R&D Projects and Emerging Technology Due Diligence using NASA/DoD Technology & Manufacturing Readiness Levels | Has Patel | Lunch & Learn

INFOLOGIC, INC.
1048 Irvine Avenue #624
Newport Beach, CA 92660
www.infologic.com
NASA/DoD Technology &
Manufacturing Readiness Levels
(TRLs/MRLs)
I N F O L O G I C
The logical approach to harness innovation
Presented by:
Has Patel
Infologic, Inc.
has.patel@infologic.com
(888) 325 0500 Ext. 100
R&D Projects and Emerging
Technology Due Diligence
Lunch & Learn
December 4, 2015

1
Copyright © 2007 INFOLOGIC Inc. All rights reserved.
Agenda
• R&D and Technology Due Diligence : Overview and
Issues
• Due Diligence and Product Development Life Cycle
• Introduce a Technology Due Diligence Model
Due
Diligence
• Role of R&D and Technology Maturity in the Due
Diligence Model
• NASA/DoD TRLs/MRLs;
• DoD TRL Calculator (Excel/Software) demo
Maturity
Analysis
• Project - Startup/ Venture Teams
• Corporate - Investors/Corporate Management
Takeaway

2
Technology Due Diligence ?
• What ? An assessment of the maturity, viability,
and reliability of an R&D Project, IP, Patent, or
Emerging Technology
• Why ?
• How ? Team or Expert/Peer Review
Overview
1. Risk Assessment and Management,
2. Aid to Project Management,
3. General understanding of R&D/Technology
status, and
4. Decision making with respect to funding
or technology transfer

3
Issues & Challenges :
R&D Projects and Technology Due Diligence
• “Peer review is at the heart of the processes of not just
medical journals but of all of science. It is the method by
which grants are allocated, papers published, academics
promoted, and Nobel prizes won. Yet it is hard to define. It
has until recently been unstudied. And its defects are
easier to identify than its attributes.”
Journal of the Royal
Society of Medicine :
“Peer review: a flawed
process at the heart of
science and journals”
•“A SIMPLE idea underpins science: “trust, but verify”
…Modern scientists are doing too much trusting and not
enough verifying—to the detriment of the whole of science,
and of humanity.”
The Economist :
“ How Science Goes
Wrong”
•“Peer review, coupled with quantitative and qualitative
metrics, is a critical part of an effective assessment of the
R&D organization … “
The National Academies
of Sciences :
“Best Practices in
Assessment of R&D
Organizations“

4
Basic Research
Applied Research
Technology
Development
Technology
Demonstration
System Development
Commercialize,
Implement and Analyze
A Solution – Hybrid Due Diligence Approach
Expert/Peer Review
with Analytical tools,
covering all stages of
the Product Life Cycle

5
Methodologies & Case Studies:
Derived from Infologic R&D
Published Papers & Presentations
1. “Manufacturing Innovation Model” – Manufacturing Day 2015
Presentation at the UCI Institute for Innovation, October 2015
2. “Successfully Transitioning R&D and Technologies to Commercial
Products“ – Aerospace & Defense Forum, OC Chapter, November 2014
3. “Innovation Model for DoD S&T Program” – NDIA/U S Navy SPAWAR
Executive Forum, May 2014
4. “The Creative Destruction of Defense S&T Program” - 14th NDIA
Science and Engineering Technologies Conference, April 2013
5. “Reinventing Defense Innovation Ecosystem: S&T Program to
Innovation Program” - 15th NDIA Systems Engineering Conference, 2012
6. “Competitive R&D Processes, Metrics and Practices” - Institute of
Management Consultants, Technology SIG Meeting, Oct 2010
7. “S&T Portfolio and Performance Maturity” - 12th Annual National
Defense Industrial Association (NDIA) SE Conference, Oct 2009
8. “Open Innovation and Technology Maturity Analysis” - 2nd DOD
Technology Maturity Conference, September 2007.
9. “Assessing Technology Readiness and Maturity” – A Step-by-Step
Process” - Management Roundtable Seminar, March 2007.
10.“Technology Evaluation Cycles and Technology Maturity” - 1st DOD
Technology Maturity Conference, May 2006.
11.“TechIP: A Methodology for the Emerging Technology Insertion
and Integration” - 24th Army Science Conference, November 2004

6
An Analytics-based R&D and Technology
Due Diligence Model
rManager
sManager
mManager
eBusiness ServicesInnovation
Cash Curve
Customer
Developer
Programmatic
Risk
ICD
AoA
TRA/TRL
Technology
Hype Cycle
TDS
oiManager
Developer
Technology
Risk
Technology and Industrial Base
Design
Cost and Funding
Materials
Process Capability and Control
Quality Management
Manufacturing Workforce
Facilities
Manufacturing Management
MRA/MRL *
© Infologic, Inc.
* Source : Department of
Defense (DoD) MRL
working Group

7
TRA/TRL : Overview
TRA (Technology Readiness Analysis) …
• Systematic, Matrix-based Process which assesses the
maturity of Critical Technology Elements (CTEs)
• A Common maturity language and communication
methodology; and does not guide or inhibit innovations
• R&D and Technology planning tool
• Developed by NASA, and now adopted by a range of U.S.
Agencies, Industries, and Foreign Organizations (NATO, EU,
UK, Canada)
• Industry Sector – A&D, Energy, Biotech, Advanced
Manufacturing
TRL (Technology Readiness Levels) …
• One of the TRA steps – Maturity Analysis
TRA/TRL – Analytics-based Analysis
• Psychometric System : Widely used in Imaging field to
obtain scale values of image quality and attributes

8
Technology Readiness Analysis (TRA) : Steps
Identify Critical Technology
Elements (CTEs)
Assess CTEs and Prepare
Technology Readiness Levels
(TRL)
Prepare Report,
Communicate and Update
(as necessary)

9
Critical Technology Element (CTE) determination
(Source : DoD TRA Desk book)

10
Elements (CTEs)
(TRL)
Prepare Report,
(as necessary)

11
Technology Readiness Levels (TRL)
(Source : NASA and DoD)

12
TRL and Valley of Death ?
Research
Portfolio
• Federal &
Academic
Labs
• OEM Labs
• IP-based
small and
emerging
companies
• Internation
al R&D
Technology
Needs:
Manufacturing
Enterprises
SUPPLY-side DEMAND-side
TRL 1- 3
Research
TRL 4- 7
Research Translation;
Industrial Commons;
(e.g. NNMI)
TRL 8-9
Commercialization

13
TRL and Product Development Life Cycles
1
TRL
1 2 3 4 5 6 7 8 9
SBIR
I II III
DoD
BasicResearch
PLM
Technology
Development
Technology
Demonstration
SystemDevelopment
Commercialize,
ImplementandAnalyze
AppliedResearch

14
Developed by DoD; Used by NASA, Army, Navy, AF, DHS, DoE,
Industry, Foreign Organizations
Microsoft Excel Application (Public Domain; NO investment needed)
Three Maturity Groups: Technology, Manufacturing, Programmatic
Psychometric System : Widely used in Imaging field to obtain scale
values of image quality and attributes
TRA Calculator - Introduction

15
Decision Process:
Visual Representation for Maturity Analysis
You have not documented any task accomplishment at this TRL or above.
You can justify a claim that your technology program has achieved this
TRL.
One or more tasks have been accomplished at this TRL or above, but
there are enough tasks undone so that you cannot claim achievement of
this TRL.
You have accomplished many of the tasks required for this TRL, and you
may be able to justify achievement of this TRL depending on which tasks
are still undone.

16
Decision Process: Flowchart
For each TRL
Answer
Questions
Prior TRL
N/A or Green?
Yes
No
Repeat until TRL = 9 A
A
Enough
for Green?
No
Yes
Prior TRL
N/A Green or
Yellow?
Yes
Enough
for Yellow?
Yes
No
No
One or
more at this or
higher TRL ? No
Yes

17
Features : Technology and Readiness Types
X
Include Hardware Only
Include Software Only
Include Hardware and Software
Use
Three types of technology
X Technology Readiness Level
Manufacturing Readiness Level
Programmatic Readiness Level
X
X
Use
Omit
Use
Omit
Use
Omit
Three different technology maturity dimensions
Technology itself – Usual meaning of TRL
Manufacturing / Producibility – MRL
Programmatic concerns – PRL
H
S
B

18
Readiness Levels:
Technology –v- Manufacturing –v- Programmatic
•A common language & project management tool for (a) Assessing the
maturity of a technology, and (b) Understanding technology transition risks
•TRLs leave major transition questions unanswered: (a) Is the technology
producible?, (b) cost parameters?, (c) Can these be made in a production
environment?, and (d) Are key materials and components available?
TRL
• A communication and assessment tool of a program’s readiness to
manufacture and produce its intended design
• Results for NOT conducting MRL - Cost more, Are prone to quality
problems, Experience schedule delays, May not perform the same, Are less
reliable in service
MRL
•Documentation
•Customer Focus parametersPRL

19
Example : TRL2 Questions

20
Results
1 2 3 4 5 6 7 8 9
If Green and Yellow are at the same
level, only the Green result shows.
TRL 2
Yellow Level Achieved
TRL 3 PRL 2
Summary of the Technology's Readiness to Transition
Overall TRL is an aggregate TRL that includes
contributions from each one of the three readiness
level elements you have checked above.
Date TRL Calculated: 18-Mar-05
2Overall TRL Achieved 1
Program Manager: Bill NolteProgram Name: Fictional 1 Early Development
Green Level Achieved
PRL 1MRL 3

21
Calculator: Test Drive
DoD TRL
Calculator

22
Elements (CTEs)
(TRL)
Prepare Report,
(as necessary)

23
Introduction
Program Overview (20 %)
Objective, Program Description, System Description
Technology Readiness Assessment (80 %)
Process Description, Critical Technologies (CTEs), Assessment
of individual CTE maturity, Summary of TRLs
Conclusions
Suggested Format : TRA Management Report

24
Innovation ?
What Exactly is Innovation,
Anyway?
“ …New technologies, products,
processes, and business models can
drive economic growth, job creation,
and increases in productivity. These
innovations flow not only from the
development of new technologies (e.g.
cloud computing, the integration of IT
with objects in the physical world
through the “Internet of Things,”
predictive data analytics, advanced
materials, energy storage, life-saving
drugs), but also from novel applications
of these technologies and new business
models that create economic and
societal value…. “

25
Infologic Methodology : iModel™
(Innovation Management Model)
Voice of the Stakeholders
Integration
VALUE
Radical
Innovation
Evolutionary
Innovation
INCREMENTAL
DEVELOPMENT
PRODUCT
MODEL
SPIRAL
DEVELOPMENT
Voice of the User
Methodologies & Tools
M
A
T
U
R
I
T
Y VALUE
Radical
Innovation
Evolutionary
Innovation
CMMI
STAGES
PROCESS
MODEL
M
A
T
U
R
I
T
Y
Voice of the Knowledge Worker
Lean Culture
VALUE
Radical
Innovation
Evolutionary
Innovation
Enterprise
Performance
Management
(EPM)
EXECUTION
MODEL
A
N
A
L
Y
T
I
C
S
A
N
A
L
Y
T
I
C
S
© Infologic, Inc.
This model incorporates the broader Innovation definition
adopted in the document “ A Strategy for American Innovation”

26
Innovation Maturity Analysis
(incorporates iModel™ and CMMI™)
LEVEL 1: Initial
Poorly performed; Reactive
LEVEL 0: Incomplete
Not performed; Partially performed
LEVEL 2: Managed
Characterized as a Project & Reactive
LEVEL 3: Defined
Proactive; Organization wide
LEVEL 4: Quantitatively
Managed
Measured & Controlled
LEVEL 5: Optimizing
Focus on Process
Improvement
Innovation not on the radar screen; No
strong awareness of Innovation
opportunities
Innovation opportunities recognized;
Localized inconsistent Innovation
experience
Approaches to Innovation recognized;
Applied to Key projects; Usage consistency
and collaboration among projects.
A form of Innovation management model
implemented; Product, Process and
Execution efforts are coordinated
Innovation Management model supported by
consistent processes across the organization;
Executive Management support; Matrices used.
Full Innovation Management model is implemented; Innovation
Management is part of organization strategies; Creating and
managing IP is key component of all key initiatives.
“if you can’t Measure; you can’t Manage” - Dr. Peter Drucker
iModel™ CMMI™© Infologic, Inc.

27
Takeaway – Startup & Venture Projects
• Business Plan
• IP Management/Patenting
• Activity/Resource Planning
• Creditability
Planning
• Project Activities
• Risk Avoidance (did you forget any TRA steps?)
• Project Progress and Status
Project & Risk
Management
• Management
• Team
• Sponsors (Grant, Venture Companies, Advisors)
Communication

28
Takeaway – Corporate
Investors/Corporate Management
• Review available Due Diligence Processes (e.g.: TechIP), &
incorporate in the company’s Risk Management initiatives.
• Conduct TRLs for selected R&D project(s) using the TRL
Calculator.
• CMMI™-based Innovation Maturity Analysis (start)
Short
Term
(0-2 yrs.)
• Adopt other planning tools (e.g. Technology Hype Cycle,
Innovation Cash curve)
• Conduct Manufacturing Readiness Levels (MRLs) by
adopting the DoD practices
• CMMI™-based Innovation Maturity Analysis (proactive)
Medium
Term
(3-4 yrs.)
• Adopt a broader Innovation Model (Product, Service,
Process & Execution)
• Implement a CMMI-based Innovation Maturity Model, and
regularly update
• CMMI™-based Innovation Maturity Analysis (holy grail!)
Long
Term
(5+yrs.)

29
“Innovation doesn’t just happen because it is
directed or discussed or considered to be an
imperative; innovation happens because
organizations commit to the disciplines, practices,
culture and processes that support and sustain
innovation” – Gartner Group
EXECUTION (based on Innovation
models and Analytics) is a Rocket
Science!
Call to Action: Don’t just embrace
Innovation, but excel in EXECUTION,
and incorporate Innovation models
and Analytics in decision making !
Conclusion & Call to Action

INFOLOGIC, INC.
1048 Irvine Avenue #624
Newport Beach, CA 92660
www.infologic.com
NASA/DoD Technology &
Manufacturing Readiness Levels
(TRLs/MRLs)
I N F O L O G I C
The logical approach to harness innovation
Questions & Comments?
Has Patel
Infologic, Inc.
has.patel@infologic.com
(888) 325 0500 Ext. 100
R&D Projects and Emerging
Technology Due Diligence
Lunch & Learn
December 4, 2015

R&D Projects and Emerging Technology Due Diligence using NASA/DoD Technology & Manufacturing Readiness Levels | Has Patel | Lunch & Learn

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