Technology Maturation Plan Template.docx

Technology Maturation Plan Template

A technology maturation plan (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 defines the key performance metrics that will be used to determine if the targeted TRL has been successfully achieved. A TMP also documents the current TRL 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.

The National Energy Technology Laboratory (NETL) uses TMPs to enhance its stewardship of R&D project portfolios and improve the value of the technologies it develops. TMPs help NETL 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, 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.

The below template should be used to complete a TMP. Instructions, shown in italics, should be deleted/replaced in the completed TMP. Section 3 is provided solely for reference but should be retained as-is in the completed TMP.

TECHNOLOGY MATURATION PLAN

for {insert project title} {Date Prepared}

SUBMITTED UNDER NOTICE OF FUNDING OPPORTUNITY

DE-FOA-0003495

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 Technology Readiness Assessment System

Technology maturation is quantified by a performing a technology readiness assessment (TRA) on the specified technology system.

· Identify the specified “TRA System” and describe all the critical components and/or subsystems that comprise it. See “TRA System” definition under Section 3.1.

· State whether the current project will test: (1) the total, integrated TRA System, or (2) one or more critical subsystems or components of the TRA System. If the latter, identify which critical subsystems and/or components will be tested.

1.3 Commercial Application

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

2.0 MATURATION OF THE TRA SYSTEM

2.1 Beginning Technology Readiness Level (TRL) of the TRA System

Briefly summarize the prior research that matured the technology to its current state.

Using the Technology Readiness Levels (TRL) descriptions in Sections 3.2 and 3.3, specify the current (i.e., pre-project) TRL of the TRA System. To attain a certain TRL, all aspects of the associated TRL description must be met.

Justify the specified TRL by explaining how all the required TRL aspects have been achieved.

2.2 Proposed Research to Mature the TRA System

Identify the TRL that the project plans to attain.

· Note that the targeted TRL could be the same as the beginning TRL if the project is aimed at making only incremental progress toward achieving the next TRL.

· If the project proposes to advance the TRL 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. If the latter, explain how any increased technical, cost and schedule risks associated with skipping a TRL will be mitigated.

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). 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 (see Section 3.4 for NETL’s Systems Analysis Best Practices). As a general principle, all key performance requirements that may be appropriately tested at a particular TRL must be substantially met, thereby supporting the feasibility of commercial success/goal achievement, prior to proceeding to the subsequent TRL.

Briefly summarize the proposed research steps and how they will mature the TRA System to the targeted TRL(s).

2.3 Potential Post-Project Maturation and Commercialization of the TRA System

Assuming the project successfully attains the targeted TRL(s), describe what additional (post-project) work would be required to mature the TRA System to the next TRL. 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 TRL.

Describe your organization’s potential role in a commercialization strategy for the TRA system.

3.0 REFERENCE MATERIAL

3.1 Definition of TRA System

NETL’s interpretation (Section 3.2) of the DOE TRL definitions (Section 3.3) is based on a view of technology maturation in which “components” are integrated into a “system” that is being assessed for its technology readiness. To clearly and consistently apply the DOE TRL definitions, one must first precisely identify what “system” is being assessed, defined herein as the “Technology Readiness Assessment (TRA) System.” Since most technologies can be viewed as subsystems within larger systems, multiple choices are available for defining the TRA System. However, note that the choice of the “level” of the TRA System affects how TRLs are assessed:

· A TRL 3 is achieved for the specified TRA System when analytical performance predictions for each of the TRA System’s critical[footnoteRef:1] components have been validated in separate experiments (i.e., without integration across components). Accordingly, the table in Section 3.2 shows the required scope of TRL 3 as “single component” and the required integration of TRL 3 as “none.” [1: A component or subsystem of a TRA System is considered critical if it is new, novel, and necessary for the TRA System 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.

· A TRL 4 or 5 is achieved for a given TRA System when the targeted performance requirements for each of its critical, multi-component subsystems (or the entire TRA system) 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, TRL system.

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 TRA System 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 TRA System 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 TRA System.

3.2 NETL Interpretations of DOE Technology Readiness Levels in the Context of Fossil Energy and Carbon Management R&D

3.3 Description of DOE Technology Readiness Levels

Source: U.S. Department of Energy, “Technology Readiness Assessment Guide”. Office of Management. 2011.

Definition Description

Definition Description

Definition Description

Examples include components that are not yet integrated or representative tested with simulants.(1) Supporting information includes results of laboratory tests performed to measure parameters of interest and comparison to analytical predictions for critical subsystems. At TRL 3 the work has moved beyond the paper phase to experimental work that verifies that the concept works as expected on simulants.

Components of the technology are validated, but there is no attempt to integrate the components into a complete system. Modeling and simulation may be used to complement physical experiments.

Basic Technology Research

1 Simulants should match relevant chemical and physical properties.

2 Testing with as wide a range of actual waste as practicable and consistent with waste availability, safety, ALARA, cost and project risk is highly desirable.

3.4 NETL Systems Analysis Best Practices

NETL has developed Systems Analysis Best Practices (SABP) as an accompaniment to the DOE Technology Readiness Level (TRL) definitions. The SABP serve as a guide for the Principal Investigator/researcher to inform on the level of systems and economic analysis rigor appropriate at each TRL.

System and economic analyses are an essential component of research and development (R&D). They are used to determine appropriate experimental conditions, inform R&D targets and technology maturation plans, assess R&D progress, and estimate the benefits of successful technology development in commercial applications.

Systems analysis is the analytic process used to evaluate the behavior and performance of processes, equipment, subsystems, and systems. Such analyses serve to characterize the relationships between independent (e.g., design parameters and configurations, material properties, etc.) and dependent variables (e.g., thermodynamic state points, output, etc.) through the creation of models representative of the envisioned process, equipment, subsystem, or system. These analyses are used to determine the important variables (i.e., performance attributes) and the associated targets (i.e., performance requirements) that must be achieved through R&D and testing to realize commercial and/or program goals.

The performance requirements are selected such that the equipment, subsystem, or system meets the envisioned objectives in the target commercial application. The target commercial application refers to one specific use for the advanced technology, at full commercial scale. A project may include more than one target commercial application. For example:

1. Technologies that reduce the cost of gasification may be useful for both liquid fuels and power production.

2. Technologies that may be useful to monitor CO2 storage in more than one type of storage site.

The modeling and simulation effort may use one or more of a variety of tools, such as Excel, MATLAB, Aspen Plus, Aspen Plus Dynamics, Thermoflow, CHEMCAD, etc., depending upon suitability to the specific processes, the scope of the development effort, and the stage of development.

An integral part of systems analysis is economic analysis - the process of estimating and assigning costs to equipment, subsystems, and systems corresponding to models of and specifications for the commercial embodiment of the technology. Such analyses include the estimation of capital costs, as well as operating and maintenance costs. Component service life and corresponding replacement costs are often a crucial aspect of these analyses. See Performing a Techno-economic Analysis for Power Generation Plants, DOE/NETL-2015/1726, July 2015, for further guidance.

As a technology matures, the systems analyses are frequently updated, and are expected to increase in fidelity and complexity commensurate with the available technical understanding, experimental data, and overall level of effort (cost of R&D). The results are used to inform the next stage of development and provide specific experimental and analysis success criteria (the performance requirements).

As a general principle, the performance requirements that may be appropriately tested at a particular TRL must be substantially met, thereby supporting the feasibility of commercial success/goal achievement, prior to proceeding to the subsequent TRL. Note that, as with the TRL descriptions, these SABP are “gate-in;” that is, prerequisites to achieving the associated TRL.

NETL supports a wide range of RD&D projects, from small, short-duration materials development and property characterization projects up to large-scale power plant demonstrations. The nature and complexity of the technology under development and the scope of the project must be taken into account when applying the SABP – they may not be strictly applicable as written to every project. For example, it is an unreasonable expectation for a project developing a sensor, or fuel cell cathode, or thermal boundary coating for a turbine airfoil to perform a full-scale power plant simulation to determine the performance requirements of the specific technology in the course of pursuing TRL 4. However, the project must explicitly tie the quantitative goals/objectives for the technology to referenced system studies as well as relevant industry and/or market requirements in such a manner that their pedigree is readily traceable. On the other hand, a project endeavoring to develop a full system concept incorporating novel components and process integration is expected to perform more robust, extensive analyses.

Descriptions of the SABP associated with each TRL are provided in the table below.

TRL

Questions about this NOFO? Email DE-FOA-0003495@netl.doe.gov.

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