Review of U.S. Coast Guard Vessel Stability Regulations (2018)

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Transportation Research Board National Academies of Sciences, Engineering, and Medicine 500 Fifth Street, NW Washington, DC 20001 September 12, 2018 Benjamin J. Hawkins Chief, Office of Design and Engineering Standards United States Coast Guard 2703 Martin Luther King Jr Ave SE Washington, DC 20593-7509 Dear Mr. Hawkins: In September 2017, the U.S. Coast Guard (USCG) Office of Design and Engineering Standards asked the National Academies of Sciences, Engineering, and Medicine (the National Academies), through the Transportation Research Board (TRB) Marine Board, to review USCG regulations and policy documents that establish stability requirements for U.S. Flag vessels. As part of the remit, the study would identify and suggest options to make and keep stability requirements current, align them better with international standards, and improve their consistency and clarity (the full Statement of Task is provided below). The National Academies formed a committee whose members have expertise in naval architecture, vessel design, ship construction, regulation and inspection activity, safety standards development, and marine transportation and vessel operations. Appendix A contains a list of members and their biographical information. The committee met twice during a 5-month period and was briefed by and received written materials from multiple parties. Thanks go to the following individuals who participated in the committee meetings: Jaideep Sirkar, USCG; Lieutenant Jonathan Duffett, USCG; Lieutenant Kelly Berry, USCG; Eric Christensen,

ii Passenger Vessel Association; Thomas Gruber, American Bureau of Shipping; Andrew Lachtman; USCG; James Person, USCG; William Peters, USCG; Commander Tracy Phillips, USCG; Joshua Sebastian, The Shearer Group, Inc.; Thomas Waters, USCG; and Robert Zales, Bob Zales Charters LLC. The study committee’s findings and recommendations on options for improving the clarity, harmony, and accuracy of USCG’s vessel stability regulations are contained in the following report, which was reviewed in draft form by a group of independent experts according to the policies and procedures approved by the National Academies (reviewers are listed in Appendix K). In the course of conducting the study, the committee came to appreciate USCG’s history of leadership and accomplishment in administering the country’s vessel stability regulations and in working through the International Maritime Organization (IMO) and other international forums to strengthen stability regulations worldwide. The advice in this report is offered in the spirit of assisting the USCG, whose request for this study is a testament to its commitment to regulatory quality and improvement. Sincerely, Eugene A. Van Rynbach Committee Chair Committee to Revise and Update U.S. Coast Guard Vessel Stability Regulations

iii CONTENTS ABBREVIATIONS AND ACRONYMS ..................................................................................................... v 1. INTRODUCTION AND OVERVIEW .................................................................................................... 1 Background ............................................................................................................................................... 2 Study Emphasis and Scope ....................................................................................................................... 4 Summary of Main Findings and Recommendations ................................................................................. 7 Organization of the Report ...................................................................................................................... 11 2. VESSEL STABILITY AND USCG-ISSUED STABILITY REGULATIONS ..................................... 11 Vessel Stability ....................................................................................................................................... 11 Overview of Shipping Regulation........................................................................................................... 17 Subchapter S, Subdivision and Stability ................................................................................................. 20 Examples of Content and Organizational Issues with Subchapter S Stability Regulations .................... 22 46 CFR Subchapter T—Small Passenger Vessels Stability Regulations ................................................ 25 Damage Stability Section 179.220—Location of Watertight Bulkheads for Subdivision ...................... 29 Damage Stability by Subchapter S Type II Sections 171.070 to 171.030 .............................................. 30 3. OPTIONS FOR UPDATING U.S. STABILITY REGULATIONS ....................................................... 31 U.S. Federal Regulatory Process ............................................................................................................ 31 Clean Up Existing Policy Documents and Policies ................................................................................ 33 Unified Database of Stability Policy Decisions ...................................................................................... 33 Strategy for Subchapter S Reorganization .............................................................................................. 34 Process to Update and Maintain Stability Regulations ........................................................................... 46 4. SMALL PASSENGER VESSEL LIGHTSHIP VERIFICATION ......................................................... 48 Importance of Lightship Verification for U.S. Small Passenger Vessels ............................................... 48 Past Efforts to Require Periodic Lightship Verification for U.S. Passenger Vessels ............................. 49 Potential Data Sources on Lightship Weight Growth ............................................................................. 50 Potential Options for Lightship Verification .......................................................................................... 54 5. OTHER STABILITY STANDARDS, CASUALTY DATA, AND STABILITY GUIDANCE ........... 55 Other Stability Standards Applicable to Coastal and Inland Vessels...................................................... 55 Dynamic-Motions-Based Stability Standards ......................................................................................... 56 Casualty Statistics and Data .................................................................................................................... 57 Stability Guidance to Vessels ................................................................................................................. 65 The El Faro Investigation ....................................................................................................................... 68 References ............................................................................................................................................... 69 APPENDIX A: Committee to Revise and Update U.S. Coast Guard Ship Stability Regulations .............. 72 Committee Biographical Information ..................................................................................................... 73

iv APPENDIX B: U.S.-Inspected Fleet—Vessel Data ................................................................................... 78 APPENDIX C: IMO Stability-Related Regulations ................................................................................... 81 APPENDIX D: Content and Organization Issues with Subchapter S ......................................................... 84 APPENDIX E: Insight into the Regulatory Update Process: Examples of Three Past Major Updates of Subchapter S ............................................................................................................................................... 96 APPENDIX F: Outline of Potential Subchapter S Reorganization .......................................................... 100 APPENDIX G: Specific Options for an Update of Subchapter S by Indicated Part ................................ 105 APPENDIX H: Weight Growth in Passenger Vessels .............................................................................. 128 APPENDIX I: Other Available Standards ................................................................................................ 144 APPENDIX J: Development of Dynamic-Motions-Based Stability Analysis.......................................... 155 APPENDIX K: Acknowledgment of Reviewers ...................................................................................... 159

v ABBREVIATIONS AND ACRONYMS AAWPP Assumed Average Weight per Person ABS American Bureau of Shipping ACP Alternate Compliance Program ADN International Carriage of Dangerous Goods by Inland Waterways AIS Automated Identification System ANPRM Advance Notice of Proposed Rulemaking APA Administrative Procedure Act ASME American Society of Mechanical Engineers ASTM ASTM International (formally American Society for Testing and Materials) AWO American Waterways Operators Bhd water tight or weather tight bulkheads BV Bureau Veritas CE European Conformity CFR Code of Federal Regulations CG-ENG Office of Design and Engineering Standards, USCG COI Certificate of Inspection COLREGS International Regulations for Preventing Collisions at Sea COMDTINST Commandants Instruction DIN German Institute for Standardization DNV-GL Det Norske Veritas-Germanischer Lloyd ES-TRIN European Standard, Technical Requirements for Inland Navigation vessels EU European Union FAR Federal Acquisition Regulation FT feet GAO Government Accountability Office GM metacentric height GMI metacentric height, increment (used in grain calculations) GMR metacentric height, required GoM Gulf of Mexico GRT Gross Registered Tons GZ Righting Arm HEC Herbert Engineering Corporation HSE Health and Safety Executive, United Kingdom IBC International Bulk Chemical Code, IMO IGC International Ships Carrying Liquefied Gases in Bulk, IMO Code IIoT Industrial Internet of Things IMO International Maritime Organization IS Code Intact Stability Code, IMO ISO International Organization for Standardization KPI key performance indicator L vessel length LCG longitudinal center of gravity M meter MARAD Maritime Administration MARPOL International Convention for the Prevention of Pollution from Ships

vi MCA Maritime and Coastguard Agency, United Kingdom MEPC Marine Environment Protection Committee, IMO MISLE Marine Information for Safety and Law Enforcement MODU mobile offshore drilling unit MS motor ship MSC Marine Safety Center MSN Marine Safety Notice, United Kingdom MT metric ton MTN Marine Safety Center Technical Notes M/V motor vessel MVI Marine Vessel Investigation Letters NASSCO National Steel and Shipbuilding Company NK Class NK (Nippon Kaiji Kyokai) NLP Natural Language Processing NOAA National Oceanic and Atmospheric Administration NPRM Notice of Proposed Rulemaking NRC National Research Council NTSB National Transportation Safety Board NVIC Navigation and Vessel Inspection Circulars OCMI Officer in Charge, Marine Inspection OIRA Office of Information and Regulatory Affairs OMSA Offshore Marine Service Association OSV Offshore Supply Vessel PFM Policy File Memorandums PORTS® Physical Oceanographic Real Time System PVA Passenger Vessel Association PYC Passenger Yacht Code RA Righting Arm (also referred to as GZ) ro-ro roll-on/roll-off ships RVIR Rhine Vessel Inspection Regulations SDC Sub-Committee on Ship Design and Construction SHCP Ship Hull Characteristics Program SLF Sub-Committee on Stability and Load Lines and on Fishing Vessels Safety SNAME Society of Naval Architects and Marine Engineers SOLAS International Convention for the Safety of Life at Sea SPS Code on Safety for Special Purpose Ships, IMO SQ FT square feet TLP tension leg platform TRB Transportation Research Board UNECE United Nations Economic Commission for Europe USACE U.S. Army Corps of Engineers USCG U.S. Coast Guard VCG Vertical Center of Gravity WT watertight or weathertight