What are TRLs?

1. What are TRLs? Alfred W. Clark Dawnbreaker, Inc

2. Objective 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 self-assessment tools will be introduced.

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

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

5. Programmatic/Mgt Risk Technical Risk Manufacturing Risk Transition Risk

6. DHS Commercialization Model • 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 • 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) Source: Dr. Thomas A. Cellucci, Ph.D., MBA, Chief Commercialization Officer U.S. Department of Homeland Security , DoD Beyond Phase II Conference, September 2011

7. TRLs and DHS Product Realization http://www.dhs.gov/xlibrary/assets/st_product_realization_chart_version_1-4.pdf

8. 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 Correlation: DHS and Private Sector TRL 1- 3 TRL 4-6

9. Technology Readiness Levels (TRLs) Defined 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

10. TRL 1-3: Basic Research 10

11. TRL 4-6: Technology Development

12. TRL 7-9: Product Development

13. SBIR’s Relationship to TRLs BASIC RESEARCH T R A N S I T I O N INOVATION Phase III Phase I Phase II Technology Readiness Levels TRL 1 TRL 2 TRL 3 TRL 4 TRL 5 TRL 6 TRL 7 TRL 8 TRL 9 Higher Risk Lower Maturity Lower Fitness Lower Risk Higher Maturity Higher Fitness Increasing Capability - Decreasing Technical Risk 13

14. T &E Resources and Dollars | | | | | | | | | 1 2 3 4 5 6 7 8 9 BASIC RESEARCH BASIC RESEARCH BASIC RESEARCH T R A N S I T I O N T R A N S I T I O N T R A N S I T I O N INOVATION INOVATION INOVATION Phase III Phase III Phase III Phase I Phase I Phase I Phase II Phase II Phase II T & E Requirements Increase with TRL Maturity Technology Readiness Level

15. DHS TRL Assessment Resource DHS RL Calculator for Excel 2003 1.1.xls http://www.homelandsecurity.org/hsireports/DHS_ST_RL_Calculator_report20091020.pdf http://www.homelandsecurity.org/hsireports/DHS%20RL%20Calculator%20for%20Excel%202007%201.1.xlsm http://www.homelandsecurity.org/hsireports/DHS%20RL%20Calculator%20for%20Excel%202003%201.1.xls

16. Additional References 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

17. TRL Take-Aways 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

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