Logic Model for PFI:AIR

PFI:AIR PROGRAM OBJECTIVES
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Leverage NSF research award investments to accelerate the translation and transfer of research discoveries into commercial realities.
–
AIR-Technology Translation (TT)
• Faculty members translate research results achieved under a current or prior (within six years) NSF research award onto a path
toward commercial reality. AIR-TT research is focused on understanding key behavior/ characteristics/ processes in order to develop,
demonstrate and evaluate a proof-of-concept, prototype, or scale-up.
• Grantees demonstrate an initial understanding of the market potential and commercialization strategy at the proposal stage. This
understanding is expected grow and mature over the course of the award.
–
AIR-Research Alliance (RA):
• Faculty members engaged in research through a current or prior (within three years) NSF funded Research Consortium (such as an
NSF Center) develop additional research partnerships and secure third-party funding to accelerate translation and transfer of
research results into competitive technologies and commercial reality.
• “Translational” or “use-inspired” research is necessary to accelerate Center-derived, market-valued technologies toward commercial
realization. Third party funding will enable additional business activities such as market studies, the development of a business plan,
patent filings, etc. AIR-RA grantees demonstrate an initial understanding of the market potential and commercialization strategy at
the proposal stage that will grow over the course of the award.
Engage students and faculty in entrepreneurial/ innovative thinking.
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Participation in an AIR-TT or AIR-RA award will provide participants (undergraduate students, graduate students and/or post-docs, and
faculty) experiences that will enhance their knowledge of research translation, innovation, and entrepreneurship beyond the usual academic
research experience.
Catalyze the development or enhancement of a network of connections between research partners and investors
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AIR-RA: The partnerships and collaborations between the NSF-funded research alliance, third party investors and research partners will lead
to a sustainable academic-based innovation ecosystem and enable the creation of new jobs.
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AIR-TT: There is a participant/collaborator on the award who has “business experience” and will advance the PI’s understanding of the
process necessary for successful commercialization of technology.

PFI:AIR LONG-TERM LOGIC MODEL

INPUTS
•Initial discovery from an NSFfunded research award, now
focused on market opportunity
•Funding and Logistics
•TT: $200K for 18 months
•RA: $800K for 3 years
•Expertise NSF-funded researchers
•TT: Plus co-PI or senior personnel
with “business experience” (e.g.,
tech transfer office, business
school, been part of a start-up)
•RA: Plus research partners (may be
additional researcher from
university, business, industry, etc.
must add tech/research capability
that team does not already have)
•Process, Materials and Resources
•TT: contributed by university
•RA: contributed by university and
research partner(s)
•RA: 1-to-1 match funding from 3rd
party investor(s)
•Preliminary market understanding
•Students and/or Postdocs
•RA: Cooperative Research
Agreements and/or Partnership
Letters
•TT (subset): Cooperative Research
Agreements and/or Partnership
Letters, if partnership involves IP
•A subset of awardees are I-Corps
graduates
•Opportunities to attend Tech
Showcase events

PROJECT
ACTIVITIES

OUTPUTS

•TECHNOLOGY ADVANCEMENT:
•Identify and overcome technical
and/or market barriers and
improve specs to move the
technology closer to
commercialization
•Develop, demonstrate and
evaluate prototype or proof-of
concept
•Market/commercialization
research
•TT: ~10-20% time and/or budget
is spent on market related
activities
•RA: ~10% time and/or budget is
spent on market related activities
(with budgetary assistance from
3rd party investors)
•Midterm Accountability
•TT: Annual Report
•RA: Midterm Review and
response to recommendations
from internal review at NSF
•PARTNERSHIP MODEL:
•Networking with research
partner(s) and 3rd party investors
(or potential investors for TT)
•RA: Establishment of a
sustainable relationship between
academic research team, research
partner(s), and 3rd party
investor(s)
•TT: Establishment of relationship
with person who has business
experience
•Leveraging of additional capital
from sources outside the university
or NSF (RA and a subset of TT)
•Make progress on a
commercialization plan for how to
get product to market
•HUMAN CAPITAL:
•Education of students and/or
postdocs in use-inspired research,
innovation, and entrepreneurial
experience

•TECHNOLOGY ADVANCEMENT:
•Prototype, proof-of-concept, or
scale-up
•A subset of awardees publish their
research findings
•A subset of awardees file patent
and license applications of new
technology developed from AIR
awards , or demonstrate progress
in the patent/licensing process
•More fully-developed marketing/
commercialization plans are
produced
•TT:A subset of awardees identify
other funding sources to continue
the development of their
technology (e.g., STTR, private
investment)
•RA: A subset of awardees
successfully translate at least one
technology into use
•PARTNERSHIP MODEL:
•A subset of 3rd party
investors/research
partners/collaborators continue
the relationship after the life of the
award
•Memoranda of Understanding or
Cooperative Research Agreements
between partners are established
if appropriate for continuation of
the relationship
•HUMAN CAPITAL:
•Students and Postdocs are trained
in real-life practicality of
technology transfer and useinspired research.

IMMEDIATE
OUTCOMES

INTERMEDIATE
OUTCOMES

LONG-TERM
OUTCOMES/
IMPACT

• TECHNOLOGY ADVANCEMENT:
•Knowledge and information in the
technology sector is advanced
•Researchers and/or students
pursue further research funding
(public or private) for the AIRsupported technology
•A subset of awardees identify new
or different applications for the
technology
•HUMAN CAPITAL:
• A subset of researchers and/or
students (academic and/or
industry) working on AIR research
become innovators and/or
entrepreneurs in other contexts
•BUSINESS DEVELOPMENT:
•A subset of new businesses are
incorporated around the funded
technology and/or by AIR partners
•TT: A subset of awardees license
the technology

•TECHNOLOGY ADVANCEMENT:
•RA: Technology iteration cycle is
shortened due to involvement of
research partners and 3rd party
investors
•HUMAN CAPITAL:
•Student participants pursue career
in practically oriented research
•PARTNERSHIP MODEL:
•Partnerships from AIR awards are
sustained over time to work on
new technologies
•New academia-industry
partnerships are formed by AIR
awardees based on lessons learned
in the AIR program
•BUSINESS DEVELOPMENT:
•Jobs are created via hiring
employees to companies
established from AIR funded award
•ACADEMIC CULTURE:
•Research and partnership increase
academic institutional reputation
as an “innovation hub”
•Universities demonstrate culture
shift by rewarding innovation and
commercialization efforts in T&P
process alongside research,
teaching, and service

•TECHNOLOGY DEVELOPMENT:
•Improved technology available in
the market leading to more
competitive products
•PARTNERSHIP MODEL:
•Adoption/dissemination of the AIR
partnership model by other
institutions
•University continues to promote
and support similar partnerships
via AIR or other avenues
•ACADEMIC CULTURE:
•Academic culture shifts to value
academic-industry partnerships

Possible Indicators for AIR

Human Capital
Development

Technology
Advancement

Business
Development

•ATTRIBUTION
•Number of academic participants
pursuing continued relationship with
their AIR partners or pursuing
involvement with other industry
partners
•Number of students and postdocs
trained by AIR PI
•CONTRIBUTION
•Number of faculty reporting career
changes/enhancements or research
approaches as a result of the
relationship sponsored by the AIR
award
•Number of start-ups formed by
members of the AIR partnership team
•Number of students/postdocs
educated/trained in AIR labs
•Number of students/postdocs in AIR
labs reporting training in market
practicalities
•Number of AIR students/postdocs/PIs
who become innovators or
entrepreneurs outside of or in addition
to academia
•Number of AIR students/postdocs/PIs
who pursue practically oriented
research careers after the life of the
award
•Number of new professional
development opportunities for
employee/researcher training and/or
exchange created as a result of the AIR
partnership
•Specific training opportunities in
innovation/entrepreneurship are
developed

•ATTRIBUTION
•Number of AIR projects that
successfully develop a prototype,
proof-of-concept, or scale-up
•Identification of the reason for failure if
the AIR-supported technology does not
successfully translate to commercial
application
•Number of publications resulting from
the AIR sponsored research
during/after the award
•CONTRIBUTION
•Number of AIR awardees reporting
shorter-than-anticipated technology
iteration cycle due to research partners
and 3rd party investors
•Publications on technology and/or
advancements in the underlying
discovery supported by the AIR award
•Growth in IP position of the technology
(patent and licensing application and
activities)
•Number of AIR awardees who identify
new or different applications for the
technology
•Number of projects that successfully
translate technology to commercial
application
•
Via licensing
•
Via small business start-up

•ATTRIBUTION
•Number of AIR technology-related
patents or licenses purchased from
university IP
•Number of AIR awards resulting in
MOUs or CRAs between partners
•Number of AIR PIs submitting to other
IIP programs (e.g., I-Corps, SBIR, etc.),
or other NSF tech transfer programs, or
other federal agencies
•Number of new or continuing awards in
tech transfer or research from other
agencies or institutions leveraged from
the AIR award
•CONTRIBUTION
•Number of AIR awardees that
incorporate a business based on their
technology
•Number of employees hired by
businesses created from AIR funded
technology

Quality, health, and
sustainability of
Partnership Model

Academic culture that
values AcademicIndustry Partnerships

•ATTRIBUTION
•Number of industry participants
pursuing continued relationship with
their AIR partners or other academic
partners, collaborators, or 3rd party
investors
•Number of partnerships from AIR
awards that are sustained to work on
new technologies after the life of the
award
•Number of AIR awardees that form
new academia-industry partnerships
after the life of the award
•Number of new 3rd party investors
attracted to AIR-RA after AIR is
awarded, but prior to the end of the
award
•CONTRIBUTION
•Number of similar partnerships via AIR
or other avenues that university
continues to promote and support
•Number of universities adopting similar
partnership programs
•Number of new potential industry
partners that seek relationships with
the academic institution due to AIR
success

•ATTRIBUTION
•Number of new AIR awards put
forward by universities that previously
received AIR awards
•CONTRIBUTION
•Number of university departments that
recognize partnerships with industry
and/or commercialization efforts as
part of tenure & promotion process
•Number of universities that report or
otherwise demonstrate in public
literature their reputation as an
“innovation hub”, specifically citing AIR
awards
•Number of new AIR awards that
previously received I-Corps awards

Data Sources for AIR Indicators
RPPR/Annual Report
• Publications on technology and/or advancements in the underlying discovery supported by the AIR award
• Growth in IP position of the technology (patents and licensing activities)
• Number of patents or licenses purchased from university IP
• Number of students and postdocs trained by AIR PI
Other NSF Data Systems
• Number of AIR PIs submitting to other IIP programs (e.g., I-Corps, SBIR, AIR, etc.) or other NSF programs
• Number of new or continuing awards from NSF
Life-of-award Monitoring System
• Identification of the reason for failure if the AIR-supported technology does not successfully translate to commercial application
• Number of AIR PIs submitting to other federal agencies
• Number of new 3rd party investors attracted to AIR-RA projects after the AIR grant is awarded
Post-award Monitoring System
• Publications on technology and/or advancements in the underlying discovery supported by the AIR award
• Number of AIR technology-related patents or licenses purchased from university IP after the award
• Number of academic participants pursuing continued relationship with their AIR partners or with other industry partners
• Number of industry participants pursuing continued relationship with their AIR partners or other academic partners
• Total number of new partnerships developed out of this relationship (aggregate data from post-award monitoring system)
• Number of AIR PIs submitting to other federal agencies
• Number of new or continuing awards from other agencies or institutions leveraged from the AIR award
• Growth in IP position of the technology (patents and licensing activities) after the award
• Number of AIR-supported technologies that have successfully translated to commercial application
• Number of new positions and opportunities for employee training created as a result of the AIR partnership
• Number of students/postdocs continuing in related fields and/or similar innovation or entrepreneurial partnerships
• Number of faculty reporting career changes/enhancements or research approaches as a result of the relationship sponsored by the AIR award
• Number of new research directions identified (e.g., new and/or different applications of the AIR technology)
• Number of start-ups formed by any members of the AIR partnership team
• Number of AIR partnerships reporting development of a business plan for the platform technology
• Shortening of average development cycle of platform technology to commercialization
• Identification of the reason for failure if the innovation does not make it to market
Other Data Sources (University Reporting, Google Scholar, Internal NSF)
• Number of similar partnerships via AIR or other avenues that university continues to promote and support
• Number of universities adopting similar partnership programs
• Number of new potential industry partners that seek relationships with the academic institution due to AIR success
• Number of new AIR awards put forward by universities that previously received AIR awards
• Number of university departments that recognize partnerships with industry and/or commercialization efforts as part of tenure & promotion process
• Number of universities that report or otherwise demonstrate in public literature their reputation as an “innovation hub”, specifically citing AIR awards