National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2019. Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. Washington, DC: The National Academies Press. doi: 10.17226/25565.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

PREPUBLICATION COPY—Uncorrected Proofs TRANSPORTATION RESEARCH BOARD SPECIAL REPORT 332 Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance Committee to Revise and Update U.S. Coast Guard Ship Stability Regulations A Consensus Study Report of

PREPUBLICATION COPY—Uncorrected Proofs Transportation Research Board Special Report 332 Subscriber Categories Marine transportation Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or nationalacademies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the TRB Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone: 202-334-3213; fax: 202-334-2519; or email: TRBsales@nas.edu). Copyright 2019 by the National Academy of Sciences. All rights reserved. Printed in the United States of America This publication was reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the National Academy of Medicine. This study was sponsored by the U.S. Coast Guard, Department of Homeland Security. International Standard Book Number-13: 978-0-309-XXXXX-X International Standard Book Number-10: 0-309-XXXXX-X Digital Object Identifier: https://doi.org/10.17226/XXXXX Library of Congress Control Number: XXXXXXXXXX

PREPUBLICATION COPY—Uncorrected Proofs The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

PREPUBLICATION COPY—Uncorrected Proofs iv Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s statement of task by an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and the committee’s deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task. Proceedings published by the National Academies of Sciences, Engineering, and Medicine chronicle the presentations and discussions at a workshop, symposium, or other event convened by the National Academies. The statements and opinions contained in proceedings are those of the participants and are not endorsed by other participants, the planning committee, or the National Academies. For information about other products and activities of the National Academies, please visit www.nationalacademies.org/about/whatwedo.

PREPUBLICATION COPY—Uncorrected Proofs v COMMITTEE TO REVISE AND UPDATE U.S. COAST GUARD SHIP STABILITY REGULATIONS Eugene A. van Rynbach, Herbert Engineering Corporation, Annapolis, Maryland, Chair Hendrik Bruhns, Herbert-ABS Software Solutions LLC, Alameda, California H. Paul Cojeen, U.S. Coast Guard (retired), Arlington, Virginia Jaye Falls, U.S. Naval Academy, Annapolis, Maryland Jeffrey M. Falzarano, Texas A&M University, College Station Martha R. Grabowski, Le Moyne College, Syracuse, New York, and Rensselaer Polytechnic Institute, Troy, New York Timothy A. Graul, Timothy Graul Marine Design (retired), Sturgeon Bay, Wisconsin William B. Hale, General Dynamics NASSCO (National Steel and Shipbuilding Company), San Diego, California Patrick E. Little, Buffalo Marine Services, Inc., Houston, Texas Donald Liu (NAE), American Bureau of Shipping (retired), Seattle, Washington Jane Louie, U.S. Naval Surface Warfare Center-Carderock, Potomac, Maryland John Womack, Chesapeake Shipbuilding Corporation, Salisbury, Maryland Transportation Research Board Staff Mark S. Hutchins, Study Director, Consensus and Advisory Studies Thomas R. Menzies, Jr., Director, Consensus and Advisory Studies Anusha Jayasinghe, Associate Program Officer, Consensus and Advisory Studies

PREPUBLICATION COPY—Uncorrected Proofs vi

PREPUBLICATION COPY—Uncorrected Proofs vii Preface 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’s (TRB’s) Marine Board, to review USCG regulations and policy documents that establish stability requirements for U.S. flag vessels. The USCG has authority to inspect commercial vessels to ensure their safety under 46 U.S. Code Chapter 33. The associated regulations in 46 Code of Federal Regulations (CFR) Chapter I contain requirements for vessel stability that apply to certain vessels used in commercial passenger and cargo service. Subchapter S is generally applicable to all vessels; Subchapter T applies to certain small, inspected passenger vessels; and Subchapter C applies to certain uninspected vessels (primarily commercial fishing industry vessels). The USCG asked for the review to identify and suggest options to make and keep stability requirements current, align them better with international standards, and improve their consistency and clarity. The National Academies formed a study committee comprised of members with expertise in naval architecture, vessel design and construction, regulation and inspection activity, safety standards development, and marine transportation and vessel operations. Appendix A contains the committee members’ biographical information. In September 2018, the committee issued a letter report that identifies a series of promising options for improving the consistency, clarity, and usability of the USCG’s vessel stability requirements, as well as for coordinating with industry advisory groups and collecting, managing, and analyzing data to inform regulatory decisions.1 Shortly after the committee issued its report, the USCG requested a follow-on study to provide a more in-depth and critical assessment of the options identified in the letter report, review ship stability regulations that exist outside Subchapter S (to include Subchapters C and T), and review and suggest improvements that can be made to any policy documents that supplement the Subchapters S, C, and T regulations.2 In addition, the USCG noted that legislation was being considered that could affect the agency’s priorities in making improvements to its stability requirements, and it therefore wanted the study to take these developments into account. To conduct this follow-on study, or second phase review, the National Academies reappointed most of the members who served on the original study committee, adding some additional expertise in small vessel design and construction. The study committee met four times during the first half of 2019. During its first meeting in January 2019 and a follow-up meeting in February 2019, the USCG explained that the Save Our Seas Act, enacted on October 11, 2018,3 contained provisions relevant to vessel stability regulations. Accordingly, the USCG asked the study committee to provide advice that takes into account the issues raised in these statutory provisions. The details of this USCG request are provided in Chapter 1 when discussing the study’s Statement of Task. 1 Phase 1 letter report: http://www.trb.org/Main/Blurbs/178088.aspx. 2 For reasons explained in this report, the committee did not review Subchapter C vessel stability regulations. 3 The text of the Save Our Seas Act of 2018 is available at https://www.govinfo.gov/content/pkg/BILLS- 115s3508enr/pdf/BILLS-115s3508enr.pdf.

PREPUBLICATION COPY—Uncorrected Proofs viii ACKNOWLEDGMENTS The committee would like to thank the following individuals who participated in the committee meetings: Lieutenant Jonathan Duffett, USCG; Marcus Ewardo, USCG; Thomas Gruber, American Bureau of Shipping; Tom Jordan, USCG; James Person, USCG; William Peters, USCG; and Jaideep Sirkar, USCG. Mark S. Hutchins managed the study and assisted the committee in the preparation of its report under the guidance of Thomas R. Menzies, Jr., Director, Consensus and Advisory Studies. Anusha Jayasinghe, Associate Program Officer, provided extensive support to the committee in arranging its meetings and in managing documents. Karen Febey, Senior Report Review Officer, managed the report review process. This Consensus Study Report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. The purpose of this independent review is to provide candid and critical comments that will assist the National Academies in making each published report as sound as possible and to ensure that it meets the institutional standards for quality, objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The committee thanks the following individuals for their review of this report: Greg Beers, Shearer Group, Houston, Texas; Charles Cushing, C.R. Cushing & Co., Inc. New York City; John Edgar, Jensen Naval Architects & Marine Engineers, Seattle, Washington; Neil Gallagher, Webb Institute, Glen Cove, New York; RADM Tom Gilmour, USCG, Retired, Eugene, Oregon; Tom Gruber, American Bureau of Shipping, Arlington, Virginia; Craig Philip, Vanderbilt University, Nashville, Tennessee; Robert Tagg, Herbert-ABS Software Solutions LLC, Singapore; and John Waterhouse, Elliott Bay Design Group, Seattle, Washington Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations of this report, nor did they see the final draft before its release. The review of this report was overseen by Chris T. Hendrickson, Carnegie Mellon University, Pittsburgh, Pennsylvania and R. Keith Michel, Webb Institute, Glen Cove, New York. They were responsible for making certain that an independent examination of this report was carried out in accordance with the standards of the National Academies and that all review comments were carefully considered. Responsibility for the final content rests entirely with the authoring committee and the National Academies.

PREPUBLICATION COPY—Uncorrected Proofs ix Contents Acronyms and Abbreviations Summary 1 Introduction Phase 1 Study Summary Phase 2 Study Charge Organization of This Report 2 Background Vessel Stability Concepts and Terminology U.S. Fleet Subject to Coast Guard Stability Regulation The SS El Faro Sinking and the Save Our Seas Act Provisions 3 Lightship Weight Change Tracking Past Efforts to Require Lightship Weight Change Tracking Existing Guidance on Lightship Weight Tracking Sensitivity of Passenger Vessel Stability to Lightship Weight Changes Sensitivity of Freight Vessel Stability to Lightship Weight Changes Desirable Qualities of a Lightship Weight-Tracking Program for Freight Vessels Summary 4 Methodology for Evaluating Effectiveness of Current Stability Regulations Defining Effectiveness Needed Technical Studies Variability in Stability Risk by Vessel Types and Service Assessing the Role of International Regulations and Class Rules 5 Improving the Stability Regulations Outside of Subchapter S Subchapter T Clarification Improvements Potential Supplemental Requirements Summary 6 Review of U.S. Coast Guard Policy and Guidance Documents Publicly Available Stability-Related Documents Method for Reviewing Stability Documents Example Document Review of Protocols from Other Organizations Options for Consolidating Documents in a Searchable Website Summary 7 Methodology for Prioritizing Subchapter S Updates and Changes Risk-Informed Prioritization Methodology Application of the Prioritization Methodology Summary

PREPUBLICATION COPY—Uncorrected Proofs x Appendixes A Study Committee Biographical Information B U.S.-Inspected Fleet—Vessel Data C Results of Lightship Weight Sensitivity Analysis for Freight Vessels D Results of Lightship Weight Sensitivity Analysis for Small Passenger Vessels E Cargo Ship Weight-Tracking Programs F Current State of Second Generation Stability Criteria

PREPUBLICATION COPY—Uncorrected Proofs xi Acronyms and Abbreviations AAWPP Assumed Average Weight per Person ABL Above Base Line 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/BHD 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 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 GPM gallons per minute GRT Gross Register 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 IMO International Maritime Organization IMO MSC International Maritime Organization Maritime Safety Committee IS Code Intact Stability Code, IMO ISO International Organization for Standardization KM Height of Metacenter above the Keel KPI key performance indicator L vessel length

PREPUBLICATION COPY—Uncorrected Proofs xii LBP length between perpendiculars LCG longitudinal center of gravity LT Long Ton(s) M meter MARAD Maritime Administration MARPOL International Convention for the Prevention of Pollution from Ships 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 MTWB Main Transverse Watertight Bulkhead MV motor vessel MVI Marine Vessel Investigation Letters NASSCO National Steel and Shipbuilding Company 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/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 SS steam ship SST Simplified stability proof test ST short ton(s)

PREPUBLICATION COPY—Uncorrected Proofs xiii TLP tension leg platform TRB Transportation Research Board USCG U.S. Coast Guard VCG vertical center of gravity WEAT weathertight WT watertight

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Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance Get This Book
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U.S. Coast Guard (USCG) ship stability regulations governing the ability of a vessel to return to an upright position after being disturbed is the focus of a new TRB publication, Review and Update of U.S. Coast Guard Vessel Stability Regulations and Guidance. The authors advise the USCG on how it can make its stability regulations more usable and complete in meeting the requirements of different types of vessels and those vessels that have undergone weight changes that can affect their stability characteristics.

The USCG has safety regulatory jurisdiction over vessels registered in the United States. One of its oldest regulatory functions is to ensure these ships, boats, and other floating vessels remain upright as they encounter both expected and unexpected loading, operating, and weather conditions, including wind and wave conditions and unexpected failure of watertight integrity.

Stability standards have been improved over time - particularly in the past 30 years - and the USCG remains keenly interested in making sure the regulations are kept updated based on the latest technical knowledge, well aligned with international standards, and organized and presented in a manner that facilitates compliance and enforcement. The recommendations in the report are intended to further these aims. The USCG earlier commissioned a National Academies study to identify options for improving vessel stability regulations, and after receiving that study in September 2018, the USCG asked for this second study to provide more in-depth advice on applying these options.

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