1. Center on KT4TT: Contributing to Three Grantee Outcomes
2016 RERC Project Director’s Meeting
Center on Knowledge Translation for Technology Transfer (KT4TT)
University at Buffalo

2. 3 Grantee Outcomes
Increased rate of successful TT of products in marketplace, engineering standards or other intended applications.
Increased understanding of successful TT processes and practices associated with research and development.
Increased capacity to plan and engage in TT activities.

3. Need to Knowledge (NtK) Model: Four Versions Tailored to Project Outputs
Joseph P. Lane

4. What is an NtK Model?
Half of NIDILRR’s projects propose technology- related devices/services outputs, but the process of delivering them is complex; involving multiple methods, actors and sectors over time.
PI’s may benefit from a framework of information they “need to know” to address an extant ‘need’ with new ‘knowledge’.
The Need-to-Knowledge Model combines best practices in new product development with novel approaches to effectively communicate new knowledge to relevant stakeholders.

5. How is the NtK Model useful?
Preparing a grant proposal involving any technology-oriented R&D intending external uptake and use.
Creating a post-award Technology Transfer plan – required for new RERC’s but recommended for all.
Allocation & management of project time, money and effort, especially for downstream engineering and deployment activities.

6. Requirement for Multiple Versions
NIDILRR’s sponsored projects generate four types of technology-oriented outputs:
Commercial Devices & Services;
Freeware: Software Apps & DIY Hardware;
Industry Standards & Clinical Guidelines;
Fabrication Tools & Laboratory Instruments.
The process for generating each type of output involves various combinations of activities/decisions.

7. Trunk & Branch Structure
All four versions share similar Research Discovery phase with three activity stages and decision gates:
Problem Definition – Validate problem in context of intended beneficiary stakeholders.
Solution Scoping – Identify all current and past alternative solutions, and seek other applications of envisioned one.
Assess Need for Research – Gather relevant knowledge from all fields & objectively assess need for new knowledge.

8. 3 Non-Commercial Models all branch off shared trunk
Engineering Invention phase – Non- commercial outputs require less elaborate prototyping and testing, simpler IP issues, and face fewer regulatory and financial hurdles.
Market Innovation phase – Non-commercial outputs simplify production, deployment and monitoring in various ways, so fewer activity stages and decision gates are required.

9. Freeware Variant Key Feature
Implications of 5 Sub-Categories: Freeware (No cost apps)
2. Fee App (Low cost or <$5.00 apps)
3. Freemium (Cost > $5 apps)
4. Free DIY (Free DIY instructions to build a device)
5. Fee DIY/Training (Single charge $ or $4.95/month recurring cost)

10. Standards/Guidelines Key Feature
Lead Role for External Organizations – Identify the target professional group, governing body and/or regulatory agency, then tailor project and process to their requirements.

11. Instruments/Tools Key Feature
Lack of Defined Customer: Most are built for internal use then offered externally, so more one-to-one focus on identification of adopters and value promotion.

12. Stages of Development in NtK Model

13. Access to NtK Models
Commercial product version is live: knowledge-ntk-model/ntk-commercial-devices.html
Three Variant Models:
Draft versions through four expert reviews.
RESNA poster PWED2, Wednesday, 3:30 – 5:00.
Additional expert reviews upcoming – volunteer!

14. Technology Transfer Planning Template
Jennifer L Flagg

15. Background Developing a new product that has market potential?
Increase your odds of success by…
planning how your invention will get from the lab to the market.
conducting rigorous business, market, and technical analyses prior to making large investments of limited resources.
Planning can be aided by process models, such as the Need to Knowledge (NtK) Model. Analyses can be simplified through the use of relevant tools.
But… one must know what models and tools to use, and when to apply them.

16. What is the TTPT?
The Technology Transfer Planning Template (TTPT) is an online planning tool that is currently being developed and tested to provide easy access to the NtK model, tools, resources, and examples.
The TTPT asks questions and provides guidance to help users think through their project plans and goals.

17. TTPT Content Questions were derived from multiple sources:
Need to Knowledge (NtK) Model
SBIR grant proposal selection criteria
Other KT4TT products
Resources, tools, and examples
Industry profiles
Tools embedded in NtK Model
Case study examples

18. When and why to use the TTPT?
Developing a grant proposal (RERC, SBIR, any proposal calling for TT or commercialization)
Creating a TT plan for an RERC
Developing material to share with potential partners
Stages of Development- Proof of Concept activities
The TTPT will help you…
think through the project output’s path to market
define the target market
create a value proposition to share with potential partners

19. How Does the TTPT Work? Create an account
Respond to questions in 3 parts
Executive summary
Deep dive into R&D
Target market
Research activities
Development activities
Production plans
Select and customize output reports
Summary view
Narrative
Timeline

20. Create an Account or Login

21. Executive Summary Sample Questions
What are you creating/developing?
As described by end users, what problem does your product solve or what unmet need does it fulfill?
Who will be responsible for manufacturing, selling, and servicing your product when it is in the marketplace?
Who will use your product?
Will someone always or sometimes have to prescribe this product to the user?
Who will purchase the product?

22. Target Market Sample Question & Resources
Defining the Market
You previously described the product as being used by _____, and purchased by _____. These groups make up your target market. Describe and quantify the size of the target market. If appropriate include age, gender, disability, or functional limitation.
Disability statistics web resources:
Repository of national/ international surveys on disability:
Industry Profiles:
Vision
Education Technology
Wheeled Mobility
Cognition
Examples:
Sample Marketing Report
Sample Phase II SBIR Proposal

23. Summary View Output Screen
Edit responses on this summary page or on the individual question pages.
Click on questions to return to each question page.
Return to this screen at any time for easy editing.
Click “full” to view resources and tools associated with each question.

24. The TTPT will be available in late 2016
While you‘re waiting…
Jen Flagg at to participate in user testing or request a list of the TTPT questions.
Check out our website to access many other resources
Contact us for technical assistance

25. Assistive Technology Industry Profiles
Jennifer L Flagg

26. What is an Industry Profile?
Industry Profiles (IPs) provide information on a segment on the assistive technology marketplace, including:
Market demographics
Competitive landscape
Available products and services
Ongoing and completed R&D
Provisional and accepted patents
Legislation and reimbursement

27. When and why to use an IP
Developing a grant proposal (RERC, SBIR, any proposal calling for TT or commercialization)
Creating a TT plan for an RERC
Developing material to share with potential partners
Stages of Development- Proof of Concept activities
IPs will help you…
Locate statistics related to your target market
Identify competing products
Gain awareness of industry trends

28. Part 1: Insights from Industry
Industry’s perspective regarding:
Collaborating with grantees
When to initiate contact
What information to bring to your first meeting
How to handle intellectual property concerns
Important unmet needs
Special section on apps

29. Part 2: Market Information
Major players- companies developing and selling products for people with cognitive impairments
Demand determinants
Competitive landscape
Relevant regulations
Comprehensive supplements:
Product listing
Sources of demographic information

30. How to access IPs
Visit the IP project page on our website: esearch-projects/industry-profile.html
Currently available — IP on Cognitive Impairment — Part 1: Insights from Industry
Coming soon — IP on Cognitive Impairment — Part 2: Cognition Industry Market Information

31. KT4TT’s Collaborative Commercialization Project
James A. Leahy

32. Collaborative Commercialization Project Objectives
Accomplish Technology Transfer Outcomes – new or improved products in the marketplace.
Demonstrate Best Practices in Collaborative Commercialization, Technology Transfer, and Knowledge Translation.
Participating NIDILRR grantees will increase their understanding of the requirements for successful TT.

33. Collaborative Commercialization Inclusion Criteria
Target only partners engaged in engineering development of commercial products for the marketplace.
Working with Phase 2 SBIR grantees and RERC grantees.
SBIR grantees must have progressed with an internal project from conceptual discovery to prototype invention.
RERC grantees must be willing to collaborate with the KT4TT and a manufacturer on a new product design.

34. Collaborative Commercialization Performance Requirements
Private sector timeframes, corporate requirements for planning, implementation and reporting are emphasized.
IP issues, resources, time commitments are addressed.
Grantees are exposed to the KT component of TT through the demonstration of the content and form research based knowledge must be presented to corporate decision makers.
Projects follow the framework of the NtK Model.

35. Latest Collaborative Commercialization Results, 1
RERC on Technologies to Support Successful Aging with Disability – Corporate partner SP Ableware – Adjustable Height Elevated Toilet Seat.

36. Latest Collaborative Commercialization Results, 2
Phase 2 SBIR – The Intelligent Brace: A Compliance Monitoring System for Scoliosis – Liberating Technologies, Inc.

37. Latest Collaborative Commercialization Results, 3
Phase 2 SBIR – Wheelchair Optimal Route Planning for Public Urban and Indoor Spaces – Innovative Design Labs.

38. Latest Collaborative Commercialization Results, 4
Phase 2 SBIR – HomePortal – A Universal Home Environment for Individuals who are Blind or Have Visual Impairments – CreateAbility Concepts, Inc.

39. KT4TT’s Technical Assistance
James A. Leahy

40. Technical Assistance Focus
Identify and offer to NIDILRR & Grantees established practices in New Product Development.
Identify and offer to NIDILRR & Grantees recommended practices in Knowledge Translation.
Identify and offer to NIDILRR & Grantees situational practices in Technology Transfer.

41. Access T/A Resources from the KT4TT
Pre- Submission – Provide applicants with suggestions on project design regarding problem and solution validation through critical preliminary analyses in the NtK Model.
Early Implementation – Provide new grantees with suggestions on everything from generation of Technology Transfer plans to Best Practices in New Product Development.
Late Implementation – Provide grantees a fresh, outside look, and suggestions for a project if grantees lose their initial corporate partner, or the market opportunity changes, or the requisite design and testing has fallen behind schedule.

42. T/A Available to RERC’s
Provide suggestions on development project structuring during pre-proposal submission stage.
Provide suggestions in how to do scoping reviews and preliminary business assessments.
Provide suggestions on how to involve consumers throughout the new product development process.

43. T/A Available to RERC’s
Provide suggestions on how to employ focus groups and the development of focus group scripts and survey questionnaires.
Provide suggestions on the development of your Technology Transfer plans in an RERC’s first year of funding.
Provide suggestions on how to identify companies for either product development collaboration or licensing.
Provide suggestions on how to approach companies – knowing ‘What to say, How to say it, and When to say it’.

44. T/A Available to RERC’s
Provide introductions to companies in specific industry segments, after due diligence has been accomplished by the grantee.
Provide introductions to mainstream organizations such as CABA, when appropriate, for products RERC’s are developing.
Provide suggestions on how to contact and engage the Media.
Provide introductions to other NIDILRR grantees with similar research and development interests.

45. 9 Types of T/A (slide 1/3)
1. NtK Models (Stage/Gate, Literature & Tools) -
Applied Researchers and Engineers – provides a complete vision of the research, development, production continuum; allows one to review supporting evidence that shows how to complete unfamiliar steps; use the toolbox to learn about resources that can assist at any step in the process.
New Product Development Professionals – review supporting evidence to learn about methods, measures, tools and tips.
Grantees/Grant Applicants – use the NtK Models as a template for project proposals; use the technology transfer plan template to guide your commercialization or licensing efforts.
Project Sponsors – use the NtK Models as a checklist to ensure proposals include all steps needed to achieve commercial outcomes that generate socio- economic impacts.

46. 9 Types of T/A (slide 2/3)
Chronological Guide for Inventors – Takes you through a sample invention timeline and provides definitions, examples, and resources as you proceed along your development path.
Intellectual Property (IP) Training Module – Explains each type of IP protection (including which types of protection are most appropriate for different developments) and discuss the need for confidentiality and non- disclosure agreements throughout the development process.
Sample Contextualized Knowledge Package (CKP) – Examples of how to tailor research findings for 5 different stakeholder groups (Consumers, Brokers, Manufacturers, Researchers, and Clinicians).
Sample Value Proposition – Example of how to present and what to include in a Value proposition for a company.

47. 9 Types of TA (slide 3/3)
Sample Commercialization Package – Examples of commercialization packages show the format and type of information that must be presented to potential licensing companies for their initial review.
Evaluation Resource Guide – Describes the role and methods of evaluation through and beyond the development process.
Sampling of Assistive Technology Companies – A listing of companies in the Assistive Technology field with their topic areas and contact information listed.
Media Outreach Strategies – A presentation on how to contact the Media and what information to provide – Knowing What to Say, When to Say It, and How to Say It.
** TT Training Template** - Coming soon!

48. Accessing T/A from KT4TT Center
For prospective or existing NIDILRR grantees to request Technical Assistance you may contact us at:
100 Sylvan Parkway, Suite Amherst, NY  Phone: (716)
Toll free phone at: Fax: (716)
Or go to our web site at:
Click on the Technical Assistance Section and fill out the form at:

49. Paths to Achieving AT Innovations: A Prospective Study of NIDILRR Grantee Practices
Michelle M. Lockett

50. Background
The KT4TT Center’s mission is to increase NIDILRR Grantees’ understanding and capacity for TT.
Development projects pursue a mix of outputs from commercial devices to software algorithms.
Grantees pursue a range of approaches to address the multiple constraints of time, budgets, staffing and task coordination, which differ across output types.
Achieving success is challenging and requires the identification and use of best practices tailored to each project’s unique circumstances.

51. Study Objectives
Uncover barriers to — and facilitators of — technology development and transfer by studying processes to plan and implement these activities over time, between Grantee projects and across NIDILRR programs.
Promote mutual learning between KT4TT staff, Technology Grantees and NIDILRR management.
Identify and promote Grantee best practices to enhance and contextualize the NtK model for all NIDILRR stakeholders.

52. Method Study Design Data gathering & analysis
A longitudinal, Collective Case Study (Stake, 1995)
Integrating several individual case studies
Each followed prospectively for 2 to 6 years as needed
Data gathering & analysis
Descriptive self-reports by Grantees in: (1) grant proposals, (2) technology transfer plans, (3) responses to questionnaire and (4) phone interviews
Coded and organized in NVivo 10 for qualitative analysis

53. Participants
INCLUSION — any newly funded NIDILRR Grantee (RERCs, DRRPs, FI, and SBIR II), who intends to develop and transfer their development (D) output to an external stakeholder
D projects were identified through NARIC database
CASE — Each single D project proposed by a Grantee
RERC grants have multiple D projects
PARTICIPANTS – Study respondents representing a D project
More than one participant might respond for a project case
One participant may respond for more than one project case

54. Participants & Cases by Grant Type
Invited to participate - 36 Grants
Enrolled Volunteer Participants
Type of Grant
# of Grants
# of Project Cases
# of Participants
RERC 4 10 11
DRRP 1 FI 6 8
SBIR II 2
TOTAL 13 19 22

55. Participants’ Project Roles
Years of experience working under a NIDILRR grant
Range: (0 to 25 +) ; Average: (7 years)

56. Case Outputs: What and Where
Almost half the cases (9) are producing a computer software or application
Close to all (16) of D projects conducted in either Academic or Clinical setting

57. Data Gathering Process
Acquire and review grant proposal and TT plan
Compare planned activities to NtK, identify gaps
Collect data
NtK Stage based questionnaire
Conduct phone interview
Transcribe recorded interview
Review and edit for accuracy
participant
Transcript
Next questionnaire
Request for next interview
Repeat process every 4-5 months until case is complete

58. Preliminary Findings (107 Interviews conducted to date)

59. Identifying the Problem
Participants identified the problem through various sources.

60. Interacting with Consumers
13 of the 19 cases (68%) reported directly interacting with end users, using:
Qualitative interviews
Clinical assessments
Focus groups
Surveys
Intervention or pilot studies
Collaboration with stakeholders

61. Obtaining Needs from Consumers
Grantees felt this was necessary during the following activities:
Testing of Beta Prototypes 17
Reviewing Technical, Business, & Market Feasibility 8
Identifying the Problem
Investigating New to the World Components/Processes 7
Testing of Alpha Prototypes 15
Engineering Process 4
Proposing the Solution
Other: (Following release, validating end use, efficacy testing) 2
Creating Marketing Strategies 13

62. Barriers to Early Needs Identification

63. *Other Barriers to Early Needs Identification
Lack of knowledge and vision of consumers to understand:
the technology;
their own needs;
IRB complications;
Protecting IP;
Availability of participants;
Not knowing how to obtain consumer needs accurately without bias.

64. Barriers to Examining Market Information

65. *Other Barriers to Examining Market Information
Challenging to make a case for these resources in successful proposals;
Finding time among competing priorities;
Difficulty finding comparable products;
Technology is too advanced to estimate market size.

66. Next Steps…
Data coding will continue parallel to administering questionnaires and interviews
Case summaries will be prepared for each finishing D project, and shared with the Grantee
Analysis will seek similarities and differences between NtK Steps and the D process followed by each case
TT Best Practices will be identified by highlighting Project case activities corresponding to successfully completed TT milestones

67. ACKNOWLEDGEMENT
The workshop contents were created under a cooperative agreement from the National Institute on Disability, Independent Living, and Rehabilitation Research (#90DP0054). NIDILRR is a Center within the Administration for Community Living (ACL), U.S. Department of Health and Human Services (HHS).  ACKNOWLEDGEMENT
The contents do not necessarily represent the policy of NIDILRR, ACL, HHS, and you should not assume endorsement by the U.S. Federal Government.