Attachment 6 - Technology Maturation Plan - Template.docx

Technology Maturation Plan Template

A TMP is a planning tool that summarizes the necessary research and development (R&D) steps to advance the maturation of a specified technology to a targeted technology readiness level (TRL) and Manufacturing Readiness Level (MRL) and defines the key performance metrics that will be used to determine if the targeted TRL/MRL has been successfully achieved. A TMP also documents the current TRL/MRL of the specified technology, defines the ultimate commercial application of the technology, and conceptualizes a future commercialization pathway in terms of additional R&D, resources and schedule. A TMP is a high-level summary document. It is not a collection of detailed test plans.

DOE/OE uses TMPs to enhance its stewardship of R&D project portfolios and improve the value of the technologies it supports. TMPs help DOE/OE to:

· Ensure that research questions are resolved in the least expensive and least risky R&D setting (i.e., scale, degree of integration, environment, fidelity)

· Focus technology development on the performance metrics that are most important for technical and economic success (at component and system levels)

· Identify R&D gaps and critical components that are lagging in maturity

· Ensure that R&D projects address what is required for integration into higher-level systems

· Make informed decisions at critical stages of research (e.g., moving a technology from a laboratory project to a larger-scale pilot project)

· Improve the balance of project portfolios in terms of technology types, pathways, TRLs, MRLs, redundancy, etc., to mitigate risks and increase the likelihood of R&D success, and

· Forecast the cost and duration of technology development through demonstration and commercialization.

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TECHNOLOGY MATURATION PLAN

for Aligning Manufacturability & Pre-production Design {Date Prepared}

SUBMITTED UNDER NOTICE OF FUNDING OPPORTUNITY

DE-FOA-#######

SUBMITTED BY

{Organization Name} {Organization Address} {City, State, Zip Code}

PRINCIPAL INVESTIGATOR

{Name} {Phone Number} {E-mail}

SUBMITTED TO

U.S. Department of Energy National Energy Technology Laboratory

1.0 INTRODUCTION

1.1 Purpose of the Project

Provide a brief summary of the project’s objectives as related to maturation of the proposed technology.

1.2 Define the Technology

Identify the specified technology and describe all the critical components and/or subsystems that comprise it. State whether the current project will test: (1) the total, integrated technology, or (2) one or more critical subsystems or components of the technology. If the latter, identify which critical subsystems and/or components will be tested.

Technology maturation is quantified by assessing the specified technology. To clearly and consistently apply the readiness level definitions, one must first precisely identify what technology is being assessed. Since most technologies can be viewed as subsystems (“levels”) within larger systems, multiple choices are available for defining the technology. However, note that the choice of the “level” of the technology affects how the TRL and MRL are assessed (see example below).

For example: A TRL 3 is achieved for the specified technology when analytical performance predictions for each of the technology’s critical[footnoteRef:1] components have been validated in separate experiments (i.e., without integration across components). A TRL 4 or 5 is achieved for a given technology when the targeted performance requirements for each of its critical, multi-component subsystems (or the entire technology) have been validated in a laboratory environment (TRL 4) or relevant environment (TRL 5) with integration of some or all components. Achieving TRLs 6 to 9 requires testing of the entire, fully integrated, technology. [1: A component or subsystem of a technology is considered critical if it is new, novel, and necessary for the technology to meet its anticipated operational performance requirements or poses major cost, schedule, or performance risk during design or demonstration. Note that a component that is fully mature and non-critical for an established application or operational environment may be considered critical if it is incorporated into a new application or operational environment. ]

To further clarify, consider, for example, a fuel cell stack. Its critical components are multiple, identical fuel cells. In turn, the critical components of each fuel cell are an anode, cathode and electrolyte. If one wished to assess the technology readiness of the fuel cell stack, the technology would be defined as an integrated system of multiple fuel cell subsystems, and a TRL 6 could only be achieved by successfully testing an entire stack of integrated fuel cells. However, if one instead wished to assess the technology readiness of only the fuel cell, the technology would be defined as an integrated system of cathode, anode and electrolyte components, and a TRL 6 could be achieved by successfully testing just a single, integrated fuel cell. In both cases, achievement of TRL 6 could be claimed, but only in the context of the properly specified technology.

1.3 Commercial Application

Provide a one-paragraph description of the targeted commercial application(s) of the technology.

2.0 MATURATION OF THE TECHNOLOGY

2.1 Beginning Technology Readiness Level (TRL) and Manufacturing Readiness Level (MRL) of the Technology Briefly summarize the prior research that matured the technology to its current state.

Using the TRL descriptions in Appendix 1 and the MRL descriptions in Appendix 2, specify the current (i.e., pre-project) TRL and MRL of the technology.

Justify the specified TRL and MRL by explaining how all the required aspects have been achieved. To align with a certain TRL and MRL, all aspects of the associated TRL or MRL description must be met.

2.2 Target TRL and MRL of the Technology

Identify the TRL and MRL that the project plans to attain. To attain a certain TRL and MRL, all aspects of the associated TRL or MRL description must be met. If the project proposes to advance the TRL and MRL by more than one level, explain if that will be accomplished in stages (i.e., first one TRL, then the next) or by skipping a TRL and MRL. If the latter, explain how any increased technical, cost and schedule risks associated with skipping a TRL and MRL will be mitigated.

2.3 Proposed Research to Mature the Technology

Briefly summarize the proposed research steps and how they will mature the technology to the targeted readiness levels.

Identify each of the key performance attributes that will be assessed during the research along with the corresponding, quantifiable performance requirements that must be achieved to attain the targeted TRL(s) and MRL(s). Explain how the key performance attributes were selected and how the corresponding requirements were determined. Be as specific as practical on any supporting technical/economic assessments. As a general principle, all key performance requirements that may be appropriately tested at a particular readiness level must be substantially met, thereby supporting the feasibility of commercial success/goal achievement, prior to proceeding to the subsequent readiness level.

2.4 Potential Post-Project Maturation and Commercialization of the Technology Assuming the project successfully attains the targeted TRL and MRL, describe what additional (post-project) work would be required to mature the technology to the next TRL and MRL. Identify the key performance requirements and goals/measures that would need to be achieved. If possible, provide rough estimates of the cost and duration of the research required to attain the next readiness levels. Describe your organization’s potential role in a commercialization strategy for the technology.

3.0 REFERENCES

List all reference materials supporting the technology assessment, including the definitions of TRLs and MRLs (provided below).

Government Accountability Office, Technology Readiness Assessment Guide: Best Practices for Evaluating the Readiness of Technology for Use in Acquisition Programs and Project, 2016 (https://www.gao.gov/assets/gao-16-410g.pdf).

U.S. Department of Defense, Manufacturing Readiness Level (MRL) Deskbook, 2011 (https://www.dodmrl.com/MRL_Deskbook_V2.pdf).

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Appendix 1: Technology Readiness Levels (TRL) Source: Government Accountability Office, Technology Readiness Assessment Guide: Best Practices for Evaluating the Readiness of Technology for Use in Acquisition Programs and Project, 2016 (https://www.gao.gov/assets/gao-16-410g.pdf).

Appendix 2: Manufacturing Readiness Levels (MRL) Source: U.S. Department of Defense, Manufacturing Readiness Level (MRL) Deskbook, 2011 (https://www.dodmrl.com/MRL_Deskbook_V2.pdf).

relevant environment This level of maturity is typical of the mid-point in the Technology Development Phase of acquisition, or in the case of key technologies, near the mid-point of an Advanced Technology Demonstration (ATD) project. Technologies should have matured to at least TRL 5. The industrial base has been assessed to identify potential manufacturing sources. A manufacturing strategy has been refined and integrated with the risk management plan. Identification of enabling/critical technologies and components is complete. Prototype materials, tooling and test equipment, as well as personnel skills have been demonstrated on components in a production relevant environment, but many manufacturing processes and procedures are still in development. Manufacturing technology development efforts have been initiated or are ongoing. Producibility assessments of key technologies and components are ongoing. A cost model has been constructed to assess projected manufacturing cost.

performed to assess how prototype data compare to target objectives, and the program has in place appropriate risk reduction to achieve cost requirements or establish a new baseline. This analysis should include design trades. Producibility considerations have shaped system development plans. The Industrial Capabilities Assessment (ICA) for Milestone B has been completed. Long-lead and key supply chain elements have been identified.

improvement.

in place This is the highest level of production readiness. Technologies should have matured to TRL 9. This level of manufacturing is normally associated with the Production or Sustainment phases of the acquisition life cycle. Engineering/design changes are few and generally limited to quality and cost improvements. System, components or items are in full rate production and meet all engineering, performance, quality and reliability requirements. Manufacturing process capability is at the appropriate quality level. All materials, tooling, inspection and test equipment, facilities and manpower are in place and have met full rate production requirements. Rate production unit costs meet goals, and funding is sufficient for production at required rates. Lean practices are well established and continuous process improvements are ongoing.