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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Options for Improving the Safety of DUKW Type Amphibious Vessels. Washington, DC: The National Academies Press. doi: 10.17226/26447.
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PREPUBLICATION COPY—Uncorrected Proofs TRANSPORTATION RESEARCH BOARD SPECIAL REPORT 342 Options for Improving the Safety of DUKW Type Amphibious Vessels Committee on Options for Improving the Safety of Amphibious Vessels (DUKW Boats) When Used in Passenger Service A Consensus Study Report of

PREPUBLICATION COPY—Uncorrected Proofs Transportation Research Board Special Report 342 Subscriber Categories: Marine transportation; policy 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 Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax 202-334-2519; or e-mail TRBsales@nas.edu). Copyright 2022 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 United States Coast Guard, U.S. Department of Homeland Security. International Standard Book Number-13: International Standard Book Number-10: Digital Object Identifier: Library of Congress Control Number:

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 provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 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 departments of transportation, 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 ON OPTIONS FOR IMPROVING THE SAFETY OF AMPHIBIOUS VESSELS (DUKW BOATS) WHEN USED IN PASSENGER SERVICE EUGENE A. VAN RYNBACH, Herbert Engineering Corp., Charlotte, North Carolina, Chair CAPT SCOTT ANDERSON (United States Coast Guard, retired), First Command Financial Services, Blue Bell, Pennsylvania CAPT ROBERT K. COOK, The Pilots’ Association for the Bay and River Delaware, Lambertville, New Jersey TIMOTHY A. GRAUL, Timothy Graul Marine Design (retired), Sturgeon Bay, Wisconsin JENNIFER KOLLMER, Rolls-Royce Marine North America, Walpole, Massachusetts MAGGIE NATE, Gibbs & Cox, Alexandria, Virginia RADM JOEL R. WHITEHEAD (United States Coast Guard, retired), J. Whitehead & Associates, Inc., Mandeville, Louisiana 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, Program Officer, Consensus and Advisory Studies Consultant SARAH JO PETERSON, 23 Urban Strategies, LLC

PREPUBLICATION COPY—Uncorrected Proofs vi

PREPUBLICATION COPY—Uncorrected Proofs vii Preface In September 2020, the United States Coast Guard’s (USCG’s) Office of Design and Engineering Standards (CG-ENG), Naval Architecture Division (CG-ENG-2) requested that the National Academies of Sciences, Engineering, and Medicine (the National Academies), through the Transportation Research Board’s (TRB’s) Marine Board, provide guidance to USCG on actions it could take that would increase safety on DUKW boats used for commercial passenger service. To conduct the study, the National Academies appointed a committee of eight experts in the fields of naval architecture, vessel design, and engineering; USCG regulation and inspection activity; safety standards development; vessel safety and operations; and shipbuilding. The committee’s full Statement of Task is provided in Chapter 1. The committee’s analysis on risk assessment in Chapter 8 was based on its own application of the principles outlined in the guidance notes cited. This report represents the consensus efforts of these eight individuals, who served uncompensated in the public interest. Their biographical information is provided in Appendix A. ACKNOWLEDGMENTS The committee met seven times over a 10-month period to gather information relevant to the study, draft sections of its report, and deliberate on the report’s content, findings, and recommendations. The committee wishes to thank the individuals participating in the briefings and discussions over the course of the study and making other contributions to the committee’s work: From USCG, CAPT Daniel H. Cost, Chief, Office of Design and Engineering Standards; CAPT Robert C. Compher, former Chief, Office of Design and Engineering Standards; and Jaideep Sirkar, Chief, Naval Architecture Division. The committee especially wishes to thank LCDR Dimitri Wiener and Mr. Andrew J. Lachtman of the Naval Architecture Division who served as the principal contacts between USCG and the committee and coordinated information requests from the committee to offices within the agency. The committee also wishes to thank the industry representatives who provided valuable information to the committee: Eric Christensen, Director of Regulatory Affairs and Risk Management of the Passenger Vessel Association (PVA); Ms. Cindy Brown, Chief Executive Officer, Boston Duck Tours; and Mr. Tony Cerulle, Chief Engineering Officer, Boston Duck Tours; and Mr. Alex Moyers, former owner of Chattanooga Ducks. 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. Sarah Jo Peterson supported the writing of the report. Anusha Jayasinghe, Program Officer, provided extensive support to the committee. 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.

PREPUBLICATION COPY—Uncorrected Proofs viii The committee thanks the following individuals for their review of this report: MICHAEL DINE, University of California, Santa Cruz THOMAS H. GILMOUR, United States Coast Guard (retired) TOM GRUBER, American Bureau of Shipping KYLE MCAVOY, Robson Forensic, Inc. T. BLAKE POWELL, JMS Naval Architects JOHN WATERHOUSE, Elliott Bay Design Group 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 the report was overseen by CHRIS T. HENDRICKSON, Carnegie Mellon University, and CRAIG PHILIP, Vanderbilt University. 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 EXECUTIVE SUMMARY 1 INTRODUCTION Study Origins, Charge, and Approach, Report Organization, 2 DUKW BOATS AND SAFETY Brief History, Major Casualty Events on Water, DUKW Fleet Size and Location, USCG Regulatory Oversight, Review of Casualty Data, Recommendations from Casualty Reports and Safety Bulletins, Overview of Survivability, 3 FLOODING AND SURVIVABILITY Flooding and Casualty Events, Regulations and NVIC 1-01, Survivability, Stability Standards, and Flooding, Remaining Afloat and Upright During Flooding, Flooding Through Hull Penetrations, Flooding Through Engine Cooling Air Vents, Summary, 4 OPERATING AREAS Operating Areas and Casualty Events, Regulations and NVIC 1-01, Factors for Evaluating Operating Areas, Operating Restrictions During Severe Weather, Summary, 5 CANOPIES AND ESCAPE DURING EMERGENCIES Canopies, Life Jackets, and Loss of Life, Regulations and NVIC 1-01, Recommendations from Studies and Investigations, Types of Canopies in Use, Other Canopy Solutions, Summary, 6 WEARING LIFE JACKETS Life Jackets and Casualty Events, Regulations and NVIC 1-01, Investigations and Studies,

PREPUBLICATION COPY—Uncorrected Proofs x Wearing Life Jackets When Waterborne, Type III Life Jackets, Summary, 7 OPERATIONS AND SAFETY Regulations and NVIC 1-01, Number of Personnel on Board, Tour Preparations, Passenger Actions During Emergencies, Summary, 8 RISK ASSESSMENT AND RECOMMENDATIONS Summary of Findings on Higher Risk Operations, Lower Risk Operations and Reserve Buoyancy, Committee Recommendations, Risk Assessment Matrix, Sample Hazard Register, APPENDIXES A STUDY COMMITTEE BIOGRAPHICAL INFORMATION B TIME TO SINK ANALYSIS C SIMPLIFIED HAZID REGISTER

PREPUBLICATION COPY—Uncorrected Proofs xi Acronyms and Abbreviations APV amphibious passenger vehicle CFR Code of Federal Regulations COI Certificate of Inspection (issued by USCG to a regulated vessel) DUKW collective term for WWII DUKW, Stretch Duck, and/or Truck Duck MAIB Marine Accident Investigation Branch (United Kingdom) MSC Marine Safety Center (USCG) MISLE Marine Information for Safety and Law Enforcement database (USCG) NOAA National Oceanic and Atmospheric Administration NTSB National Transportation Safety Board NVIC Navigation and Vessel Inspection Circular (issued by USCG) NWS National Weather Service OCMI Officer in Charge, Marine Inspection PFD personal flotation device PVA Passenger Vessel Association SMS safety management system SST Simplified Stability Test USCG United States Coast Guard WEA Weather Emergency Alert WWII DUKW DUKW manufactured during World War II

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To ensure the safety of passengers and crew on DUKWs — amphibious vehicles also referred to as duck boats — the United States Coast Guard (USCG) should issue a range of new guidelines and requirements.

TRB’s Special Report 342: Options for Improving the Safety of DUKW Type Amphibious Vessels recommends that the USCG use a consistent risk-assessment methodology and update its regulations and enforcement practices in a way that reflects the variable levels of risk to passengers and crew.

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