Section 1 List of available certifications

1.1.1 Approval in Principle (AiP) is intended to provide technology developers with early confidence that their technology is capable of being appraised against existing codes and standards. It is principally a certificate to assist technology developers in selling new technology by suggesting that a design can be accepted providing that the correct amount of risk assessment, detailed design engineering and production testing is undertaken. This may help a technology developer to obtain project finance, insurance, etc., prior to committal to the next phases of development. AiP also helps project partners and other stakeholders develop the required assurance to proceed.

1.1.2 Aside from providing an independent endorsement of new ideas, an AiP process offers technology developers an opportunity to lay out a road map for full regulatory compliance by focussing on key issues that would not have been considered during the technology qualification certification process.

1.2.1 In the maritime sector, LR’s role as a Classification Society and RO is to ensure the project (e.g. a completed ship) complies with relevant Class Rules and statutory Convention requirements developed by IMO. This is achieved through an independent review of the technology, and where necessary, detailed analyses. In this instance, LR is the custodian and interpreter of the LR Class Rules. If LR is satisfied that the Rules have been complied with, a Class Certificate is issued. Interpretation of the statutory Conventions is the prerogative of the national Administration, so such certification is more literal.

1.2.2 Class Rules and statutory Conventions may be highly prescriptive. As the emphasis is on demonstrating equivalence to prescriptive requirements or the ‘intent’ of Rules or strict compliance with Convention requirements, a technology developer should determine whether the technology is capable of meeting these requirements, before embarking upon this type of certification. TQ certification may provide evidence supporting classification or statutory Convention certification.

1.3.1 Essentially, all assurance work undertaken by LR is third-party assurance, although historically this terminology is retained for all assurance work that does not fit into any other type of certification. Third-party assurance can be conducted against any standard, specification or procedure defined by the technology developer. This includes, but is not limited to, the design appraisal of documentation or witnessing of activities related to manufacturing, testing, installation, or commissioning. LR’s role is to act as an independent body to confirm that the scope seeking assurance follows applicable codes, standards, or other technical requirements.

1.3.2 Third-party assurance follows TQ certification on a project specific basis where independent assurance may be required beyond just the elements certified. This is particularly applicable when a certified novel technology that is integrated into a wider system must comply with a project or operator requirements. When this is requested outside of a regulatory framework, this certification is referred to as third-party assurance.

1.4.1 In relation to a Certificate of Fitness for an installation, the purpose is to provide confidence that its design and construction meets prescriptive rules set out in national/statutory regulations supplemented by international codes and standards.

1.4.2 The role of a Certifying Authority (CA), approved by the national regulator/authority, is to act on its behalf to ensure the installation meets the requirements of applicable legislation, thereby ensuring (as far as reasonably practicable) the integrity of the installation (see Ch 2, 2.5 Certification on behalf of other bodies). Where LR acts as a CA, all documents related to critical items will be reviewed for compliance during an assessment. Additionally, activities such as witnessing of tests or periodic surveys in accordance with regulatory requirements also form part of this scope.

1.4.3 If a technology developer seeks certification for the deployment of their technology in a regulated environment, they should engage with LR to understand the full set of requirements associated with that certification.

1.5.1 This certification involves compliance to a specific code or directive (e.g. PED, etc.).

1.5.2 In product certification, the scope involves compliance against defined standards/regulations. The assessment methods are similar to those as when LR is a CA or a recognised third-party assurance provider. All documents necessary to demonstrate compliance will need to be reviewed, though the level of review within each document (e.g. sample size) is a matter of judgement unless the standard expressly indicates a prescriptive requirement.

1.6.1 Type Approval is a particular form of product certification which is used to approve components intended for mass production when assessed against normative standards and codes. It is an efficient and cost-effective alternative to certifying identical products individually. In addition to the requirement to meet normative standards, the manufacturer must also demonstrate that they have a suitable production facility in place, such that regardless of the number of components produced, they are identical to each other.