1、 GUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS JUNE 2003 American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 Copyright 2003 American Bureau of Shipping ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA ABSGUIDANCE NOTES ON REVIEW AND APPROVAL O
2、F NOVEL CONCEPTS .2003 iii Foreword The mission of the American Bureau of Shipping (ABS) is to serve the public interest, as well as the needs of its clients, by promoting the security of life, property, and the natural environment. This is primarily accomplished through the development and verifica
3、tion of standards for the design, construction and operational maintenance of marine and offshore facilities. These standards or Rules are established from principles of naval architecture, marine engineering and other engineering principles that have been proven satisfactory by service experience a
4、nd systematic analysis. The marine and offshore industries frequently develop novel applications or processes that have no previous experience in the environment being proposed. These novel concepts have such little precedent and may be so different from existing designs that the guidance encompasse
5、d in the class Rules may not be directly applicable to them. The guidelines presented herein offer ABS clients a methodology for requesting classification of a novel design. These Guidance Notes describe the process and responsibilities for ABS review of proposed novel concepts from the project conc
6、ept stage through maintaining Classification on the novel concept. The process described in the document draws upon engineering, testing and risk assessments in order to determine if the concept provides acceptable levels of safety in line with current offshore and marine industry practice. The meth
7、odology relies heavily on risk assessment techniques as a way to better understand and anticipate structural and operational issues related to the novel concept. These Guidance Notes are more suited to an application with a high degree of novelty. This document provides guidance, in the form of a ch
8、ecklist, to assist the client in identifying if a proposed design would be categorized as new or novel with regards to ABS classification. If a client is proposing an alternative to one or a small number of current Rule requirement(s), it may be more appropriate to follow the methodologies outlined
9、within the ABS Guide for Risk Evaluations for the Classification of Marine-Related Facilities in order to gain ABS approval. ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 v GUIDANCE NOTES ON NOVEL CONCEPTS CONTENTS SECTION 1 Introduction 1 1 Purpose1 2 Background1 3 The Evolution
10、of a Concept .1 4 Path to Class Approval 3 5 Definitions 3 FIGURE 1 Concept Evolution2 SECTION 2 Application5 1 General 5 2 New/Novel Concept Checklist .6 TABLE 1 Novel Concept Checklist6 SECTION 3 Novel Concept Approval Process 11 1 Overview 11 1.1 Determine Approval Route12 1.2 AIP (with Approval
11、Road Map)12 1.3 Final Class Approval .12 1.4 Maintenance of Class12 FIGURE 1 Novel Concept Approval Process 11 FIGURE 2 Process Flow for ABS Approval of Novel Concepts13 SECTION 4 Approval in Principle .15 1 Scope.15 2 Required Information to be Submitted.16 2.1 Novel Application Description .16 2.2
12、 Support Information.17 vi ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 3 Concept Engineering Evaluation .17 3.1 Verification of Conventional Features18 3.2 Verification of Novel Features .18 3.3 Verification of Operability.19 3.4 Verification of Interface Issues 19 3.5 Verificat
13、ion of Inspectability and Maintainability 20 4 Concept Level Risk Assessments .20 4.1 Qualitative Risk Techniques20 4.2 Comparative Risk Assessment22 4.3 Concept Level Risk Assessment Submittal Requirements22 5 Granting “Approval in Principle”.23 5.1 Conditions for Approval in Principle:23 5.2 Issua
14、nce of AIP Letter .23 TABLE 1 Qualitative Risk Techniques 21 SECTION 5 Final Class Approval . 25 1 Information Required for Engineering Evaluation25 2 Review and Verification of Engineering Analyses for Full Approval.25 2.1 Reconfirmation of Relevant Design Codes and Standards Applied .26 2.2 Calcul
15、ation Dossier .26 2.3 Confirmation of Interface Issues26 2.4 Confirmation of Inspectability and Maintainability26 3 Detailed Risk Assessment .27 3.1 Quantitative Risk Techniques27 3.2 Selection of Target Reliability and Risk Acceptance Criteria.28 3.3 Comparative Risk Assessment29 3.4 Detailed Risk
16、Assessment Submittal Requirements30 TABLE 1 Quantitative Risk Techniques 27 SECTION 6 Input to Surveys and Maintenance of Class 31 1 Knowledge Gained.31 1.1 Input to Survey during Construction 31 1.2 Input to Survey during In-Service Operation32 SECTION 7 Government and Regulatory Involvement. 33 AP
17、PENDIX 1 Sample Risk Matrix 35 ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 1 SECTION 1 Introduction 1 Purpose This document provides guidance to ABS clients related to the ABS methodology for review and approval of new/novel concepts. The document describes the process and respo
18、nsibilities for ABS review of proposed new/novel concepts from the project concept stage through maintaining Classification on the novel concept. 2 Background A new or novel concept is defined as an application or process that has no previous experience in the environment being proposed. These Guida
19、nce Notes are intended to cover proposed applications that have not been proven in the marine or offshore industry and would therefore be considered novel for those environments. Marine and offshore installations which contain novel features of design with respect to the structural aspects, machiner
20、y systems, storage or process aspects to which the provisions of the current Rules, Guides and existing industry standards are not directly applicable may still be classed or certified. This approval is on the basis that the Rules, Guides and existing industry standards insofar as applicable have be
21、en complied with, and that special consideration through appropriate risk assessment and engineering analyses has been given to the novel features through the application of this guideline. In some instances, certain features of a particular system or structure may not meet the intent of the current
22、 Rule requirements. The guidelines presented herein are more suited to an application with a high degree of novelty. If a client is proposing an alternative to one or a small number of current Rule requirement(s), it may be more appropriate to follow the methodologies outlined within the ABS Guide f
23、or Risk Evaluations for the Classification of Marine-Related Facilities in order to gain ABS approval. 3 The Evolution of a Concept The document contained herein is structured to provide a general procedure for clients that guides them through the process of obtaining and maintaining class approval
24、of new/novel concepts. The process described in the document draws upon engineering, testing and risk assessments in order to determine if the concept provides acceptable levels of safety in line with current offshore and marine industry practice. It also provides guidance, in the form of a checklis
25、t, to assist the client in identifying if a proposed design would be categorized as new or novel with regards to ABS classification. Guidance is also provided on the general level of evaluation and review conducted for different types of concepts. ABS recognizes that there are varying degrees of new
26、 concepts (e.g., level of uncertainties or similarities to existing applications), and hence not all proposed new concepts will require the same level of evaluation and review. The document is organized around the general steps involved with developing initial concepts, through detailed design and u
27、ltimately to the implementation of the marine or offshore application. The primary milestones related to these steps for obtaining and maintaining class include: Section 1 Introduction 2 ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 i) Approval in Principle (concept development ph
28、ase) ii) Final Approval for Classification (detailed design/construction/commissioning phase) iii) Maintenance of Classification (implementation/operational phase) Section 1, Figure 1 demonstrates graphically the evolution of a concept in terms of engineering and operation, risk assessment and ABS i
29、nvolvement in these phases. Clients who are just beginning to explore the possibilities of a new technology or concept often seek ABS input and expert opinion on its perception of the concept in terms of Class or ABS approval. Thus, clients will seek a preliminary approval from ABS on the novel feat
30、ure or concept. This preliminary milestone in the ABS Class process is called Approval in Principle (AIP). The benefit of gaining AIP from a Class Society is that the client now has a document issued by a knowledgeable independent marine and offshore society attesting to the acceptability of the con
31、cept for classification. At the AIP stage, risk is assessed on a high level through qualitative techniques. Engineering within the AIP phase is to be progressed to the point of demonstrating that likely failure modes and consequences have been identified and at least considered in the concept design
32、. The need for proof or model testing and data gathering will have been identified. Further need for refined risk assessment and engineering analysis will have been identified as well. Once granted AIP, the client will then most likely advance into the next phases of the project, involving the detai
33、led design and also the advanced risk assessment and testing which may have been identified in the conceptual phase. This will aid the client and ABS in gaining certainty in their design as the level and accuracy of the risk assessment and engineering evaluation increases. This phase of the project
34、would involve traditional Class participation in the form of design review and survey and would ultimately result in Class approval. Maintenance of Class would be performed in the traditional sense, involving periodic surveys to validate renewal of the Class Certificate. However, in this instance, t
35、he maintenance of Class for a novel concept may involve a modified and/or expanded survey scope or frequency as a condition of Class, until the concept has built up a satisfactory service experience. FIGURE 1 Concept Evolution HAZID / ChangeAnalysisConcept Idea /Design BasisRiskAssessmentsEngineerin
36、g /OperationRequiredperformancelimits of systemUncertaintyUncertaintyWhatifHAZOPFMEAFault Tree/ Event TreeReliability AnalysisConceptualDesignEngineering PrototypeDevelopment and TestingDetailed DesignConstructionInstallation /OperationIncreasingConfidenceIncreasingConfidenceABSAIPPhaseDetailedDesig
37、nApprovalSurveyIncreasingunderstanding ofsystemparameters andbehaviorIncreasingunderstanding ofsystem risksTargetPerformanceSection 1 Introduction ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 3 4 Path to Class Approval This document outlines the steps of the Class process for a n
38、ovel concept that will aid the client in understanding of the process via the identification of a clear path to achieving both AIP and full ABS approval. This process involves ABS and the client working together to accomplish the following: i) Determine, as a first step, the approval route to achiev
39、e AIP. This will involve the client and ABS meeting to discuss the concept, its purpose, its novel features and where it deviates from traditional approaches, the proposed operating envelope and the potential impact of the concept on other systems or components. Agreement will be reached as to the b
40、est methods to assess risk in the AIP phase as well as the appropriate level of engineering analysis. ii) Meeting throughout the AIP phase as the concept is being evaluated to formulate an Approval Road Map that will lay out conditions to achieving full approval. This road map will form the basis fo
41、r the conditions attached to the AIP issuance. The road map will define clearly the approach needed from a risk assessment and engineering analysis standpoint to justify those novel aspects not covered by existing Rules, codes and standards. iii) Participating in and evaluating the necessary risk as
42、sessments, analyses and tests necessary to satisfy the conditions outlined in the AIP Road Map to achieve a level of confidence that the design and the risk are acceptable. iv) Determining the necessary additional conditions assigned to maintenance of Class via additional survey scope or frequency o
43、f attendance, condition monitoring, required maintenance and inspection techniques to maintain levels of monitoring assumed in the design phase which may have been necessary to achieve various design parameters, and finally as a means to verify assumptions and predictions made throughout the process
44、. In addition to the guidance as outlined in this document, it is important to stress the continuous, forthright and timely communications between the client and ABS throughout the concept approval process. This will ensure smooth evaluation, review and ultimately implementation of the new/novel con
45、cept, minimizing the potential for uncertainties while maximizing the clients efforts and efficient use of resources to gain approval of the concept. 5 Definitions Approval is intended to mean that the plans, reports or documents submitted to ABS have been reviewed for compliance with one or more of
46、 the required Rules, Guides, standards or other criteria acceptable to ABS. Approval in Principle (AIP) is a process by which ABS issues a statement that a proposed novel concept design complies with the intent of ABS Rules and/or appropriate codes although said design may not yet be fully evolved (
47、i.e., concept appears to have technical feasibility from both safety personnel and environment and functional perspectives), subject to a list of conditions that must be addressed in the final design stage. Classification is a representation by ABS as to the structural and mechanical fitness for a p
48、articular use or service, in accordance with its Rules and standards. In the context of a novel concept, this would also mean that the conditions outlined within the approval road map identified during the AIP stage have been demonstrated to the satisfaction of ABS. Consequence is the measure of the
49、 impact of an event occurrence in terms of people affected, property damaged, outage time, dollars lost or any other chosen parameter usually expressed in terms of consequence per event or consequence amount per unit of time, typically per year. Section 1 Introduction 4 ABSGUIDANCE NOTES ON REVIEW AND APPROVAL OF NOVEL CONCEPTS .2003 Controls are the measures taken to prevent hazards from causing undesirable events. Controls can be physical (e.g., safety shutdowns, redundant controls, added conservatism in design), procedural (e.g., operating procedures, routine inspection requirements
