A Critical Technology Element (CTE) is a new or novel technology that a platform or system depends on to achieve successful development or production or to successfully meet a system operational threshold requirement. Technology Readiness Levels (TRL) are a method of estimating technology maturity of CTE of a program during the Acquisition Process. They are determine during a Technology Readiness Assessment (TRA) that examines program concepts, technology requirements, and demonstrated technology capabilities.

1. Technology Readiness
by Thanakrit Lersmethasakul
lersmethasakul@live.com

2. Technology Readiness Assessment
- Measure used to assess the maturity of evolving technologies.
- Systematic, metrics-based process that assesses the maturity of, and the risk
associated with, critical technologies to be used in an organization.
- To increase opportunity in "Commercialized" and reduce “The Valley of
Death.”

3. CTE / TRL / TRA
A Critical Technology Element (CTE) is a new or novel technology that a
platform or system depends on to achieve successful development or production
or to successfully meet a system operational threshold requirement. Technology
Readiness Levels (TRL) are a method of estimating technology maturity of CTE of
a program during the Acquisition Process. They are determine during a
Technology Readiness Assessment (TRA) that examines program concepts,
technology requirements, and demonstrated technology capabilities.

4. Technology Readiness Levels
Originally developed by NASA in the 1980s
Level 1 : Basic principles observed and reported
Level 2 : Concept and/or application formulated
Level 3 : Concept demonstrated analytically or
experimentally
Level 4 : Key elements demonstrated in laboratory
environments
Level 5 : Key elements demonstrated in relevant
environments
Level 6 : Representative of the deliverable demonstrated
in relevant environments
Level 7 : Final development version of the deliverable
demonstrated in operational
Level 8 : Actual deliverable qualified through test and
demonstration
Level 9 : Operational use of deliverable
*Level 1: Basic, Level 2: Applied, Level 3: Prototype
http://en.wikipedia.org/wiki/Technology_readiness_level
http://www.nstda.or.th/nstda-km/92-km-knowledge/2770-technology-readiness-levels-

5. Technology Readiness Assessment
Open Process Framework (OPF)
Responsibilities :
- Document
+ Results of performing a technology readiness assessment.
+ Assessed technology readiness levels (TRLs) of the critical technologies
used in he development of the system.
- Provide evidence that the critical technologies of the system or application are
sufficiently mature to not present significant risk to the endeavor.
- Identify endeavor risks due to the use of potentially immature technologies.
Contents : Front Matter, Introduction, Endeavor Overview, System Overview, Assessment
Overview, Assessment Results, Conclusions, Appendices.
Stakeholders :
- Producers (Architecture Team, Independent Technology Readiness Assessment
Team)
- Evaluators (Architecture Inspection Team)
- Approvers (Technical Leader, Project Manager, Customer Representatives)
- Maintainer
- Users (Technical Leader, Project Manager, Customer Representatives)
http://www.opfro.org

6. Technology Readiness Assessment
Open Process Framework (OPF)
Phases :
- Business Strategy
- Business Optimization
- Initiation
- Construction
- Delivery
- Usage
- Retirement
Preconditions :
- The initiation phase is started.
- The architecture team has been staffed and trained in the assessment of critical
technologies.
Inputs :
- Work produces (Application Vision Statement, Technology Analysis, Technology
Needs Assessment, Software Architecture Document, System Architecture
Document)
- Stakeholders (Technology Domain Experts, Vendor Representatives)
http://www.opfro.org

7. Technology Readiness Assessment
Open Process Framework (OPF)
Guidelines :
- The use of an immature technology during the acquisition or development of a
system can be a significant source of risk to the endeavor.
- A technology is major if the standard will depend on that technology to meet its
requirements within acceptable schedule and costs (e.g., development, production,
operation) constraints.
- A critical technology is any major technology that may be sufficiently immature
(e.g., new or novel) to be a potential source of significant risk to the endeavor.
- A critical technology may involve hardware, software, and/or data.
The definition of Technology Readiness Levels (TRLs) will vary
depending on whether or not the associated critical technology is
being developed as part of the system under development or is being
reused, whereby reuse can include Commercial-Off-The-Shelf (COTS),
organizational-internal reuse, Open Source reuse, Government-OffShelf (GOTS), or Non-Developmental Item (NDI).
http://www.opfro.org

8. Technology Readiness Levels
Open Process Framework (OPF)
TRL
New Critical Technology
Reused Critical Technology
1
Theory Exists
-
2
Technology Envisioned
-
3
Proof of Concept Exists
-
4
Demonstrated in Lab Environment
-
5
Integration Tests Passed
-
6
System Tests Passed
Technology Under Development
7
Alpha Tests Passed
Initial Unsupported Version Available
8
Beta Tests Passed
Initial Supported Version Available
9
Operational Tests Passed
Successful Pilot Usage
10
Successful Production Usage
Successful Production Usage
http://www.opfro.org

9. Technology Readiness Assessment
Department of Defence (DoD), USA
Initialing and Conducting a TRA
1.Key Player
- The Milestone Decision Authority (MDA)/Defense Acquisition Executive (DAE).
- The Component Acquisition Executive (CAE)/Program Executive Officer (PEO) and
Science and Technology (S&T) Executive.
- The Program Manager (PM).
- The Assistant Secretary of Defense for Research and Engineering (ASD(R&E)).
- The team of independent subject matter experts (SMEs).
2. Roles and Responsibilities
3. Process and Conducting a TRA
- Establish a TRA Plan and Schedule.
- Form a SME Team.
- Identify Technologies To Be Assessed.
- Collect Evidence of Maturity.
- Assess Technology Maturity.
+ SME Team Assessment.
+ Prepare, Coordinate and Submit the TRA Report.
+ ASD(R&E) Review and Evaluation
4. Submitting a TRA
- Skeletal Template for a TRA.
- Annotated Template for a TRA.
Technology Readiness Assessment (TRA) Guidance by the Assistant Secretary of Defense for Research and Engineering (ASD(R&E)), 2011.

10. Technology Readiness Assessment
Department of Defence (DoD), USA
Summarizes how the knowledge concerning technology maturity evolves
over time. It shows the basis of technology identification, the status of the CTEs, the
method for assessing CTEs, and how the evaluation is documented.
Basis of Technology
Maturity Assessments
Throughout Acquisition
CDD = Capabilities Development
Document
CTE = Critical Technology Element
DRD =Director, Research
Directorate
LRIP = low rate initial production
TDS = Technology Development
Strategy
TMP = Technology Maturation
Plan
Technology Readiness Assessment (TRA) Guidance by the Assistant Secretary of Defense for Research and Engineering (ASD(R&E)), 2011.

11. Technology Readiness Levels
Department of Defence (DoD), USA
TRL
Definition
1
Basic principles observed and reported.
2
Technology concept and/or application formulated.
3
Analytical and experimental critical function and/or characteristic proof of
concept.
4
Component and/or breadboard validation in a laboratory environment.
5
Component and/or breadboard validation in a relevant environment.
6
System/subsystem
7
System prototype demonstration in an operational environment.
8
Actual system completed and qualified through test and demonstration.
9
Actual system proven through successful mission operations.
Technology Readiness Assessment (TRA) Guidance by the Assistant Secretary of Defense for Research and Engineering (ASD(R&E)), 2011.

12. Department of Defence, Australian Government

13. Technology Readiness
WEF Global Competitiveness Index (GCI)
Subindex B: Efficiency enhancers
9th pillar: Technological readiness
9.01 Availability of latest technologies
9.02 Firm-level technology absorption
9.03 FDI and technology transfer
9.04 Individuals using Internet
9.05 Broadband Internet subscriptions
9.06 Int’l Internet bandwidth
9.07 Mobile broadband subscriptions
Subindex C: Innovation and
sophistication factors
12th pillar: Innovation
บทวิเคราะห์การจัดอันดับความสามารถในการแข่งขัน
ของประเทศไทย
ประจำาปี 2012-2013 โดย World Economic Forum,
12.01 Capacity for innovation
12.02 Quality of scientific research
institutions
12.03 Company spending on R&D
12.04 University-industry
collaboration in R&D
12.05 Gov’t procurement of advanced
tech products
12.06 Availability of scientists and
engineers
12.07 PCT patents, applications

14. Technology Readiness
Technology Transfer and Development, UNDP
A framework for understanding what it means to be ready for technology transfer and development, UNDP, 2013.

15. Technology Readiness Assessment Process
1. Identifying CTEs
- Establish TRA Schedule
- Form an Independent Review Team (IRT)
- Identify Candidate CTEs
- Finalize CTEs Through Coordination
- Collect Evidence of CTE Maturity
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

16. Technology Readiness Assessment Process
2. Assessing CTE Readiness/Submitting the TRA Report
- Assess CTE Maturity
- Prepare, Coordinate, and Submit the TRA Report
- DRD Review and Evaluation
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

17. Procedures and Practices for Identifying CTEs
Step :
1. Create an initial list of possible CTEs.
2 .Develop a list of CTE candidates.
3. The coordination process.
Environments (Defining) :
1. Physical Environment
2. Logical Environment
3. Data Environment
4. Security Environment
5. User and Use Environment
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

18. System Engineering Context for Identifying CTEs
An Approach for Performing Front-End Systems Engineering
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

19. System Engineering Context for Identifying CTEs
Two outcomes of the systems engineering approach are
important to CTE identification :
(1) Functional Architecture - which allocates functional and technical
performance requirements.
(2) Physical Architecture (Design) - which shows the system design
broken down into all its constituent elements (i.e., subsystems
and components).
The technical work breakdown structure (WBS) has several
beneficial attributes for identifying CTEs.
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

20. System Engineering Context for Identifying CTEs
The DoD Architecture Framework (DoDAF) defines a common
approach for DoD architecture description, development, presentation,
and integration. It describes three related views of architecture:
1.The Operational View (OV)
The OV identifies what needs to be accomplished and who does
it.
2. The Systems View (SV)
The SV relates systems and characteristics to operational needs.
3. The Technical Standards View (TV)
The TV prescribes standards and conventions.
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

21. System Engineering Context for Identifying CTEs
http://en.wikipedia.org/wiki/Department_of_Defense_Architecture_Framework
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

22. System Engineering Context for Identifying CTEs
DoDAF Perspectives and Decomposition Levels
Technology Readiness Assessment (TRA) Deskbook by the Defense Research and Engineering (DDR&E), 2009.

23. Technology Maturation Planning (TMP) Process
The purpose of the TMP is to describe planned
technology development and engineering
activities to mature CTEs that did not receive
at least TRL 6 or higher.
Technology Readiness Assessment (TRA) Guide by the U.S. Department of Energy, 2011.