Technology readiness assessments: A retrospective

The development of new system capabilities typically depends upon the prior success of advanced technology research and development efforts. These systems developments inevitably face the three major challenges of any project: performance, schedule and budget. Done well, advanced technology programs can substantially reduce the uncertainty in all three of these dimensions of project management. Done poorly, or not at all, and new system developments suffer from cost overruns, schedule delays and the steady erosion of initial performance objectives. It is often critical for senior management to be able to determine which of these two paths is more likely—and to respond accordingly. The challenge for system and technology managers is to be able to make clear, well-documented assessments of technology readiness and risks, and to do so at key points in the life cycle of the program.In the mid 1970s, the National Aeronautics and Space Administration (NASA) introduced the concept of “technology readiness levels” (TRLs) as a discipline-independent, programmatic figure of merit (FOM) to allow more effective assessment of, and communication regarding the maturity of new technologies. In 1995, the TRL scale was further strengthened by the articulation of the first definitions of each level, along with examples (J. Mankins, Technology readiness levels, A White Paper, NASA, Washington, DC, 1995. [1]). Since then, TRLs have been embraced by the U.S. Congress’ General Accountability Office (GAO), adopted by the U.S. Department of Defense (DOD), and are being considered for use by numerous other organizations. Overall, the TRLs have proved to be highly effective in communicating the status of new technologies among sometimes diverse organizations.This paper will review the concept of “technology readiness assessments”, and provide a retrospective on the history of “TRLs” during the past 30 years. The paper will conclude with observations concerning prospective future directions for the important discipline of technology readiness assessments.     

Technology readiness and risk assessments: A new approach

Systems that depend upon the application of new technologies inevitably face three major challenges during development: performance, schedule and budget. Technology research and development (R&D) programs are typically advocated based on argument that these investments will substantially reduce the uncertainty in all three of these dimensions of project management. However, if early R&D is implemented poorly, then the new system developments that plan to employ the resulting advanced technologies will suffer from cost overruns, schedule delays and the steady erosion of initial performance objectives. It is often critical for senior management to be able to determine which of these two paths is more likely—and to respond accordingly. The challenge for system and technology managers is to be able to make clear, well-documented assessments of technology readiness and risks, and to do so at key points in the life cycle of the program.Several approaches have been used to evaluate technology maturity and risk in order to better anticipate later system development risks. The “technology readiness levels” (TRLs), developed by NASA, are one discipline-independent, programmatic figure of merit (FOM) that allows more effective assessment of, and communication regarding the maturity of new technologies. Another broadly used management tool is of the “risk matrix”, which depends upon a graphical representation of uncertainty and consequences. However, for the most part these various methodologies have had no explicit interrelationship.This paper will examine past uses of current methods to improve R&D outcomes and will highlight some of the limitations that can arise. In this context, a new concept for the integration of the TRL methodology, and the concept of the “risk matrix” will be described. The paper will conclude with observations concerning prospective future directions for the important new concept of integrated “technology readiness and risk assessments”.     

Legal consequences of a SETI detection

If a detection of ETI takes place, this will in all probability be the result of either: (a) detecting and recognising a signal or other emission of ETI; or (b) the finding of an alien artifact (for instance on the Moon or other Celestial Body of our Solar System); or (c) the highly improbable event of an actual encounter. First and foremost, legal consequences regarding any of these contingencies will result from immediate consultations between nations on Earth. Understandings, memoranda and even agreements might be proposed and/or concluded. Such results within the field of terrestrial law will surely be a new branch of International Law, and particularly of International Space Law. At the same time, terrestrial nations will have to realize that any ETI will be self-determined intelligent individualities or organizations who might have their own understanding of “rules of behaviour” and thus, be legal subjects. Whether one calls such rules “law” or not: if two intelligent races—both of which have specific rules of behaviour—come into contact with each other, the basic understanding of such mutual rules will lead to a kind of “code of conduct”. This might be the starting point for a kind of Law—Metalaw—between different races in the Universe.     

The impact of launch vehicle type and size on development cost

The technical development trend of future launch vehicle systems is towards fully reusable systems, in order to reduce space transportation cost. However, different types of launch vehicles are feasible, as there are

• —winged two-stage systems (WTS)

• —ballistic single-stage vehicles (BSS)

• —ballistic two-stage vehicles (BTS)

The performance of those systems is compared according to the present state of the art as well as the development cost, based on the “TRANSCOST-Model”. The development costs are shown versus launch mass (GLOW) and pay-load for the three types of reusable systems mentioned above.It is shown that performance optimization and cost minimization lead to different results. It is more economic to increase the vehicle size for achieving higher performance, instead of increasing technical complexity.Finally it is described that due to the essentially lower launch cost of reusable vehicles it will be feasible to recover the development cost by an amortization charge on the launch cost. This possibility, however, would allow commercial funding of future launch vehicle developments.     

Stepping stones to the future: Achieving a sustainable lunar outpost

The current emphasis in the US and internationally on lunar robotic missions is generally viewed as a precursor to possible future human missions to the Moon. As initially framed, the implementation of high level policies such as the US Vision for Space Exploration (VSE) might have been limited to either human lunar sortie missions, or to the testing at the Moon of concepts-of-operations and systems for eventual human missions to Mars [White House, Vision for Space Exploration, Washington, DC, 14 January, 2004. [1]]. However, recently announced (December 2006) US goals go much further: these plans now place at the center of future US—and perhaps international—human spaceflight activities a long-term commitment to an outpost on the Moon.Based on available documents, a human lunar outpost could be emplaced as early as the 2020–2025 timeframe, and would involve numerous novel systems, new technologies and unique operations requirements. As such, substantial investments in research and development (R&D) will be necessary prior to, during, and following the deployment of such an outpost. It seems possible that such an outpost will be an international endeavor, not just the undertaking of a single country—and the US has actively courted partners in the VSE. However, critical questions remain concerning an international lunar outpost. What might such an outpost accomplish? To what extent will “sustainability” be built into the outpost? And, most importantly, what will be the outpost's life cycle cost (LCC)?This paper will explore these issues with a view toward informing key policy and program decisions that must be made during the next several years. The paper will (1) describe a high-level analytical model of a modest lunar outpost, (2) examine (using this model) the parametric characteristics of the outpost in terms of the three critical questions indicated above, and (3) present rough estimates of the relationships of outpost goals and “sustainability” to LCC. The paper will also consider possible outpost requirements for near-term investments in enabling research in light of experiences in past advanced technology programs.     

ESDP and the space sector—defining the architecture and mechanisms for effective cooperation

This paper aims to identify and address key determinants of ESDP in space—political, industrial, research, technology and development (RTD) and procurement issues. It refers to different forms of cooperation serving the security and defence objectives of the EuropeanCommunity but organized beyond it (ESA, OCCAR, LoI, BOC, bi -or multilateral cooperation), attempting to define architecture and mechanisms for effective collaboration that could be applied between all members of the “EU 25”.     

International coordination of space solar power related activities

Because the need for energy is global, and many energy networks are already interdependent, because no one country has sufficient technological capability or sufficient funds to provide a space solar powered solution on its own, and because any such solution will require international regulation, international coordination will be vital to any attempt to produce energy for Earth from space. This will be made easier by the fact that work on the subject has already been widely publicized and distributed and cooperative efforts have already been made. Various coordinating approaches are described and the need to forge partnerships between government, industry and academia — with greater involvement of all non-space groups concerned with energy — is emphasized. A “terracing approach” to the actual implementation of SPS is suggested and outlined.     

European initiative & strategy for prioritising and harmonising space technology R&D

This document outlines the objectives, strategy guidelines, and the approach for the harmonisation of European space technology activities, in line with and in support of the resolution “Shaping of the Future of Europe in Space”, adopted at the ESA Ministerial Council in May 1999.Under an overall ESA co-ordination, the European space sector is elaborating a technology strategy based on top-level priorities (Dossier 0), on the mapping of European development and competences and on a co-ordinated Space Technology Master Plan (ESTMP). This plan shall take into account the various European developments, industry capacities and budgets and shall enhance the complementary role of the various partners towards common objectives.The proposed strategy includes selection of priority activities as pilot projects for harmonisation. For these pre-selected pilot projects, agreements are required on responsibilities, leaderships, partnerships and budget commitments.     

Roboter in der Raumfahrt

(Robots in space)—The paper emphasizes the enormous automation impact in industry caused by microelectronics, a “byproduct” of space-technology. The evolutionary stages of robotic are outlined and it is shown that there are a lot of reasons for more automation, artificial intelligence and robotic in space, too.

The telemanipulator concept is compared with the industrial robot concept, both showing up an increasing degree of similarity. The state of the art in sensory systems is discussed. By hand of the typical operations needed in space as rendezvous, assembly and docking the required robot skill is indicated. As a conclusion it is stated that the basic technologies available with industrial robots today could solve a lot of space problems.

What remains to do—apart of course from ongoing research—is better integration and adaption of industrial techniques to the need of space technology.     

The famous son of Ukrainian people V.I. Voznyuk who has provided launch of all ballistic missiles of the cosmodrome Kapustin Yar

The history of the life of V.I. Voznyuk is a history of the phenomenon of the Soviet rocket progress when the engineers with experience of launch of military rocket of small radius of action were testing the ballistic missiles. The remarkable and little-known destiny of Voznuk is the history of the Soviet rocket technology experts who had a severe practical schooling of command by the military forces of the first combat missiles “Katucha” during the grim military years (including the grandiose fight in Stalingrad) and then they have continued to launch the ballistic missiles. V.I. Voznyuk worked as the chief of the first Soviet cosmodrome Kapustin Yar for almost 30 years—since the most difficult moment of its organization. He organized a launch of the first Soviet ballistic missiles R-1, R-2, R-5M of S. Korolev. This report is about the outstanding achievement of the organizing ability of V.I. Voznyuk—about the launch of a missile with a nuclear warhead in 1956. V.I. Voznyuk closes a unique chain in the world of outstanding figures of space-rocket technology who were born or lived in Ukraine from designers of missile up to the organizers of its manufacture and now up to the organizers of the tests of rockets—J. Aizenberg, V. Budnik, O. Baclanov, V. Dogujiev, M. Galasj, N. Gerasuta, V. Gluschko, B. Gubanov, A. Gudimenko, I. Ivanov, G. Kesunjko, B. Konoplev, S. Korolev, V. Kovtunenko, V. Kukuschkin, O. Makarov, A. Nedaivoda, M. Reshetniyov, Yu. Semenov, V. Sergeev, Yu. Smetanin, V. Tchelomey, D. Torchiy, V. Utkin and M. Yangel.     

Meeting the needs of the new millennium: passenger space travel and world economic growth

Without doubt, humans’ most urgent need at the start of the new millennium is the continuation of economic growth, which is the only means by which the great majority of the world population can lift themselves out of the poverty in which they live. A sine qua non for continuing economic growth is for the rich countries to continue to develop new industries—as they did throughout the 20th century, thereby creating high-productivity employment for hundreds of millions of people around the world. Arguably the most significant of these thus far is the development of passenger air travel from zero in 1900 to 1.5 billion passengers per year by 2000. It is becoming clear that passenger space travel could grow to reach a similar economic scale—and that no other space activity has comparable potential. The paper describes the potential contribution to world economic growth of passenger space travel; the failure of government space agencies either to aid its development or to make a contribution to economic growth commensurate to their cost; and the value for economic policy of prioritising the realisation of passenger space travel. The faster passenger space travel services grow, the more the space industry will contribute to “Meeting the Needs of the New Millennium”.     

25 YEARS OF SPACE AT SURREY—PIONEERING MODERN MICROSATELLITES

Space at Surrey has developed over 25 years from very modest beginnings in 1974 to an international space centre by 1998. It has pioneered small satellites and succeeded in launching 14 low cost but sophisticated microsatellites over the course of two decades. In the 1990s, small satellites have become fashionable—but this was not always so! This paper describes the 25 years history of “Space at Surrey”.     

A liquid propulsion panorama

Liquid-propellant rocket engines are widely used all over the world, thanks to their high performances, in particular high thrust-to-weight ratio. The present paper presents a general panorama of liquid propulsion as a contribution of the IAF Advanced Propulsion Prospective Group.After a brief history of its past development in the different parts of the world, the current status of liquid propulsion, the currently observed trends, the possible areas of future improvement and a summarized road map of future developments are presented. The road map includes a summary of the liquid propulsion status presented in the “Year in review 2007” of Aerospace America.Although liquid propulsion is often seen as a mature technology with few areas of potential improvement, the requirements of an active commercial market and a renewed interest for space exploration has led to the development of a family of new engines, with more design margins, simpler to use and to produce associated with a wide variety of thrust and life requirements.     

A search of the IRAS database for evidence of Dyson Spheres

One of the forms of astroengineering activity that a very advanced civilization could possibly carry on is the constructions of huge “buildings” in space around the central star. Historically such constructions are called Dyson Spheres. We would like to introduce a new name — Astroengineering Constructions (AC) — to mean a more general type of construction not necessarily related to any specific star. AC absorb energy from different types of activity and re-emit it as infrared radiation, i.e. radiation lying in the submillimeter and millimeter range. Further, AC are expect to have spectra similar to the black-body spectra because they re-emit all the energy that they absorb, although in the infrared range, as already mentioned. Thus, the effective temperature of these Planckian distributions is expected to lie between 3–300 K with the spectrum peaking between 10 μm and 10 mm. We have analyzed the IRAS database and extracted a catalog of sources whose spectra are similar to the black-body emission. The catalog of these sources and their preliminary parameters are discussed. The distribution of the color temperatures of IRAS sources and the sky distribution of sources are also considered. The possibility of the distinction of AC from thick circumstellar dust shells around red giant stars is discussed.     

X-38, CRV and CRV Evolution Program Overview and European Role

The X-38 Project forms part of the “X” prototype vehicle family developed by the United States. Its development was initiated by NASA to prepare the Crew Return Vehicle (CRV). The European participation in the X-38 Program has been significantly extended since the start of the X-38 cooperation in 1997 and is realized by ESA's “Applied Reentry Technology Program” and the German/DLR “Technologies for Future Space Transportation Systems” (TETRA) Project. European contributions to the X-38 Vehicle 201, (V-201) can be found in all technical key areas. The orbital flight and reentry with the X-38 V-201 will conclude the X-38 project in 2002.The CRV will be used from about mid-2005 as ’ambulance‘, ’lifeboat‘ or as alternate return vehicle for the crew of the International Space Station. Recognizing the very productive and mutually beneficial cooperation established on X-38, NASA and ESA have decided to continue this cooperation into the development of the operational CRV. The Phase C/D will be completed shortly after the Critical Design Review, scheduled for August 2002. The CRV production phase will start in October 2002 and will cover production of four CRV vehicles, ending in 2006.Based on the objective to identify a further evolution potential of the CRV towards a Crew Cargo Transfer Vehicle (CCTV), NASA has implemented upgrade studies in the CRV Phase C/D.     

Planetary Defense From Space: Part 2 (Simple) Asteroid Deflection Law

A system of two space bases housing missiles for an efficient Planetary Defense of the Earth from asteroids and comets was firstly proposed by this author in 2002. It was then shown that the five Lagrangian points of the Earth–Moon system lead naturally to only two unmistakable locations of these two space bases within the sphere of influence of the Earth. These locations are the two Lagrangian points L1 (in between the Earth and the Moon) and L3 (in the direction opposite to the Moon from the Earth). In fact, placing missiles based at L1 and L3 would enable the missiles to deflect the trajectory of incoming asteroids by hitting them orthogonally to their impact trajectory toward the Earth, thus maximizing the deflection at best. It was also shown that confocal conics are the only class of missile trajectories fulfilling this “best orthogonal deflection” requirement.The mathematical theory developed by the author in the years 2002–2004 was just the beginning of a more expanded research program about the Planetary Defense. In fact, while those papers developed the formal Keplerian theory of the Optimal Planetary Defense achievable from the Earth–Moon Lagrangian points L1 and L3, this paper is devoted to the proof of a simple “(small) asteroid deflection law” relating directly the following variables to each other:

(1) the speed of the arriving asteroid with respect to the Earth (known from the astrometric observations);

(2) the asteroid's size and density (also supposed to be known from astronomical observations of various types);

(3) the “security radius” of the Earth, that is, the minimal sphere around the Earth outside which we must force the asteroid to fly if we want to be safe on Earth. Typically, we assume the security radius to equal about 10,000 km from the Earth center, but this number might be changed by more refined analyses, especially in the case of “rubble pile” asteroids;

(4) the distance from the Earth of the two Lagrangian points L1 and L3 where the defense missiles are to be housed;

(5) the deflecting missile's data, namely its mass and especially its “extra-boost”, that is, the extra-energy by which the missile must hit the asteroid to achieve the requested minimal deflection outside the security radius around the Earth.

This discovery of the simple “asteroid deflection law” presented in this paper was possible because:

(1) In the vicinity of the Earth, the hyperbola of the arriving asteroid is nearly the same as its own asymptote, namely, the asteroid's hyperbola is very much like a straight line. We call this approximation the line/circle approximation. Although “rough” compared to the ordinary Keplerian theory, this approximation simplifies the mathematical problem to such an extent that two simple, final equations can be derived.

(2) The confocal missile trajectory, orthogonal to this straight line, ceases then to be an ellipse to become just a circle centered at the Earth. This fact also simplifies things greatly. Our results are thus to be regarded as a good engineering approximation, valid for a preliminary astronautical design of the missiles and bases at L1 and L3.

Still, many more sophisticated refinements would be needed for a complete Planetary Defense System:

(1) taking into account many perturbation forces of all kinds acting on both the asteroids and missiles shot from L1 and L3;

(2) adding more (non-optimal) trajectories of missiles shot from either the Lagrangian points L4 and L5 of the Earth–Moon system or from the surface of the Moon itself;

(3) encompassing the full range of missiles currently available to the USA (and possibly other countries) so as to really see “which missiles could divert which asteroids”, even just within the very simplified scheme proposed in this paper.

In summary: outlined for the first time in February 2002, our Confocal Planetary Defense concept is a simplified Keplerian Theory that already proved simple enough to catch the attention of scholars, popular writers, and representatives of the US Military. These developments would hopefully mark the beginning of a general mathematical vision for building an efficient Planetary Defense System in space and in the vicinity of the Earth, although not on the surface of the Earth itself!We must make a real progress beyond academic papers, Hollywood movies and secret military plans, before asteroids like 99942 Apophis get close enough to destroy us in 2029 or a little later.     

Life and intelligence in the universe from nanobiological principles: A survey and budget of concepts and perspectives

The new-born bioscience called Nanobiology has tackled the problems of the possibility of existence of extraterrestrial life and intelligence and of biosystem distribution in the Universe, as such questions actually belong to the realm of Theoretical Biology. The central, and yet unanswered points of such science have been reinvestigated by attempting knowledge and control of the hard-to-determine nanoscale-level classical and quantum interactions, which would supposedly give mechanistic, definite answers, both informationally and energetically, to the vexing questions put by biosystems to science: is the “living state” a physically definible concept, and how to define it? Are nanoscale kinetics or even detailed mechanics involved in the origin of life? What about intelligence, consciousness and their nanophysical roots? Are “life” and “intelligence” engineerable properties, or is any Artificial Intelligence program bound to mere metaphors? Self-organization, studied at the thermodynamic and the hydrodynamic level, showed the possibility of chemical evolution from amino acids, probably of cometary and/or meteoritic origin, up to spatiotemporal organization, autopoiesis and biological evolution, but didn't explain the origins of life. Questioning the uniqueness of the earthly evolutionary chemistry is cardinal for the ETI dilemma, as from a budgetary appraisal of perspectives in bionanoscale chaotic undecidable dynamics, quantum gravity and quantum vacuum, both “living state” and “intelligence” look like nonlocal, spacetime-linked cosmic phenomena.     

US space policy assessed

Recognizing that, in the wake of major geopolitical changes, technological developments and global recession, the US space programme needed to change, then Vice President Dan Quayle commissioned a review of the USA's space policy which was completed at the very end of 1992. Its findings — in summary form — and recommendations are reprinted here.     

Space transportation system: Upper stage possibilities

This study is concerned with STS upper stages; in particular, the question of reusability vs expendability is addressed.The main result is: reusability seems to be of economic advantage in the lower performance requirement field, and expendability seems to be the more attractive in the case of high performance requirement. The boundary between “low” and “high” performance requirement can be well defined, and is of course dependent upon the technology applied.Whereas single-stage conventional chemical rocket upper stages compatible with STS are the main focal point of this study, several less conventional possibilities are identified. So a second major result is, that in spite of many years of study by competent authors the field is not yet fully understood.Finally: Study method and some of the results are applicable to the more general question of optimum OTV design.