Section 1 Introduction
Clasification Society 2024 - Version 9.40
Clasifications Register Guidance Information - Guidance Notes for Certification through Technology Qualification, January 2022 - Chapter 1 Basis for Certification through Technology Qualification - Section 1 Introduction

Section 1 Introduction

Parent topic: Chapter 1 Basis for Certification through Technology Qualification

1.1 General

1.1.1 Innovation and new technologies can often lead to the development of novel designs, concepts or applications that are not covered by normative Rules, existing Standards, or conventional industry practices. These designs or concepts and/or the application of existing technology to new environments can introduce risks and challenge project outcomes. Therefore, the unknowns associated with the deployment of novel technologies need to be identified, investigated, assessed, and managed through an evidence-based certification process that provides confidence to all stakeholders in the technology.

1.1.2 As investors in new technologies seek assurance that they will receive the desired return on investment, the certification of a technology by an independent certification body provides an additional layer of confidence in achieving that goal. Furthermore, insurance bodies may offer lower insurance premiums for technologies that have been certified by independent bodies, which is of benefit to technology developers.

1.1.3 It is also accepted that in terms of facilitating export of products, aside from reducing technical barriers to trade, certified products benefit from augmented cross-border marketing potential, increased end-user confidence, assured proof of compliance against stated technical specifications, reduced operational risk and enhanced safety.

1.1.4 The Lloyd’s Register ‘Certification through Technology Qualification’ provides an independent, robust, systematic technology verification and validation process by demonstrating to interested parties that the uncertainties introduced by a novel technology, a new application of an existing technology, or an innovative method for deploying existing technology have been considered, and that the technology meets or exceeds the requirements of the specifications provided in the definition of the technology (see Ch 3, 2.4 Definition of the technology.

1.1.5 The technology qualification certification process is based upon objective evidence and arguments to support claims that the technology will function in the target operating environment, within specific limits and with an acceptable level of confidence.

1.1.6 While this certification process is applicable for the assessment of most technologies, it excludes the certification of novel software. However, it includes pre-certified novel software embedded in hardware systems.

1.2 Purpose

1.2.1 These guidance notes present the process for Certification through Technology Qualification. As part of the certification process, LR adopts a universally accepted technology and integration readiness level framework (see Ch 5, 1 Technology Assessment scale and Ch 5, 2 Integration assessment scale), a total system perspective and lifecycle approach during each stage of assessment. The details provided in this document cover the various requirements and deliverables for each stage, leading to the award of a Technology Qualification Certificate.

1.3 Overview of certification process

1.3.1 Certification through technology qualification is delivered in three stages, as illustrated in Figure 1.1.1 Overview of Certification through Technology Qualification

1.3.2 Stage 01: Technology Verification – This stage covers the assessment of a product or technology against the definition of the technology (see Ch 3, 2.4 Definition of the technology), as claimed by the technology developer. While conventional verification consists of an assessment of a technology against existing codes or standards, these are not always applicable for novel technologies. For this reason, novel technologies are assessed against the definition of the technology to confirm whether the technology complies with the stated requirements; and if not, the divergence that must be rectified by the developer to merit a Technology Qualification Certificate. The deliverable at the end of this stage is a Technology Appraisal Report.

1.3.3 Stage 02: Technology Validation – During this stage, the technology is assessed against its definition through an evaluation of test results obtained from a series of appropriate tests, as highlighted in the approved Technology Qualification Plan (see Ch 3, 3.2 Preparation of a Technology Qualification Plan and Ch 3, 3.3 Review of technology qualification plan). Upon successful completion of all qualification tests related to this stage, a Technology Validation Report can be issued confirming whether (or not) the tests results have met the approved acceptance criteria (see Ch 3, 2.5 Refinement of the acceptance criteria for each identified qualification activity.

Figure 1.1.1 Overview of Certification through Technology Qualification

1.3.4 Stage 03: Performance review – During the previous stages, the technology was assessed against its definition through a verification and validation process, to confirm whether it met or exceeded the acceptance criteria. This definition of the technology was based on the general technical requirements for the technology to be considered as a minimum viable product (MVP). However, technologies are designed to be deployed in varied operational environments that have their respective set of minimum requirements to ensure the safety (of personnel and asset) and ensure a seamless integration with existing technologies to deliver the required outputs. This stage consists of a comprehensive evaluation of the technology against the requirements for the intended operational environment. Following a successful outcome from this stage is a Technology Qualification Certificate can be awarded. This document will contain the details the technology assessed as well as its operational limits.

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