Appendix B
Description of OST's Technology Investment Decision Model1

The Technology Investment Decision Model (TIDM) is the procedure developed by DOE's Office of Science & Technology (OST) to provide a common basis on which to assess and manage the performance, expectations, and transition of technologies through the development process. It is a user-oriented decision-making process for managing technology development and for linking technology-development activities with cleanup operations. The TIDM identifies six R&D stages leading to technology implementation. The model incorporates decision points (or "gates") within the research and development (R&D) process where projects are evaluated for funding of the next stage of development. Thus, these TIDM gates represent milestones at which peer review might assess a technology's soundness.

The TIDM represents a range of stages (and gates), from basic research through implementation of a technology (see Figure C.1). For each stage, specific criteria, requirements, and deliverables are described which provide a common basis for technology assessment. The "stage-gate" process is meant to guarantee early evaluation of projects against technical and nontechnical criteria to ensure that end products will provide superior performance and also meet the acceptance requirements of the intended customers. The TIDM also addresses the technology transfer and commercialization factors that must be considered to get the technological innovations to the marketplace.

The six stages (and gates) and a description of each, including goals, objectives, and measures of effectiveness follow. Programmatic driver criteria to enter each stage include technology end-user need; technical merit; cost; safety, health, environmental protection, and risk; stakeholder, regulatory, and tribal issues; and commercial viability. The focus area/crosscutting program (FA/CC) technology leadership is responsible for evaluating all documentation in accordance with the criteria for each gate. If the FA/CC program determines that the technology warrants passing through the gate, the technology maturation process will continue. If the evaluation indicates that the technology does not warrant further consideration, then further support from the FA/CC technology leadership will not be forthcoming.

The following was adapted from DOE's Technology Decision Process ProcedureWorking Copy (Revision 7), April 25, 1997 (DOE, 1997c); and "Maximizing R&D Investments in the Department of Energy's Environmental Cleanup Program," by Paladino and Longsworth (1995).

1  

The material in this appendix is based on OST's descriptions of its procedures, not on the committee's evaluation.



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--> Appendix B Description of OST's Technology Investment Decision Model1 The Technology Investment Decision Model (TIDM) is the procedure developed by DOE's Office of Science & Technology (OST) to provide a common basis on which to assess and manage the performance, expectations, and transition of technologies through the development process. It is a user-oriented decision-making process for managing technology development and for linking technology-development activities with cleanup operations. The TIDM identifies six R&D stages leading to technology implementation. The model incorporates decision points (or "gates") within the research and development (R&D) process where projects are evaluated for funding of the next stage of development. Thus, these TIDM gates represent milestones at which peer review might assess a technology's soundness. The TIDM represents a range of stages (and gates), from basic research through implementation of a technology (see Figure C.1). For each stage, specific criteria, requirements, and deliverables are described which provide a common basis for technology assessment. The "stage-gate" process is meant to guarantee early evaluation of projects against technical and nontechnical criteria to ensure that end products will provide superior performance and also meet the acceptance requirements of the intended customers. The TIDM also addresses the technology transfer and commercialization factors that must be considered to get the technological innovations to the marketplace. The six stages (and gates) and a description of each, including goals, objectives, and measures of effectiveness follow. Programmatic driver criteria to enter each stage include technology end-user need; technical merit; cost; safety, health, environmental protection, and risk; stakeholder, regulatory, and tribal issues; and commercial viability. The focus area/crosscutting program (FA/CC) technology leadership is responsible for evaluating all documentation in accordance with the criteria for each gate. If the FA/CC program determines that the technology warrants passing through the gate, the technology maturation process will continue. If the evaluation indicates that the technology does not warrant further consideration, then further support from the FA/CC technology leadership will not be forthcoming. The following was adapted from DOE's Technology Decision Process Procedure—Working Copy (Revision 7), April 25, 1997 (DOE, 1997c); and "Maximizing R&D Investments in the Department of Energy's Environmental Cleanup Program," by Paladino and Longsworth (1995). 1   The material in this appendix is based on OST's descriptions of its procedures, not on the committee's evaluation.

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--> Figure B.1 Diagram of OST's Technology Investment Decision Model (DOE, 1997b).

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--> Stage 1: Basic Research In Stage 1, fundamental scientific research for building and documenting core knowledge not tied to a specific defined need is evaluated, with the goal of generating new ideas. Objectives at this stage include identifying a new environmental technology or use of good science. Activities at this stage consist of basic laboratory experimentation, development of theory and analytical models, and proof of principle. Effectiveness of a project at Stage 1 is measured by whether it satisfies a subset of the programmatic driver criteria: specifically, technology and user need; technical merit; cost; and safety, health, environmental protection, and risk. Gate 1: Entrance into Applied Research Stage At this gate, projects addressing national interests and environmental performance needs enter the applied research stage. The technology developer/principal investigator (TD/PI) must address the programmatic driver criteria listed above. Stage 2: Applied Research In the applied research stage, directed scientific/engineering research is conducted that has a link to remediation needs and results in a product concept. The goal is to conduct systems studies to address DOE priority needs. Research conducted includes proof of principle and lab-scale experimentation, with the objectives of defining data requirements, preparing experimental designs, determining material requirements, and determining business attributes. Project effectiveness at this stage is measured in terms of whether the project satisfies experimental design plan acceptance criteria and all of the programmatic driver criteria. Gate 2: Entrance into Exploratory Development Stage Gate 2 is a major decision point in the stage-gate model. At this gate, the TD/PI must show that the technology addresses a clearly defined DOE priority cleanup or waste management need and that it satisfies experimental design criteria. The TD/PI must also demonstrate knowledge of similar technology R&D activities taking place in other federal agencies, universities, industry, or international organizations to help information sharing, encourage cooperative relationships, and eliminate redundant research efforts. In addition, at Gate 2, the TD/PI initiates a comparison of the technology with the baseline and addresses the gate programmatic driver criteria. Stage 3: Exploratory Development The goal of the exploratory development stage is to conduct a systems study to address focus area priority needs. Technical feasibility of the project in terms of potential applications is evaluated (i.e., whether the technology be developed sufficiently to solve the problem), with the objective of verifying that the concept can be linked to specific needs. Project activities at this stage includes laboratory-scale prototyping, analysis of user needs, estimates of life-cycle costs, and identification of functional performance requirements and operational concepts. The effectiveness of the project is measured by whether (1) it continues to satisfy experimental design

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--> plan acceptance criteria, (2) experimental performance meets program expectations, and (3) programmatic driver criteria are met. Gate 3: Entrance into Advanced Development Stage At this gate, the technology must be shown to be linked with clearly defined DOE/private sector priority performance needs. Also, the TD/PI continues the baseline comparison and addresses gate programmatic driver criteria. Stage 4: Advanced Development The goal of Stage 4 is to show a specific DOE application of the product. A proof of design is required, and development includes full-scale laboratory testing, preliminary field testing, technical specification development, and infrastructure development plans. The objectives at this stage are assessment and validation of the technology's specifications and application by a review group. Effectiveness at this stage is measured by whether the application specifications satisfy the external review group's assessment, and whether programmatic driver criteria are met. Gate 4: Entrance into Engineering Development Stage Gate 4 is a major decision point, at which a review group completes an evaluation of information supplied by the focus area, TD/PI, and others to assess whether the technology is the right technology, at the right place, at the right time. The deliverables produced by the TD/PI address gate programmatic driver criteria and include a cost-benefit analysis showing the anticipated benefits of cost savings and risk avoidance, and strategies for DOE deployment, commercialization, cost sharing, regulatory compliance, and licensing. DOE's approval of expenditure at this gate depends upon the commitment of an end user to implement the technology. Stage 5: Engineering Development At this stage, knowledge gained from research and development is used to develop systematically a detailed approach for full-scale design. The goal is the classification of the technology as likely to exceed DOE baseline or to meet select government performance requirements or a problem set. Objectives at this stage include scaling up and refining detailed designs for prototypes and pilots, and clarifying the DOE deployment strategy and schedules to meet performance needs. This stage of development yields drawings, schematics, and computer codes; construction and demonstration units; prototypes and pilot-scale systems; system evaluation; reliability testing; infrastructure plans; and procurement specifications. Effectiveness is measured by results of completed and documented preliminary tests, successful test plans, and satisfied programmatic driver criteria.

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--> Gate 5: Entrance into Demonstration Stage At Gate 5, the DOE deployment schedule is established. In addition, the TD/PI must address gate programmatic driver criteria, complete and document preliminary test results, and demonstrate that test plan requirements have been satisfied. Stage 6: Demonstration In Stage 6, the product or technology is subjected to a "real world" demonstration, either at a DOE site or at another location, using actual waste streams and/or anticipated operating conditions with the goal of verifying design assumptions made up to this point. Objectives include conducting full-scale testing, system testing, and market conditioning to determine system suitability. Effectiveness is measured through programmatic driver criteria and by the acceptance of the technology by the end-user. Gate 6: Entrance into Implementation Stage To pass through Gate 6, results of the technology/system test must be fully documented. The technology partner must be fully invested (i.e., the procurement path is defined), and gate programmatic driver criteria must be engaged fully. In addition, implementation and commercialization viability must be defined clearly according to accepted business standards. Stage 7: Implementation At Stage 7, the product or technology has been proven to be viable, cost-effective, and applicable to required needs. The technology is available for transfer to the private sector, or already commercially available for use and is put into service by DOE and/or the end user. An end user signs a contract or approves the operational use of the technology. The TIDM incorporates several essential principles that DOE believes should be maintained: Developers need to understand and address the needs and dynamics of the marketplace early in the innovation process. Decision criteria must encompass both technical and nontechnical factors. Formal decision points should provide the mechanism for determining investments in selected projects. Decisions should reflect an EM R&D investment strategy.

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