Overview of Decision Point Phases

• This section provides a description of each phase of the Decision Point through TRL 6. Each phase is documented with a general phase description, in which phase goals and typical deliverables are provided.
• The TM should use best judgment to determine if a particular action or question pertains to the specific technology under development and should continue to ask the following question: "Is there anything else that I should consider?"
• The chart below is a simplified block diagram flow model of the Decision Point.

FIGURE 4-1. SIMPLIFIED MODEL CHART

CHECKLIST

The Discovery Phase begins with the investigation of new or existing scientific phenomena in an effort to ascertain fundamental knowledge in fields potentially important to national defense. During the Discovery Phase, the idea for a new technology is evaluated for its scientific properties and behavior characteristics. While in this phase a literature search and a Feasibility Study are conducted. A Feasibility Study Paper (white paper) is typically prepared to document the results and to describe the effort.

The Feasibility Study Paper should include, but is not limited to, the following:

• project objectives(describe scientific pursuit)
• basic research approach (describe the methods used to examine the phenomenology)
• the Literature search findings
• the basic principles/properties involved (identify characteristics worthy of further investigation)
• candidate architectures and candidate concepts within those architectures
• the potential need/application (if known).

Additionally, a brief Concept Formulation Analysis Plan is developed to identify the process for Concept formulation and down-select as well as facilities, resources, and funding for the next phase.

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The Formulation Phase starts with the basic science phenomenology investigated during discovery and declared feasible. An array of candidate technical concepts that incorporate the phenomena are then articulated. During this phase the candidate concepts are analyzed and their basic physical laws, principles and assumptions for new technology are refined and confirmed. In addition, a high-level architecture is drafted and component characteristics of this technology are described along with potential applications. Where fabrication of existing or exotic materials is anticipated, the needs for design codes and techniques for tooling/milling are identified for later development along with initial performance predictions. The resultant formulated technical concepts are down-selected for later proof of application of the technology.

A Concept Formulation Analysis report is documented to:

• identify key technologies
• describe the alternative concept analysis conducted
• document results of system and sub-system tradeoff studies
• identify the selected Best Feasible concept solution
• recognize the capability need(s) that this technology concept is best applied to
• describe the Technology Roadmap and estimate the Technology Life Cycle Cost
• determine the Technology Advancement Degree of Difficulty (TADD) index (preliminary risk)
• analyze the potential benefit over current technology (Measure of Effectiveness).

At the conclusion of the formulation phase, the selected technical concept is documented in a Concept Formulation Analysis Report (CFAR), which becomes the focus of the Technology Maturity Assessment (TMA). Following a successful TMA for TRL 2, a Proof of Concept Plan is developed documenting expected activities, processes, models and simulations, and other means of analysis needed to conduct a proof of selected concept for the required key technology(ies) as well as a schedule and cost estimate for the next phase.

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The Proof of Concept Phase purpose is to develop a proof of the applicability of the selected technology concept to address a real-world problem. Once determined, identification of the scope for the key technology development is also laid out. This phase includes component architectures that, while not yet integrated, are accurate representations of those anticipated along with performance projections. Active research and development, including analytical and laboratory studies, provides physical validation and documentation that forms a proof that the key technologies will work as envisioned and their projected capabilities support addressing a specified user capability need.

At the conclusion of this phase a Proof of Concept Report documents the active research and development, including results of analytical and laboratory studies, proof that provides physical validation and documentation that the key technologies work as envisioned and their capabilities support the user’s requirements. Key preliminary (draft) performance and technical parameters and specifications are also identified and documented. Analysis for, and identification of, any cross technology effects is conducted. Preliminary Risk Management planning is also started and an "ilities" analysis plan is started (particularly when the Technology Roadmap indicates a high probability to for the technology to transition to a Program of Record).

Some examples of "ilities"are:

Another deliverable developed during this phase, and the principle management tool is the Technology Development Strategy (TDS) or Project Plan. The Technology Development Strategy, along with the Technology Development Schedule, is updated prior to each succeeding stage-gate review and continues until the program/project is transitioned to the Customer.

In consideration of obtaining approval to continue, a Breadboard Laboratory Validation Plan is developed that describes the next-phase effort for integration (and possible fabrication) of hardware in a laboratory "breadboard“ setting or computer in the loop to validate not only that the technologies work together but also that their performance continues to support the expected concept outcome.

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The Refinement Phase follows the proof of the selected concept. This phase integrates the basic key technology components to determine if they will work together. This is accomplished through integration of "ad hoc" hardware in a laboratory "breadboard" setting or computer in the loop to validate not only that the technologies work together but also that their performance continues to support the expected concept outcome. During this phase, system requirements are refined, performance metrics are established, and the preliminary system engineering Form, Fit, and Function analysis is better defined to achieve the end product design. Integration studies are performed and initial hardware and software designs are documented. Producibility is considered in the design process. Materials, machines and tooling, system inspection and test equipment may be demonstrated in a laboratory environment, but new manufacturing processes and procedures must be addressed in terms of Manufacturing Readiness Levels (MRL).

The TDS (Project Plan) is updated and risk is further assessed, the Risk Management Plan is updated, and Risk Mitigation is implemented. For technologies that have had “interest” expressed, the potential of being “pulled” into transition planning with the acquisition customer are explored and pursued.

A Brassboard Lab Validation Plan is drafted that describes the proposed steps to increase the fidelity of the technology and to demonstrate that the integrated technology components have been demonstrated to work together as a system in a relevant environment. A determination of what test data will be collected, what analysis will be performed, what reporting will be generated and how any issues found will be addressed should be included in this plan.

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The Development Phase begins with a Laboratory prototype of integrated components (key technology and supporting architectural components) that are designed to support the requirements of a capability need. During this phase, the fidelity of the technology increases significantly (to “brassboard” level) and demonstrates that the technology system is validated in a relevant environment where the basic technological “brassboard” components are successfully integrated with reasonably realistic supporting elements and representations of the threat. During this phase, engineering model/prototype design begins taking into consideration system engineering integration issues and the results from the completed “ilities” analysis. When in coordination with a transition partner, final requirements that fully support the planned concept outcome are documented. Working with the customer, Form, Fit and Function parameters are continuing to be refined, detailed design drawings are being completed, and designs are finalized to include Electrical, Software, Mechanical, and Interface. Design codes and techniques (for fabrication) continue to be refined and the Scaling studies progress to the next higher assembly level. Materials, machines and tooling, system inspection and test equipment continue to be improved and demonstrated in a relevant environment, but most manufacturing processes and procedures are still draft pending final form-fit. Initial production quality and reliability levels and key characteristics are being identified if needed. A Brassboard Lab Validation Report documents the effort to increase the fidelity of the technology in accordance with the developmental requirements documents and records the test setup, execution, data collection, analysis, reporting, corrective actions taken, and re-testing that were performed in a relevant environment. In addition, the Technology Development Strategy and the Technology Transition Agreement are also typically updated.

A Demonstration Phase Plan is developed that documents the plan for testing an operational prototype in a relevant or simulated operational environment.

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The Demonstration/Transition Phase begins with technology components that work as (with) the intended system and support requirements that produce the desired concept outcome. To prepare for demonstration and ultimate transition for insertion into the customer system, technology model/prototypes are produced; integrated and tested in a relevant environment, or simulated operational environment to validate that the system works and all required transition activities are complete. Beta version software is available. Also, RAM data will be collected and analyzed. This represents a major step up in the technology’s maturity and demonstrated readiness.

During this phase, the systems engineering requirements will be validated and finalized, as necessary. System design drawings are nearing completion and the interface control process is established. System hardware specification(s) is completed and any remaining scaling issues are resolved. The Manufacturing/Production plan is completed and the customer reviews and approves it. Transition from design to production begins with materials and manufacturing processes being initially demonstrated in production. Similar manufacturing process and materials are identified. Specific trade studies have been conducted to evaluate packaging, custom components, and key characteristics to identify producibility improvements and cost reductions. Inspection and test equipment development will be completed and tested in a manufacturing environment. Quality and reliability levels and key characteristics are being further defined/refined. All of the “ilities” planning, that supports the transition of the technology into the system, will be validated and refined, as necessary. Customer acceptance and funding is in place and the Technology Transition Agreement is updated, as required.

The Integration Phase begins with the transfer of the prototype from the Technology Manager to a customer such as an Acquisition Program/Project Management Office (PMO), or establishment of its own PMO. The prototype is near or at its planned system operational capability and is ready for technology insertion. Depending on availability of an operational environment , independent demonstration of the system prototype is sometimes conducted, typically in a test bed, to prove the technology will work in its final form under operational conditions. Following that, the technology may be subjected to Developmental Test and Evaluation (DT&E) in its intended weapon system to determine if it meets design specification. To determine whether the system (and therefore the technology) can perform as expected under mission conditions, DT&E is generally followed by an Operational Test and Evaluation (OT&E). Upon successful completion of all testing, the technology is fielded with the designated system.

All actions during the Customer Management Phase must comply with the DoD Systems Acquisition Management Model, if applicable.

Phase 7.1 Integration TRL-7 Considerations/Actions

• How Does the Prototype Adequately Represent the Actual System?
• Has the System Prototype Been Demonstrated In a Real Environment, I.E., Ground or Flight Test?
• Who Will Conduct the Demonstration?
• What Organizations Should Be Involved With This Phase?
• Is Customer Funding In Place for This Effort?