPUS US BO BOUN UNDA DARI RIES ES At the tim time of this su sub bmissio sion, UAlba lbany is not inclu cludin ding space or land beyond its ca cam mpus bo boun unda dari ries es for for de desi sign gnat atio ion n un unde derr the STAR STARTT-UP UP NY in init itia iati tive ve.. UAlban UAlb any y anti antici cipa pate tes s iden identi tify fyin ing g such such spac space e or land in th the e fu futu ture re onl only af afte terr co cons nsul ulti ting ng with its muni mu nici cipa pall and econo economi mic c de devel velop opme ment nt st stak akeh ehol olde ders rs.. Upon Upon such such cons consul ulta tati tion on,, th the e Univ Univer ersi sity ty may may amen am end d it its s plan plan as ap appr prop opri riat ate. e. Fu Futur ture e Consid Considera eratio tion n fo forr Inclus Inclusio ion n of Off-Cam Off-Campus pus Space Space/La /Land nd The The Univ Univer ersi sity ty an anti tici cipa pate tes s th that at th the e of offf-ca camp mpus us space spacesll sllan and d to be de desi sign gnat ated ed un under der th the e STAR START-U T-UP P NY initi initiat ative ive will will suppor supportt public public-pr -priva ivate te partne partnersh rships ips th that at will will:: 1) Align with or fu furt rth her UA UAlb lban any y s aca cad demi emic mission 2
Prov Provid ide e comm commun unit ity y and econo economi mic c be bene nefi fits ts - pa part rtic icul ular arly ly.. in unde underserv rserved ed an and d econom eco nomica ically lly distr distress essed ed area areas; s; and and
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Be pr prox oxim imat ate e to UAlb UAlban any y s cam campus pus as requ requir ired ed by sta statut tute e an and d regul regulat atio ion n
Lo Loca call Governm Government ent and Econom Economic ic Develo Developme pment nt Stakeh Stakehold olders ers Prior Pri or to incl includ udin ing g off off-ca -campu mpus s spacel spacellan land d in UA UAlb lban any y s STAR START-U T-UP P NY pl pla an, UAlb UAlban any y wi will ll cons consul ultt wi with th the the be belo low w loca locall go gover vernm nmen entt of offi fici cial als s an and d no noti tify fy ec econ onom omic ic de deve velo lopm pmen entt st stak akeh ehol olde ders rs as appl applic icab able le.. These These incl includ ude: e: -
Alba bany ny and Ren enss sse elae laer County, Coun County ty Exe Execu cuttive ives City o f Albany, May or Town o f East Greenbush, Supervisor Eco cono nom mic Deve Develo lopm pmen entt en enti titties ies (IDAs and Cent Center er fo forr Eco cono nom mic Gr Gro owth th))
In disc discus ussi sion ons s rega regard rdin ing g of offf-ca camp mpus us space spacell llan and d wi with th th thes ese e st stak akeh ehol olde ders rs,, UAlb UAlban any y wi will ll emph emphas asiz ize e th the e impo import rtan ance ce of targ target etin ing g un unde derse rserv rved ed and ec econ onom omic ical ally ly di dist stre ress ssed ed po popu pula lati tion ons s and gi givi ving ng
pref prefer eren ence ce to un unde deru ruti tili lize zed d prop proper erti ties es under under th the e STAR START-U T-UP P NY in init itia iati tive ve..
D DESCRIPTION OF THE TYPE OF BUS USIN INE ESS OR BU BUSI SINE NESS SSE ES Description o f Eligible usinesses
El Elig igib ible le STAR START-U T-UP P NY bu busi sine ness sses es wi will ll ne need ed to be alig aligne ned d wi with th or fu furt rthe herr UAlb UAlban any y s ac acad adem emic ic mi miss ssio ion n sp span anni ning ng the arts arts,, scie scienc nces es and prof profes essi sion ons s (f (for or more more in info form rmat atio ion, n, see see Alig Alignm nmen entt wi with th and Furth Fur theri ering ng the Academ Academic ic Mi Missi ssion on ) Busin usines esse ses s must must eith either er be a 1 new company/ company/start start-up, -up, 2 an out out-of -of-st -state ate compan company y re relo loca cati ting ng to New York State, or 3 an ex expa pand ndin ing g bu busi sine ness ss curr curren entl tly y ba base sed d in Ne New w York York Sta tatte. Th The e over overar arch chin ing g crit criter erio ion n is that that the pros prospe pect ctiv ive e bu busi sine ness ss mu must st de demo mons nstr trat ate e th that at it is crea creati ting ng ne nett ne new w jo jobs bs,, in ad addi diti tion on to alig aligni ning ng wi with th or fu furt rthe heri ring ng UAlb UAlban any y s miss missio ion n an and d pr prov ovid idin ing g po posi siti tive ve ec econ onom omic ic and communit comm unity y benefi benefits. ts.
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Inel Ineligi igible ble busine businesse sses s wi will ll includ include e ret retail ail/w /whol holes esale ale bu busi sine ness sses es,, rest restau aura rant nts, s, re real al estat estate e brok broker ers, s, law firm firms, s, medi medica call or dental dental pr prac acti tice ces, s, re real al esta estate te managem management ent co comp mpan anie ies, s, ho hosp spit ital alit ity y in indu dust stri ries es,, finan finance/ ce/fi finan nancia ciall se serv rvic ices es,, and other other perso persona nall se serv rvic ices es.. Ad Addit ditio ional nally, ly, util utilit itie ies s an and d bu busin sines esses ses engaged in the the ge gener nerat ation ion or distr distribu ibuti tion on of ele electr ctrici icity ty are are inelig ineligibl ible. e. Moreov More over er,, prospe prospect ctiv ive e STA START RT-UP -UP NY busine business sses es ca cann nnot ot compet compete e agains againstt lo loca call busine businesse sses s already in existence.
LI LIGN GNIN ING G WITH OR FURT FURTHE HERI RING NG THE THE
DE DEM MI
MISSI SSION
UAlban UAlb any y wi will ll on only ly cons consid ider er bu busi sine ness sses es that that alig align n wi witth or furt furthe herr it its s ac acad adem emic ic mi miss ssio ion n un unde derr the the START-UP NY init initia iati tive ve.. Publ Public ic-p -priv rivat ate e partn partners ership hips s that that meet meet this this test test might might feat featur ure: e: • • • • • •
Sponsorship of cur curre rent nt and/or and/or de deve velo lopin ping g facu facult lty y rese resear arch ch,, sc scho hola lars rshi hip, p, an and d crea creati tive ve work work Exper xperie ient ntia iall lea learnin rning g and wo work rkfforce orce op oppo port rtun unit itie ies s for for stud studen ents ts and grad gradua uate tes s (e.g., int intern ernshi ships, ps, fel fellow lowshi ships, ps, full full-tim -time e jobs) jobs) Ac Acce cess ss to spec specia iali lize zed d inst instru rume ment ntat atio ion, n, tools ols, and/ and/or or la labo bora rato tory ry eq equi uipm pmen entt Supp Suppor ortt for for scho cholars larshi hips ps,, fello ellows wshi hips ps,, or en endo dowe wed d cha hair irs s Ins Instr truc ucti tion onal al cont contri ribu buti tion ons s and stud studen entt ment mentor orin ing g Ac Acce cess ss to inte intell llec ecttual ual pr prop ope ert rty y, ex expe perrtise tise,, or othe otherr busi busine ness ss reso resour urce ces s
•
Supp Suppor ortt for for camp campus us faci facili liti ties es an and/ d/or or other other inst instit itut utio iona nall serv servic ices es/a /ame meni niti ties es
UAlb UA lban any y s STAR STARTT-UP UP NY plan plan capi capita tali lize zes s on the the campus campus s follo followi wing ng strat strategi egic c prio priori riti ties es::
• • • • • •
C l i ma t e , Environmental and Economic SustainabilitynPredicting, Pl Plann anning ing and onsenting urEnv Enviro ironme nment nt for Futu Future re Genera Generatio tions ns Emerging Technologies--Improving Hum Human an Effici Efficienc ency y and Securi Security ty th thro roug ugh h omputa omputatio tional nal and Foren Forensic sic Scien Sciences ces Hu m an He al t h and Biom Biomedic edical al Sciences-- Tran Transl slat atin ing g Scie Science nce in into to Human Human Heal Health th Public Servi Service ce and and Po Poli licycy--I -Imp mprov rovin ing g the Human Human ondit onditio ion n th thro roug ugh h Rese Resear arch ch on Poli Policy cy and Prac Practi tice ce Entrepreneur reneurship--C ship--Creatin reating g a ulture In Innov novat ation ion and Entrep Entrepren reneur eurshi ship p in Business an d Entrep Se Secu cure re Global Global Mark Marketp etplac lace e L i bitizenship e renship a l rt san and d kScienc Sci enceses--- The itiz W Wor ork and Life
ri ritic tical al Founda Foundatio tion n
an Educ Educat ated ed Pers Person on Prep Prepar ared ed for
Leveraging U lbany s NY NYSU SUNY NY 2020 s Four Transformation Research Clusters Building on its its NYSU NYSUNY NY 20 2020 20 plan plan ap appr prov oved ed by Govern Governor or Andrew M Cuo uom mo, UAlb UAlban any y will seek seek to harnes har ness s the the inte intelle llect ctual ual ca capi pita tall of fou fourr transf transform ormat ation ional al rese resear arch ch cl clus uste ters rs.. Prosp Prospec ecti tive ve busine business sses es that that ha have ve syne synerg rgis isti tic c conn connec ecti tion ons s wi with th thes these e re rese sear arch ch di disc scip ipli line nes s wi will ll be wel elll po posi siti tion oned ed to capi capita tali lize ze on the the STARTSTART-UP UP NY init initia iati tive ve as detai detailed led belo below. w.
Research Cluster 1: 1:
C l i m a t e and Env Enviro ironme nmental ntal Scie Science nce Resear Research ch
Leve Levera ragi ging ng our inter internat nation ionall ally y ac accl clai aime med d Depart Departmen mentt of Atm Atmosp ospher heric ic an and d Envir Environm onment ental al Scien Science ce (D (DAE AES) S) an and d Atmo Atmosp sphe heri ric c Scie Scienc nce e Rese Resear arch ch Cen Cente terr (ASR (ASRC) C),, UA UAlb lban any y wi will ll targ target et bu busi sine ness sses es that that alig align n wi with th or furt furthe herr its its Cl Clim imat ate e and Envi Enviro ronm nmen enta tall Scie Scienc nce e Rese Resear arch ch Cl Clus uste terr un unde derr NY NYSU SUNY NY 20 2020 20..
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This This cl clus uste terr wil illl pu purs rsue ue ad adva vanc nces es in en envi viro ronm nmen enta tall scie scienc nce e an and d clim climat ate e pr pred edic icti tion on wi with th th the e po pote tent ntia iall to serv serve e as an R D arm fo forr clim climat ate e sens sensit itiv ive e busi busine ness sses es and in indu dust stri ries es.. UAl UAlbany bany can of offe ferr cu cutt ttin ing g ed edge ge faci facili liti ties es to sp spur ur fr frui uitf tful ul coll collab abor orat atio ions ns for mutu mutual al be bene nefi fitt -- in incl clud udin ing g ou outs tsta tand ndin ing g op oppo port rtun unit itie ies s for the the Univ Univer ersi sity ty's 's st stud uden ents ts to ob obta tain in inva invalu luab able le ex expe perie rience nce on bus busine iness ss appli applicat catio ions ns relat related ed to their the ir rese resear arch ch and st stud udie ies. s. Research Cluster 2:
Biomedica Biome dicall Sci Scienc ence e an d Biotechnology
inlopme on rodege UAlb UA lban any y will wiinll are capita capas itali lize its its egener inter internat natio ional nally ly re recog cogni zed str streng ength th th the ement, Lint, fe Scie Sc nces es purs pursue ue an advances areas ofzeneurod neu nerati ative ve diseas dis eases esnized and an d neurod neu rodeve evelop infect infienc ectio ious ustodi disea sease, se, and d canc cancer er.. The The Univ Univer ersi sity ty's 's RNA RNA In Inst stit itut ute, e, Cance Cancerr Rese Resear arch ch Cent Center er an and d Cent Center er for Fu Func ncti tion onal al Genom Gen omic ics s ha have ve su succ cces essf sful ully ly led th the e way way in inte interf rfac acin ing g wi with th bu busi sine ness sses es to ad adva vanc nce e ba basi sic c and appl applie ied d re rese sear arch ch throu through gh publi public-p c-priv rivate ate partn partners ershi hip. p. The availa available ble infras infrastru tructu cture re at these these facili faciliti ties es and othe others rs en ensu sure res s th that at th the e Univ Univer ersi sity ty is read ready y an and d prep prepar ared ed to of offe ferr emer emergi ging ng bi biot otec echn hnol olog ogy y comp compan anie ies s an and d ex exis isti ting ng comp compan anie ies s ne new w op oppo port rtun unit itie ies s for coll collab abor orat atio ion n wi with th our re rese sear arch cher ers s and students. Research Cluster 3:
F or or en en s sic ic S c ie ie nc nc e es s a nd nd C y b be er Sec cu u r iitt y
Th The e Univ Univer ersi sity ty's 's fore forens nsic ic scie scienc nces es and cybe cyberr secu securi rity ty clus cluste terr is pois poise ed to part partne nerr with new new busi busine ness ss and indu indust stry ry to deve develo lop p novel ovel adva advanc nces es acro across ss a rang range e of di disc scip ipli line nes s in incl clud udin ing g crim crime e scen scene e and di digi gita tall foren forensic sics. s. The Uni Univer versit sity y is we well ll-p -pre repa pare red d to work work wi with th comp compan anie ies s to tr tran ansl slat ate e re rese sear arch ch disc discov over erie ies s into into prac practi tica call to tool ols s and te tech chno nolo logi gies es th that at wo woul uld d tr tran ansf sfor orm m cybe cybers rsec ecur urit ity, y, di digi gita tall fo fore rens nsic ics, s, and cr crim imin inal al inve invest stig igat atio ions ns loca locall lly, y, na nati tion onal ally ly,, and ar arou ound nd th the e worl world. d. Research Cluster
:
dvancedData nalytics
UAlban UAlb any y wi will ll pu pursu rsue e ne new w bu busi sine ness ss and indu indust stry ry coll collab abor orat atio ions ns that that le leve vera rage ge th the e Univ Univer ersi sity ty's 's re rese sear arch ch st stre reng ngth th ac acro ross ss a wi wide de arra array y of ad adva vanc nced ed da data ta an anal alyt ytic ics s and in info form rmat atic ics s in incl clud udin ing g na natu tura rall langua lan guage ge pro proce cessi ssing ng,, arti artifi fici cial al inte intell llig igenc ence, e, softwa software re engin enginee eerin ring, g, inform informati ation on sc scie ienc nce, e, comput computer er ar archi chitec tectur ture, e, knowl knowledg edge e repres represen entat tatio ion n and and plan planni ning ng.. Util Utiliz izin ing g an interd interdisc iscipl iplina inary ry ap appro proach ach in whic wh ich h tech techno nolo logy gy is deve develo lope ped d fr from om an unde unders rsta tand ndin ing g of both th the e appl applic icat atio ion n doma domain in and th the e ways ways in wh whic ich h hu huma mans ns thin think, k, UAlb UAlban any's y's rese resear arch ch st stre reng ngth ths s wi willl be enha enhanc nced ed by coll collab abor orat atio ions ns wi with th th the e will in priv privat ate e secto sectorr lead leadin ing g to th the e comm commer erci cial aliz izat atio ion n of rese resear arch ch th that at he help lp busin business esses es compet compete e an increasin incre asingly gly data-drive data-driven n eco econom nomy. y. Levera Lev eragin ging g the Breadth Breadth o f t he he U n iiv v e rrs s ity ity a t
lb ba a n y s Mission
Compre Com prehen hensive sive Under Undergra gradua duate. te. Gradua Graduate te and and Pr Profe ofessi ssion onal al Educa Educati tion on As a majo majorr publ public ic rese resear arch ch unive nivers rsit ity, y, UAlb UAlban any y pr prov ovid ides es a wide wide ra rang nge e of acad academ emic ic pr prog ogra rams ms span spanni ning ng the the arts arts,, scie scienc nces es an and d prof profes essi sion ons s incl includ udin ing g ov over er 25 250 0 un unde derg rgra radu duat ate e an and d gr grad adua uate te de degr gree ee offe offeri ring ngs. s. The The Univ Univer ersi sity ty's 's plan plan wi willl leve levera rage ge STAR START-U T-UP P NY in init itia iati tive ve be bene nefi fits ts to part partne nerr wi with th bu busi sine ness ss an and d indu indust stry ry in order order to st stre reng ngth then en its its na nati tion onal ally ly ra rank nked ed an and/ d/or or di dist stin inct ctiv ive e acade academi mic c prog progra rams ms ac acro ross ss the the Univ Univer ersi sity ty incl includ udin ing, g, bu butt no nott limi limite ted d to, bi biom omed edic ical al scie scienc nce, e, bu busi sine ness ss,, counse cou nseli ling ng and cl clin inica icall psych psychol olog ogy, y, comput computer er scien science ce,, crimi crimina nall justic justice, e, econo economi mics, cs, edu educa catio tion, n, Engl En glis ish, h, info inform rmat atio ion n and te tech chno nolo logy gy mana manage geme ment nt,, libr librar ary y and in info form rmat atio ion n stud studie ies, s, mat ath, h, no nonp npro rofi fitt mana ma nage geme ment nt,, po poli liti tica call scie scienc nce, e, pu publ blic ic af affa fair irs, s, pu publ blic ic fi fina nance nce and bu budg dget etin ing, g, pu publ blic ic he heal alth th,, pu publ blic ic manage man agemen mentt admin administ istrat ratio ion, n, so soci cial al wor work k and and so soci ciol olog ogy. y. Researc Rese arch h and and Disco Discover very y The The Univ Univer ersi sity' ty's s Plan lan wi will ll fo focu cus s on op oppo port rtun unit itie ies s wi with th bu busi sine ness ss and and in indu dust stry ry to le leve vera rage ge,, capi capita tali lize ze and grow grow its di dive vers rse e rese resear arch ch por ortf tfol olio io,, wh whic ich h incl includ udes es mo more re th than an 60 re rese sear arch ch ce cent nter ers s
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Entrepreneur Entrepre neurship ship and and Inn Innova ovatio tion n Entre Ent repre preneu neurs rship hip an and d innov innovat ation ion ar are e emer emergin ging g unive universi rsity ty-wi -wide de prior priorit ities ies for bo both th facu facult lty y an and d stud studen ents ts.. Under Under UA UAlb lban any y s ap appr prov oved ed NYS NYSUN UNY Y 20 2020 20 pl plan an,, the Un Univ iver ersi sity ty is dev develo elopin ping g an Emer Em ergi ging ng Techno Technolog logies ies an and d Entrep Entrepren reneur eurshi ship p Comple Complex x E-T E-TEG EG)) an and d co corr rres espo pond ndin ing g ecosy ecosyst stem em to trans transfor form m pionee pioneeri ring ng re rese sear arch ch an and d inn innov ovat ation ion into into co comm mmer erci cial al ac acti tivi vity ty an and d public public-p -priv rivat ate e pa part rtne ners rshi hip p op oppo port rtun unit itie ies. s. Leve Levera ragi ging ng the the E-T E-TEC ec ecos osys yste tem. m. whic which h brin brings gs toge togeth ther er bu busi sine ness ss de deve velo lopm pmen entt and tech techno nolo logy gy tr tran ansf sfer er,, the the Univ Univer ersi sity ty is pa part rtic icul ular arly ly we well ll po posi siti tion oned ed to supp suppor ortt the the crea creati tion on an and d gr growt owth h new bu busi sine ness ss an and d indu indust stry ry und under er the the ST STAR ARTT-UP UP NY in init itia iati tive ve.. Th The e Univ Univer ersi sity ty en envi visi sion ons s STAR STARTT-UP UP NY bu busi sine ness sses es to supp suppor ortt an and d fost foster er en entr trep epre rene neur ursh ship ip thro throug ugh h new and ex exis isti ting ng pr prog ogra rams ms such such as stud studen entt vent ventur ure e fun unds ds,, soci social al en entr trep epre rene neur ursh ship ip,, bu busi sine ness ss pl plan an co comp mpet etit ition ions, s, SBI SBIR/S R/STIR TIR partn partners ership hips s an and d other other bu busi sines ness s develo developme pment nt op oppo port rtun unit itie ies. s. Community Communit y Engagement Engagement in Econ Economic omically ally Distre Distresse ssed d Areas As a pu publ blic ic re rese sear arch ch un univ iver ersi sity ty,, UA UAlb lban any y is comm commit itte ted d to en enga gagi ging ng the the comm commun unit itie ies s surr surrou ound ndin ing g its thre three e camp campus uses es - pa part rtic icul ular arly ly re regi gion ons s that that are are un unde ders rser erve ved. d. The The Un Univ iver ersi sity ty s ac acti tive ve comm commun unit ity y en enga gage geme ment nt ag agen enda da thro throug ugh h its its ac acad adem emic ic disc discip ipli line nes s and ex extr trac acur urri ricu cula larr volu volunt ntee eerr wo work rk wi will ll be en enha hanc nced ed by STAR STARTT-UP UP NY bu busi sine ness ss init initia iati tive ves s that that focu focus s in pa part rtic icul ular ar on un unde ders rser erve ved d area areas s in ou ourr co comm mmun unit ities ies.. Publi Publicc-pr priva ivate te partne partners rship hips s cr crea eate ted d thro through ugh the START START-UP -UP NY progr program am ca can n off offer er new op oppo port rtun unit itie ies s for for ou ourr stud studen ents ts,, facu facult lty y an and d re rese sear arch cher ers s to tack tackle le real real-l -lif ife e prob proble lems ms from from an inte interc rcon onne nect cted ed ac acad adem emic ic an and d bu busi sine ness ss pe pers rspe pect ctiv ive. e. The The Un Univ iver ersi sity ty s pl plan an wi will ll capi capita tali lize ze on the the ST STAR ARTT-UP UP init inress itia iati tive ve to en enga gage bu busi sine ness es that that wi will llsiti cont co ntri ribu bute teomic toicthe thimpa e pact revi revita tali zati tion on ec econ onom omic ical ally lyNY dist distre ssed ed re regi gion ons s ge to crea cr eate te sses job jobs s an and d po posi tive ve ec econ onom im ct. . liza
Underr the Unde the STAR STARTT-UP UP NY init initia iati tive ve,, UA UAlba lbany ny s plan plan wil illl en enab able le the the pu purs rsui uitt pUblic-private pa part rtne ners rshi hips ps that that ad adva vanc nce e the the Univ Univer ersi sity ty s mi miss ssio ion, n, while while crea creati ting ng jobs jobs an and d po posi siti tive ve ec econ onom omic ic impact imp act throug throughou houtt the the re regi gion on.. F
HOW HO W ST RT UP NY BU BUSI SINE NESS SSES ES WILL WILL GENE GENER R TE POSI POSITI TIVE VE COMM CO MMUN UNIT ITY Y
ND ECON ECONOM OMIC IC BENE BENEFI FITS TS
UAlban UAlb any y s pr prop opos osed ed STAR STARTT-UP UP NY plan plan an anti tici cipa pate tes s attr attrac acti ting ng new bu busi sine ness sses es an and d ne new w jobs jobs to the the Capi Ca pita tall Regi Region on ov over er the the ne next xt ten 10 10) year years. s. Th Thes ese e bu busi sine ness sses es will will in incl clud ude e ou outt-of of-s -sta tate te comp compan anie ies, s, new st star artt-up ups s or ex expa pand ndin ing g bu busi sine ness sses es fro rom m New New York York Stat State. e. Elig Eligib ible le STAR STARTT-UP UP NY bu busi sine ness sses es that that alig align n wi with th the the ac acad adem emic ic mi miss ssio ion n under under the the Un Univ iver ersi sity ty s STARTSTAR T-UP UP NY plan will ill no nott only nly crea create te ne new w em empl ploy oyme ment nt oppo opport rtun unit itie ies, s, bu butt will attr attrac actt new new invest inv estmen mentt loca locally lly sp spur urri ring ng ad addi diti tion onal al econom economic ic growt growth h ac acro ross ss the Capi Capita tall Regi Region on ec econ onom omy. y. Th This is ec econ onom omic ic gr grow owth th wi will ll re resu sult lt in a nu numb mber er benefit benefits s including: including: • • • • •
Inc Increas reased ed empl employ oyme ment nt op oppo port rtun unit itie ies s Divers ersifi ification of the regional econ econom omy y Expand panded ed purc urchasin asing/ g/s spendi ending ng in the local econ econom omy y Gr Grea eate terr ec econ onom omic ic impa impact ct thro throug ugh h incr increa ease sed d po popu pula lati tion on Mo More re ho home me owne owners rshi hip p and res esid iden enttial ial inve invest stme ment nt thro throug ugho hout ut the reg egio ion n
Th The e Univ Univer ersi sity ty s STAR STARTT-UP UP NY plan lan wi will ll plac place e en enha hanc nced ed prio priori rity ty on pros prospect pective ive busines businesses ses that wi will ll engage engage an and d benef benefit it un unde ders rser erve ved d co comm mmun unit itie ies. s.
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ge 8
Th The e po posi siti tive ve ec econ onom omic ic an and d comm commun unit ity y impa impact ct o the the STAR STARTT-UP UP NY in init itia iati tive ve in the the Ca Capi pita tall Regio egion n wi will ll be furt furthe herr en enha hanc nced ed by the the alignm alignment ent o the the Univ Univer ersi sity ty s pl plan an wi with th key strate strategic gic goals goals o the Capi Ca pita tall Regi Region on Econom Economic ic Develo Developme pment nt Coun Counci cil: l: to levera leverage ge resour resources ces amon among g acad academ emic ic,, no nott-fo forr-pr prof ofit it,, gov govern ernme menta ntall an and d commer commerci cial al organizations • to open new door doors s for for business. culti ltivate ate oppor pporttuni nittie ies s for startup companies. and build the competency o re rese sear arch ch,, ed educ ucat atio ion n an and d he heal alth th care care • to pr prep epar are e for for tomo tomorr rrow ow by supp suppor orti ting ng educ educat atio ion n and wo work rkfo forc rce e de deve velo lopm pmen entt • to focus development within the urban core Th Thro roug ugh h pu publ blic ic-p -pri riva vate te pa part rtne ners rshi hips ps under under ST STAR ARTT-UP UP NY, the the Univ Univer ersi sity ty wi will ll be ab able le to ex expa pand nd ed educa ucati tiona onall an and d trai traini ning ng pr prog ogra rams ms,, es esta tabl blis ish h new ex expe peri rient entia iall le lear arni ning ng op oppor portun tuniti ities es for for stud studen ents ts,, ge gene nera rate te new re rese sear arch ch and disc discov over ery, y, an and/ d/or or trans transfe ferr an and d comm commer erci cial aliz ize e more more rese resear arch ch and tech techno nolo logy gy to the the mark market et place lace - all outc outcom omes es that hat will al allo low w the un univ iver ersi sitty to bett better er serv serve e the Capita Cap itall Regi Region. on.
G. DE DESC SCRI RIPT PTIION OF HO HOW W UA UALB LBAN ANY Y WI WILL LL SELE SELEC CT BU BUSI SIN NES ESSE SES S Accepting Accept ing Busine Businesse sses s Applic Applicati ations ons Upon Up on its its plan lan be bein ing g ap appr prov oved ed by SU SUNY NY an and d OED, UAlb UAlban any y wi will ll be begi gin n ac acce cept ptin ing g bu busi sine ness ss ap appl plic icat atio ions ns un under der the the STAR STARTT-UP UP NY init initia iati tive ve.. Th The e Of Offi fice ce o Bus Busine iness ss Partn Partners ership hips s an and d Econom Economic ic Deve De velo lopm pmen entt wi will ll firs firstt de dete term rmin ine e if a busi busine ness ss ap appl plic ican antt me meet ets s cert certai ain n mi mini nimu mum m el elig igib ibil ilit ity y requir req uirem ement ents s under under the the STARTSTART-UP UP NY init initia iati tive ve and Un Univ iver ersi sity ty s Pl Plan an.. Info Inform rmat atio ion n rega regard rdin ing g the UAlb UA lban any y STAR STARTT-UP UP NY init initia iati tive ve will ill be av avai aila labl ble e on a secu secure re and de dedi dica cate ted d we webp bpag age e at http://www.albany.edu/start-up-ny. START-UP NY Cam Campus pus Adv Adviso isory ry Commit Committee tee Th The e Univ Univer ersi sity ty wi will ll es esta tabl blis ish h a ST STAR ARTT-UP UP NY Advi Adviso sory ry Co Comm mmit itte tee e to revi review ew,, ev eval alua uate te bu busi sine ness ss ap appl plic icat atio ions ns,, whic which h wi will ll includ include e a de deter termi minat nation ion o alig alignm nmen entt wi with th the the ac acad adem emic ic mi miss ssio ion, n, and make make reco recomm mmen enda dati tion ons s to the the Pres Presid iden entt (o (orr de desi sign gnee ee)) for for final inal camp campus us ap appr prov oval al.. The The memb member ersh ship ip o the grou group p wi will ll incl includ ude e ap appr prop opri riat ate e seni senior or ad admi mini nist stra rati tive ve offi office cers rs,, as we well ll as facu facult lty y an and d stud studen entt repr repres esen enta tati tive ves. s. Th Thro roug ugh h its its wo work rk,, the the comm commit itte tee e wi will ll prov provid ide e a broa broad d Univ Univer ersi sity ty pe pers rspe pect ctiv ive e when when implem imp lement enting ing this this high high pr prof ofil ile e pr prog ogra ram. m. Th The e ev eval alua uattion ion and sele selec ction tion pro process cess will have have two two diff differ eren entt ap appr prov oval al pa path thwa ways ys - 1) for for spac space e and and unda lan la nsoci d ciat as asso soci ciat ated ed unUniv der r ersi thsity e ty Stat ta Univ Un ity ity as of th New Ne York Yo rk attyAlba Alat bany ny any nd Foun for fordati stion pac pa ceOR andthe d 0,00 as asso ated ed wi with th aunde Un iver aff aftfeilia iliate te,iver , ers such susch the ewUniv Un iver ersi sity Al Alba bany Fo on thlean20 200, 000 0 sq squa uare re feet feet o prop proper erty ty owne owned d by a thir third d pa parrty land landlo lord rd or de deve velo lope per. r. 1 State Universit University y
New Ne w Yo York rk at Alba Albany ny - Ev Eval alua uati tion on and Se Sele lect ctio ion n Proc Proces ess s
UAlbany UAlban y s ne newl wly y estab establis lishe hed d Of Offi fice ce o Bus Busine iness ss Partne Partners rship hips s an and d Econo Economic mic Develo Developme pment nt wi will ll serve serve as the the fr fron ontt do door or for for all pros prospe pect ctiv ive e bu busi sine ness sses es seek seekin ing g to sec ecur ure e ST STAR ARTT-UP UP NY de desi sign gnat atio ion. n. If a busine bus iness ss applic applicant ant sa sati tisf sfie ies s ce cert rtai ain n min minimu imum m cr crit iter eria ia,, the the Of Offi fice ce o Bus Busine iness ss Partne Partnershi rships ps and Econ Econom omic ic Deve Develo lopm pmen entt will ill re refe ferr the the bu busi sine ness ss appl applic icat atio ion n to the the ST STAR ARTT-UP UP NY Camp Campus us Advi Adviso sory ry Commit Com mittee tee for re revi view ew an and d ev eval alua uati tion on.. Whenever Whenev er nece necess ssar ary, y, the the STARTSTART-UP UP NY Ca Camp mpus us Advi Adviso sory ry Co Comm mmit itte tee e wi will ll seek seek gu guid idan ance ce and feed feedba back ck from from vari variou ous s camp campus us comm commit itte tees es an and d un unit its s on matt matter ers s in incl clud udin ing g ac acad adem emic ic an and d rese resear arch ch alig alignm nmen ent, t, spac space e and land land,, bu budg dget et/f /fin inan ance ce impa impact ct and comm commun unit ity y impa impact ct as ap appr prop opri riat ate. e.
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Page 9
Evaluation an d Selection
The The STAR STARTT-UP UP NY Campu Campus s Ad Advi viso sory ry Co Comm mmit itte tee e wil will sele select ct pros prospe pect ctiv ive e busi busine ness sses es fo forr participation in th the e Univ Univer ersi sity ty's 's prog progra ram m on the the basi basis s of th thei eirr ability to align wit ith h or fu furt rthe herr th the e academic acade mic missio mission n of the the Univ Univer ersi sity ty,, thei theirr pote potent ntia iall for econ econom omic ic bene benefi fits ts and and th thei eirr pote potent ntia iall for benefi ben efits ts to th the e co comm mmun unit ity. y. tleas leastt half of the the eval evalua uati tion on for pros prospe pect ctiv ive e busi busine ness sses es wil will be base based d on the furth furthera eranc nce e of the the Un Univ iver ersi sity ty's 's acad academi emic c miss missio ion. n. with with econ economi omic c and and comm commun unit ity y bene benefi fits ts co comp mpri risi sing ng the re rema main inin ing g co cons nsid ider erat atio ions ns.. Throu Through gh this this appr approa oach ch,, th e Univ Universi ersity's ty's STARTSTART-UP UP plan plan will co cons nsid ider er a nu numb mber er of rela related ted factor factors s in asse assess ssin ing g bus busine iness ss app appli licat catio ions ns wh which ich may incl includ ude, e, but ar are e no nott be limite mited d to:
Prospective Business
ST START ART-UP -UP NY SELECTIO SELECTION N PROCESS Up Upto town wn and Dow Downto ntown wn Camp Campus us
Execubve Space Space Commil Commiltee tee [e)(lsls)
1
--,
....
DIVISion of Flnarce and
BUSinesss (eXI BUSines (eXIsts sts]]
Offces of Oommumly Engagemenl, Governmenl Relahons Diversily InclUSion
_ \
1 I ~
i '-'1
Sub mils Appl i::ahon
Ad ;sory Planning, Archlleclure
li w
Busi sine ness ss Part Partners nerships hips Office of Bu Ec Econ onom omic ic Develop Development ment (ne (new) w)
I Aeslhebcs Commillee (e)(lsls)
ST
If Mmmu Mmmum m erilena Mil, Applt;lliion Advar;:ed For ReVIew
START-UP NY CAMP CAMPUS US AD ADVI VISO SORY RY t k
d l l t c t
osn
dM
COMMITIEE Evaluati Evaluation on
Scoring)
~
(>(j Ho::: Pcooemc Reilew o m m ~
ee new new
If Appr Approved oved,, Advar;:ed 10 Ihe Presid denl enl [or deSignee) deSignee) for Fin Final al Review Ca mpus
President (or deS deSill ill lee)
If Approved, SUb mrt A9phcehon ESOC
ST RT UP
Business Busin ess Approved
cademic cademi c and es esea earc rch h lig lignm nment ent • Is t he bu si n ess in an indu indust stry ry alig aligne ned d wi with th curren currentt and/or and/or devel developi oping ng Un Univ iver ersi sity ty rese resear arch ch,, sc scho hola larl rly, y, and creati creative ve acti activi vity ty? ? • Does Does th the e busi busine ness ss prov provid ide e expe experi rien enti tial al lear learni ning ng and and wo work rkfo forc rce e oppo opport rtun unit itie ies s (e.g .g.., inte intern rnsh ship ips, s, fell fellow owsh ship ips, s, full full-ti -time me jobs) jobs) for stude students nts and and gradua graduates tes? ? • Does Does the the bu busi sine ness ss pr prov oviide ar area eas s for for pa part rtne ners rshi hip p and ad adva vanc ncem emen entt fo forr fac acul ulty ty an and d st stud uden ents ts? ? •
Will the the bu busi sine ness ss pr prov ovid ide e ac acce cess ss to re res sear earch inst instru rume ment ntat atiion on,, tools, and/ and/or or equi equipm pmen entt necessary to adva advanc nce e the the acad academ emic ic and and rese resear arch ch mi miss ssio ion? n?
START
Page 10
• • •
Will the the bu busi sine ness ss fund scho schola lars rshi hips ps,, cam campu pus s faci facili littie ies s or othe otherr ac acad adem emic ic serv servic ices es or am amen enit itie ies? s? Will the the bu busi sine ness ss an and/ d/or or its its empl employ oyee ees s cont contri ribu bute te to in inst stru ruct ctio ion n or prov provid ide e stud studen entt ment mentor orin ing? g? Does the business offer the use com compan pany y re reso sour urce ces, s, in inte tell llec ectu tual al prop proper erty ty or ex exper perti tise se to suppor sup portt the the academ academic ic missio mission? n?
Economic Econom ic enefit enefit • Ho w many ne t new jo bs will be created? • Is the business viable in both the short- and long-term? • Will the the bu busi sine ness ss attr attrac actt pr priv ivat ate e finan inanci cial al inve invest stme ment nt? ? • Does Does the the bu busi sine ness ss plan to ma make ke capita ital inve invest stme ment nts s (e.g., reno renova vattio ion n, ne new w cons constr truc ucti tion on)? )? • Are the new j o b s in cr crit itic ical al areas the the econom economy? y? • How How will the University ity finan inanc ciall ially y bene beneffit from the terms the the le leas ase? e? ommunity enefits ommunity enefits • Does the business have t he support on one e or more more muni munici cipa pall or comm commun unit ity y en enti titi ties es? ? • Is the busin usines ess s recruiting empl employ oyee ees s from the local wo work rkfforce orce? ? • Does the business invest in und unders erserve erved, d, economi economicall cally y distress distressed ed regi regions? ons? Will the the bu busi sine ness ss rely on supp suppli lier ers s with ith in the the loca locall an and d regi region onal al ec econ onom omy? y? Upo pon n revi review ew and appr approv oval al from the the ST STAR ARTT-UP UP NY Camp Campus us Ad Advi viso sory ry Co Com mmi mitt ttee ee,, the the busi busine ness ss ap appl plic icat atio ion n will be adva advanc nced ed to the the Pres Presid iden entt (or desi design gnee ee)) for for final camp campus us appr approv oval al.. Upon Upon the the Pres Presid iden entt s or de desi sign gnee ee s ap appr prov oval al,, the the Of Offi fice ce Bu Busi sine ness ss Partn Partner ershi ships ps an and d Econom Economic ic Develo Dev elopme pment nt wi will ll compl complete ete the the Sponso Sponsori ring ng Univ Univer ersi sity ty Appli Applica catio tion n for for Busine Business ss Part Partic icip ipat atio ion. n. form, orm, alon along g wi with th the the bu busi sine ness ss ap appl plic icat atio ion, n, will ill be subm submit itte ted d to Depa Depart rtme ment nt Economic Develo Dev elopme pment nt for fina finall ap appr prov oval al..
This This
2 Univ Univer ersi sity ty Af Affi fili liat ate e or Thir Third d Part Party y La Land ndlo lord rd or Deve Develo lope perr fo forr th the e OffOff-Ca Camp mpus us 20 200K 0K Squa Square re Feett Designa Fee Designatio tion n For bu busi sine ness ss ap appl plic icat atio ions ns that that seek seek to util utiliz ize e lan land or spac space e ow owne ned d by a Unive Univers rsit ity y Affi Affilia liate te (for (for ex exam ampl ple, e, the the Univ Univer ersi sity ty at Al Alba bany ny Fo Foun unda dati tion on)) or by a third party la land ndlo lord rd or de dev vel elop oper er,, the the proc proces ess s requi require res s an ad addit dition ional al step step.. UAlbany s Office UAlbany Office Bu Busi sine ness ss Part Partne ners rshi hips ps and Econ Econom omic ic Deve Develo lopm pmen entt wil illl cont contin inue ue wi witth the the fi firs rstt revi review ew to en ensu sure re that that pros prospe pect ctiv ive e bu busi sine ness sses es seek seekin ing g to secu secure re ST STAR ARTT-UP UP NY de desi sign gnat atio ion n sati satisf sfy y certai cer tain n minimu minimum m cr crite iteri ria. a. Beforre the Befo the appl applic icat atio ion n is mov oved ed forw forwar ard d to the the STAR STARTT-UP UP NY Camp Campus us Advi Adviso sory ry Co Comm mmit itte tee e and the the Pres Presid iden ent, t, it re requ quir ires es an ev evalu aluat ation ion by the the Un Univ iver ersi sity ty affi affilia liate te for eco econom nomic ic vi viab abil ilit ity, y, corpor corporate ate govern gov ernanc ance e an and d busine business ss plan plannin ning g re reas ason ons. s. Again, Agai n, ex exis isti ting ng Univ Univer ersi sity ty comm commit itte tees es can can be soli solici cite ted d to as assi sist st wi with th the the revi review ew proc proces ess s an and d n Ad hoc hoc Ac Acad adem emic ic Re Revi view ew Comm Commit itte tee e can be con onve vene ned d as nee eede ded d to prov provid ide e the Un Univ iver ersi sitty and its affi af fili liat ates es wi with th the the full full arr rray ay info informa rmation tion needed needed to ass assess ess each each app applic licati ation. on.
ST
T
ge
Prospective Business
ST STAR ARTT-UP UP NY SELEC SELECTIO TION N PR PROC OCES ESS S University Amlizre
Landlord/Developer
1
200K of Off-ClI Off-ClIrTlpus rTlpus Spl SplICe ICe
u~tn
Applcetlon
Office of Business PartnershipS Economic Development
I
--
DIVISICO of Flna l:e and
r
Universit Univ ersity y Affiliate evel elop oper er 200K SQF - Dev (E llIation Review I
l
_
-----,-i
8U_SI_ne_ss
Off Office icess of Communly Engagement Goverrmenl Relations : r v r s ~ y : locluslon Off Office icess of Communly Engagement Goverrmenl Relahons : r v e r s ~ y : locluslon
I __
II Mnimum Cmene I\II lI A'lllication AdJanced For ReView ReView
u
I ~ o k AdvI<I
nee k }
If Approved, Adllanced 10 the STARHJP NY Campus Campus AdVIsory AdVIsory Commillee lor Evaluation Recommendallon to the Presldenl
START-UP NY CAM CAMPUS PUS ADVI ADVISO SORY RY
Ad o Academic Review Commltlee naw)
COMMITIEE Evaluation/Review
I
• ••
.
President Approval (or des deslsn lsnee) ee)
Empire Emp ire Stat State e
Development Corp.
ESDC) Campuss Sub Sub mils II Approved. Campu Applcatlon 10 ESDC
START-UP NY
Business Approved
Upon OE D Final Approval Upon fina Upon finall ap appr prov oval al,, the the Un Univ iver ersi sity ty wi will ll work work wi with th the the bu busi sine ness ss to faci facili lita tate te impl implem emen enta tati tion on of the terms ter ms and condit condition ions s of ag agre reem emen entt un unde derr the ST STAR ARTT-UP UP NY in init itia iattiv ive e. The Univ Univer ersi sitty will co op oper erat ate e wi with th DED DED in its its monito monitorin ring g and report reporting ing respon responsib sibili ilitie ties. s.
H.OTHERISSUES Confidentiality
Recogn Reco gniz izin ing g that that for for an any y nu numb mber er of re reas ason ons, s, a bu busi sine ness ss may requ requir ire e tota totall conf confid iden enti tial alit ity, y, the the Univ Un iver ersi sity ty wi will ll,, as ap appr prop opri riat ate, e, execut execute e non-di non-discl sclosu osure re agreem agreement ents s wi with th prospe prospect ctive ive busine business ss partn par tner ers s in order order to ex explo plore re po pote tent ntia iall busine business ss re rela lati tion onsh ship ips. s. Conflict o f Interest
Th The e Un Univ iver ersi sity ty's 's ev eval alua uati tion ons s an and d sele select ctio ion n proc proces ess s wi will ll ac acco coun untt for for pros prospe pect ctiv ive e conf confli lict ct of interest issu issues es thro throug ugh h ad adhe here renc nce e to the the sect sectio ion n four four hu hund ndre red d thir thirty ty-n -nin ine e of Article 21 of the Eco Econom nomic ic Deve De velo lopm pmen entt Law, as well ell as the the poli polic cies ies of the the St Stat ate e Univ Univer ersi sity ty of New New York, the the Rese Resear arc ch Foundation of the the Stat State e Unive Univers rsit ity y of Ne New w York York and the the Univ Univer ersi sity ty at Al Alba bany ny Fo Foun unda dati tion on..
START
NY
WO R K S
Page 12
cce cceler lerate ated d Decisi Decision on Making Making Proces Process s Some So me pr pros ospe pect ctiv ive e STAR START T UP UP NY bu busi sine ness sses es may may requ requir ire e a more more ra rapi pid d de deci cisi sion on maki making ng pr proc oces ess s Accordingly th the e Pres Presid iden entt of the the Un Univ iver ersi sity ty rese reserv rves es au auth thor orit ity y to se sele lect ct and ad adva vanc nce e bu busi sine ness sses es un unde derr the STAR START T UP NY pr prog ogra ram m to NYS De Depa part rtme ment nt of Econ Econom omic ic Deve Develo lopm pmen entt fo forr fin ina al app pprrov oval al I
ST
T
Page
TAX-FREE AREA PLAN W/SHAPEFILES
ATTA AT TACH CHME MENT NT
START-UP NY CAMPUS PLAN FOR DESIGNATION OF TAX TAX-FR -FREE EE AREA AREA S
Ca Camp mpus us Na Name me:: Campus Contact Person:
University at Al Alban bany, y, State State University of New New Yo Yorrk Michael Shimazu, Associate Vice Pre Presi siden dentt fo forr Busin Business ess Partne Partnersh rships ips and Econ Economic omic Development Development
AREA EA PLAN PLAN SHALL BE DEV DEVELO ELOPED PED BY THE CAMPUS TEAM AND PRO PROVID VIDE E THE FOLLOWING THE TAX FREE NY AR
REQUIRED INFORMA TION
1
Specificatio Specifica tion n or ident identifi ificati cation on of space or land proposed for designation as a Tax-Free NY Area identifying the following: i
Provide the name and address of the SU SUNY NY,, CUNY CUNY or com communi munity ty colle college ge see seekin king g approval approval as a Sponsor, the address of the space or land proposed for designati designation on as a Tax-Free NY Area, and a written description charact acteri eristi stics cs of the area for designatio designation. n. of the physical char Name:
University at Albany
1400 Washinqton Aven Campus Address: Avenue; ue; Albany, Albany, NY 12222 Address{es of Propos Proposed ed Tax-Free NY Area s : 1 Upt Uptown own Campus Campus 14 Washington Avenue, Albany NY 12222 space Wester ern n Avenue, Avenue, Albany NY 12203 space 2 Downtown Campus 135 West 3 East Campus 5University Place, Rensselaer, NY 12144 space 4. Upt Uptown own Campus Campus 14 Was Washi hingt ngton on Avenue Avenue,, Albany Albany NY 12222 land 5 East Campus 5University Place, Rensselaer, NY 12144 --land Description of physical characteristics: wet la lab b case 1 Upt Uptown own Campus Campus space 1,060 SF biology wet case wo work rk and benches; existing building on well-established suburban/urban campus, adjacent to University instruction and resea researc rcher hers; s; minor minor upgra upgrades des needed Downto town wn Campus Campus space up to 10,000 SF in 127,000 SF Schuyl Schuyler er Building Building;; urban 2 Down campus suitab suitable le fo forr mi spaces es require required; d; mixe xed d us use e commercial; major renovation of spac building is currently not in use 3 East Campus space up to 8,631 SF of wet lab and offices of various sizes on established suburban, multi-tenant ca camp mpus us;; mi mixe xed d commer commercial cial,, universi university, ty, and lab research use; min minor or upgrad upgrades es needed; owned by UAlbany affiliate: University at Albany Bioscien Bios ciences ces Development Development Corporat Corporation ion UABDC 4. Uptown Campus l la and up to approximately 18 acres of land on Fuller Road West portion of campus; land is surburban/urban with cl close ose proxi proximit mityy to residences and and wo woul uld d require utilities and road extension Nanotec Nano tech h campus; campus; site is undeveloped and 5 East Campus la land nd up to approximately 36 acres of land in suburban mixed use campus; land is undeveloped with limited road frontage; would require utilities extensions; land owned by UABDC ii.
iii.
Provide Provi de digi digita tall fifile less con conta taini ining ng Point shap shapef efilile e th that at prov provid ides es lo loca catition onss of area fo forr designat designation ion.. Point Point sha efile must include uni ue identifier for each feature. ttach to am us Plan See attachments 2a, and
IV.
Provide digital Provide digital files containing chart that includes name of city, town or village where the ar area ea fo forr designation is located; street address; zip code code;; na name me of property owner; type of prop propert erty; y; parcel parcel applicable and avai availabl lable); e); vacant vacant Buil vacant nt space; identification number (if applicable Buildin ding g name/numbe name/number; r; type of vaca area for for designation; unique identifier; and any geogr geographic aphic inf informat ormation ion syst system em (GIS (GIS)) total square footage of area maps, as indicated on the application form, of the area comprising the proposed Tax-Free NY Area, showin ex exiist stiin st strree eets ts,, hi hwa s waterwa s, natu natural ral boundari boundaries es and other
ttach to
am us Plan
h
sical features.
ro osed for desi nation as Tax-Free NY Area
2)
3) Provide description of the the ty type pe of bus busin iness ess or busin business esses es that may locate on the area to be designated.
See UAl UAlban banyy s STARTSTART-UP UP NY Plan (Attachment 1; page 5)
4) Provide des descri cript ption ion of the academic mission of the Sponsor and how the anti anticipa cipated ted businesses businesses will align or further the academic mission of the university or college.
See UAl UAlban banyy s STARTSTART-UP UP NY Plan (Attachment 1; page 6)
those ty type pess of businesses in the Pr Prog ogra ram m would would gener 5) Provide description of how participation by those generate ate positiv positive e economi nomicc benef benefitits, s, inclu includin ding g but not lilimit community and eco mited ed to: • • • • • • • •
Inc Increas reased ed employment employment opportunit opportunities; ies; Inc Increas reased ed opportuniti opportunities es for int internsh ernships, ips, vocationa vocationall tra traini ining ng and experiential learning for undergraduate and graduate study; Diversification of the local economy; Environmental Environme ntal sustainabil sustainability; ity; Increased entreprene entrepreneurship urship opportunities; opportunities; non-competi mpetitive tive and/or synergist synergistic ic links to exis Positive, non-co existin ting g business businesses; es; Effect on th the e lo loca call ec econ onomy omy;; and and Opportunities as magnet for economic and social growth. See UAlbany s START-UP NY Plan (Attachment 1; page 8)
6) Provide description of the process the Sponsor will follow to selec selectt partici participati patinq nq businesses.
See UAlbany s START-UP NY Pla Plan (Attachment 1; page 8)
UPTOWN
MPU MPUS SH PEFILE
ATTACH ATT ACHMEN MENT T
UAlbany ptown Ca Camp mpus us Biology Biology Building Fuller We West st Vaca Vacant nt nd
2a
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LIST LIST OF PROP PROPER ERTI TIES ES
ATTACH ATT ACHMEN MENT T 3 ....Ilh
o.c:ripUOI l
Str'fttAddrGI
Lonllt\lde
p orlions of SChuyler City 01
l o o n ~
S V ·I0 1 + B -
OOS.3-<lOO·U
SUNY Aloony
1
Albany
135Western A\ie
1220,
--
~ u l S c
u ~ l e r
C
l o o n ~
SU·lOl-l·B-
0OO3HBI-A
SUNYAloony
1400 WitshingtonAve
12222
Al b y
ye,
no
42 '9'40.1S6'N
7.3-46'U.764 lW
yes
no
42 41'4.372 N
73'49'l9.868 W
ye,
no
4 2 41 ··2 23 3.. 24 24 4 4'' N
H 'S () () IIll 8. 8. B4 B4 W
ye
no
42 37'43.489'N
H'44'9.52S W
ye,
no
4 2 3 7 ' 4 9. 6 3 9' N
73 U'19.30S W
ye S
no
42 >7'43.69B'N
n U'27.1l4 W
ye.s
no
n 44'25.'B3 W
42 37'42.929 N
ye
no
42 37'43.34S'N
H U'2S.623 W
yes
no
4 2 37 '4 3 3.. 38 38 S S'' N
H 4 44 4· 25 25 ..S S 11 11 W
Ves
no
42 37'43.271'N
H'44'26.BS W
y
no
42 37 7'' 43 43 .6 .6 0 02 2 'N
73 44 4'' 26 26 .7 .7 3 37 7 W
ve S
no
42 37 7'' 41 41 .S .S 7S 7S 'N 'N
73 44 4'' 24 24 .J .J 63 63 W
lII ut renovitotlon, no floor ~ I a n
City 01
OC)Wntown
d i n g
Campus.· oldg requires
10.000
Biology
C
available
Uptown C,mpus· BioloSY 11&33; g r ~ u n d lbor leve I 2 rooms • wet lab
1, 060
and office ,space P aro el on Full er Road
City 01 Aloony
SU-I01-l-l-
01lOC<K03·A
SUNYAloony
WiJ,ihlngton
14
Je
Albany
12222 Parce Parcell A
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PUBLIC OFFICERS LAW
7
TT
HMENT
Code of ethics.
1. Definition. As use sed d in this section: The The te term rm st te gency shall me mean an an anyy stat state e department department,, or division, board, commis com missi sion, on, or bureau of any st stat ate e depar departme tment nt or any public benefit cor corpor porati ation on or publi publicc author authoritityy at least on one e of whos whose e members is appointed by the gov govern ernor or or corpor corporati ations ons clo closel selyy aff affililiat iated ed with spec specifific ic st state ate agencies as defined by paragraph d of subdivision five of section fifty-three-a of the finance law or their successors.
The term legisl tive employee shall me mea an any officer or emp but it shal hall not include members of emplo loyee yee of the legislature but the legislature.
interest est.. No officer or employee of state agency, member of the leg 2. Rule with respect to onfli ts of inter legis islat lature ure or legislative employee should have any int interest erest,, fin financi ancial al or otherwise, direct or in indi dire rect ct,, or engage in any bus busin iness ess or professi essional onal activity activity or incur any obligation of any nat nature ure,, which which is substantial conflict wit with the proper transaction or prof discha discharge rge of his duties the publ public ic int interes erest. t. 3. Standards. state e ag agen ency cy,, member of the legislature or legislative employee shou should ld acc accept ept other a. No officer or emplo employe yee e of stat employment wh whic ich h wi willll impair his in indep depend endenc ence e of judgment judgment the ex exer erci cise se of his official duties.
state e ag agen ency cy,, member of the legi b. No officer or empl employ oyee ee of stat legisl slat atur ure e or legislative employee should accept emplo emp loyme yment nt or engage in any business or prof professi essional onal activit activityy which will require him to disclo disclose se confid confident ential ial information which he by reason of his official position or authority. C
empl ploy oyee ee of stat state e agenc agency. y. member of the legislature or legislative employee should disclose No officer or em use e such such information to further his confidenti confi dential al inf informat ormation ion acquired by him in the course of his of offifici cial al dutie dutiess no norr us personal pers onal interes interests. ts.
d. No officer or empl employ oyee ee stat state e ag agen ency cy,, memb member er of the legislature or legislative emp emplo loyee yee shoul should d use attempt to use his or her of official position to secure unw unwarr arrant anted ed privi privileg leges es or exempt exemptio ions ns for hi himse mselflf or herself or or other oth ers, s, incl includi uding ng but not limited to, the misappropriation to himself, herself or to othe others rs of the property, services the e stat state e for private bus or other resources of th busin iness ess or other compensated non-governmental purposes. e. No officer or emplo employee yee of stat state e ag agen ency cy,, memb member er of the legislature or legisl legislati ative ve emplo employee yee should engage in any transaction as rep repres resent entati ative ve or agent of the state with any bus busin iness ess entit entityy in which he has direct or indirect financ financial ial intere interest st tha with th the the proper di disc schar harge ge of his offi official cial duties. duties. thatt might might reaso reasonab nably ly tend to conflict wi
f. An officer or employee of state agency, member of the legislature or legislative employee should not by his
conduct give give reason reasonabl able e basis for the imp impre ressi ssion on that that any person can improperly influence him or unduly enjoy his favor in the performance of his official duties, or that he is affected by the the kinsh kinship ip,, rank, position or influence of any party or person. g. An officer or emplo state e ag agen ency cy shou should ld ab abst stai ain n from maki making ng per persona sonall investments in enterprises which employe yee e of stat he has reason to believe may be directly involved in decisions to be made by him or which will otherwise create substantial conflict between his duty in the pub publilicc interes interestt and his private private int interes erest. t.
h. An officer or emplo employe yee e of state agency memb member er of the legislature or legislative employee should endeavor to pursue cour course se of cond conduc uctt whi which wi willl no nott rai aise se suspicion am amon ong g the the public that he is likely to be engaged in acts that are in violation of his trust. i. No officer or empl employ oyee ee of state agency employed on full time basis nor any firm or ass associ ociati ation on of which such an officer or empl employ oyee ee is member nor corporation substantial portion of the stock of which is owned or
controlled directly or indirectly by such officer or employee should sell go good odss or serv serviices ces any person firm whose se ra rate tess ar are e fixe fixed d by the state agency in which such officer or corpor cor porati ation on or associ associat atio ion n which is lilicen censed sed or who empl em ploy oyee ee serv serves es or is employed. anyy su such ch officer member or employee who of law an shall knowingly and intentionally violate any of the provisions of this section may be fined fined susp suspende ended d or remove removed d from of offifice ce or emplo employme yment nt in the manner provided by law. Any such individual who knowingly and intentionally violates the provisions of paragraph b c d or i of subdi subdivi visi sion on th thre ree e of this section shall be subject to civil civil pen penal alty ty in an amount not the e va valu lue e of any gif to exceed ten thousand dollars and th giftt compensa compensatio tion n or benefit received as result of such violation. Any such individual who knowingly and intentionally violates the provisions of paragraph a e or g of subdivision three of this section shall be subject to civil penalty in an amount not to exceed the value of any gift gift comp compens ensat atio ion n or benefi benefitt received as result of such violation.
Violations
n addition to any pena penalty lty contain contained ed in any other provision
SUNY ONFLI T OF INT R ST POLI Y
Category: HR Labo Laborr Relations Relations Legal and Compliance Responsible Office: University Counsel
ATTA AT TACH CHME MENT NT
Policy Title: Conflilict Conf ct of Intere Interest st Document Number: 6001 Effective Date: October 01, 1995 This pol This polic icyy item applies to: State-Oper Stat e-Operated ated Campuses Campuses
Tabl Table e of onte ontent nts s
Summary Policy Definitions Other Related Information Procedures Forms Authority History Appendices Summary Faculty and staff of the State University of New New Yo Yorrk Universit U niversityy are encouraged to foster an atmosphere of academic freedom by promoting the op open en and tim timely ely exchange exchange of schol scholarl arlyy knowled knowledge ge independent of personal interests and are required to avoid conf potent entia iall or actual conflicts exist exist,, facul faculty ty and staff are expected to consult with conflilicts cts of interest. Where pot appropriat approp riate e Universit Universityy officers and abide by University pol polic icy. y. This This poli policy cy represent representss restatement of existi existing ng Universit Universityy policy and pertinent state and federal law and regulations. Policy Faculty and staff of the State University of Ne New w Yo York rk Universit U niversityy are encouraged to foster an atmosphere of academic freedom by promoting the op open en and tim timely ely exchange exchange of schol scholarl arlyy knowled knowledge ge independent of personal interests. In keeping with this obligation, they are also required to av avoi oid d conf conflilicts cts of interest.
instances where pot potent entia iall or actual con conflflic icts ts exist exist,, facul faculty ty and staff are expected to consult with approp appropria riate te Universi University ty officers and abide by this University policy. It is the responsibility of campus officials charged with implementing this policy to identity pot mana nage ge,, red educ uce, e, or eliminate them. potent entia iall or actual conflicts of interest and take appropriate steps to ma In
Thiss polic Thi policyy repres represent entss restatement of existi existing ng Univer Universit sityy polic policyy and pert pertinent inent sta state te and federal law and regulations. University faculty and staff may not eng other er employme employment nt which interferes with the performance of th engage age in oth thei eirr professi prof essional onal obligati obligation. on.
Universityy faculty Universit faculty and staff are expected to comp comply ly wi with th the New New Yo Yorrk St Stat ate e Pu Publ bliic Officers Law provisions on ethic ical al conduct conduct.. conflict of interest and eth 3. Univer Universit sityy faculty faculty and staff, to the extent required by law or regulation, shall disclose at minimum whether they and their spouses and depend dependent ent childr children) en) have employment or fifinanc nancia iall intere interests sts or hold significant offices, in external organizati organi zations ons that may affect, or ap appe pear ar to affect, the discha discharge rge of profes professi sional onal oblig obligati ations ons to the University. 4. University campuses sha shallll ensure ensure that all faculty and staff subject to pertinent laws and regul regulatio ations ns disclose disclose financial interests in accordance with procedures to be established by the Chancellor or desig Campus puses es shal shalll designee nee.. Cam re reta tain in th the e re repor porte ted d information as required, identify actual or appare apparent nt conflicts of interest and see seekk res resolu olutition on of such conflicts. 5. Each campus president shall submit to the chancellor s designee the name and ti titl tle e of the person or persons designated as financial discl disclosure osure designee designee s) and shall further notify the chancellor s designee when a change in shal alll al also so be not notififie ied d of any rep report ortss regard regardin ing g conflict of intere interest st that assignment occurs. The chancellor s designee sh feder eral al agencie agencies. s. that are forwarded to state or fed 2.
Definitions onfli onflict ct of in inte tere rest st any inter interest est,, fifinan nanci cial al or otherw otherwis ise, e, direct or in indi direc rect; t; parti partici cipat pation ion in any bus busin iness ess,, trans transact actio ion n or professi prof essional onal activit activity; y; or incur incurri ring ng of any obl obliga igatition on of any nature, which is or app appear earss to be in substantial conflict with the discharge rge of an employee s duties in the public interest. conflict of interest is also any financial interest tha thatt will will,, or proper discha may be reaso reasonabl nablyy expected expected to, bias the design, co cond nduc uctt or reporting of spon sponsor sored ed res resear earch. ch. Other Related Information Polic icyy Makers Makers Outside Activities of University Pol Ethics in State Government- Guide for New New Yo York rk St Stat ate e Empl Employ oyee eess Science ence Foundati Foundation, on, Grant Pol Polic icyy Manual Manual National Sci Procedures There are no proc procedure eduress relevant relevant to th this is pol polic icy. y. Forms There are no forms relevant to this policy.
uthority 42 CFR 50, SUbpart
The following link to FindLaw s New New Yo Yorrk St Stat ate e Laws is provided for users convenience; it s not the official site for the State of New New York York laws. NYS Publ Public ic Officers Officers Law, Sec Sectition on 73-a. 73-a. and 73 and 74
case of questions, readers are advised to refer to the New York rk St Stat ate e Legislature site for the menu of New York York St Stat ate e New Yo Consolidated. n
Board of Trustees Policies Appo Appoint intment ment of Employees 8 NYCRR Part 335)
State Uni Univer versi sity ty of New New Yo Yorrk Board of Trust Trustees ees Resoluti Resolution on ad adop opte ted d June June 27, 1995
History Memorandum to presidents from the office of the University pr prov ovost ost,, da date ted d June June 30, 199 1995 5 reg regard arding ing rev revis ision ion to University Nation ional al Sci Science ence Foundation and the conflict of interest policy to br briing it in conformity with federal guidelines issued by the Nat Public Health Service.
ppendi es appendic dices es rel relevant evant to this policy here are no appen
RF SUNY SUNY
ONFL ONFLII T OF INTEREST POLI Y
ATTA AT TACHM CHMEN ENT T
su onflict
nter nt eres estt Poli Policy cy
Effectiv Effe ctivee Date:
March 15 2013
Supersedes:
Conflicts o f Int Intere erest st Polic Policy y pursua pursuant nt to 95-5 95-5 Re Reso solu luti tion on and the Proc dure of ofln lnve vest stig igat atin ing g on onfl fliict ofInt res restt Policy Policy
Po Poli licy cy Revi Review ew Date: Date: Issuing Issu ing Authority: Authority:
ebrua ebruary ry 2016 Research Rese arch Foundation Foundation President President
Responsible Party ontact
Information:
hief Co Complian mpliance ce Officer Officer
518 434- 7145 7145 rfcomplianc Ccv rfsuny org
Reas Re ason on for Po Poli licy cy s Rese Reseaarc rch h Foun Founda dati tion on Boar Board d Memb Member ers, s, Of Offi fice cerr and Empl Employ oyee ees, s, we hold hold posi positi tion on oftru t and mu t a c t in thee best th best in inte tere rest stss o f the Rese Resear arcch Foun Founda dati tion on.. We must ust a oid oid any any activi tivitty that that im impa pair irss or woul would d re reas ason onab ably ly appe appear ar to im impa pair ir the abi bili litty to pelf01111 our du duti ties es with with in inde depe pend nden ence ce an and d obje object ctiv ivit ity. y. A co conf nfli lict ct o f inter interest est arise arisess i f aUf p rs rson onaal re rela lati tion onsh ship ipss acti activi viti ties es or fina financ ncees int rfl r or appear to int rfer , with o u r ability to act in the bestt interest bes interest o f th thee Research Research Foundat Foundation. ion. Resear Rese arch ch Fo Foun unda dati tion on Boar Board d Memb Member erss Offi Office cers rs,, an and d Empl Employ oyee eess must must inco incorp rpor orat ate, e, wh wher eree ne nece cess ssar ary y an and d possibl th following rul into t h. ir i r s rvic on b half ofth Re arch Found oundaation. R search Fo Foun und dation Of Offi fice cerr and Empl Employ oyee eess must must adhe adhere re to the stan standa dard rdss outl outlin ineed in the ew Yo York rk tate Publi blic Of Offi ficcers La Sec tion 74. Thi policy incorporate the key tanda rd outlined in ect ection ion 74. Statement o f Policy
Research ound ndaat i on Board M embers Officers, and mployee may not have any interest or e ngage in any out utsi sid de activity whi which re ressult ult in an un unm manag nag d con onfl fliict o f interest. To thi end, Board M mb r , Offie r , and Employee mu t disclo e their intere t and outsi de acti ities, and those o f a Related Party whic hich may aff ffeect theirr abilit thei ability y to perfOlTI1 th thei eirr du duti ties es with with in inde depe pend nden ence ce and ob obje ject ctiv ivit ity. y. A co conf nfli lict ct o f inte intere rest st must must be ma mana nage ged d so the the co conf nfli lict ct is re redu duce ced d or elim elimin inat ated ed an and d co comp mpli lian ance ce with with co conf nfli lict ct o f inte interr st mana manage geme ment nt plan planss shou should ld be monitore moni tored d where where necess necessary ary..
Prohibited Prohi bited Confl Conflict ict of Intere t A confli conflict ct o f intere interest st exists exists i f yo you u or a Related Pa Patt tty y has a Financial or Othe herr Inte nterest that that will or may rea ona onably bly be expe expect cted ed to: • •
sub ubs sta tan nti tia al ly ly conf confll ict ict with with th the e pr prop oper er discharge o your duties duties in the Research Fou Found ndat ation ion s best best in inte tere rest sts s result in the disclo disclosur sure e o the ese rrch ch Foun Foundati dation on s information th t you you have have gain gained ed by reason o your position or authority or
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Conflicts o f nterest Pose Posed d By Outside Outside Employ Employmen mentt Invest Investmen ments ts or Other Bu Busi sine ness ss Acti iti tiees As a Rese Resear arch ch Fou Found ndat atio ion n Boar Board d Memb Member er Off ffic icer er or Empl Employ oyee ee yo you u must not mak pers rso onal in inv vest estment mentss in ent ent rpri rprise sess that yo you u haY r ason to b lieve may be directly involv d in decisions to b made by you or will ot othe herw rwis isee crea create te ubst ubstan anti tial al co conf nfli lict ct betw betwee een n your your duty uty on behal behalff o f the Rese Resear arch ch Fo Foun unda dati tion on and yo your ur pri ate interest. f you or a - elated Party has a inancial or Other nterest y bus busine iness ss entity entity you may at repre represent sent th thee R sear search ch Fo Foun unda dati tion on in an any y tr tran ansa sact ctio ion n wi with th th that at en enti tity ty an and d must must di disc sclo loss - th int-re nt-rest st in acco accord rdan ancc wit ith h thi poli policy cy an and d the Pr Proc oced edur uree for for Mana Managi ging ng Conf Confli lict ct o f Intere Procurement o f good goodss or se serv rvic ices es by the Rese Resear arch ch Fo Foun unda dati tion on sh shal alll be co cond nduc ucte ted d co con n is iste tent nt wit ith h th thee Founda Fou ndatio tion n estab establi li hed hed procure procurement ment policy policy.. You may not not ac acce cept pt em empl ploy oyme ment nt or en enga gage ge in any busi busine ness ss or pr prof ofes essi sion onal al acti activi vity ty th that at will im impa pair ir the independence ofyouf judgment in the the exerci exercise se o f your your duti duties es fo forr th thee Rese Resear arch ch Fo Foun unda dati tion on or re requ quir iree yo you u to closee conf confid iden enti tial al in info form rmat atio ion n that that yo you u ga gain ined ed by r ason of you yourr affili affiliati ation on wi with th th R s arch Foundation. di clos
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The Resear Research ch Foundati Foundation on prohib prohibits its disclo disclosur suree of inf inform ormati ation on th that at is conf confid iden enti tial al to th thee Rese Resear arch ch Founda Foundati tion on acqu acquir ired ed by any any Board Board Memb Member er Offi Office cerr or Emplo Employee yee in the the cours coursee o f his his/he /herr dutie dutiess except except as requi required red by law or as expr expres essl sly y auth author oriz ized ed in writ writin ing g by an Off Officer icer or other other design designate ated d repres represent entati ative ve o f th thee Resear Research ch oundation. Board Boar d Memb Member erss Of Offi fice cers rs and mplo mploye yees es may may only only use such such co conf nfid iden enti tial al info inform rmat atio ion n in furtherance o f their du duti ties es as a repr repres esen enta tati tive ve o f the Rese Resear arch ch Fo Foun unda dati tion on an and d hall hall not use su such ch co conf nfid iden enti tial al in info form rmat atio ion n to fu furt rthe herr their their pe pers rson onal al in inte tere rest stss or that that o f a Rel Relate ated d Patty. Patty. You must must not not ac acce cept pt empl employ oyme ment nt or en enga gage ge in an any y busi busine ness ss or pr prof ofes essi sion onal al acti activi vity ty th that at will re requ quir iree yo you u to disc10s co conf nfid iden enti tial al in info form rmat atio ion n th that at you gain gained ed by re reas ason on of yo your ur of offi fici cial al po it itio ion n or affi affili liat atio ion n wi with th the Ress arch Re arch Fo Foun unda dati tion on..
se of Res Resear earch ch Foundat Foundation ion o r S ta ta te te Re o u urc rcee You ma You may y not not mi misa sapp ppro ropr pria iate te th thee prop proper erty ty serv servic ices es or ot othe herr re reso sour urce cess o f the Research FOWldation S othe others rs wheth whether er fo forr yourself yourself or someo someone ne el else se..
Avoiding th e Appearance of mpropriety
Y or
Board M mbers Officers and mployees shall not by their conduct giv r asonabl basis for the impr ssion that that an any y pers person on can impr improp oper erly ly in infl flue uenc ncee th them em or undu unduly ly en enjo joy y th ir favo favorr in performanc o f th thei eirr duti s or th that at th they ey are aff ffec ectted by the kinshi ship rank pos osiiti tion on or in infl flu uence ence o f any party or per on. You may not You not use or at atte temp mptt to use yo your ur po ition to secu secure re un unwa warr rran ante ted d pri riv vile leg ge or exem exempt ptio ion n fo forr yo your urse self lf or ot othe hers. rs.
imil imilar arly ly bri brib b ry ext extor orti tion on and and ot oth h r atte attemp mpts ts to xer xert undu influ nee are stric ictl tly y proh prohib ibit it d T h R search oundation expect Re earch Foundation Board Me m mb be r Officer and Em plo y yeee to av avoi oid d an any y co cond nduc uctt th that at may ma y gi give ve the the ap appe pear aran ance ce o f engaging in acts acts th that at are are in violation oftheir trust. Di Disc sclo losi sing ng a Real
pparent o r Potential Conflict o f Intere t
Board Boar d Memb Member erss Of Offi fice cers rs an and d Emplo Employe yees es must must di disc sclo lose se all real ap appa pare rent nt or po pote tent ntia iall co conf nfli lict ctss o f inte interes restt fo forr revi review ew as desc escrib rib d below. At an Oper Operat atin ing g ocat ocatio ion n th thos osee di disscl clos osur ures es shoul ould be made ade to th thee op ra rati tio ons mana ma nager ger or hi Iher de ignee in acco accord rdan ance ce with with thi po poli licy cy and and the Pr Proc oced edur uree for Mana Managi ging ng Conf Confli lict ct o f Int rest. Di sc losures a r r quir d in thr instanc s:
2 3
Annual Disclosu Disclosures res By Rese Resear arch ch Foundation Board Board Members Office Officers rs and and Key Emp Employ loyees ees.. Boar Board d Mem Member bers s Officers and Key Em Empl ploy oyee ees s must must report Direc Directt rIndirect Financ Financial ial rothe otherr Inte Intere rest sts s that pose r may pose a real apparent r poten potential tial conflic conflictt inte interes restt on an annual basis These disc disclos losure ures s must be updat updated ed both annuall ann ually y an and d as new report reportabl able e int intere erests sts are are obtaine obtained d ras new rep report ortable able act activi ivitie ties s occu occur. r. Grant Grant Relate Related d Di Disc sclo losu sure res. s. Pr Prin inci cipa pall inv inves estig tigat ator ors s must must follow the the pol policy icy at their resp respec ecti tive ve camp campus us loca locati tion ons. s. Situational Disclo Disclosu sure res. s. Boar Board d Members Members Of Offic ficer ers s an and d Empl Employ oyee ees s must report any any Dir Direct ect r Indirect Fin Financ ancial ial Interest roth other er acti activi vity ty that that may pose a co conf nfli lict ct inte interes restt under under this this poli policy cy.. Such situat situational ional disclo disclosu sure res s must be made as soon as prac practic ticab able le after the indivi individua duall le lear arns ns the pote potential ntial con confli flict. ct.
When a disc When disclo losu sure re is ma made de un unde derr th this is po poli licy cy th thee actu actual al appa appare rent nt or po pote tent ntia iall co conf nfli lict ct o f in inte tere rest st will be eviewed pu suant to roc edure for a na g g Conflicts o f Inte terrest. f a conf confli lict ct o f in inte tere rest st is fo foun und d to e .s t the R search oundation must t a k· st ps to ma manag nagee reduc reduc or elimi eliminat natee th conflict o f in inte terr st. In Indi divi vidu dual al·· may appeal deter eterm minat inatio ion n with whic which h they di agree. Ple leas asee con con ult the Pro roce cedu dure re for Mana Managi ging ng Conf Confli lict ct o f Intere Int erest st for for more more infor informat mation ion.. Violation In addi additi tion on to an any y pe pena nalt lty y cont contai aine ned d in any pr prov ovis isio ion n o f law or fe fede derral or st stat atee po poli licy cy in indi divi vidu dual alss who knowi knowingl ngly y and and intent intention ionall ally y violat violatee any any o f these pro i ions may be subjec t to action by the Resear Research ch Fo Foun unda dati tion on.. Fo Forr mploy ploy s this may inclu clude act actio ion n under nder the R s ar arch ch Fo Foun unda dati tion on s progres gresssiv dis isci cipl plin inee poli policy cy incl includ udin ing g susp suspen ensi sion on or ter termi minat nation ion from from empl employ oyme ment nt.. Recordkeeping
The oper The operat atin ing g loca locati tion on opera operatio tions ns mana manage gerr mu must st desi design gnat atee an ap appr prop opri riat atee offi office ce o f re reco cord rd an and d mus ustt en ensu sure re th that at records reco rds related related to the disc disclo losu sure re revi review ew and and mana manage geme ment nt o f a po pote tent ntia iall ap appa pare rent nt or ac actu tual al co conf nfli lict ct o f interest ar r tained and docum nt d In addi additi tio on to any any r cord cordke keep epin ing g proc proces esss e ta tab blis ish h d by the oper operat atio ions ns manag anager er all final dete determ rmin inat atio ion n or mana manage geme ment nt plan mu t be in inclu clude ded d in the pe pers rsOl Olme mell file file o f th thee in indi divi vidu dual al wi with th po pote tent ntia iall ap appa pare rent nt or ac acttua uall co conf nfli lict ct o f interest.
At the central off ffic icee the chiefco chiefcomp mpli lian ance ce offi office cerr must ens ensure ure th that at records related to the di dissclo closu sure re revie eview w an d management o f a pote potent ntia iall ap appa pare rent nt or ac actu tual al co conf nfli lict ct o f in inte tere rest st fo forr all di disc sclo losu sure ress at th thee ce cent ntra rall of offi fice ce or othe otherw rwii e br brou ough ghtt to the the attent attention ion o f the chief comp compli lian ance ce of offi fice cerr ar aree re reta tain ined ed and and do docw cwne nent nted ed.. In ad addi diti tion on to any any reco record rdke keep epin ing g pr proc oces esss esta establ blis ishe hed d by th thee chief chief comp compli lian ance ce of offi fice cerr all fl flna nall de dete term rmin inat atio ion n or mana manage geme ment nt plan planss mus ustt be incl includ uded ed in th thee pers person onne nell file file o f the in indi divi vidu dual al with with poten potentia tiall appare apparent nt or actu actual al conflic conflictt o f interest. Campus Policy
An Op rating oca tion may adopt a policy no les r strictive that than this Policy. then a copy o f that policy mu t be filed with the RF chief compli compliance ance officer officer..
a local policy is adopt d
Staffing Service Servicess Employ Emp loyees ees empl employ oyed ed by the RF under der an agre agreem emen entt or cont contra ract ct ot othe herr th thaan th thee 1977 Agre Agreem emen entt bet etw wee een n the RF and and SUNY must ust adhe adherre to th thee conf confli lict ctss o f inte interest rest policy in pl plac acee by th thee en enti tity ty th thee empl employ oyee eess ar aree empl employ oyed ed to supp0l1. In th thee absen absence ce o f a poli policy cy th thee confli nflict ctss o f intere interest st policy policy effect effective ive t the associ associate ated d operatin operating g locati location on mustt govern mus govern..
Responsibilities Thee fo Th foll llow owin ing g ta tabl blee ou outl tlin ines es th thee resp respon onsi sibi bili liti ties es for for comp complia lianc ncee wi with th th this is po poli licy cy::
Responsible rt y
Responsibility
Board Member Board Memberss Officers Offi cers and Key Employees
Annu Annual al Disclo Disclosur sures es
P r in ci p al Investigators
Grant-Related Disclo ure
E m p l o ye e s
Situational Di closure a needed
Definitions Board ~
e m b e r
A m e m b r o f the R search oundati on s board o f directors.
Di Dire rect ct or In Indi dire rect ct Fina Financ ncia iall or Ot Othe herr In ere ere t Empl Em ploy oyee ee or by th thei eirr spou pou e domes omesti ticc part partne nerr househol hous ehold d or business business partner. partner.
in an cial o r O t h e r I n t r s ts h el d b y t h R s e ar c h F o u n d a t i o n igni igniffic ican antt othe otherr family membe emberr depe depend nden entt mem member ber o f
Employee Of Offi fice cers rs Key Empl Employ oyee eess and and any any indi indivi vidu dual al comp compen ensa sate ted d empl employ oyee ee o f the Rese Researc arch h Fo Found undati ation. on.
Financ Fin ancial ial or Other Other In Inte tere rest stss Shall in incl clu ude but are not not limite ted d to th thee following: • • • •
owne rs rship o r investment in any outsid enter terpris isee serving as a director tor officer p aarr tn tne r c o on nsult ltaant broker ag een n t or representatives o f any any outsid outsidee enterprise; outs outsid idee pro profe fesssion ional acti activi vity ty or o ut s i d e e m pl oy m e n t .
Key Employe Employeee A K e y Employee for purpos s o f this this Policy Policy in incl clud udes es::
Vice preside presidents nts;;
2. Oper Operat atio ions ns mana manage gers rs 3. Depu Deputy ty op oper erat atio ions ns ma mana nage gers rs;; 4. hief res researc earch h officers officers T chno chnolo logy gy tran transsfe ferr dir ctors; 6. Sp Spon onso sore red d pr prog ogra ram m of offi fice ce dire direct ctor orss or equi equiva vale lent nt;;
7
8
Oth l app appoint ointed ed officer officerss At the ce cent ntra rall of offi fice ce:: Vicee preside Vic presidents nts 2. en i o r d i re ct o rs ; 3. Ass Assist istant ant Vice-Pre Vice-Preside sidents' nts' and 4. Dire recctors; rs; 5 Other Oth er ap appoi point nted ed offic officers ers'' an and d 9
Any ot othe herr pers person onss who who have have pr proc ocur urem emen entt aut utho hori rity ty equa qual to or ex exce ceed edin ing g 100 100 000 000 pe r tr tran an ac acti tion on..
Officer: An of offi fice cerr elect lecteed unde underr the Rese Resear arch ch Fo Foun unda dati tion on s byla bylaws ws incl includ udin ing g the the Rese Resear arcch ound oundat atio ion n s presi preside dent nt gene genera rall coun counse sell secr secret etar ary, y, and and chief fina financ ncia iall offic officer er an and d th thos osee ap appoi point nted ed pur pur uant uant to Artic1 IV ection 3 o f the th e RF b y l aw s a ap p o i n t d of fi c rs.
rch F ou ou nd ndat io io n offic located a t a Operating Locat Operating Locatio ion: n: Re e a rc loca locati tion on supp suppor orti ting ng the the Re Rese sear arch ch Fo Foun unda dati tion on mi miss ssio ion n and and S manager.
c aam mp u location o r o th th eerr U Y era rattio n o ve ve r een by an o pe pera ratti on ons op e
Operation Oper ationss Manager: Manager: An indi indivi vidu dual al appo appoin inte ted d to th thee posi positi tion on o f op r atio ns m an ag er by th Res ar c h
Foundation. Prim imar ary y in indi divi vidu dual al(( ) in charge o f a r e ea earc rch h gran grantt or ot othe herr proj projec ectt ad admi mini ni tere red d Principal Investi Principal Investigato gator: r: Pr by the Re Rese sear arch ch Fo Foun unda dati tion on.. The term term Pr Prin inci cipa pall In Inve vest stig igat ator or in incl clud udes es th thos osee in indi divi vidu dual alss se serv rvin ing g as co co principall investiga principa investigators. tors. Rese sear arch ch Founda Foundati tion on mployee sspou spouse se dome domest stic ic part partne nerr sign signif ific ican antt ot othe herr fa fami mily ly Related Party: Party: A Re memb l d ep ep ndent, m em em b r o f hou househ sehold old,, or busine business ss part partne ner. r. Re ea earc rch h Foun Founda dati tion on or Foun Founda dati tion on or RF : T h Res a rc h Fo u n d a t io n for T h York. Relate Rel ated d
nfo nforma rmatio tion n
M a n a g m n t o f Co Conf nfli lict ctss ofTnt ofTnt re rest st Proce Procedur dur Managing Managi ng Conflic Conflicts ts o f Inte Interest rest Guidel Guidelines ines Y Public O f f ice r s a w
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Conflict o f Int Inter eres estt Annua Annuall Disclo Disclosur suree Statem Statemen entt
Conflict o f Int Intere erest st Situat Situation ional al Disclo Disclosure sure Statemen Statementt
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requi require red d to disc disclo lose se onfli t how and
when Also when Also allow allowss fo forr locat locatio ions ns to us usee thei theirr own own co conf nfli lict ctss o f in inte tere rest st po poli lici cies es an and d pr proc oced edur ures es pr prov ovid ided ed the the poli policy cy s submitted than RF poli policy cy to t compl com plia iance nce offic officee and s no I ss r stricti v than Effect Eff ective ive 3 15 2013 2013
SU Y Principles of Research ntegrity
ATTA AT TACH CHME MENT NT
Statementt on Research Inte Statemen Integrit grity y The St Stat ate e Un Unive ivers rsity ity o f Ne New w York Ma Marc rch, h, 2013 The value ofre earch fo forr human ocie ociety ty,, and the tru t that the public place in cience and the scientific and technological
proc s ar vi tta a llll y dependent on re earch integrity. 1 2 The tate Un Univ iver ersi sitty o f Ne w York SU Y and the Research Fou Found ndat ation ion for UN Y (RF) are committed to excellence, object obj ectivi ivitt , ac acco coun unta tabi bili lity ty praf prafe e siona ionall cou courtes rtesy, y, faim faime e s good good tewa teward rdsh ship ip,, and - above all - inte ntegr griity in the conduct o f cholarly re earch. Re
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Y, are pe peci cial al plac place e wh re know knowledg ledgee cre creati ation on through re
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expands and emi emiche ches s th the e pl Ocess o f knowled knowledge ge disseminatio dissemination n thro through ugh teachin teaching g and learning, each com compon ponent ent acting tog togeth ether er co-ben benefi efits ts for peop people le and ociety. It is in such in ti titl tllt ltio ion n . that th the e < lea leader derss o f each new gen genera eratio tion n are nUl1ured· to ampl if y the coit i there tha hatt bOllnda darrie to our our exi ti ting ng kno knowl wled edge ge are explored and cro ed; it i there that unfettered thin thinki king ng can thrive and unco ncon trai train n dint lI lIec ectu tual al part partne nerr hip can b creat d. It is ther there, e, within each n w cIa
, with within in ach new new gene genera rati tion on,, that that th
future i forg forged ed.. It i a privilege to be able to conduct re earch and
pub I ic ervice mi
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ion o f the y tern. In thi I ight, the
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h of to of as ofth ir I earch i bi li y for uring the tru orthine Fr edom inquiry, openne new ideas a love love learning, and a commi commitmen tmentt to rigor igorou ou study are the ne nece ce sary compon component ents s for fi r t-clas re earch and cho chola larr hip. hip. UN Y researcher
ho houl uld d not av avoi oid d difficult or controver ial a re re a, a, ince i t i often in the It i profe
ional int gr i t y that a l l o w
ocie ieta tall cont contri ribu buti tion on ar a r a that th greate t oc are e made. made.
uch new cholar hip to be d bated, crit criticiz iciz d attack d
nd d dige t d and acc pt d
by th the e scientif scientific ic commun community ity and ociety ociety ther thereb eby y ad addi ding ng to the corpus o f hu huma man n know knowledg ledge. e. When properl e
rci ed academic
freedom, and the concom concomitant itant commitment to rigor and exc excell ellence ence,, yield the knowledge ba e on which tomorrow d p nds.
U Y s e ek k to
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affirm and ma main inta tain in it its s full commit commitmen mentt to int integr egrity ity in I
regul re gular ar review review and update ofexi ting pol polici cie e with the follo following wing prin princi cipl ples es in mind mind..
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SU Y Prin Princi cipl ples es Research n t e g r i t y 1.
Integrity: Resea Researchers rchers and cho cholars lars should should take take re ponsibility for the integrity of thei theirr w rk and re ult. ampu and syst system em adm admini inistr strato ators rs houl hould d ta take ke re pon ibilit for the fonnulation and impl impleme ement ntat atio ion n ofpolie ofpolieie ie rela relate ted d to research
9. Peer Peer Review: nbias aseed pee:r revie:\ i e sential in re earch and p vide r cred credibil ibility ity and imp import ortant ant qua qualit lity y as uran e for the the m any any takeho takeholde lders rs invo involv lved ed.. Res Resear earche chers rs should should pro ide rigorous ous evaluatio evaluations ns and resp et fair. prompt. and rigor
int grit
eonfid ntialit hen reviewing oth . ork. Re earcher eonfid hould not elai elaim m that that a pi ce ha been peer reviel ed if ace pled di cipl ciplina inary ry nom noml, l, and .tan .tanda dard rd have not not be been en fi 1I0wed.
Z. Comp Complia lianc ncee with with reg regula ulatio tions: ns: Resc Rescar ar hers hers and cholars
shuuld awar awaree ufand cump cumply ly with with regul regulat atiu iuns ns and pulicies re rela late ted d t I e earch .. 3. Res Resear earch ch metho methods: ds: Resc Rescar arch cher erss and schulars shuu shuuld ld empl employ oy appro appropr priat iatee rc rcse sear arch ch mc mcth thod od , base base eone eonelu lu ions ions on crit critic ical al anal . i of th idenc and r po port rt fin finding ding full and bjeetively. 4. Transparency: Ba ic rese research arch shoul should d be o p n t revi \ and elting. Known potential connicLS of illle:re t shoul should d be: di 1 ed along with with Fun Fundi ding ng ource and affiliation. 5. Independence: Res Resear earche chers rs must must be: free of un undu duee ou outt ide: innuence wh n condu nducti ting ng r re iewi iewing ng r sear search ch.. Man any y science and techno technolog logy y issues issues arc closel closely y relate related d to and may inn innucn ucnee ee a numb number er of publi publicc pol polic) ic) is ues and prio priori riti tiee . making --high quality obj et etiv ivee ei eien enti tifi fiee advice vital and in the pub public lic intcrest intcrest.. 6. Free a nd Open Communication: Y re earcher and ch cho ola larr ar free to expre their per onal opinion in area f particular particul ar experti expertise. se. so long as it is cle clear ar thos thosee opin opinio ions ns arc arc their and not Y or the RF·. hi i true no mailer how
controversial the ubje ubjeel el.. even even iF iFth there ere arc publ public ic poli policc implication. When ngaged in public di cu ion about the appl plic icat atii n ofth ir r e a r c h finding. imp rtan and ap research rese archers ers should should clea clearly rly dis distin tingui guish sh prof profe: e:ss ssio iona nall comm comments ents from pini n ba cd n per onal viel . In th ir out ide ide commu communi nica cati tion ons, s, cmpl cmplo o ees ees have have an obligation to indica indicate te tha thatt a r n o t in ti titu tuti tion onal al poke pokesp sp r . th on 7. Authorshi Authorship: p: Res Resear earche cherr and scho schola larr must must ha c thc ability amen end d a final version of a document to re iew , comment. and am or pub publica licatio tion n that relics on thei theirr n:se n:sear arch ch or repres represen ents ts th thei eirr ei eien enti tifi ficc op opin inio ion. n. Rese Researeh areh r ho houl uld d take take re ponsibility For their contT contTibuti ibution, on, to all publ iCalion fund fundin ing g application, otherr r pre enta entati tion on of th ir re carch. Li t of rep rt and othe auth rs hould in lude al alli liho ho e and onl th o e \ ho meet applicable applic able author hip crit ria. All auth r mu t re ie\ and approve the doc documc umcnt nt prior prior to subm submii sion sion.. All thos thoscc incl includ udin ing g Funders who who made made signi signific fican antt cont contri ribu buti tion on (but (but do n o t meet applicable applicab le author hip crite criteria ria)) houl hould d be acknowledged in
publication and reports.
Informat rmation ion Sha Shari ring ng:: harin haring g info inform rmat atio ion n and and re earch earch da data ta 8. Info is a ke component of the scient scientifi ificc proc proces ess. s. Res Resear earche chers rs hould k p clear, aeCUlllt ree rd of all research in way that
•
Ellt Ellter erna nall Press Pressure ure and Bias Biases es:: ndu ext mal pre ur mu t be ab ent from th re earch proce . cienti t and researchers researc hers mu must st bc prorected from un undu ducc extern external al pressu pressure re from private and publ public ic sponsor. gove governm rnmen entt offici official als, s, and univer it admi admini ni trat trat 1 .
10 .
11. 11. Conf Confli lict ctss of Intere Interest: st: Poli Polici ciee and procedures go eming disclosure and management of conni t of illlercst mu t b well developed and rigorously ob erved rved.. Res eseearch archer er hould clo I1na I1nanc ncia iall and othe otherr eonnic eonnictt of IIllcre tthat co coul uld d di clo co comp mpro romi mi e the tru tworthines of their their wo work rk in re earch pro po als. als. publi publicatio cation n and pu publ blic ic communication. as well well as in all re revi viel el acti ities. 1Z. Misconduct Alleg Allegations ations:: Alle Allegati gation on of fabrication, fal ifi ca cari rion on.. or pla plagia giaris rism m in propo proposin sing. g. pelform pelforming ing.. or review reviewing ing re earch r in porting re arch r< ult mu t be revie\ ed p\lrsuant to appli applicab cable le poli polici cies es.. Ind Indi idua iduall whis whistl tleb eblo lowe wers rs must must be protected from retaliation. When mi cond conduc uctt or other other irre pon ible re earch pra lice i nfinned. appropriate actions shou should ld be tak aken en prom prompt ptll . incl includ udin ing g co corr rr eting eting the re earch rec rd. 13 . Prot Protecti ecting ng Huma Human n Sub Subjec jects ts and Human Humanee Use of Ani Animal mals: s: researchers ers must prot II research th rights and wei far faree of an human re earch ubjecLS and mu t obta obtain in prio priorr appr approv oval al from
the their ir Instit Instituti utiona onall Re Revi view ew Bo Boar ard d for such \ ork to go forw forward ard.. All re earch on animal IllU t b conducted in a huma humane ne manne man ner. r. Res Researc earcher herss planni planning ng to u e live verteb vertebrate rate anim animal al resear arch ch ur cdu cduca catio tion n mu must st obta obtain in priur priur appr approv oval al from their fur rese Tn tituti nal An Anima imall Ca Care re and mr mrn nill ill e
14 . Scientific Basis for Publ Public ic Policy and Dis Discou course: rse: When
r ea earc rch her or eienti ts ha e reas reason on to b e l i ~ e that that po poli licc m ker may utilize their re earch or publication a the ba i of supporti supp orting ng or reject rejecting ing a pol policy icy ini initia tiati tive. ve. re carchers and the univer it houl hould d make make every every effi rt t pre nt rd i cJ e informatio info rmation n rela related ted to the underlying re ea eare reh, h, the the findin finding. g. the cienti cientil1c l1c appr approa oa hand pr e u d to d el p the und\;r1 ing eientific info informati rmation. on.4
15. Rese Research arch Envi Environme ronments: nts: Re ar h in titution
hould create and u tain nvironm nt that en ourage int grity throug through h edu educat cation ion,, clea clearr polici policies. es. an and d rca ona onable ble stan standard dardss for
l u ~ e . g
l , / t h
•
adva advanc nc men\ men\.. whil r earc arch integr tegriity. ty.
wi II allo allo\\ v ri fi fiea eattion ion and replication of [tpir work work by othe .
Rese Resear arch cher erss houl hould d shar sharee data data and find findin ings gs op open enll an and d promptl oon as th c have had an opportunit to c, tabl tablish ish priority and 01 ner hip claim. Re enreher hould b aware of and compl \ itll policie \ ith regard to di clo ure . pa pare rent nt
16 . Soci Societal etal Consid Consideration erations: s: Res Resear earch chers ers.. schola scholars rs and th e
U Y inst instiituti tutiu un . that su supp ppo ort thcm should should rccugn rccugnize ize that that the bear an impe impert rtam am ethi ethica call bligat igatii n to appr appr pria priate tell
and inte intellect llectual ual propert property y righ rights. ts.
4
t rin ring work envi enviro ronm nmen entt tha that upport ort
1
weigh wei gh soci societal etal b e f i t s agai agains nstt risks risks inhe inheren rentt in eir \ ork. hi i peciall imp f1ant in ar a that t uch n publi health lth and safety.
Unit Unitcd cd ta tatc tcss Dcpa Dcpart rtll llle lent nt of Agri Agricu cult ltur ure. e. e ret retary ary s Memo Memora rand ndul ulll ll t074 t07400 00 I.
DA
cicn cicnti tifi ficc In Intc tcgr grit it Poli Policc p2
ATTA AT TACH CHME MENT NT 8
The University at Albany Foundation Policies Procedures an and d Guidelines
The Th e University at Al Alba bany ny Foun Founda dattion Pol Polici cies es Procedures and Guidelines a) CASE CASE St Stat atem emen entt of Ethi thics The CASE CASE Boar Board d o Trus Truste tees es adopte adopted d this this Statem Statement ent o Et Ethi hics cs in 1982 In Inst stit itut utio iona nall advanc advanceme ement nt profe profess ssio iona nals ls,, by virt virtue ue of the their ir resp respon onsi sibi bili liti ties es wi with thin in the acade academic mic comm commun unit ity, y, re repr pres esen entt th thei eirr coll colleg eges es,, univ univer ersi siti ties es,, and scho school ols s to the the larg larger er soci societ ety. y. They They hav ave e, ther theref efor ore, e, a spec pecia iall duty duty to exem exempl plif ify y the the best best qual qualit itie ies s of thei theirr inst instit itut utio ions ns an and d to obse observ rve e the the highest high est standar standards ds of pe pers rsona onall and and profe profess ssio ional nal cond conduc uct. t. In so doi doing, ng, th they ey pr prom omot ote e the the meri merits ts
their their in inst stit itut utio ions ns,, and and dispa dis parag ragin ing g other other coll college eges s and and scho school ols. s. of
of
educat edu cation ion gene genera rall lly, y, wi witho thout ut
Thei Th eirr word words s and acti action ons s embo embody dy re resp spec ectt for for truth, fai airn rnes ess s, fre ree e inqui quiry ry,, and the the op opin inio ions ns
of
others. They re They resp spec ectt all in indi divi vidu dual als s wi with thou outt rega regard rd to rac ace, e, col olor or,, sex, sexu sexual al orie orient ntat atio ion, n, ma mari rita tall stat status us,, cree creed, d, et ethn hnic ic or nati nation onal al id iden enti tity ty,, hand handic icap ap,, or age. ge. They upho They uphold ld th the e pr prof ofes essi sion onal al repu reputa tati tion on word wo rds, s, or im imag ages es or orig igin inat ated ed by othe others rs..
of
othe otherr advan advance ceme ment nt offi office cers rs and and give give cr cred edit it for for idea ideas, s,
They sa safe fegua guard rd pr priv ivac acy y ri righ ghts ts and and co conf nfid ident ential ial in info form rmat atio ion. n. They do not They not gran grantt or acc accept ept favo avors for persona onal gain, nor nor do they hey soli olicit or acce accep pt favors for for their heir inst instit itut utio ions ns wher where e a hi high gher er publ public ic in inte tere rest st woul would d be vi viol olat ated ed.. They av They avoi oid d ac actu tual al or appar apparen entt conf confli lict cts s authorities.
of
in intteres erestt and, if in do dou ubt, seek gu guid idan ance ce from rom appr approp opri riat ate e
They Th ey foll follow ow the le lettte terr and sp spir irit it of la laws ws and and regul regulat atio ions ns affe affect ctin ing g inst instit itut utio iona nall adv advanc ancem ement ent.. They obs They obser erve ve th thes ese e sta tand ndar ards ds and othe others rs that that appl apply y to thei theirr prof profes essi sion ons s and act activel ively y enco encour urag age e coll collea eagu gues es to jo join in th them em n supp suppor orti ting ng the the hi high ghes estt stan standa dard rds s of condu onduc ct. Principles
Prac Practi tice ce for FundFund-Rai Raisin sing g Profes Professi siona onals ls at
Approved y the CASE CASE Boar Board d o f Trustees
Novembe Nov emberr 2
ducational
stitutions
5
Philan Phil anth thro ropy py is a volu volunt ntar ary y ex exch chan ange ge n wh whic ich h the the valu values es and as aspi pira rati tion ons s with the va valu lues es and aspi aspira rati tion ons s of thos those e they hey bene beneffit it..
of
dono do nors rs ar are e matc matche hed d
Education Educat ional al fund-r fund-rais aising ing profess professiona ionals ls work work on behalf of thos those e serv served ed by thei theirr inst instit itut utio ions ns duri during ng th this is exchan exchange ge of valu values es and and repr repres esen entt thei theirr univ univer ersi siti ties es,, coll colleg eges es and scho school ols s to do dono nors rs,, volu volunt ntee eers rs,, and and th the e la larg rger er pub publi lic. c. n do doin ing g so, they they al als so re repr pres esen entt the inte integr grit ity y of the ins instituti tution on and n dis fund nd-r -rai aisi sing ng of pr prof ofes essi sion on. They The must mu st,,sion disch ing resp redspon onsi sibi bili liti ties es, observ an d promot pro higthe highes hestfu t standar sta ndards ds pers pe rson onal al. and an d ypr prof ofes essi onal al charg cond coargin nduc uct tg and an cont co ntin inua uall lly y ,stri stobs rive veerve to eincr inand crea ease se mote thei theire r the kn know owle ledge dge of the pr prof ofes essi sion on.. of
The fo The foll llow owin ing g pr prin inci cipl ples es ar are e cons consis iste tent nt with CASE CASE s posi positi tion on on commis commission-bas sion-based ed compensation compensation deve de velo lope ped d by th the e Comm Commis issi sion on on Ed Educ ucat atio iona nall Fund Rais Raisin ing g now now the the Co Comm mmis issi sion on on
Philanthropy) in an and d reaffi reaffirme rmed d in 2005, and the Don Donor Bill of Rights. They They are in inttende ended d to pr prov ovid ide e guid guidan ance ce and and dire direct ctio ion n to educ educat atio iona nall fu fund nd-r -rai aise sers rs and vo volu lunt ntee eers rs as th they ey make make et ethi hica call choi choic ces duri during ng th the e phil philan anth thro ropi pic c ex exch chan ange ge of valu alues es.. The The pr prin inc cip iple les s are not, and cann cannot ot be, an exhaust exha ustive ive list list of rules ules to be app appli lie ed to ev ever ery y de deci cisi sion on in wh whic ich h et ethi hica call pr prin inci cipl ples es may may be in invo volv lved ed.. These Thes e ethi ethica call prin princi cipl ples es go hand hand-i -inn-ha hand nd with with th the e ex expe pect ctat atio ion n that that educ educat atio iona nall fu fund nd ra raiisi sing ng pr prof ofes essi sion onal als s are are expe expec cted ted to comp comply ly wi witth th the e le lettte terr and th the e spi piri ritt of all la laws ws re rele leva vant nt to ch char arit itab able le giving.
Et Ethi hical cal Princi Principle ples s Personal nt grity Indiv Individuals iduals wi will: ll: • • •
be fair and honest and c onduct themselves with integrity; not maintain any vested interest in a prof profes essi sion onal ally ly re rela late ted d ac acti tivi vity ty th that at could ould re resu sult lt in personal gain ga in with without out prio priorr full ull disc disclo losu sure re and ap appr prov oval al;; res respect pect th that at th thei eirr rela relattio ions nshi hips ps wit with pr pros ospe pec cti tiv ve don donor ors s, dono donors rs,, vol olun untteers eers,, and empl employ oyee ees s are pr prof ofes essi sion onal al rela relati tion onsh ship ips s and and ma may y not not be exploited.
onfidentiali onfidentiality ty Indiv Individuals iduals will: will: • • • • •
•
safeguard and respect dono donorr and pro ros spec pective dono donorr information; on; ho hono norr the wis wishes hes of an individual and/ and/or or org rga aniz nizati ationa onal cons nsttituent ent with regard to how dire rec ctory info inform rmat atio ion n and/ and/or or givi giving ng hist histor ory y is used; ed; rec record and keep eep only nly in info form rmat atio ion n rele releva vant nt to cult ultiv ivat atiion, on, sol olic icit itat atio ion n, and ste tewa ward rdsh ship ip;; identify the source of reta retained ined informatio information; n; saf safegua eguard rd pr pros ospe pec ctive tive don donor, or, don donor, or, and othe otherr const onstit itue uent nt lists compi ompile led d by th the e in ins stit itut utiion as the pr prop oper erty ty of the ins nsti tittuti ution; on; th thes ese e lists may may not be di dis str trib ibut uted ed or used fo forr unau unautthori horiz zed purposes or for for pers person onal al gain gain;; make ake ever every y eff effort to ensur nsure e that volunteers, vendors, and extern rna al ent ntiities with ac acc cess to co cons nsti titu tuen entt info inform rmat atio ion n unde unders rsta tand nd and and agre agree e to comp comply ly with with th the e or orga gani niza zati tion on s co conf nfid iden enti tial alit ity y and publ public ic discl disclosu osure re poli polici cies es..
Individual iduals s will: will: Publ Pu blic ic Trust Trust Indiv • • • • •
ensure donated funds are used in acco accordanc rdance e wi with th donors donors intent intention ions; s; obta obtain in spec specif ific ic in ins struc tructi tion ons s from rom a dono donorr befo before re alt lte eri rin ng condi onditi tion ons s of a re rest stri rict cted ed gi gift ft consis consisten tentt wi with th appl applic icab able le law) law);; provi ovide prompt, resp esponsive and truthful replies to dono donorr and public inquiry in acco accordanc rdance e wi with th the the organi organiza zati tion on s stat stated ed poli polici cies es;; place the mission and interest of th the e in ins sti titu tuttio ion n and its dono donors rs abov above e pers person onal al gain; pu purs rsue ue only only gif gifts th that at fall all wi witthin hin, or adv dvan anc ce, the in ins sti tittut utiion s mis iss sio ion n and/ and/or or appr approv oved ed pr priior oriitie ies s.
Individuals duals will: will: isclosure Indivi • • •
be tru rutthfu hful abou aboutt the institution s mission, intended use of funds, and capac pacity of the institution to us use e dona donati tion ons s effe effect ctiv ivel ely y fo forr th the e inte intend nded ed purp purpos ose; e; be tru rutthfu hful and speci ecific abou aboutt the identification of the org rgan aniization they repre epres sent ent and th thei eirr employm empl oyment ent or volunt volunteer eer st stat atus us;; unde nderst rstand and and dis disclose their eir areas of expert pertis ise e and will give app appro rop pri ria ate advice regarding the invo involv lvem emen entt of the the dono donors rs lega legall, acco accoun unti ting ng,, fi fina nanc ncia iall and and ta tax x advi adviso sors rs;;
•
help help ensu ensure re appr approp opri riat ate e and cons consis iste tent nt ac acco coun unti ting ng budg budget etin ing g and re repo port rtin ing g meth method odol olog ogie ies. s.
ompens tion Ind Individ ividuals uals will will • • •
not acce accept pt co com mmi miss ssio ion n base ased compe ompens nsat atio ion n or co com mpe pens nsat atiion based on a per erc cent entage age funds raised; not accept external compensation for the receipt a gi gift ft or in inffor orm matio ion n le lea adin ing g to a gift; not agree to pay compensation to individuals respect of a gi gift ft or in info form rma atio tion leading to a gift.
R e v ~ e d : l
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