Technology Readiness Level
Encyclopedia
Mature technology
A mature technology is a technology that has been in use for long enough that most of its initial faults and inherent problems have been removed or reduced by further development...
(materials, components, devices, etc.) prior to incorporating that technology into a system or subsystem. Generally speaking, when a new technology is first invented
Invention
An invention is a novel composition, device, or process. An invention may be derived from a pre-existing model or idea, or it could be independently conceived, in which case it may be a radical breakthrough. In addition, there is cultural invention, which is an innovative set of useful social...
or conceptualized, it is not suitable for immediate application. Instead, new technologies are usually subjected to experiment
Experiment
An experiment is a methodical procedure carried out with the goal of verifying, falsifying, or establishing the validity of a hypothesis. Experiments vary greatly in their goal and scale, but always rely on repeatable procedure and logical analysis of the results...
ation, refinement, and increasingly realistic testing. Once the technology is sufficiently proven, it can be incorporated into a system
System
System is a set of interacting or interdependent components forming an integrated whole....
/subsystem.
Definitions
Different definitions are used by different agencies, although they are somewhat similar. The most common definitions are those used by the Department of DefenseUnited States Department of Defense
The United States Department of Defense is the U.S...
(DoD) and the National Aeronautics and Space Administration (NASA).
U.S. Department of Defense (DoD) definitions
| Technology Readiness Level | Description |
|---|---|
| 1. Basic principles observed and reported | Lowest level of technology readiness. Scientific research begins to be translated into applied research and development. Example might include paper studies of a technology's basic properties. |
| 2. Technology concept and/or application formulated | Invention begins. Once basic principles are observed, practical applications can be invented. The application is speculative and there is no proof or detailed analysis to support the assumption. Examples are still limited to paper studies. |
| 3. Analytical and experimental critical function and/or characteristic proof of concept | Active research and development is initiated. This includes analytical studies and laboratory studies to physically validate analytical predictions of separate elements of the technology. Examples include components that are not yet integrated or representative. |
| 4. Component and/or breadboard validation in laboratory environment | Basic technological components are integrated to establish that the pieces will work together. This is "low fidelity" compared to the eventual system. Examples include integration of 'ad hoc' hardware in a laboratory. |
| 5. Component and/or breadboard validation in relevant environment | Fidelity of breadboard technology increases significantly. The basic technological components are integrated with reasonably realistic supporting elements so that the technology can be tested in a simulated environment. Examples include 'high fidelity' laboratory integration of components. |
| 6. System/subsystem model or prototype demonstration in a relevant environment | Representative model or prototype system, which is well beyond the breadboard tested for TRL 5, 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 simulated operational environment. |
| 7. System prototype demonstration in an operational environment | Prototype near or at planned operational system. Represents a major step up from TRL 6, requiring the demonstration of an actual system prototype in an operational environment, such as in an aircraft, vehicle or space. Examples include testing the prototype in a test bed aircraft. |
| 8. Actual system completed and 'flight qualified' through test and demonstration | Technology has been proven to work in its final form and under expected conditions. In almost all cases, this TRL represents the end of true system development. Examples include developmental test and evaluation of the system in its intended weapon system to determine if it meets design specifications. |
| 9. Actual system 'flight proven' through successful mission operations | Actual application of the technology in its final form and under mission conditions, such as those encountered in operational test and evaluation. In almost all cases, this is the end of the last "bug fixing" aspects of true system development. Examples include using the system under operational mission conditions. |
Related DoD definitions
The DoD uses similar definitions for the following specialized areas:- Software Technology Readiness Levels
- Biomedical Technology Readiness Levels
- Manufacturing Readiness LevelManufacturing Readiness LevelManufacturing Readiness Level is a measure used by some United States government agencies and many of the world's major companies to assess the maturity of manufacturing readiness serving the same purpose as Technology Readiness Levels serve for technology readiness...
NASA definitions
| Technology Readiness Level | Description |
|---|---|
| 1. Basic principles observed and reported | This is the lowest "level" of technology maturation. At this level, scientific research begins to be translated into applied research and development. |
| 2. Technology concept and/or application formulated | Once basic physical principles are observed, then at the next level of maturation, practical applications of those characteristics can be 'invented' or identified. At this level, the application is still speculative: there is not experimental proof or detailed analysis to support the conjecture. |
| 3. Analytical and experimental critical function and/or characteristic proof of concept | At this step in the maturation process, active research and development (R&D) is initiated. This must include both analytical studies to set the technology into an appropriate context and laboratory-based studies to physically validate that the analytical predictions are correct. These studies and experiments should constitute "proof-of-concept" validation of the applications/concepts formulated at TRL 2. |
| 4. Component and/or breadboard validation in laboratory environment | Following successful "proof-of-concept" work, basic technological elements must be integrated to establish that the "pieces" will work together to achieve concept-enabling levels of performance for a component and/or breadboard. This validation must be devised to support the concept that was formulated earlier, and should also be consistent with the requirements of potential system applications. The validation is "low-fidelity" compared to the eventual system: it could be composed of ad hoc discrete components in a laboratory. |
| 5. Component and/or breadboard validation in relevant environment | At this level, the fidelity of the component and/or breadboard being tested has to increase significantly. The basic technological elements must be integrated with reasonably realistic supporting elements so that the total applications (component-level, sub-system level, or system-level) can be tested in a 'simulated' or somewhat realistic environment. |
| 6. System/subsystem model or prototype demonstration in a relevant environment (ground or space) | A major step in the level of fidelity of the technology demonstration follows the completion of TRL 5. At TRL 6, a representative model or prototype system or system - which would go well beyond ad hoc, 'patch-cord' or discrete component level breadboarding - would be tested in a relevant environment. At this level, if the only 'relevant environment' is the environment of space, then the model/prototype must be demonstrated in space. |
| 7. System prototype demonstration in a space environment | TRL 7 is a significant step beyond TRL 6, requiring an actual system prototype demonstration in a space environment. The prototype should be near or at the scale of the planned operational system and the demonstration must take place in space. |
| 8. Actual system completed and 'flight qualified' through test and demonstration (ground or space) | In almost all cases, this level is the end of true 'system development' for most technology elements. This might include integration of new technology into an existing system. |
| 9. Actual system 'flight proven' through successful mission operations | In almost all cases, the end of last 'bug fixing' aspects of true 'system development'. This might include integration of new technology into an existing system. This TRL does not include planned product improvement of ongoing or reusable systems. |
ESA definition
Instruments and spacecraft sub-systems are classified according to a "Technology Readiness level" (TRL) on a scale of 1 to 9. Levels 1 to 4 relate to creative innovate technologies pre or during mission assessment phase. Levels 5 to 9 relate to existing technologies and to missions in definition phase.| Technology Readiness Level | Description |
|---|---|
| TRL 1. | Basic principles observed and reported |
| TRL 2. | Technology concept and/or application formulated |
| TRL 3. | Analytical & experimental critical function and/or characteristic proof-of-concept |
| TRL 4. | Component and/or breadboard validation in laboratory environment |
| TRL 5. | Component and/or breadboard validation in relevant environment |
| TRL 6. | System/subsystem model or prototype demonstration in a relevant environment (ground or space) |
| TRL 7. | System prototype demonstration in a space environment |
| TRL 8. | Actual system completed and "Flight qualified" through test and demonstration (ground or space) |
| TRL 9. | Actual system "Flight proven" through successful mission operations |
If the TRL is too low, then a mission risks being jeopardized by delays or cost over-runs. It is a responsibility of the Advanced Studies and Technology Preparation Division to promote the technology readiness at a very early stage in order to make new missions feasible.
Other definitions and uses
The Canadian Innovation and Commercialization Program administered by Public Works and Government Services CanadaPublic Works and Government Services Canada
Public Works and Government Services Canada is the department of the government of Canada with responsibility for the government's internal servicing and administration....
provides assistance by awarding contracts to entrepreneurs with pre-commercial innovations, provided the innovation has a TRL between 7 and 9.
The Federal Aviation Administration
Federal Aviation Administration
The Federal Aviation Administration is the national aviation authority of the United States. An agency of the United States Department of Transportation, it has authority to regulate and oversee all aspects of civil aviation in the U.S...
(FAA) references Technology Readiness Levels in some of their documents, and seems to rely on the NASA definitions.
The United States Department of Energy
United States Department of Energy
The United States Department of Energy is a Cabinet-level department of the United States government concerned with the United States' policies regarding energy and safety in handling nuclear material...
(DOE) uses the following guidelines throughout the department in conducting Technology Readiness Assessments (TRAs) and developing Technology Maturation Plans (TMPs).
| Technology Readiness Level | Description |
|---|---|
| TRL 1. | Scientific research begins translation to applied R&D - Lowest level of technology readiness. Scientific research begins to be translated into applied research and development. Examples might include paper studies of a technology’s basic properties. |
| TRL 2. | Invention begins - Once basic principles are observed, practical applications can be invented. Applications are speculative and there may be no proof or detailed analysis to support the assumptions. Examples are limited to analytic studies. |
| TRL 3. | Active R&D is initiated - Active research and development is initiated. This includes analytical studies and laboratory studies to physically validate analytical predictions of separate elements of the technology. Examples include components that are not yet integrated or representative. |
| TRL 4. | Basic technological components are integrated - Basic technological components are integrated to establish that the pieces will work together. |
| TRL 5. | Fidelity of breadboard technology improves significantly - The basic technological components are integrated with reasonably realistic supporting elements so it can be tested in a simulated environment. Examples include “high fidelity” laboratory integration of components. |
| TRL 6. | Model/prototype is tested in relevant environment - Representative model or prototype system, which is well beyond that of TRL 5, 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 simulated operational environment. |
| TRL 7. | Prototype near or at planned operational system - Represents a major step up from TRL 6, requiring demonstration of an actual system prototype in an operational environment. |
| TRL 8. | Technology is proven to work - Actual technology completed and qualified through test and demonstration. |
| TRL 9. | Actual application of technology is in its final form - Technology proven through successful operations. |
Brief history of Technology Readiness Levels
Technology Readiness Levels were originally developed by NASA in the 1980s. The original definitions only included seven levels, which were later expanded to nine.Original NASA TRL Definitions (1989)
- Level 1 – Basic Principles Observed and Reported
- Level 2 – Potential Application Validated
- Level 3 – Proof-of-Concept Demonstrated, Analytically and/or Experimentally
- Level 4 – Component and/or Breadboard Laboratory Validated
- Level 5 – Component and/or Breadboard Validated in Simulated or Realspace Environment
- Level 6 – System Adequacy Validated in Simulated Environment
- Level 7 – System Adequacy Validated in Space
The TRL methodology was originated by Stan Sadin at NASA Headquarters in 1974. At that time, Ray Chase (now at Booz Allen Hamilton
Booz Allen Hamilton
Booz Allen Hamilton Inc. , or more commonly Booz Allen, is an American public consulting firm headquartered in McLean, Fairfax County, Virginia, with 80 other offices throughout the United States. Ralph Shrader is its Chairman and Chief Executive Officer. The firm was founded by Edwin Booz in...
) was the JPL Propulsion Division representative on the Jupiter Orbiter design team. At the suggestion of Stan Sadin, Mr Chase used this methodology to assess the technology readiness of the proposed JPL Jupiter Orbiter spacecraft design. Later Mr Chase spent a year at NASA Headquarters helping Mr Sadin institutionalize the TRL methodology. Mr Chase joined ANSER
Analytic Services
Analytic Services is a not-for-profit institute based in Arlington, Virginia which provides analysis and studies in the areas of national security, homeland security, and public safety...
in 1978, where he used the TRL methodology to evaluate the technology readiness of proposed Air Force development programs. He published several articles during the 1980s and 90s on reusable launch vehicles utilizing the TRL methodology. These documented an expanded version of the methodology that included design tools, test facilities, and manufacturing readiness on the Air Force Have Not program. The Have Not program manager, Greg Jenkins, and Ray Chase published the expanded version of the TRL methodology, which included design and manufacturing. Leon McKinney and Mr Chase used the expanded version to assess the technology readiness of the ANSER
Analytic Services
Analytic Services is a not-for-profit institute based in Arlington, Virginia which provides analysis and studies in the areas of national security, homeland security, and public safety...
team's Highly Reusable Space Transportation ("HRST") concept. ANSER
Analytic Services
Analytic Services is a not-for-profit institute based in Arlington, Virginia which provides analysis and studies in the areas of national security, homeland security, and public safety...
also created an adapted version of the TRL methodology for proposed Homeland Security Agency programs.
The United States Air Force
United States Air Force
The United States Air Force is the aerial warfare service branch of the United States Armed Forces and one of the American uniformed services. Initially part of the United States Army, the USAF was formed as a separate branch of the military on September 18, 1947 under the National Security Act of...
adopted the use of Technology Readiness Levels in the 1990s.
In 1995, John C. Mankins, NASA, wrote a paper that discussed NASA’s use of TRLs and proposed expanded descriptions for each TRL. In 1999, the United States General Accounting Office produced an influential report that examined the differences in technology transition
Technology transfer
Technology Transfer, also called Transfer of Technology and Technology Commercialisation, is the process of skill transferring, knowledge, technologies, methods of manufacturing, samples of manufacturing and facilities among governments or universities and other institutions to ensure that...
between the DOD and private industry. It concluded that the DOD takes greater risks and attempts to transition emerging technologies at lesser degrees of maturity than does private industry. The GAO concluded that use of immature technology increased overall program risk. The GAO recommended that the DOD adopt the use of NASA's Technology Readiness Levels as a means of assessing technology maturity prior to transition. In 2001, the Deputy Under Secretary of Defense for Science and Technology issued a memorandum that endorsed use of TRLs in new major programs. Guidance for assessing technology maturity was incorporated into the Defense Acquisition Guidebook. Subsequently, the DOD developed detailed guidance for using TRLs in the 2003 DOD Technology Readiness Assessment Deskbook.
TRL assessment tools
United States Air Force
The United States Air Force is the aerial warfare service branch of the United States Armed Forces and one of the American uniformed services. Initially part of the United States Army, the USAF was formed as a separate branch of the military on September 18, 1947 under the National Security Act of...
. This tool is a standard set of questions implemented in Microsoft Excel that produces a graphical display of the TRLs achieved. This tool is intended to provide a snapshot of technology maturity at a given point in time.
The Technology Program Management Model was developed by the United States Army
United States Army
The United States Army is the main branch of the United States Armed Forces responsible for land-based military operations. It is the largest and oldest established branch of the U.S. military, and is one of seven U.S. uniformed services...
. The TPMM is a TRL-gated high-fidelity activity model that provides a flexible management tool to assist Technology Managers in planning, managing, and assessing their technologies for successful technology transition. The model provides a core set of activities including systems engineering
Systems engineering
Systems engineering is an interdisciplinary field of engineering that focuses on how complex engineering projects should be designed and managed over the life cycle of the project. Issues such as logistics, the coordination of different teams, and automatic control of machinery become more...
and program management
Program management
Program management or programme management is the process of managing several related projects, often with the intention of improving an organization's performance...
tasks that are tailored to the technology development and management goals. This approach is comprehensive, yet it consolidates the complex activities that are relevant to the development and transition of a specific technology program into one integrated model.
Uses of Technology Readiness Levels
The primary purpose of using Technology Readiness Levels is to help management in making decisions concerning the development and transitioning of technology. It should be viewed as one of several tools that are needed to manage the progress of research and development activity within an organization.Among the advantages of TRLs:
- Provides a common understanding of technology status
- Risk management
- Used to make decisions concerning technology funding
- Used to make decisions concerning transition of technology
Some of the characteristics of TRLs that limit their utility:
- Readiness does not necessarily fit with appropriateness or technology maturity
- A mature product may possess a greater or lesser degree of readiness for use in a particular system context than one of lower maturity
- Numerous factors must be considered, including the relevance of the products’ operational environment to the system at hand, as well as the product-system architectural mismatch
Current TRL models tend to disregard negative and obsolescence factors. There have been suggestions made for incorporating such factors into assessments.
Online
- Presentation to the S&T Conference on the Transition of Technology to Acquisition, GAO, (26 October 1999)
- Joint Strike Fighter Acquisition – Mature Critical Technologies Needed to Reduce Risk, GAO-02-39 (October 2001)