Has Patel-Lunch & Learn Presentation December 4, 2015

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 CThe logical approach to harness innovation

Presented by:

Has Patel

Infologic, [email protected]

(888) 325 0500 Ext. 100

R&D Projects and Emerging Technology Due Diligence

Lunch & LearnDecember 4, 2015

http://www.infologic.com/

mailto:[email protected]

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 ManagementTakeaway

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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

Overview1. Risk Assessment and Management,2. Aid to Project Management, 3. General understanding of R&D/Technology

status, and4. Decision making with respect to funding

or technology transfer

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Issues & Challenges : R&D Projects and Technology Due Diligence

• “Peer review is at the heart of the processes of not justmedical journals but of all of science. It is the method bywhich grants are allocated, papers published, academicspromoted, and Nobel prizes won. Yet it is hard to define. Ithas until recently been unstudied. And its defects areeasier 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 notenough verifying—to the detriment of the whole of science,and of humanity.”

The Economist :

“ How Science Goes Wrong”

•“Peer review, coupled with quantitative and qualitativemetrics, is a critical part of an effective assessment of theR&D organization … “

The National Academies of Sciences :

“Best Practices in Assessment of R&D

Organizations“

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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

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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

https://www.google.com/imgres?imgurl=http://upload.wikimedia.org/wikipedia/commons/e/e0/United_States_Department_of_Defense_Seal.svg&imgrefurl=http://commons.wikimedia.org/wiki/File:United_States_Department_of_Defense_Seal.svg&docid=BZkYz8XYosB7TM&tbnid=aOeyXMZfubSkUM:&w=892&h=890&ei=3dOVU622A8iVyATb3IK4BQ&ved=0CAIQxiAwAA&iact=c

https://www.google.com/imgres?imgurl=http://upload.wikimedia.org/wikipedia/commons/e/e0/United_States_Department_of_Defense_Seal.svg&imgrefurl=http://commons.wikimedia.org/wiki/File:United_States_Department_of_Defense_Seal.svg&docid=BZkYz8XYosB7TM&tbnid=aOeyXMZfubSkUM:&w=892&h=890&ei=3dOVU622A8iVyATb3IK4BQ&ved=0CAIQxiAwAA&iact=c

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An Analytics-based R&D and Technology Due Diligence Model

rManager

sManagermManager

eBusiness ServicesInnovation Cash Curve

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TRA/TRL

TechnologyHype Cycle

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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

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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

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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)

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

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

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TRL and Valley of Death ?

Research Portfolio

•Federal & Academic Labs

•OEM Labs

•IP-based small and emerging companies

•International 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

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TRL and Product Development Life Cycles

1

TRL1 2 3 4 5 6 7 8 9

SBIRI II III

DoD

Basic

Research

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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

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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.

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Decision Process: Flowchart

For each TRLAnswer

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

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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

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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

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Example : TRL2 Questions

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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

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Calculator: Test Drive

DoD TRL Calculator

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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

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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…. “

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Infologic Methodology : iModel™(Innovation Management Model)

Voice of the Stakeholders

Integration

VALUE

RadicalInnovation

EvolutionaryInnovation

INCREMENTAL DEVELOPMENT

PRODUCT MODEL

SPIRAL DEVELOPMENT

Voice of the User

Methodologies & Tools

MATURITY VALUE

RadicalInnovation


CMMISTAGES

PROCESS MODEL

MATURITY

Voice of the Knowledge Worker

Lean Culture

VALUE

RadicalInnovation


EnterprisePerformance Management

(EPM)

EXECUTION MODEL

ANALYTICS

ANALYTICS

© Infologic, Inc.

This model incorporates the broader Innovation definition adopted in the document “ A Strategy for American Innovation”

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Innovation Maturity Analysis(incorporates iModel™ and CMMI™)

LEVEL 1: InitialPoorly performed; Reactive

LEVEL 0: IncompleteNot performed; Partially performed

LEVEL 2: ManagedCharacterized as a Project & Reactive

LEVEL 3: DefinedProactive; Organization wide

LEVEL 4: QuantitativelyManagedMeasured & Controlled

LEVEL 5: OptimizingFocus on ProcessImprovement

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.

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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

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Takeaway – CorporateInvestors/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.)

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“Innovation doesn’t just happen because it isdirected or discussed or considered to be animperative; innovation happens becauseorganizations commit to the disciplines, practices,culture and processes that support and sustaininnovation” – 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 CThe logical approach to harness innovation

Questions & Comments?

Has Patel

Infologic, [email protected]

(888) 325 0500 Ext. 100

R&D Projects and Emerging Technology Due Diligence

Lunch & LearnDecember 4, 2015

http://www.infologic.com/

mailto:[email protected]

Education

Has Patel-Lunch & Learn Presentation December 4, 2015