TT4D: Technology Transition and Research: Using Defense Department Research Categories and Technology Readiness Levels in Your Research Proposals

by Jeff Decker, PhD and Nilay Papila, PhD Technology Transfer for Defense, Stanford University

Nov 20, 2024

Defense Department funding can be a gamechanger. Pentagon funding established Silicon Valley and up-leveled Stanford University into a globally-renowned institution. Navigating the Defense Department’s structured technology transition process is the key to accessing this transformative research and development (R&D) funding This post the stages within the process. This blog has already been posted to Technology Readiness Levels (TRLs) but will revisit the topic and tie it to government research funding categories to help you identify research funding to support the advancement of your research.

Technology Transition Process and Returns on Defense Research Investments

Technology transition in defense refers to the process of moving technological innovations from R&D into operational use within military and defense systems. The primary goal of the Defense Department’s investment strategy is to bridge theoretical research and real-world impact by investing in different stages of research that have the potential to address national security issues.

Just like private investors, the Defense department seeks returns on its investments. The Pentagon invests funding to create technologies valuable to national security. Also like private investment, not all funded projects will yield successful outcomes. However, the kernel of research that succeeds will change how national security organizations operate. Understanding how the tech transition process works and how the government makes research investments will help you, the researcher, successfully position your research proposals.

Government Research Categories and Technology Readiness Levels

Research categories and TRLs that measure technological maturity compose the stages of the Defense Department investment process. The Defense Department's research categories describe the science involved in each category and range from 6.1 (Basic Research) to 6.5 (System Development and Demonstration).

TRLs is a rubric used to assess the maturity of a technology as it progresses from conceptual research to real-world application. TRLs range from TRL 1, where basic principles are observed, to TRL 9, which represents a fully mature, operational system in an operational environment. Research categories and TRL combine to guide the technology transition process from initial discovery to fully functional systems. Here’s a look at how each category of research aligns with the TRLs to transition academic research into military capability. ,

Aligning Research Categories with TRLs: From Concept to Reality

6.1 Basic Research & TRL 1-2: Basic Research, or Category 6.1, focuses on foundational science, which is aimed at exploring new ideas and discovering fundamental scientific knowledge without an immediate application in mind. Academic institutions often play a significant role here, developing foundational knowledge that may have defense applications in the long term. This aligns with TRL 1 (basic principles observed) and TRL 2 (concept formulation), where initial ideas are defined, and exploratory questions are answered to shape future applications. Here, the primary focus is scientific discovery rather than direct application.
6.2 Applied Research & TRL 3: Category 6.2, Applied Research, takes foundational insights from basic research and begins to address how basic scientific discoveries might be applied by validating initial proofs-of-concept. This stage corresponds to TRL 3 (experimental proof of concept), where initial prototypes are demonstrated to test feasibility in lab environments, marking a shift toward solving real-world challenges with experimental approaches.
6.3 Advanced Technology Development & TRL 4-5: Advanced Technology Development, or Category 6.3, refers to the refinement of prototypes, conducting demonstrations, and preparing for potential deployment in military settings. Researchers at this stage begin to demonstrate their prototypes under conditions that simulate real-world military use. This stage aligns with TRL 4 (component validation in the lab) and TRL 5 (component validation in relevant environments), where technologies transition from theoretical research to practical application.
6.4 Advanced Component Development and Prototypes & TRL 6-7: Category 6.4, Advanced Component Development, refines prototypes by testing them in military environments. This aligns with TRL 6 (system model in relevant environment) and TRL 7 (system prototype in operational environment). At this stage, the focus is on functionality and reliability, ensuring the technology can perform in real-world scenarios.
6.5 System Development and Demonstration & TRL 8-9: Finally, Category 6.5 brings a system to full readiness, integrating components into a cohesive, operational system. This stage aligns with TRL 8 (system completed and qualified) and TRL 9 (system proven in a real-world operational environment). The goal here is full-scale deployment, with systems refined to meet end-user needs in operational environments.

An Example of How Research Categories and TRLs Apply to your Research

Research categories (from 6.1 to 6.5) and TRLs (1-9) form a structured approach that not only progresses ideas into field-ready technologies, but also is the framework the Defense Department uses to fund projects. Relating your research proposals to research categories and TRL can help you identify funding programs necessary to advance your research. For example, the Defense Department has three funding opportunities that align with each other where researchers working on energy projects can transition their research from one to the next.

Naval Enterprise Partnership Teaming with Universities for National Excellence (NEPTUNE)

The Office of Naval Research (ONR 33) NEPTUNE program funds research across multiple energy-related areas of study such as fuels, batteries, and microgrids. The purpose of NEPTUNE is to accelerate the delivery of university-derived technologies and products to the defense and commercial sectors. It does so by aligning research projects with Department of Navy operational needs and the broader National Defense Strategy (NDS) to evaluate the feasibility, viability, and desirability of research project outputs.

Focus: Supporting projects at early technology readiness levels (typically TRL 1-2).
Relation to 6.1/6.2: NEPTUNE aims to transition fundamental research into applied research.

Next Strategic Technology Evaluation Program (NextSTEP)

NextSTEP is another Office of Naval Research program managed by the Naval Information Warfare Center (NIWC) Pacific. NextSTEP evaluates the operational relevance of new innovative technologies coming out of academic labs to support their transition to Navy/Marine Corps facilities.

Focus: Supporting projects at mid-range technology readiness levels (typically TRL 3).
Relation to 6.2/6.3: The NextSTEP program emphasizes bridging the gap between early applied research (6.2) and advanced development (6.3). It helps move promising innovations from the concept phase toward prototyping, facilitating the maturation of technologies with potential defense applications.

Environmental Security Technology Certification Program (ESTCP)

ESTCP is an Office of the Secretary of Defense program focusing on identifying promising and cost-effective environmental, resilience, and installation energy and water technologies to demonstrate and validate their value. ESTCP supports research technology transition by providing researchers an opportunity to demonstrate their technologies in Defense Department facilities and operational settings. ESTCP tests technologies to ensure they have a meaningful impact to military stakeholders before the Defense Department invests additional funding into them.

Focus: Demonstrating and validating innovative technologies to address military needs (typically TRL 4).
Relation to 6.4: ESTCP supports the demonstration and validation phase of research (6.4), ensuring technologies are tested in realistic conditions to prove their effectiveness. This program is critical for moving from prototyping to broader deployment, focusing on practical implementation and operational success.

Three Characteristics of Aligned Research

Understanding the research category your project aligns with and the TRL of your technology enables you to create a transition, and funding, pathway by helping you accomplish three important tasks:

Funding Alignment: Defense Department grants are tied to specific research categories and TRLs. Understanding the relationship between TRLs and the Defense Department’s 6.1, 6.2, and 6.3 categories will help you identify which funding opportunities are most appropriate for your work at each stage of development. Different stages of research require unique resources, from basic lab work to operational testing environments. Understanding the requirements of each TRL stage allows for smarter resource allocation, ensuring that funding aligns with the project’s developmental needs. Researchers able to communicate their project’s goal within research categories and TRLs help government Program Officers appreciate its value and justify funding as a return on investment.

Creating a Common Language: Research categories and TRLs provide a roadmap for researchers, outlining the necessary steps to advance their technology from the lab to the field. This helps researchers clearly understand where their work fits into the development process and what is needed for it to advance. Conveying the maturity of your research and technology and next steps is essential to program managers doling out funding because it tells them that you understand the roles, responsibilities, and expectations of the process. This enables program managers to manage expectations between researchers, developers, and military personnel.

Aligning Research Goals with Practical Outcomes: Research categories outline a project’s purpose, from foundational theories (6.1 Basic Research) to operational system deployment (6.5 System Development). By aligning research activities with research categories and TRL stages, projects maintain a clear focus on theoretical milestones and practical outcomes, creating a structured path from concept to implementation. Understanding these stages helps researchers ensure their research proposals articulate the value of the proposed project to the Defense Department funding organization and a plan for providing the organization with a return on its investment. In addition, communicating a project’s research category and TRL enables researchers to identify risks inherent to the research at the outset. Doing so supports the smooth progression of research through each development phase.

Conclusion

The technology transition process bridges the gap between theoretical research and real-world defense applications. Independent programs like NEPTUNE, NextSTEP, and ESTCP exist for the government to fund research projects at each stage. Research projects do not automatically progress from one research program to the next. Researchers must identify the research categories and TRLs applicable to their projects and then identify programs and opportunities to create a transition pathway for their research. Understanding the Defense Department’s research categories and TRL criteria is essential to support technology transition. Ultimately, this structured progression enhances the potential impact of research, making it not only an academic exercise but a pathway to real-world solutions that drive innovation forward.

This post lays the foundation upon which future posts will build. The next posts will address topics like:

Winning basic research funding
Moving beyond basic research to gain prototype funding
Transitioning technologies from the academic lab to defense capabilities

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Technology Transfer for Defense (TT4D) at Stanford University specializes in matching Defense Department funding with academic research projects. In the past six years, TT4D has worked with numerous faculty members at more than a dozen universities to help them win Defense Department grants and with the Office of Naval Research, totaling more than $13 million, to support research funding and transition academic technologies from lab to defense capabilities. TT4D is based at Stanford University and is run by Jeffrey Decker, PhD, program director, Precourt Institute for Energy, Fu-Kuo Chang, professor of Aeronautics and Astronautics, and Nilay Papila, PhD, senior program manager, Precourt Institute for Energy. To contact the TT4D team, visit techtransferfordefense.stanford.edu.

To read previous TT4D posts, see:

StanfordH4D’s Newsletter

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