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					                             “Systems Engineering for Mission Success”

                                                           Technology Readiness Assessment                                                                           Name of the program being reviewed / date
                                                                 Program Assessment Checklist                               (10 May 2010)
OVERVIEW: Although the checklist can be printed and completed as a "hard copy", it is designed to be completed electronically as an Excel spreadsheet.
When viewed electronically, the small number buttons in the upper left corner of the screen are used to select the level of indenture for the questions in the
checklist. A left mouse click on a number button will expand or collapse the entire checklist to the desired level. A left click on the "+" symbol in the left      Name / Code / Technical Specialty of reviewer
margin of the spreadsheet will expand the level of indenture for that section. A left click on the "-" symbol in the left margin of the spreadsheet will collapse
the level of indenture for that section. The buttons in Row 11 run specific macros. The buttons in Column A allow a user to designate and sort specific
questions as "Special Interest" (i.e., High Priority, Flagged, Question). The colored buttons in Row 11, Column C allow the user to sort questions by
Technical Discipline, to provide a Level 1 roll-up of the risk characters assigned, or to hide specific information. For example selecting the "Logistics"
button results in the display of all Level 1 Logistics-related questions and assigned information. All other questions will be hidden.
COMPLETING THE CHECKLIST:
1. In the upper right corner of the checklist, enter the name of the program being reviewed, the date(s) of the review, along with the name, code and
technical specialty of the person(s) completing the checklist.
2. A "Risk Character" (i.e., R / Y / G / U / NA) should be assigned for each question by direct entry or left clicking in each box to activate the "drop down"
menu. To delete a "Risk Character" from a box, click in the box and press the "delete" button on hte keyboard, or right click on hte cell and select "clear
contents". The assigned Risk Characters will automatically total and display in the Level 1 (and Level 2, as applicable) row(s). Selection of a summary
tab (Excel "Sheet") at the bottom of the checklist will provide a summary of all questions assigned a particular risk character (e.g., selecting the RED tab
will display all questions assigned a RED risk character).
3. Any question requiring further attention (Special Interest) should be similarly marked in Column A as "High Priority", "Flagged", or "Question" to facilitate
follow-up.
4. Narrative, amplifying, and / or mitigation information should be entered in the "Comments Mitigation" box (Column J) at the right of each question.

     CAUTION: Entries, changes, deletions or comments should only be made on the checklist. Any entries entered directly on the summary
     pages will not be recorded within the checklist and will disable linkage between the checklist and the summary pages.
SAVING THE CHECKLIST: Save the completed checklist in a new file with a unique name such as "UAV TRA 21Jan10ajo".

       High
                                                           EVM         Hardware         HSI          Interoperability                Logistics             PQM
                                      Show All

                                                 Level 1




       Priority
                                                           Programmatic        RAM     Risk       Software          Technology            Training           T&E
      Flagged

      Question                                                   Hide TD       Unhide TD                                       Hide NA           Unhide NA
                                                                                                                          Assessment
                                                                 R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special           Technical
                                                                                                         Legend: R         Y    G     U NA           Item
Interest          Discipline                                                                                                                                                   Comments / Mitigation
                                      1. Timing / Entry Criteria                                                                                       1
                  HSI, training,
                  logistics, T&E,
                  software, RAM,                                                                                      0    0     0    0     0
                  technology, risk,
                  programmatic

                  HSI, training,             a. Is the program ready to conduct a Technology Readiness                                                 1.a
                  logistics, T&E,            Assessment (TRA) based on the TRA entry criteria?
                  software, RAM
                  technology, risk,
                  programmatic




                                                                                                                          Page 1 of 31
                                                                                               Assessment
                                            R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                   Legend: R    Y   G   U NA     Item
Interest   Discipline                                                                                                        Comments / Mitigation
                             b. Does the program have an updated schedule with realistic                          1.b
           HSI, training,
           logistics, T&E,   Milestone (MS) dates, and does the program have sufficient
           software, risk,   detail to schedule a TRA?
           technology,
           programmatic

                             c. Does the program have sufficient funding and resources for                        1.c
           HSI, training,
           logistics, T&E,   both contractor and Government entities to perform a TRA?
           software, risk,
           technology,
           programmatic




                                                                                               Page 2 of 31
                                                                                                   Assessment
                                            R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                       Legend: R    Y   G   U NA      Item
Interest   Discipline                                                                                                        Comments / Mitigation
                          2. Planning                                                                                  2
           technology,
           programmatic
                                                                                               0    0   0    0    0

                            a. Has a TRA chairperson been appointed by letter?                                        2.a
           technology,
           programmatic


                            b. Has a TRA coordinator been appointed by letter?                                        2.b
           technology,
           programmatic


                            c. Has a Work Breakdown Structure (WBS) based preliminary                                  2.c

           technology,      evaluation of critical technology elements been performed?
           programmatic


                            d. Is a contractual vehicle in place to fund the contractors for                          2.d
           technology,
           programmatic
                            TRA preparation and execution?

                            e. Have all relevant technology maturity agreements and                                   2.e
           technology,
           programmatic
                            memoranda of understanding been signed?




                                                                                                   Page 3 of 31
                                                                                                         Assessment
                                                R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                           Legend: R      Y   G   U NA      Item
Interest   Discipline                                                                                                              Comments / Mitigation
           software, risk,   3. Program Schedule                                                                             3
           training, HSI,
           logistics, T&E,                                                                           0    0   0    0    0
           technology,
           programmatic
                               a. Is the schedule reflective of available resources?                                        3.a
           programmatic

                               b. Does the program schedule have an identified critical path?                               3.b
           programmatic


           risk, training,     c. Is the critical path consistent with overall technical risk, and                           3.c
           software, HSI,
                               are the critical path tasks based upon the preferred system
           logistics, T&E,
           technology,         concept and system specification?
           programmatic
                               d. What is the status versus critical path?                                                  3.d
           risk,
           programmatic




                                                                                                         Page 4 of 31
                                                                                                           Assessment
                                                  R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                             Legend: R      Y   G   U NA      Item
Interest   Discipline                                                                                                                Comments / Mitigation
                               4. Program Risk Assessment                                                                      4
           software, T&E,
           training, HSI,
           logistics, RAM,                                                                             0    0   0    0    0
           technology, risk,
           programmatic

                                 a. Have risk items in the system requirements been defined                                   4.a
           risk,
           programmatic
                                 and analyzed?

           risk, software,       b. Is the risk assessment process tightly coupled with the                                   4.b
           T&E, logistics,
                                 technical effort, and reflective of the technical risks inherent in
           HSI, training,
           technology,           the system requirements?
           programmatic
                                 c. Has the risk assessment addressed future risks to                                          4.c
           risk, technology,
           programmatic
                                 development?

                                 d. Is there adequate acceptance among the technical team as                                  4.d
           HSI, logistics,
           training, T&E,        to risks?
           software, RAM,
           technology, risk,
           programmatic

                                 e. Have cost and schedule impacts been defined for mitigation                                4.e
           logistics, risk,
           programmatic
                                 options?

                                 f. Is the technical risk assessment being shared at all levels of                             4.f
           HSI, logistics,
           training, T&E,        the program team?
           software, RAM,
           technology, risk,
           programmatic

                                 g. Have supportability and logistics risk items been defined,                                4.g
           risk, HSI,
           logistics,            analyzed, and included in the program risk assessment?
           programmatic

                                 h. Have cost and schedule impacts for supportability and                                     4.h
           HSI, risk,            logistics risk mitigation been documented and identified in the
           logistics,
           programmatic          Logistics Requirement and Funding Summary (LRFS)?




                                                                                                           Page 5 of 31
                                                                                                         Assessment
                                                    R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                             Legend: R    Y   G   U NA      Item
Interest   Discipline                                                                                                                Comments / Mitigation
                                  5. Critical Technologies Identification                                                    5
           training, logistics,
           HSI, software,
           T&E, technology,
                                                                                                     0    0   0    0    0
           programmatic


                                    a. Is the technology new or novel?                                                      5.a
           training, logistics,
           T&E, software,
           HSI, technology


                                    b. Is the technology a modification of an existing technology?                          5.b
           training, logistics,
           T&E, software,
           HSI, technology


                                    c. Has the technology been repackaged so a new relevant                                  5.c
           training, logistics,
           HSI, software,           environment is realized?
           T&E, technology,
           programmatic

                                    d. Is the technology expected to operate in an environment                              5.d
           training, logistics,
           HSI, software,           beyond its original design?
           T&E, technology,
           programmatic

                                    e. Is the technology expected to achieve a performance                                  5.e
           training, logistics,
           HSI, software,           expectation beyond its original capability?
           T&E, technology,
           programmatic




                                                                                                         Page 6 of 31
                                                                                                        Assessment
                                                R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                            Legend: R    Y   G   U NA      Item
Interest   Discipline                                                                                                             Comments / Mitigation
                               6. TRA Panel                                                                                 6
           T&E, software,
           HSI, training,
           logistics, RAM,                                                                         0     0   0    0    0
           technology, risk,
           programmatic

                                 a. Have independent assessment panel members been                                         6.a
           T&E, software,
           HSI, training,        selected with expertise in each of the expected critical
           logistics, RAM,       technology areas?
           technology, risk,
           programmatic

                                 b. Have the program management activity panel members been                                6.b
           risk, RAM,
           technology,           selected to represent the program office?
           programmatic

           risk, software,       c. Have the contractor assessment panel members been                                       6.c
           T&E, logistics,
                                 selected making sure the technology presenters are not voting
           HSI, training,
           technology,           members?
           programmatic
                                 d. Is the composition of the TRA panel approximately half                                 6.d

           risk, technology,     independent members and a quarter each program office and
           programmatic          contractors?




                                                                                                        Page 7 of 31
                                                                                                         Assessment
                                                R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                          Legend: R       Y   G   U NA      Item
Interest   Discipline                                                                                                                Comments / Mitigation
                               7. TRA Preparation and Event                                                                   7
           training, RAM,
           hardware, T&E,
           logistics, HSI,
           software, risk,                                                                           0    0   0    0    0
           technology,
           programmatic,
           interoperability

           T&E, logistics,       a. Have the TRA agenda materials been submitted for all panel                               7.a
           software, HSI,        members' review?
           training, RAM,
           technology, risk,
           programmatic,
           interoperability

           T&E, logistics,       b. Work Breakdown Structure (WBS)                                                           7.b
           software, HSI,
           training, risk,
           technology,                                                                               0    0   0   0     0
           programmatic,
           interoperability

           technology,             (1) Have the technologies been presented in WBS format?                                  7.b(1)
           programmatic

                                   (2) Does the WBS structure show terminations where there                                 7.b(2)
           technology,
           programmatic
                                   are no critical technologies?

                                   (3) Have the WBS legs which contain critical technologies                                7.b(3)
           technology,
           programmatic            been identified?

                                   (4) Are the critical technologies located and identified by WBS                          7.b(4)
           technology,
           programmatic
                                   element numbers?

           T&E, logistics,         (5) Is each WBS leg with a candidate technology                                          7.b(5)
           software, HSI,          decomposed to lower WBS branches to identify the core
           training, risk,
           technology,
                                   critical technology which is to be evaluated?
           programmatic,
           interoperability

           T&E, logistics,       c. Platform / Systems Overview                                                              7.c
           software, HSI,
           training, risk,
           technology,
                                                                                                     0    0   0   0     0
           programmatic,
           interoperability

                                   (1) Is the Concept of Operations (CONOPS) described?                                     7.c(1)
           technology,
           programmatic


                                   (2) Is the program's Integrated Master Schedule (IMS)                                    7.c(2)

           technology,             included with significant MSs, critical path items, and status
           programmatic            progress indicated?

           T&E, logistics,         (3) Are the operational performance requirements and Key                                 7.c(3)
           software, HSI,          Performance Parameters (KPPs) described?
           training, risk,
           technology,
           programmatic,
           interoperability


                                                                                                         Page 8 of 31
                                                                                                       Assessment
                                               R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                          Legend: R     Y   G   U NA      Item
Interest   Discipline                                                                                                              Comments / Mitigation
           T&E, logistics,       (4) Are the critical technologies shown in the context of the                            7.c(4)
           software, HSI,        platform / system's architecture?
           training, risk,
           technology,
           programmatic,
           interoperability

                                 (5) Is the program technology maturation roadmap shown?                                  7.c(5)
           technology,
           programmatic


           T&E, logistics,     d. Subsystem / Technology                                                                   7.d
           software, HSI,
           training, RAM,
           technology, risk,                                                                       0    0   0   0     0
           programmatic,
           interoperability

           T&E, logistics,       (1) Is a technical description of the subsystem / technology                             7.d(1)
           software, HSI,        included with the critical technologies being considered?
           training, risk,
           technology,
           programmatic,
           interoperability

           T&E, logistics,       (2) Is the significance of the critical technologies and                                 7.d(2)
           software, HSI,        subsystem / technology discussed relative to each other and
           training, risk,
           technology,
                                 relative to the overall design?
           programmatic,
           interoperability

           T&E, logistics,       (3) Is the critical technology and its relevance to operational                          7.d(3)
           software, HSI,        requirements and KPPs described?
           training, risk,
           technology,
           programmatic,
           interoperability

           software,             (4) Is a block diagram of the hardware / software elements                               7.d(4)
           hardware,
                                 included?
           technology,
           programmatic,
           interoperability
                                 (5) Is a current risk matrix for the subsystem element                                   7.d(5)
           risk, RAM,
           technology,           included?
           programmatic

                                 (6) Is a roadmap of maturation activities related to the master                          7.d(6)
           technology,
           programmatic
                                 design schedule included?

           software, HSI,        (7) Are facts and accomplishments that directly reflect the                              7.d(7)
           training, T&E,        system / technology maturity described?
           logistics,
           technology,
           programmatic,
           interoperability

           software, HSI,        (8) Are accomplishments presented using Technology                                       7.d(8)
           training, T&E,        Readiness Level (TRL) rating factors as a guideline?
           logistics,
           technology,
           programmatic,
           interoperability




                                                                                                       Page 9 of 31
                                                                                                 Assessment
                                           R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                     Legend: R     Y   G   U NA   Item
Interest   Discipline                                                                                                       Comments / Mitigation
                              (9) Is tangible evidence (e.g. hardware, pictures, displays) of                     7.d(9)
           training,
           hardware,          subsystem / technology maturation accomplishments
           software, HSI,
                              presented?
           T&E, logistics,
           technology,
           programmatic,
           interoperability

           training, RAM,     (10) Is relevant subsystem / technology maturation which was                        7.d(10)
           software, HSI,     leveraged from other programs presented?
           T&E, logistics,
           technology,
           programmatic,
           interoperability




                                                                                                 Page 10 of 31
                                                                                                        Assessment
                                                 R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applicable
Special    Technical
                                                                                            Legend: R     Y   G   U NA      Item
Interest   Discipline                                                                                                              Comments / Mitigation
           T&E, software,      8. Completion / Exit Criteria                                                                 8
           training, HSI,
           logistics, RAM,
           technology, risk,
                                                                                                    0     0   0   0     0
           programmatic,
           interoperability

           T&E, software,        a. Have the critical technologies received the TRL scores                                  8.a
           training, HSI,        necessary to meet MS decision criteria?
           logistics, RAM,
           technology, risk,
           programmatic,
           interoperability

           T&E, software,        b. Is a Phase II TRA necessary if new technologies are                                     8.b
           training, HSI,        presented, or if insufficient corroborative information has been
           logistics, RAM,
           technology, risk,
                                 presented?
           programmatic,
           interoperability

                                 c. Has a final report been written and submitted to the initial                             8.c
           technology,
           programmatic
                                 approval authority?

                                 d. Has the initial approval authority released the advance                                 8.d
           technology,
           programmatic
                                 report?

                                 e. Has the TRA endorsement been provided to the Director,                                  8.e

           technology,           Defense Research and Engineering (DDR&E) (Office of the
           programmatic          Secretary of Defense (OSD))?

                                 f. Has the DDR&E decided not to conduct an independent                                      8.f
           technology,
           programmatic
                                 technical assessment?

                                 g. Has the TRA final report been approved by DDR&E?                                        8.g
           technology,
           programmatic




                                                                                                        Page 11 of 31
                        Technology Readiness Assessment
                                Program Assessment Checklist



                                                                         Assessment
                         R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applic
Special    Technical
Interest   Discipline
                                                             Legend: R     Y   G   U
sessment                          Name of the program being reviewed / date

cklist
                                 Name / Code / Technical Specialty of reviewer


Assessment
available, NA = Not Applicable
             NA      Item                    Comments / Mitigation
                        Technology Readiness Assessment
                                Program Assessment Checklist



                                                                         Assessment
                         R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applic
Special    Technical
Interest   Discipline
                                                             Legend: R     Y   G   U
sessment                          Name of the program being reviewed / date

cklist
                                 Name / Code / Technical Specialty of reviewer


Assessment
available, NA = Not Applicable
             NA      Item                    Comments / Mitigation
                        Technology Readiness Assessment
                                Program Assessment Checklist



                                                                         Assessment
                         R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applic
Special    Technical
Interest   Discipline
                                                             Legend: R     Y   G   U
sessment                          Name of the program being reviewed / date

cklist
                                 Name / Code / Technical Specialty of reviewer


Assessment
available, NA = Not Applicable
             NA      Item                    Comments / Mitigation
                        Technology Readiness Assessment
                                Program Assessment Checklist



                                                                         Assessment
                         R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applic
Special    Technical
Interest   Discipline
                                                             Legend: R     Y   G   U
sessment                          Name of the program being reviewed / date

cklist
                                 Name / Code / Technical Specialty of reviewer


Assessment
available, NA = Not Applicable
             NA      Item                    Comments / Mitigation
                                                Technology Readiness Assessment
                                                         Program Assessment Checklist



                                                Return to TRA
                                                                                                  Assessment
                                                  R = Red, Y = Yellow, G = Green, U = Unknown / Unavailable, NA = Not Applic
Special    Technical
Interest   Discipline
                                                                                      Legend: R     Y   G   U
                                  1. Timing / Entry Criteria
           HSI, training,
           logistics, T&E,
   0       software, RAM,                                                                       0   0   0   0
           technology, risk,
           programmatic

                                  2. Planning
            technology,
   0
           programmatic                                                                         0   0   0   0

           software, risk,        3. Program Schedule
           training, HSI,
   0       logistics, T&E,                                                                      0   0   0   0
           technology,
           programmatic

                                  4. Program Risk Assessment
           software, T&E,
           training, HSI,
   0       logistics, RAM,                                                                      0   0   0   0
           technology, risk,
           programmatic


           training, logistics,
                                  5. Critical Technologies Identification
           HSI, software,
   0
           T&E, technology,                                                                     0   0   0   0
           programmatic

                                  6. TRA Panel
           T&E, software,
           HSI, training,
   0       logistics, RAM,                                                                      0   0   0   0
           technology, risk,
           programmatic

           training, RAM,         7. TRA Preparation and Event
           hardware, T&E,
           logistics, HSI,
   0       software, risk,                                                                      0   0   0   0
           technology,
           programmatic,
           interoperability
    T&E, software,      8. Completion / Exit Criteria
    training, HSI,
    logistics, RAM,
0
    technology, risk,                                         0    0   0   0
    programmatic,
    interoperability



                                                        Total: 0   0   0   0
sessment                              Name of the program being reviewed / date

cklist                                                    0

                                     Name / Code / Technical Specialty of reviewer

                                                          0

Assessment
available, NA = Not Applicable
             NA      Item                        Comments / Mitigation
                       1


             0                   0


                       2

             0                   0

                       3


             0                   0

                       4


             0                   0


                       5


             0                   0

                       6


             0                   0


                       7


             0                   0
    8


0       0



0

				
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posted:7/7/2011
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