Section 1 Introduction

1.1.1 Innovation and the increasing complexity of new technology can often lead to the development of novel designs, concepts or applications that are not covered by existing Rules, normative standards or conventional industry practices.

1.1.2 Innovative engineering concepts and/or the application of existing technology to new environments can introduce risks and challenge project outcomes, standard procedures and certification processes. Therefore the unknowns associated with the deployment of novel technology need to be identified and assessed to prevent undesired outcomes.

1.2.1 These Guidance Notes present Lloyd’s Register’s Technology Qualification (TQ) methodology to assess and help manage the risks introduced by novel technologies.

1.2.2 TQ is a robust and systematic risk management process that demonstrates to interested parties that the uncertainties introduced by a novel technology, or new application of an existing technology, have been considered and that any associated technology risks have been mitigated.

1.2.3 TQ is a risk-based process that uses the readiness level framework, a total system perspective and lifecycle approach to qualify new technologies, unconventional designs and new ways of applying existing technology.

1.2.4 TQ is a methodology that provides assurance to Owners, Operators, suppliers and investors at the different stages of novel technology development.

1.3.4 The TQ process can be applied at any stage during the development cycle of systems or technology.

1.4.1 Stage 1: technology appraisal (Ch 1, 4 Technology Qualification stage 1: technology appraisal): The purpose of the technology appraisal is to identify and understand the uncertainties associated with the novel aspects of the technology, which can then be used in the subsequent stage to develop the TQ plan (TQP). This stage considers the maturity and integration of the individual elements/components of the technology. It may also include a high level technology risk assessment to provide further inputs to the formation of the TQP and to identify suitable risk mitigation measures.

1.4.2 Stage 2: TQP (Ch 1, 5 Technology Qualification stage 2: Technology Qualification plan): In this stage, qualification methods are selected based on inputs from the technology appraisal (stage 1). The aim is to define suitable qualification methods such that their successful completion will reduce the technology uncertainties identified in stage 1 to the required level, or a level similar to those for proven or mature technologies. The TQP fully defines the qualification methods or activities, with all information required for the execution of the qualification including responsible parties, acceptance criteria, methodology and reporting requirements.

1.4.3 Stage 3: execution, review and certification (Ch 1, 6 Technology Qualification stage 3: execution, review and certification): In this stage the qualification activities in the TQP are completed, and the results assessed to confirm that the technology uncertainties identified in stage 1 have been suitably addressed. Upon successful completion of the qualification scope LR issues a TQ certificate, recording the status of the qualification process, effectively approving the readiness of the technology for the next stage(s) of its development (e.g. detailed design, field testing, or integration) or for its application.

It should be noted that TQ is normally an iterative process, in that it may be necessary to repeat elements of stage 1, and/or update the TQP, in response to further developments in the technology or to the plan’s execution. This may be a result of, for example, qualification activities failing to achieve their acceptance criteria or due to changes in the design of the technology.

1.5.2 Through its early application, TQ can realise benefits to the client in helping them to optimise their qualification process by early identification of technology uncertainties and by avoiding unnecessary qualification effort. It can also help the client in their decision-making processes (e.g. in support of milestones or decision gates) and to secure early stakeholder acceptance.

1.5.3 TQ can, however, be applied at any stage – even for completed developments (i.e. it can be applied retrospectively), although clearly the potential benefits are likely to be somewhat reduced in this case, and there may be challenges to completing the TQ processes if, for example, insufficient evidence has been captured during the client’s technology development programme.