Section 4 Stage 03: Performance review

4.1 Introduction

4.1.1 Usually the purpose for developing a technology is to deploy it in a defined operational environment where it is to be integrated into a wider system consisting of multiple technologies. Deploying it in the intended environment therefore demands that additional analysis be carried out. The main considerations for this stage of the certification process are the following:

Operational regulatory requirements, if any; and if so, what are the codes or standards that must be complied with (e.g. MARPOL, SOLAS regulations, EMC, subsea acoustics, etc.);
Analyses of the interface of the novel technology with existing systems so as to fully understand the basis of these interactions and to ensure safety (of personnel and assets), and that reliability and operational efficiency are not compromised (e.g. an automated control system, data transfer and security);
Performance support systems (e.g. training requirements for operational personnel, operational and maintenance documented procedures, etc.) for operations throughout its lifecycle in the intended environment; and
Impact of the failure modes of other interfacing technologies on the novel technology itself.

4.1.2 The justification for this stage emerges from the definition of technology qualification (see Ch 1, 1.1 General 1.1.5), wherein the operational context also requires consideration. This stage comprises of the activities as illustrated in Figure 3.4.1 Performance review activities .

4.2 Definition of tests related to operational environment

4.2.1 The inputs to this stage are the definition of the operational environment which in turn defines the type of tests required for the technology to function safely, reliably, and efficiently. The following shall therefore be considered:

Interface requirements of the interacting technologies in the operational environment;
Commissioning and operational procedures;
Operational personnel training processes, as applicable;
Periodic inspection and maintenance procedures, and frequency of interventions;
Maintenance procedures and management of operational service records, as required; and
Whether further analysis or testing may be appropriate under actual operational conditions.

4.2.2 If the technology is expected to be operated in a regulated environment, the respective requirements must be fully considered when developing test procedures. The test procedures shall include all codes, standards or normative rules for the environment that must be complied with (e.g.: IEC 60079 for hazardous atmospheres).

4.2.3 As with the development of the TQP, the technology developer is free to engage any third-party assistance in defining the scope, type of tests and test procedures required. Regarding conflict-of-interest issues (see Ch 2, 1.3 Conflict of interest ) neither LR nor any contracted party acting as assessors can be associated with the development of these activities.

4.3 Approval of operational environment tests

4.3.1 The approval procedure is similar to that of a TQP (see Ch 3, 3.3 Review of technology qualification plan), with the difference being that there is no Statement of Feasibility issued following this activity. The reason for this is that unlike the purpose for a TQP approval, this stage focuses on the measure of the technology’s performance against defined regulatory acceptance criteria and not its viability as a technology.

Figure 3.4.1 Performance review activities

4.4 Witnessing operational environment tests

4.4.1 Again, as with the previous test-witnessing activities (see Ch 3, 3.5 Witnessing of tests, Ch 3, 3.6 Submission of test results and Ch 3, 3.7 Review of test results against acceptance criteria), this activity is similar in practice. Equally, the requirement for LR personnel to witness specific tests in the operational environment, other than those performed at accredited test facilities that can demonstrate a reflection of similar environments, remains the same (see Ch 3, 3.5 Witnessing of tests 3.5.2).

4.5 Review of operational environment test results

4.5.1 Results obtained from tests based upon approved test procedures will be reviewed by LR to confirm their acceptance against operational requirements. This review process is similar to that of validation tests (see Ch 3, 3.8 Final review of submitted test results 3.8.1), with the exception that the content is now replaced with that stated on approved performance review test procedures (see Ch 3, 4.2 Definition of tests related to operational environment).

4.6 Certification

4.6.1 The issuance of a Technology Qualification certificate represents the culmination of this impartial independent assessment process based upon these guidance notes. It further confirms the readiness of the technology for deployment within the intended operational environment.

4.6.2 The certificate is valid for five years and can be renewed if no modification has been made to the approved design. The validity is also conditioned on the technology developer keeping LR informed on the application of the technology (e.g. its performance under operational dynamic conditions) and any proposed further developments.

4.6.3 It is possible for a certificate to be issued more than once for a technology (e.g. if a technology is further developed beyond its initial certified design), or as the technology matures and more detailed operational information becomes available, the functional and performance requirements may need to be updated. If this is the case, the technology developer is to present any intended modifications, so LR can assess whether a secondary verification and validation process is required prior to awarding an updated certificate.

4.6.4 If LR issues a certificate on behalf of another certification body (see Ch 2, 2.5 Certification on behalf of other bodies), any additional conditions required by that body, will also need to be fulfilled.