Technology Readiness Level (TRL)
TRL is a commonly used tool by the research community, as well as within the European research and innovation programmes, to assess the market readiness of new and emerging technologies. For export control purposes, research output stemming from TRL 1 and 2 research are generally considered basic scientific research. The eligibility of research output stemming from TRL 3 and 4 are to be assessed on a case-by-case basis. Research output stemming from research above TRL 4 is not considered basic scientific research.
Researchers should be aware of and determine for their respective research activities:
- Initial and expected TRL (assessment done before the start of the activity)
- Achieved TRL (assessment done at the closing of the activity)
The above determinations should be properly documented by research team in materials produced before and during the research activity for later reference, if any. Proper documentation means that TRLs are designated and short explanations are given on the relevant factors and reasoning on which such designations were based.
Determination of TRL is relevant to application of laws governing export control of dual-use items. In some circumstances, TRL can also be relevant for application of sanction regulations.
Useful tools for documentation and further guidance for assessment of TRL can be viewed at TRL Assessment | NCP Portal management | Horizon Europe NCP Portal (instructions related to Horizon Europe) and Technology Readiness Level (TRL) Assessment Tool (canada.ca) (instructions issued by the Government of Canada but comparable to the European instructions).
The above Canadian tool groups nine TRLs into four broader technology development stages:
- fundamental research
- research and development
- pilot and demonstration
- early adoption
The Canadian tool provides a description of each TRL along with a checklist to determine if the technology is at that specific TRL.
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