• Provide an overview of Technology Readiness Levels [TRLs]
• The importance of trying to be accurate when describing your
TRL will be discussed and the availability of different selfassessment tools will be introduced.

• What are
Technology
Readiness Levels
(TRLs)
• SBIR & TRLs’
Relationship to the
DHS Project
Realization Process
• TRLs importance to
SBIR Phase III
Mature Technology
Manufacturing
Capability
Capable
Supplier
Risk Mgmt/
Business
Planning
Keys to Transition Success

• Risk Mitigation
– Increase Transition success by considering technology, market, and management risks
– Understand T&E requirements to validate technology maturity and support the DHS
Commercialization Model
Mature Technology
Manufacturing
Capability
Capable
Supplier
Risk Mgmt/
Business
Planning
4

Technical Risk
Programmatic/Mgt Risk
Manufacturing Risk

• Develop Operational Requirements Documents (ORDs)
• Assess addressable market(s)
• Publish ORD and market assessment on public DHS web portal, solicit interest from potential partners in a way that is open to small, medium and large businesses
• Execute no-cost (CRADA-like) agreement with multiple private sector entities and transfer technology and/or IP(if necessary)
• Develop supporting grants and standards as necessary
• Assess T&E findings after product is developed to assure DHS and ancillary markets that product meet its published specifications
• New Commercial-Off-The-Shelf (COTS) product marketed by private sector with
DHS support
DHS SBIR funds tech development through
Phase II
Source: Dr. Thomas A. Cellucci, Ph.D.,
MBA, Chief Commercialization Officer
U.S. Department of Homeland Security ,
DoD Beyond Phase II Conference,
September 2011
Differences from Acquisition model:
• Primary criteria for partner selection is market penetration, agility, and performance/price ratio
• Product development is not funded by DHS
• Government involvement is limited to inherently governmental functions (e.g., Grants and Standards)

http://www.dhs.gov/xlibrary/assets/st_product_realization_chart_version_1-4.pdf

Commercialization
Success will depend upon understanding what it will take to achieve TRL 6+ and productization Products =
• Mature Technology
(TRL)
• Manufacturing
(MRL)
• Viable supplier ?
(BRL)
TRL 1- 3 TRL 4-6

• TRLs are a set of management metrics that enable the assessment of the maturity of a particular technology and the consistent comparison of maturity between different types of technology—all in the context of a specific system, application and operational environment.
– They were originated by the National Aeronautics and
Space Administration and adapted by the DOD, DHS and other Agencies for use in its acquisition system.
• TRLs indicate a level of technology maturity at the time of
Critical Technology Element (CTE) measurement
• TRLs do not indicate the difficulty in achieving the next TRL level
• TRLs can provide a needed foundation for developing and communicating insight into the risks involved in advancing a new system and its constituent new technology components
9

Level
TRL 1
Definition
Basic principles observed and reported:
DHS Description
•
Scientific research begins the first steps toward applied research and development. Examples include paper studies of a technology‘s basic properties, exploration of a technical phenomenon, and definition of a technical concept. This level represents the origin of technology readiness.
Supporting Information/ Testing
Published research that identifies the principles that underlie this technology.
References to who, where, when.
TRL 2
TRL 3
Technology concept and/or application formulated
Analytical and experimental critical function and/or characteristic proof-of concept
• Once basic principles are observed and proven repeatable, practical applications can be formulated.
Applications are speculative and there may be no proof or detailed analysis to support the assumptions.
Examples are limited to analytic studies, device phenomenology, and experimentation.
•
Active research and development is initiated . This includes analytical and laboratory studies to physically validate analytical predications of separate elements of the technology. Examples include components that are not yet integrated.
Publications or other references that outline the application being considered and that provide analysis to support the concept.
Results of laboratory tests performed to measure parameters of interest and comparison to analytical predictions for critical subsystems.
References to who, where, and when these tests and comparisons were performed.
10

Level
TRL 4
Definition
Component/ subsystem validation in laboratory environment
DHS Description
• Basic technological components are integrated to establish that they will work together. Examples include integration of modules and components in the laboratory .
Supporting Information/ Testing
Standalone prototyping implementation and test.
System concepts that have been considered and results from testing laboratory scale breadboard(s).
References to who did this work and when. Provide an estimate of how breadboard hardware and test results differ from the expected system goals.
TRL 5
Component and/ or breadboards validation in a relevant environment .
TRL 6
System/ subsystem model or prototype demonstration in a relevant environment .
•
The basic technological components are integrated with reasonably realistic supporting elements so it can be tested in simulated environment. Examples include ―high-fidelity laboratory integration of components and software.
• Representative model or prototype system is tested in a relevant environment.
Represents a major step up in a technology‘s demonstrated readiness. Examples include testing a prototype in a high-fidelity laboratory environment or in a simulated operational environment .
Results from testing a laboratory breadboard system are integrated with other supporting elements in a simulated operational environment . How does the “relevant environment” differ from the expected operational environment? How do the test results compare with expectations? What problems, if any, were encountered?
Was the breadboard system refined to more nearly match the expected system goals?
Results from laboratory testing of a prototype system that is near the desired configuration in terms of
performance, weight and volume. How did the test environment differ from the operational environment? Who performed the tests? How did the test compare with expectations? What problems, if any, were encountered?
What are/were the plans, options, or actions to resolve problems before moving to the next level?

Level
TRL 7
TRL 8
TRL 9
Definition
System prototype demonstration in an operational environment .
Actual system completed and qualified through test and demonstration.
Actual system proven through successful mission operations.
Description
• Prototype near, or at, planned operational system level.
Represents a major step up from TRL 6 , requiring demonstration of an actual system prototype in an operational environment.
Supporting Information/ Testing
Results from testing a prototype system in an operational environment.
Who performed the tests? How did the test compare with expectations? What problems, if any, were encountered? What are/were the plans, options, or actions to resolve problems before moving to the next level?
•
Technology had been proven to work in its final form and under expected operational deployment conditions . In almost all cases, this TRL represents completion of system development. Examples include test and evaluation of the system in its intended system configuration and operational requirement.
•
Actual application of the technology in its final form and under mission conditions , in accordance with the user‘s Concept of
Operations .
Results of testing the system in its final configuration under the expected range of environmental conditions in which it will be expected to operate.
Assessment of whether it will meet its operational requirements. What problems, if any, were encountered? What are/were the plans, options, or actions to resolve problems before finalizing the design?
OT&E Reports .

BASIC
RESEARCH
INOVATION
Phase I Phase II
T R A N S I T I O N
Phase III
Technology Readiness Levels
TRL
1
TRL
2
TRL
3
TRL
4
TRL 5 TRL 6
Higher
Risk
Lower
Maturity
Lower
Fitness
TRL 7 TRL 8
Increasing Capability - Decreasing Technical Risk
TRL 9
Lower
Risk
Higher
Maturity
Higher
Fitness
13

| | | | | | | | |
1 2 3 4 5 6 7 8 9
Technology Readiness Level

DHS RL Calculator for Excel 2003 1.1.xls
http://www.homelandsecurity.org/hsireports/
DHS_ST_RL_Calculator_report20091020.pd
f http://www.homelandsecurity.org/hsireports/DHS%20RL%2
0Calculator%20for%20Excel%202007%201.1.xlsm
http://www.homelandsecurity.org/hsireports/
DHS%20RL%20Calculator%20for%20Excel
%202003%201.1.xls

• DHS Science & Technology Directorate Commercialization
Office Resources
– http://www.dhs.gov/files/programs/gc_1234200779149.shtm
• DoD TRL Calculator
– https://acc.dau.mil/CommunityBrowser.aspx?id=25811
• DoD MRL Deskbook
– http://www.dodmrl.com/MRL_Deskbook_V2.pdf
• DoD Risk Management Guidebook
– https://acc.dau.mil/CommunityBrowser.aspx?id=108201
16

• TRLs provide a consistent comparison of maturity between different types of technology, all in the context of a specific system, application and operational environment
• T&E requirements and resources increase dramatically after TRL 5
• TRL assessments can enhance Risk Planning , R &D planning and productization
17

“He who fails to plan, plans to fail”
Proverbs
18