TECHNOLOGY READINESS LEVELS DEFINITIONS AND DESCRIPTIONS

Technology Readiness Level Definition

TRL 1 Basic Research: Initial scientific research has been conducted.
Principles are qualitatively postulated and observed. Focus is on
new discovery rather than applications.
TRL 2 Applied Research: Initial practical applications are identified.
Potential of material or process to solve a problem, satisfy a
need, or find application is confirmed.
TRL 3 Critical Function or Proof of Concept Established: Applied
research advances and early stage development begins. Studies
and laboratory measurements validate analytical predictions of
separate elements of the technology.
TRL 4 Lab Testing/Validation of Alpha Prototype
Component/Process: Design, development and lab testing of
components/processes. Results provide evidence that
performance targets may be attainable based on projected or
modeled systems.
TRL 5 Laboratory Testing of Integrated/Semi-Integrated System:
System Component and/or process validation is achieved in a
relevant environment.
TRL 6 Prototype System Verified: System/process prototype
demonstration in an operational environment (beta prototype
system level).
TRL 7 Integrated Pilot System Demonstrated: System/process
prototype demonstration in an operational environment
(integrated pilot system level).
TRL 8 System Incorporated in Commercial Design: Actual
system/process completed and qualified through test and
demonstration (pre-commercial demonstration).
TRL 9 System Proven and Ready for Full Commercial Deployment:
Actual system proven through successful operations in operating
environment, and ready for full commercial deployment.

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 TECHNOLOGY READINESS LEVELS DEFINITIONS AND DESCRIPTIONS

TRL 1 Definition TRL 1 Description

Basic Research. Initial scientific Basic principles are observed. Focus is on fundamental understanding
research begins. Examples include of a material or process.
studies on basic material properties.
Principles are qualitatively postulated
and observed.

TRL 2 Definition TRL 2 Description

Applied Research. Initial practical Once basic principles are observed, practical applications can be
applications are identified. Potential identified. Applications are speculative, and there may be no proof or
of material or process to satisfy a detailed analysis to support the assumptions. Examples are still
technology need is confirmed. limited to analytic studies. Supporting information includes
publications or other references that outline the application being
considered and that provide analysis to support the concept. The step
up from TRL 1 to TRL 2 moves the ideas from basic to applied
research. Most of the work is analytical or paper studies with the
emphasis on understanding the science better. Experimental work is
designed to corroborate the basic scientific observations made during
TRL 1 work.
TRL 3 Definition TRL 3 Description
Critical Function, i.e., Proof of Analytical studies and laboratory-scale studies are designed to
Concept Established. Applied physically validate the predictions of separate elements of the
research continues and early stage technology. Supporting information includes results of laboratory
development begins. Includes studies tests performed to measure parameters of interest and comparison
and initial laboratory measurements to analytical predictions for critical components. At TRL 3
to validate analytical predictions of experimental work is intended to verify that the concept works as
separate elements of the technology. expected. Components of the technology are validated, but there is
Examples include research on no strong attempt to integrate the components into a complete
materials, components, or processes system. Modeling and simulation may be used to complement
that are not yet integrated. physical experiments.
TRL 4 Definition TRL 4 Description
Laboratory Testing/Validation of The basic technological components are integrated to establish that
Alpha Prototype the pieces will work together. This is relatively "low fidelity"
Component/Process. Design, compared with the eventual system. Supporting information includes
development and lab testing of the results of the integrated experiments and estimates of how the
technological components are experimental components and experimental test results differ from
performed. Results provide evidence the expected system performance goals. TRL 4-6 represent the bridge
that applicable component/process from scientific research to engineering, from development to
performance targets may be demonstration. TRL 4 is the first step in determining whether the
attainable based on projected or individual components will work together as a system. The goal of
modeled systems. TRL 4 should be the narrowing of possible options in the complete
system.

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 TECHNOLOGY READINESS LEVELS DEFINITIONS AND DESCRIPTIONS

TRL 5 Definition TRL 5 Description

Laboratory Testing of The basic technological components are integrated so that the system
Integrated/Semi-Integrated System. configuration is similar to (matches) the final application in almost all
Component and/or process validation respects. Supporting information includes results from the laboratory
in relevant environment- (Beta scale testing, analysis of the differences between the laboratory and
prototype component level). eventual operating system/environment, and analysis of what the
experimental results mean for the eventual operating
system/environment. The major difference between TRL 4 and 5 is
the increase in the fidelity of the system and environment to the
actual application. The system tested is almost prototypical. Scientific
risk should be retired at the end of TRL 5. Results presented should
be statistically relevant.
TRL 6 Definition TRL 6 Description
Prototype System Verified. Engineering-scale models or prototypes are tested in a relevant
System/process prototype environment. This represents a major step up in a technology’s
demonstration in an operational demonstrated readiness. Examples include fabrication of the device
environment- (Beta prototype system on an engineering pilot line. Supporting information includes results
level). from the engineering scale testing and analysis of the differences
between the engineering scale, prototypical system/environment,
and analysis of what the experimental results mean for the eventual
operating system/environment. TRL 6 begins true engineering
development of the technology as an operational system. The major
difference between TRL 5 and 6 is the step up from laboratory scale
to engineering scale and the determination of scaling factors that will
enable design of the final system. The engineering pilot scale
demonstration should be capable of performing all the functions that
will be required of a full manufacturing system. The operating
environment for the testing should closely represent the actual
operating environment. Refinement of the cost model is expected at
this stage based on new learning from the pilot line. The goal while in
TRL 6 is to reduce engineering risk. Results presented should be
statistically relevant.
TRL 7 Definition TRL 7 Description
Integrated Pilot System This represents a major step up from TRL 6, requiring demonstration
Demonstrated. System/process of an actual system prototype in a relevant environment. Final design
prototype demonstration in an is virtually complete. The goal of this stage is to retire engineering
operational environment-(integrated and manufacturing risk. To credibly achieve this goal and exit TRL 7,
pilot system level). scale is required as many significant engineering and manufacturing
issues can surface during the transition between TRL 6 and 7.

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 TECHNOLOGY READINESS LEVELS DEFINITIONS AND DESCRIPTIONS

TRL 8 Definition TRL 8 Description

System Incorporated in Commercial The technology has been proven to work in its final form and under
Design. Actual system/process expected conditions. In almost all cases, this TRL represents the end
completed and qualified through test of true system development. Examples include full scale volume
and demonstration- (Pre-commercial manufacturing of commercial end product. True manufacturing costs
demonstration). will be determined and deltas to models will need to be highlighted
and plans developed to address them. Product performance delta to
plan needs to be highlighted and plans to close the gap will need to
be developed.
TRL 9 Definition TRL 9 Description
System Proven and Ready for Full The technology is in its final form and operated under the full range
Commercial Deployment. Actual of operating conditions. Examples include steady state 24/7
system proven through successful manufacturing meeting cost, yield, and output targets. Emphasis
operations in operating environment, shifts toward statistical process control.
and ready for full commercial
deployment.