1、 Guidance Notes on Qualifying New Technologies GUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES APRIL 2017 American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 2017 American Bureau of Shipping. All rights reserved. ABS Plaza 16855 Northchase Drive Houston, TX 770
2、60 USAForeword Foreword The marine and offshore industries regularly develop new technologies that have no service history in the proposed application or environment. Often, governing industry codes and regulations do not develop at the same pace as technology. These new technologies have little or
3、no precedent and may be so different from existing designs that the requirements contained in class Rules may not be directly applicable. These Guidance Notes describe the ABS approach for qualification of new technologies to confirm their ability to perform intended functions in accordance with def
4、ined performance requirements. This document also provides details regarding the required submittals and the key interaction points with ABS during the new technology development to benefit from ABS involvement as a trusted advisor. A systems engineering approach to qualification is introduced in th
5、is document that allows for systematic and consistent evaluation of new technologies as they mature from a concept through confirmation of operational integrity in their intended applications. The approach is divided into a five stage process that is aligned with the typical product development phas
6、es of a new technology: Feasibility Stage Concept Verification Stage Prototype Validation Stage System Integration Stage Operational Stage Completion of qualification activities within each stage of the new technology qualification process results in a Statement of Maturity issued to the client atte
7、sting to the maturity level of the new technology. Upon completion of the Prototype Validation Stage, the new technology may be “Type Approved” under the ABS Type Approval Program to limit repeated evaluation of identical designs for eligible products. During the Prototype Validation Stage, if all t
8、he engineering evaluations have been completed, a Product Design Assessment (PDA) can be issued prior to further consideration for ABS Type Approval. The integration of the new technology qualification process with the Novel Concept Class Approval process (as presented within the ABS Guidance Notes
9、on Review and Approval of Novel Concepts) provides end users of the qualified technologies with the added benefit that the transition from new technology qualification to Class Approval will be seamless. It provides regulatory agencies with the confidence that all hazards associated with the introdu
10、ction of the new technology to the market has been systematically identified and mitigated. It is to be noted that when applying these Guidance Notes for certification or classification purposes in conjunction with Novel Concept Class Approval process, the primary driver for classification acceptanc
11、e will be safety even though there may be additional functional requirements (e.g., reliability) defined by the client. These Guidance Notes become effective on the first day of the month of publication. Users are advised to check periodically on the ABS website www.eagle.org to verify that this ver
12、sion of these Guidance Notes is the most current. We welcome your feedback. Comments or suggestions can be sent electronically by email to rsdeagle.org. Terms of Use The information presented herein is intended solely to assist the reader in the methodologies and/or techniques discussed. These Guida
13、nce Notes do not and cannot replace the analysis and/or advice of a qualified professional. It is the responsibility of the reader to perform their own assessment and obtain professional advice. Information contained herein is considered to be pertinent at the time of publication, but may be invalid
14、ated as a result of subsequent legislations, regulations, standards, methods, and/or more updated information and the reader assumes full responsibility for compliance. This publication may not be copied or redistributed in part or in whole without prior written consent from ABS. ii ABSGUIDANCE NOTE
15、S ON QUALIFYING NEW TECHNOLOGIES .2017 Table of Contents GUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES CONTENTS SECTION 1 Introduction 1 1 Overview . 1 3 Background . 1 5 Application 2 7 New Technology Qualification Process 2 9 ABS Type Approval Program 4 11 Definitions . 4 13 Abbreviations 6 FIGURE
16、 1 New Technology Qualification Process 3 SECTION 2 Getting Started . 7 1 New Technology Qualification Project and Team Setup 7 3 New Technology Decomposition and Requirements Gathering . 7 3.1 Introduction 7 3.3 New Technology System Requirements and Description Document 9 5 New Technology Screenin
17、g 12 7 New Technology Stage Determination . 13 9 New Technology Qualification Plan and Activities 14 9.1 Risk Assessment Requirements 14 9.3 Engineering Evaluation 16 9.5 Design Improvements . 17 TABLE 1 Systematic Screening Table . 13 TABLE 2 Recommended Risk Assessment Techniques . 16 FIGURE 1 New
18、 Technology System Hierarchy 8 FIGURE 2 New Technology Qualification Stage Iterative Process 14 ABSGUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES .2017 iii SECTION 3 Feasibility Stage . 19 1 Introduction . 19 3 Qualification Activities . 19 3.1 Engineering Evaluation 19 3.3 Risk Assessment . 19 5 Sum
19、mary of Submittals . 20 5.1 Engineering Evaluation 20 5.3 Risk Assessment . 20 7 Feasibility Stage Completion: Technology Feasible . 20 SECTION 4 Concept Verification Stage 21 1 Introduction . 21 3 Qualification Plan Activities . 21 3.1 Engineering Evaluation 21 3.3 Risk Assessment . 22 5 Summary of
20、 Submittals . 23 5.1 Engineering Evaluation 23 5.3 Risk Assessment . 23 7 Concept Verification Stage Completion: Concept Verified . 23 SECTION 5 Prototype Validation Stage 24 1 Introduction . 24 3 Qualification Plan Activities . 24 3.1 Engineering Evaluation 24 3.3 Risk Assessment . 25 5 Summary of
21、Submittals . 26 5.1 Engineering Evaluation 26 5.3 Risk Assessment . 26 7 Prototype Stage Completion: Technology Qualified . 27 9 ABS Type Approval Program 27 SECTION 6 Systems Integration Stage 28 1 Introduction . 28 3 Qualification Plan Activities . 28 3.1 Engineering Evaluation 28 3.3 Risk Assessm
22、ent . 29 5 Summary of Submittals . 29 5.1 Engineering Evaluation 29 5.3 Risk Assessment . 29 7 System Integration Stage Completion: Technology Integrated 29 SECTION 7 Operational Stage . 30 1 Introduction . 30 3 Qualification Plan Activities . 30 5 Summary of Submittals . 31 7 Operational Stage Comp
23、letion: Operationally Qualified . 31 iv ABSGUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES .2017 APPENDIX 1 References 32 APPENDIX 2 Comparison of ABS Qualification Stages with Industry TRLs . 34 1 Introduction . 34 TABLE 1 ABS Qualification Stages Comparison with Various Industry TRLs 34 APPENDIX 3 N
24、ew Technology Stage Determination . 35 1 Introduction . 35 APPENDIX 4 New Technology Qualification Plan (NTQP) Template 38 1 Introduction . 38 3 New Technology Qualification Plan (NTQP) Template 38 ABSGUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES .2017 v This Page Intentionally Left Blank Section 1:
25、 Introduction SECTION 1 Introduction 1 Overview These Guidance Notes describe the ABS approach for qualification of new technologies to confirm their ability to perform intended functions in accordance with defined performance requirements. They also provide details of the required submittals, the A
26、BS review process and the key interaction points with ABS during the new technology development. This document introduces a systems engineering approach to qualification that allows for systematic and consistent evaluation of new technologies as it matures from a concept through confirmation of oper
27、ational integrity in its intended application. The approach is divided into a multi-stage process that is aligned with the typical product development phases of a new technology. The qualification activities within each stage employ risk assessments and engineering evaluations that build upon each o
28、ther in order to determine if the new technology provides acceptable levels of safety in line with current offshore and marine industry practice. The qualification efforts by all stakeholders including the vendor, system integrator and end-user at each stage are recognized and captured within a new
29、technology qualification plan (NTQP). Completion of qualification activities as identified within each stage of the NTQP results in a Statement of Maturity being issued by ABS attesting to the maturity level of the new technology. The process is also compatible with approaches based on technology re
30、adiness levels (TRLs), (e.g. API RP 17N/Q, ISO 16290/NASA, and US DoD); and can be tailored to projects that require the use of multiple pathways to qualification. The comparison of ABS Qualification Stages with industry TRLs can be found in Appendix 2. It is to be noted that when applying these Gui
31、dance Notes for certification or classification purposes in conjunction with Novel Concept Class Approval process, the primary driver for classification acceptance will be safety even though there may be additional functional requirements (e.g., reliability) defined by the client. 3 Background The m
32、arine and offshore industries regularly develop new technologies that have no service history in the proposed application or environment. Often, governing industry codes and regulations do not develop at the same pace. These new technologies have little or no precedent and may be so different from e
33、xisting designs that the requirements contained in class Rules may not be directly applicable. Marine vessels and offshore units which contain new technological features or designs that are not currently governed by Rules, Guides and existing industry standards may still be qualified and/or approved
34、 by ABS through the process described in these Guidance Notes. This qualification is on the basis that the Rules, Guides, and existing industry standards, insofar as applicable, have been complied with, and that special consideration through appropriate risk assessments and engineering evaluations h
35、as been given to the new features through the application of these Guidance Notes. These Guidance Notes are structured to provide a general procedure for vendors/system integrators/end-users to guide them through the process of obtaining Statements of Maturity attesting to the maturity level of new
36、technologies. The process can be applied to technologies seeking qualification independent of class approval or installation on ABS classed assets. The integration of the new technology qualification process and the Novel Concept Class Approval process provides end users of the qualified technologie
37、s with the added benefit that the transition from new technology qualification to Class Approval will be seamless. It provides regulatory agencies with the confidence that hazards associated with the introduction of the new technology has been systematically identified and mitigated. ABSGUIDANCE NOT
38、ES ON QUALIFYING NEW TECHNOLOGIES .2017 1 Section 1 Introduction 5 Application These Guidance Notes are in general applicable to all new technologies for offshore units and marine vessels that do not follow typical Rules, Guides, or industry codes or standards. This document provides guidance to par
39、ties seeking recognition for the maturity level of a proposed new technology. A new technology for the purpose of these Guidance Notes is defined as any design (material, component, equipment or system), process or procedure which does not have prior in-service experience, and/or any classification
40、rules, statutory regulations or industry standards that are directly applicable. It is possible to categorize the type of “novelty” in one of four categories: i) Existing design/process/procedures challenging the present boundaries/envelope of current offshore or marine applications ii) Existing des
41、ign/process/procedures in new or novel applications iii) New or novel design/process/procedures in existing applications. iv) New or novel design/process/procedures in new or novel applications An asset such as a marine vessel or an offshore unit becomes a novel concept if the incorporation of any n
42、ew technology(ies) appreciably alters its service scope, functional capability, and/or risk profile. Novel concepts are typically presented to ABS for review and class approval following the process in the ABS Guidance Notes on Review and Approval of Novel Concepts (Novel Concept Guidance Notes). Th
43、e New Technology Qualification (NTQ) process could be applicable in the following cases: i) To qualify new technology that may need to be classed or certified at a later date ii) To simultaneously qualify new technology identified while seeking class approval for a novel concept iii) To qualify a ne
44、w technology independent of the need to be classed or certified If the proposed new technology is intended for incorporation on an asset to be classed by ABS, then it is recommended that the new technology complete up to and including the System Integration Stage of the New Technology Qualification
45、(NTQ) process. In other cases, the level of maturity to which the new technology may be qualified depends on the clients request. New technology qualification could be requested from ABS at any level of indenture as desired such as component, sub-system or system level. The process is designed to ac
46、commodate cases where multiple vendors, system integrators, and/or end-users need to work together to qualify a combination of new technologies. In such cases, it is important for the teams to work together to integrate technologies as early as possible in order to optimize the process. Even though
47、these Guidance Notes are primarily intended for the qualification of new technologies, the approach could also be applied to qualify existing technologies. 7 New Technology Qualification Process The NTQ process confirms the ability of a new technology to perform its intended functions in accordance
48、with defined performance requirements. The process starts with a comprehensive description of the technology to be qualified, followed by a screening of the technology to reveal the new or novel features that the qualification should focus on. The process is divided into five sequential stages that
49、progressively qualify the technology from feasible to operational stages as requested. The five qualification stages are: i) Feasibility Stage ii) Concept Verification Stage iii) Prototype Validation Stage iv) System Integration Stage v) Operational Stage 2 ABSGUIDANCE NOTES ON QUALIFYING NEW TECHNOLOGIES .2017 Section 1 Introduction Qualification activities outlined in the New Technology Qualification Plan (NTQP), are to be performed within each stage and should be defined at the end of the previous stage as agreed between the client and ABS. The qualification activities are bas
