March 25, 2021

Technology Readiness Level (TRL) Assessment Tool

This TRL Assessment Tool groups nine technology readiness levels (TRLs) into four broader technology
development stages:

1. Fundamental Research
2. Research and Development
3. Pilot and Demonstration
4. Early Adoption

The Tool provides a description of each TRL along with a checklist to determine if the technology is at
that specific TRL.

Guiding principles
The following principles should be applied when determining the TRL of a technology:

 Start with the broader Technology Development Stage: When determining a TRL, it is best to start
with the general development stage of the technology before assessing the specific TRL.
 Err on the side of conservative: If there are uncertainties as to whether a technology is at a certain
TRL, the lower TRL should be assigned.
 Ensure the operating environment is well understood: A key aspect of the various TRLs is the
testing environment of a technology. It is important to be clear in understanding the real-world
conditions expected and if and how the testing environment (e.g., laboratory, simulated or
operational) represents these conditions.
 A TRL is only valid for the specific operational environment for which it was tested: If a developed
technology is to be deployed in an operational environment that was different than the one it was
tested for, the technology would no longer be considered fully developed and would need to be
tested and refined for the new operational environment to be considered at the same TRL.

Important distinction: A technology is said to have achieved a specific TRL if it has met the
requirements for that level and all prior levels. A technology is said to be at a certain TRL if the research
team is currently working on achieving the requirements specific to that level.

For the purposes of federal clean technology programs and opportunities, proponents and programs
should use the TRL measurement scale to describe the TRL the research team is currently working to
achieve (i.e. the TRL the technology is currently at).

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Technology Readiness Levels (TRL) chart1

Technology
Development TRL Definition Description Checklist of activities to achieve this level
Stage
Fundamental 1 Basic principles Scientific research begins with properties of a ☐Basic research activities have been conducted and
Research observed and potential technology observed in the physical basic principles have been defined
reported world. These basic properties are being ☐Principles and findings have been published in the
reported in the literature. literature (e.g., research articles, peer-reviewed
papers, white papers)
2 Technology Applied research begins with identification of ☐Applications of basic principles have been identified
and/or practical applications of basic scientific ☐Applications and supporting analysis have been
application principles. There is an emphasis on published in the literature (e.g., analytical studies,
concept understanding the science better and small code units for software, papers comparing
formulated corroborating the basic scientific observations technologies)
made during TRL 1 work. Analysis of the
feasibility of speculative applications is being
conducted and reported in scientific studies.
Research and 3 Experimental Active research and development begins. The ☐Proof of concept and/or analytical and
Development proof of concept applications are being moved beyond the paper experimental critical function has been developed
stage to experimental work. Feasibility of ☐Separate components have been validated in a
separate technology components are being laboratory environment
validated through analytical and laboratory
studies. There is not yet an attempt to integrate
components into a complete system.
4 Validation of Basic technological components are integrated ☐ “Ad-hoc” integrated components, sub systems
component(s) in a “ad-hoc” to establish that they will work and/or processes have been validated in a laboratory
laboratory together in a laboratory environment. The “ad- environment
environment hoc” system would likely be a mix of on hand ☐How “ad-hoc” integration and test results differ
equipment and a few special purpose from the expected system goals is understood
components that may require special handling,
calibration, or alignment in order to function.

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Adapted from IEA (2020), U.S. GAO (2020). U.S. Department of Energy (2015), U.S. Department of Transportation (2015), U.S. Department of Defence (2010), European
Commission (2017), and NYSERDA (2018), BCIP (2017).
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Technology
Development TRL Definition Description Checklist of activities to achieve this level
Stage
5 Validation of The integrated basic technological components ☐Semi-integrated component(s)/ subsystems or
semi-integrated are performing for the intended applications in processes have been validated in a simulated
component(s) in a a simulated environment. Configurations are environment
simulated being developed but can undergo fundamental ☐How the simulated environment differs from the
environment changes. The technology and environment at expected operational environment and how the test
TRL 5 is more similar to the final application results compare with expectations is understood
than TRL 4.
Pilot and 6 System and/or A model or prototype, that represents a near ☐Pilot scale model or prototype developed
Demonstration process desired configuration, is being developed at a ☐Pilot scale model or prototype system is near the
prototype pilot scale, generally smaller than full scale. desired configuration in performance, and volume but
demonstrated in Testing of the model or prototype is being generally smaller than full scale
a simulated conducted in a simulated environment. ☐Pilot scale prototype or model system has been
environment demonstrated in a simulated environment
☐How the simulated environment differs from the
operational environment, and how results differed
from expectations is understood
7 Prototype system A full scale prototype is being demonstrated in ☐Full scale prototype with ready form, fit and
ready (form, fit an operational environment but under limited function developed
and function) conditions (i.e., field tests). At this stage, the ☐ Full scale prototype demonstrated in an
demonstrated in final design is very close to completion. operational environment but under limited conditions
an appropriate
operational
environment
8 Actual technology Technology is being proven to work in its final ☐Final configuration of the technology developed
completed and form and under expected conditions. This stage ☐Final configuration successfully tested in an
qualified through commonly represents the end of technology operational environment
tests and development. At this stage, operations are well ☐Technology’s ability to meet its operational
demonstrations understood, operational procedures are being requirements has been assessed and problems
developed, and final adjustments are being documented; plans, options, or actions to resolve
made. problems have been determined

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Technology
Development TRL Definition Description Checklist of activities to achieve this level
Stage
Early Adoption 9 Actual technology Actual application of the technology in its final ☐The technology has been successfully deployed and
proven through form is being conducted under a full range of proven under a full range of operational conditions
successful operational conditions. Sometimes referred to ☐Operational, test and evaluation reports have been
deployment in an as “system operations”, this stage is where completed
operational technology is further refined and adopted.
environment
Technology Technology is openly available in the ☐The technology is openly available in the
development is marketplace and/or has been sold directly to a marketplace and/or has been sold in its current state
complete buyer in the public or private sector, in its of service offering for non-testing or development
Commercially current state or service offering for non-testing purposes.
Available or development purposes. The technology is
commercial and competitive but may need
further integration efforts for wide spread
adoption.
Key terms2
Scientific research: research aimed at expanding the base of theoretical scientific knowledge and predictions that have universal applicability
Applied research: the application of scientific knowledge to solve specific practical problems or answer certain questions
Research and development: systemic work designed to produce new products, techniques or processes or improve existing products, techniques or processes
Proof of concept: analytical and experimental demonstration of hardware/software concepts.
Model: a reduced scale, functional form of a system, near or at operational specification
Prototype: the first early representation of the system which offers the expected functionality and performance expected of the final implementation
Laboratory environment: a fully controlled test environment where a limited number of functions and variables are tested. Tests in a laboratory environment
are solely for the purpose of demonstrating the underlying principles of technical performance (functions), without respect to the impact of environment
Simulated environment: a relevant working environment with controlled realistic conditions, generally outside of the lab. If the technology will be used in
various environments (e.g., the Artic and Southern Canada), the technology must be developed and tested in a simulated environment for all conditions.
Operational environment: “real-world” environment with conditions associated with typical use of the product and or process. If the technology will be used in
various environments (e.g., the Artic and Southern Canada), the technology must be developed and tested in each operational environment.

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Adapted from: U.S. National Science Foundation (2018), U.S. Department of Energy (2015), U.S. Department of Transportation (2015), SBIR (2014)
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References and resources

Build in Canada Innovation Program (2017) Build in Canada Innovation Program Definitions.
CloudwatchHUB (2016) A brief refresher on Technology Readiness Levels (TRL).
[Link] (Accessed February 17, 2020) TRL Scale in Horizon 2020 and ERC –Explained.
European Commission (2017) Technology Readiness Level: Guidance Principles for Renewable Energy
Technologies.
European Commission (2017a) Technology Readiness Level: Guidance Principles for Renewable Energy
Technologies. Annexes.
[IEA] International Energy Agency (2020) Technology Perspectives 2020: Special Report on Clean Energy
Innovation Accelerating technology progress for a sustainable future.
Natural Resources Canada (2019) Applicant’s Guide for the Clean Growth Program. Appendix D – Technology
Readiness Level.
{NYSERDA] New York State Energy Research and Development Authority (2018) NYSERDA Technology and
Commercialization Readiness Level Calculator Tool.
U.S Department of Energy (2015) Technology Readiness Assessment Guide.
U.S. Department of Defence (2010) Technology Readiness Levels in the Department of Defence.
U.S. Department of Energy (2010 2nd Edition) Standard Review Plan Technology Readiness Assessment Report.
U.S. Department of Transportation (2015) Technology Readiness Level.
[U.S. GAO] U.S. Government Accountability Office (2020) Technology Readiness Assessment Guide. Best Practices
for Evaluating the Readiness of Technology for Use in Acquisition Programs and Projects.
U.S. National Science Foundation (2018) Definitions of Research and Development: An Annotated Compilation of
Official Sources.
{U.S. SBIR] U.S. Small Business Innovation Research program (2014) Select Appendices: Appendix A Technology
Readiness Level (TRL) Descriptions.

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Government of Canada’s Clean Technology Data Strategy. Available at:
[Link]
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