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Safety of Tourist Submersibles (1990)

Chapter: APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES

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Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Page 49
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Page 50
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 51
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 52
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 53
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 54
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 55
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 56
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 57
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 58
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 59
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 60
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 61
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 62
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 63
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 64
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 65
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 66
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 67
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 68
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 69
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 70
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 71
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 72
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 73
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 74
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Page 75
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 76
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 77
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 78
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 79
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 80
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 81
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 82
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 83
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 84
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 85
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 86
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 87
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 88
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 89
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 90
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 91
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
×
Page 92
Suggested Citation:"APPENDIX A: DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES." National Research Council. 1990. Safety of Tourist Submersibles. Washington, DC: The National Academies Press. doi: 10.17226/1744.
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Page 93

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APPENDIX A DRAFT OF U.S. COAST GUARD CIRCULAR ON PASSENGER SUBMERSIBLES 47

US Owns ~ Trar~ation ~ Ids /' Co - Gas !a NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. Commandant (G—MTH) b.^ILl~G ADC,RESS. Ed Unites States Coast Guard 2100 2nd Street, SW Washington, DC 20593-0001 (202) 267-2997 COMDTPUB Pl6700.4 NVIC - Subj: Guidance for Certification of Passenger Carrying Submersibles 1. PURPOSE. This circular provides guidance for certification of passenger carrying submer~lblea under Title 46, Code of Federal Regulations, Subchapter T - Small Passenger Vessels thunder 100 Gross Tons) (46 FOR Parts 17S-187~. 2. DISCUSSIoN. a. Non military submersibles have been used for several decades in the industrial, experimental and research fields. Submersibles had not been used in any commercial service for which the existing inspection statutes and regulations would apply until 1987 when the first passenger carrying submersible to be certificated by the U.S. Coast Guard went luto operation in St. Thomas, U.S. Virgin Islands. Two other passenger submersibles had already been operating in the Cayman Islands and Barbados (outside U.S. Jurisdiction) beginning in 1986. b. For operations under O.S. Jurisdiction, the inspection statutes of U.S. Code Title 46 - Shipping (46 USC) and the regulations in 46 CFR Subchapter T - Small Passenger Vessels (46 CFR Parts 175-187) apply to any submersible less than 100 gross tons carrying more than sis passengers. Since the regulations were developed primarily with surface craft in mind, many of the requirements cannot be applied to or may otherwise be inappropriate for submersibles. Additionally, there are many measures not in the regulations which must be applied to attain an equivalent level of safety to that of surface craft and otherwise minimize any inherent hazards of underwater operation. 48 ILL. ~ 1 1 1 == __ == ..

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 2. c. There has also been much interest regarding the operation of smaller submersibles carrying Six or fewer passengers. To date, orly a few such operations exist. Such vessels are not subject to present inspection laws. Bowe~rer, they are subject to regulation as ur~inspected veseele under 46 CER Subchapter C - {Juinspected Vessels (46 CER Parts 24-26~. These submersibles must also be designed and constructed to a recognized industry Standard for safe underwater operation. Additionally, they wag be subject to special local operating restrictions as may be imposed by the Captain of the Port (COTP) relative to navigation Safety, port safety and security, and vessel traffic conalderations. d. Recreational submersibles must comply with 33 CFR, Subchapter S (Boating Safety). Undocumented submersibles (i.e., those not having federal documentation) with propulsion equipment, must be numbered in accordance with the federal numbering system or the numbering system of the state in which the submersible will be principal y operated. When a submersible is involved in a collision, accident, or casualty, the operator is required to report such occurrences to the appropriate OCMI or state authorities, and to render all possible assistance to others involved in such incidents. 33 CER 155 (Oil Pollution Preventlon Regulations for Vessels) and 33 CFR 159 (Marine Sanitation Devices) also apply to recreational submersibles. Voluntary reports of submersible operations in or-near U.S. waters may be made to the nearest Coast Guard Operations Center. Inquiries about the extent of such reports and other questions that cannot be recolored locally should be directed to Commandant (G-NRS) at (commercial/FTS) 202/~-267-1948. These reports are intended for informative use in search and rescue (SAR) activities only. . . Enclosure (1) to this circular provides general guidance relative to the inspection and certification requirements for submersibles, primarily those carrying more than sis passeDgere. This document does not stand alone, i.e., it makes reference to the applicable regulations and to the appropriate industry standards. Designers, builders and operators must also be familiar with and use the referenced arteries. Subaersible technology is not new, but its application in the passenger carrylog industry is still very much under study. Though we have established a safe baseline, as this industry grows we will see caner technological advances which w111 have to be carefully considered in view of safety. We have initiated a number of studies from which we are likely to gain some insights that may impact on these guidelines, the regulations and the referenced ladustry standards. Eventually, we plan to establish specific regulations for this class of vessels. In the meantime, enclosure (1) to considered to be the beat available approach to facilitating this ludustry while ensuring passenger safety. 49

NAVIGATION AND JESSE INS]?BCTION CIRCUITS NO. I~?L~NTATIGN. Coast Guard plan Eerier, icepection, and certification will be based on the guidance contained tn thee circular. Owners, operators, designers ant bulldere of passenger carrying su~erelbles oust tee come familiar with the applicable regulations and sta~derde. To facilitate a timely inspection for certification, they are also urged to follow the guidelines of enclosure (~) closely. (~) Saall Passenger Submersible Guidance (2) Guidelines for Stability of Saall Passenger Submersibles* (3) References (4) Addresses (5) Urban Hass Transportation Admisstration (OMTA) Recoa~ended Fire Safety Practices for Rail Transit ~teriale Sciection (deleted) Non-Sta~ard" Distributlon: C:e New Orioa" (90~; Baltimore (45~; San FrancIsco (40~; Port Arthur, Honolulu, Puget Sound (351; Miami, Mobile, I~ong Beach, Morgan City (25~; Hampton Roads, Jacksonville, Portland OR (20~; Boston, Portland He, Charleston, Anchorage (151; Cleveland (123; Loule^Ile, Heephis, Paducah, Pittsburgh, St. Louis, Se~ra~h, San Juan, Tampa, Galveston, Buffalo, Chicago, Detroit, Duluth, Hil~ulcee, San Diego, Juneau, Valtes (101; Providence, Buntlag ton, V~ington, Corpus Cnristi,.Toledo (S). C:e New Tork (70~; P2~1adelp~a (3S); Houston (2S); St. Ace (S); Sturgeon War (4 ~ . D:1 CG Idason Officer I~SE"IFICOND (Code HEN), CG Liaison Officer RSPA (DHM-22), CG liaison Officer HARAD (t~R-720.1), CG laid eon Officer JUS~PHU (1~. *Sample spreadsheet calculations (Figure 4) have been deleted from Enclosure 2. 50

Encl. (1) to NVIC GUIDANCE FOR CEtTIFICATION OF PASSENGER CARRYING SUBMERSIBLES TABLE OF CONNECTS Chapter 1. - General Background 1. Introduc~cion 2. The Underwater Safety Project 3. US Navy 4. American Bureau of Shipping 5. Passenger Submersible History 8. Applicability 1. Subchapter T- Small Passenger Vessels 2. Subchapter C - Uninspected Vessels 3. Subchapter H - Passenger Vessels 4. Recreatlo~1 Submersibles 5. Foreign Flag Submersibles C. Equivalency D. Regulation Development Chapter 2 . - Inspection and Certif ication A. Concept Review B. Application for Inspection C. Plan Review D . Inspection for Initial Certif ication E . Inspection for Cert if ication F. Certif icate of Inspection G. Reinspection H. Drydockir~g or Hauling Out I. Notification of Repairs and Alterations Chapter 3 - Construction and Arrangement A. General Design B. HuD Structure C. Subdivision and Stability D. Means of Escape E. Interior Construction F. Raile and Guards Chapter 4 - Lifesaving Equipment A. Life Preservers B. Primary Lifesaving Equipment C. Ring Buoys D. Distress SignAle E. F. G. Emergency Position Indicating (EPIRB) First Aid Kit Individual Emergency Breathing Apparatus 51 Page 2 2 2 3 3 3 4 4 4 4 4 6 7 7 8 8 9 9 10 10 10 12 13 13 13 13 13 13 13

Enc.=. (1) to NVIC Chapter 5 - Fire Protection Equipment B. C. mu rare ~t~nsutaner~ D. E. General Fire Ampa/Pire Main System lo. __ an. ~ Portable Plre E~titlgut8her8 Plre Detection System Chapter 6 - Machinery Installation A. General B. Lifeaupport Sgetems C. Bilge Sgatems Chapter 7 - Electrical Installation A. General B. Cable C. Emergency Power D. Batteries and Battery Charging Chapter ~ - Vessel Control A. Ballast Systems B. Emergency Ballast Systems C. Auto-pilot D. Communications E. Alarms F. Remotely Controlled Valves Chapter 9 - Operation A. General B. Deere Slice C. Operations Manual/Safety Plan D. Rescue E. Maintenance Chapter 10 - Manning and licensing A. General B. Submersibles not subject to inspection C. Submersibles sub Sect to inspection Chapter 11 - Foreign Passenger Submersibles Operating in the U.S. A. Coastwise Trade B. Inspection Standards C. Inspectlon and Certification D. Operations Manual 14 14 14 14 14 15 IS 15 16 16 16 16 17 17 17 17 17 17 18 18 18 19 20 21 21 21 22 22 23 23 Encl: (2) Guidelines for Stability of Small Passenger Submersibles (3) References (4) Addresses (5) Urban Mass Transportation Adminstration (UMTA) Recommended Fire Safety Practices for Rail Transit Materials Selection 52

Encl. (1) to NVIC CHAPTER 1. GENERA: A. Background. 1. Introduc Lion. Considerable research and development has been conducted relative to the safe design, construction, and operation of small manned submersibles. Participation in such efforts has included the Na", the Coast Guard, the submersible industry, the American Bureau of Shippln8 (ABS), and technical societies such as the Marine Technology Society (MTS) and the Society of Naval Architects and Marine Engineers ~ SNAME) . the safety Of ludustrial and research submersible operations has been the primary concern of most work accomplished until recently. The advent of the presenter carrying submersible has created the need to look at manned submersibles in a different light. Since 1986 the Coast Guard has worked closely with the developers of this new industry to establish a sound safety policy for the design. construction, and operation of these new submersibles. The Underwater Safety Project (USP). a. The Coast Guard Headquarters USP was established in 1968 in reaction to what appeared at the time to be a strong near-term need for Coast Guard regulation of underwater vehicles and stations. At the time there were about 50 civilian submersibles in existence in the U.S. In a decade of submersible operations there had only been three major accidents, resulting in the loss of one life. Nevertheless, to ensure at least a minimum standard of safety was maintained, the Coast Guard proposed legislation to obtain authorization for regulation of non-military submersibles regardless of size, service, or number of paseengere. b. Research and development efforts were initiated to determine the basic requirements for submersible regulations. Lialson with industry and Standards organizations was established in order to develop policy, codes , and guidelines for submersibles. MTS conducted three studies and published three sets of guidelines for submersible safety during the period from 1968 to 1979. These guidelines address design, operations, personae!, maintenance, procedures, and equipment. The Coast Guard actively participated in the development of the MTS guidelines and assisted with funding. Not logy after the USE was formed, the priority of the project was in question. The proposed legislation attempts regarding the regulation of nonmilitary submersibles had been unsuccessful. Also, the anticipated demand for submersibles and interest in the activity had not materialized. Although there had been steady advancement of submeralble technology, the maritime industry had experienced an economic recession. The use of submeralbles for other than limited industrial, experimental, or research applications did not appear likely. Coast Guard regulatory efforts on this subject ended with the termination of the USP in the late seventies. 53

Encl. (1) to NVIC 7. 3. U.S. Navy. The Navy has always been concerned with the safety of military submersibles. The loss of THRESHER in 1963 caused Navy efforts to intensify and resulted in special safety programs. With the advent of the deep research vehicles such as TRIESTE and ALVIN, the Nary took action to ensure the safety of Naval personnel when embarked on manned noncombatant submersibles. Military certification requirements were applied as appropclate, and additional safety requirements were dictated by the aubmeraible's specialized design and use. ALVIN was the first such submersible certificated by the Navy. The Nawy's certification requirements are now published in "Systems Certification Procedures and Criteria Manual for Deep Submergence Systems, NAVMAT P-9290 . ~ 4. American Bureau of Shipping (ABS). a. During the mid-sistie~, ABS was approached by industry representatives and by the U.S. Nary regarding the practicality of preparing standards for the design and construction of commercial submersibles. Becaune of the limited information and experience available in the area of commercial submersibles, ABS began a lengthy effort of collecting, evaluating and developing technical data, safety criteria, operational aspects, etc. which led to the 1968 publication of the "Guide for the Classification of Manned Submeraibles.- b. During the seventies, builders, operators, and ABS (the Nary and Coast Guard as well) gained extensive experience relative to small submersibles, primarily those for research, industrial, and experimental service. Consequently, ABS published "Rules for Underwater Systems and Vehicles. in 1979 (ABS Rules). The Coast Guard participated in the development of these Rules. ~ ile not originally intended to encompass passenger submersibles, these Rules have served as a foundation for ABS to class a number of tourist submersibles to date. 5. Passenger Submersible History. a. In 1964 and 1965, the AUGUSTE PICCARD, a forty passenger carrying submersible, took some 32,000 tourists on over 1100 dives to 1000 feet in Lake Geneva at the Sales National Espositlon. Operation of the AUGUSTE PICCARD in the Unit et States in passenger carrying service was proposed; however, the Coast Guard would not accept the vessel because it was not built under Coast Guard inspection. The AUGUSTE PICCARD was then converted and operated as a research and industrial submersible. In 1984, a Canadian commercial submersible operating firm, Sub Aquatlce Development Corporation, built two passenger carryl~g submersiblea. The vessels, ATLANTIS I and II, were designed to carry 28 passe~gere and two crewmen on short voyages to a depth of 150 feet. These two vessels are now operating in the Cay~an Islands and Barbados. With the success of these vessels, Sub Aquatics approached the Coast Guard with a proposal for a 47 passenger submersible to be operated within U.S jurisdiction in the U.S. Virgin Islands (USVI). The Coast Guard worked closely 54

Encl. (1) to NVIC (cont'd) with Sub Aquatice to define basic safety requirements. Acceptable design and operational features were established to ensure the safety of passengers and crew at a level equivalent to that of a small passenger vessel of similar capacity. This submersible, ATLANTIS III, was certificated in July 1987 and has been operating successfully in St. Thomas, USVI. In June 198B, another company successfully certificated a similar sized submersible, LOOPING GLASS, in St. Thomas. ATLANTIS IV aM ATLANTIS V have been certificated for operations in Rona, Hawaii and Guam, respectively. HARIEA I, a Panamardan flag submersible, operates in Saipan under control verification. B. Applicability. 1. Subchapter T - Small Passenger Vessels (Under 100 Gross Tone). a. Vessels less than lOO gross tons which carry more than sis passengers are subject to the applicable sections of Title 46 of the Code of Federal Regulations (CFR), Subchapter T (Parts 175 through 187) - Small Passenger Vessels. It is this group of submersibles on which this NVIC focuses. Compliance with applicable sections of 46 CFR Subchapter S - Subdivision and Stability, 46 CFR Subchapter Subchapter B - Merchant Marine Officers and Seaman, 33 CFR Part 155 - Oil Pollution Prevention Regulations for Vessels, and 33 CFR Part 159 - Marine Sanitation Devices is also required. b. In addition, due to the hazardous nature of operating a submersible vessel, the Captain of the Port (COTP) may impose special operational requirements under authority of Title 33, U.S. Code (33 USC), Chapter 25 (Sections 1221 through 1226) - Ports and Waterways Safety Program, and 33 CFR Part 160 - Ports and Waterways Safety - General. Special concerns for the COTP would include navigation safety, port safety and security, available rescue resources, and vessel traffic safety. The cognizant COTP must be contacted well in advance of any intended operations. 2. Subchapter C - Uninsoected Vessels. a. Submersibles carrying sis or less passengers, are peered veasela. as defined by 46 USC 2101~42~. Although not subject to inspection, these vessels must meet the requirements of 46 CFR Subchapter C - Uninspected Vessels. They must also meet the applicable requirements of 33 CFR Part 155 - Oil Pollution Prevention Regulations for Vessels, 33 CPR Part 159 - Marine Sanitation Devices, 33 CFR Subchapter S - Boating Safety, and 46 CPR Part 15 - Manning Requirements. Because of the unique design and operating characteristics, as well as the inherent hazards of underwater operation, an uninspected submersible may be permitted in U.S. passenger operations only if it is designed and constructed to a recognized industry standard. Additionally, the COTP may establish special local operating restrictions under the authority of 33 USC Chapter 25 - Ports and Waterways Safety Program, and 33 CFR Part 160 - 55

Encl. (1) to NVIC B.2.b. (cont'd) Ports and Waterways Safety, General. These restrictions rlll address local navigation safety, port safety and 8ecurltg, and vessel traffic conalteratlons. To avoid delayed operations due to safety concerns that 'cay be raised about the design and conotructlon of the vessel or its intended operating area, an operator should contact the cognizant COTP well in advance of any intended operations. 3. Subchapter lI - Passenger Vessels. AnY passemer carrYin. submersible that ts lUU gross tone or more would be subject to inspection under 46 CFR Subchapter H. Although submersibles of this size are not envisioned for the near future, the guidelines of this circular could be used subject to application of Subchapter ~ instead of Subchapter T. Recreational Submersibles. Recreational vessels, as defined in 46 USC 2101~25), are vessels manufactured or operated primarily for pleasure, or leased, rented, or chartered to another for the latter's pleasure. Submersibles within this category are subject to the requirements of 33 CER Subchapter S - Boating Safety, Parts 173-183. The guidelines in this circular generally do not apply; however, depending on the area of operation, COTP operating restrictions may be appropriate. This will be evaluated on a case by case basle. These guidelines may be of assistance to a manufacturer or owner of a recreational submersible. 4. 5. Foreign Flag Submersibles. See Chapter ll. C. Equivalency. This NVIC is intended to outline a basis for determining equivalency or passenger carrying submeralbles to conventional small passenger vessels. Since the applicable regulations Ampere developed primarily with surface craft in mind, many specific features cannot be applied to or may otherwise be inappropriate for a submersible. The Coast Guard's approach to the novel design and unique operational hazards of passenger submersibles is to require a level of safety equivalent to that required for a Surface craft of similar size and service. This is established in part through a combination of design requirements and operational restrictions. ~ written operations manual and safety plan detailing normal and emergency operational procedures should be prepared early in the plan"~pg stage for concept review and submitted to Commandant (G-MTH-4), see Appendix C for addresses. It will be evaluated in conjunction with the proposed design to ensure the project addresses crew training, operational wrametere. surface vessel control. and safety features. _, ~ , ~ , D. Regulation Development. As more experience is gained with passenger carrying submersibles, regulations Specific to them and to their operations will be promulgated. Therefore comments to improve this NVIC are solicited. Comments should be submitted to Commandant (G-MTH-4~. 56

Encl. (1) to NVIC CHAPTER 2. INSPECTION AND CERTIPICATION. A. Concept Review. Passenger carrying submersibles are novel vessels sad as such require special consideration. All new submersible vessel designs and all operations must be conceptually approved by Commandant. For concept review, an owner or builder should submit a proposal to Co~mnudant (G-MTH-4~. The proposal should cover, to the eaxlmum extent possible, the aspects of design and operation raised in this NVIC and should include the draft operations/safety plan. Thl8 to an important first step that will facilitate the certification process, especially plan review and inspection. B. Application for Inspection. An Application for Inspection (CG-3752) should be submitted to the Officer in Charge, Marine Inspection (OCMI) having responsibility for the location where the vessel will be built. Contact should also be made with the OCMI having Jurisdiction in the proposed operating area. C. Plan Review. 1. Plan review for most Subchapter ~ vessels is normally done by the cognizant OCMI. However, passenger submersibles are a unique clans of vessels of very novel designs and operations, therefore detailed plan review will be done by the Marine Safety Center (G-MSC). Plan submittal procedures should be discussed with the cognizant OCMI(~) as well. Detailed plan review will not normally be performed before Jurisdiction (evidence that Coast Guard inspection is required) has been established and substantial evidence (e.g., a contract) is provided that the submersible will in fact be constructed. Conceptual plan review, as noted in Section 2.A. above, say be performed by Co~ntant (G-M1lI) prior to substan~cl&ting intent to construct. In addition to the plans noted in Subchapter T. the following will be required for detailed plan review: a. Pressure hull strength calculations and construction tolerances including those for: viewports, hatches, Joint details, penetrations, attachments, and methods of attachment. b. Life support systems/equipment, material specifications (as appropriate), and supporting calculations for: (~) Carbon dioxide removal (2) Oxygen supply (3) Emergency breathin (4) Sensors and monitoring equipment c. Fire protection systems/equipment. d. Bilge system. Ballast system plans and calculations. 57

Encl. (1) to NVIC 2.C.2. f. Weight, stability and buoyancy data and calculations. A surface and submerged incllaiog will be required for which a proposed procedure is to be subalLted (see enclosure (lye g. Calculations which demonstrate adequate buoyancy and stability to permit the vessel to surface in a timely eraser, while ealutaining an upright attitude, after receiving damage to an, ballast/buoyancy tanks. Underwater escape and rescue from a submerged submersible 1e not likely to be successful and in any event it will be difficult and hazardous, so all mean for returning the submersible to the surface in both the normal and emergency modes, should be detailed. h. Intact and damage freeboard and limits of heel/trim calculations. Access to lifesavlug equipment and means of exiting the submersible once on the surface Day be difficult. Adequate freeboard and stability must be available on the surface to permit the safe disembarkation of passe~gere under the wa.at expected surface conditions in the designated operating area. Compliance with ABS rule 2.19.1 will normally satisfy this requirement. i. Power system and battery charging plans. ~- Control systems plans and layout, including ~anuevering, navigation, life support, and communication 8y8temB. k. Detection systems for hydrogen and chlorine gas generation. 1. Quality control and testing procedures. Material identification. D. Insnection for Initial Certif ication. 1. The basic inspection and certification requirements are contained in Subchapter T. Inspection for certification is normally conducted on y on U.S. flag veseela; however, exceptions to this are discussed below. Generally, construction and inspection will begin only after the required plans have been approved unless specific alternative arrangements are made with Commandant (G-MVI). In any case, when conatructlon and inspection proceed without approved plans, there is no guarantee that modifications won't be required later as a result of deficiencies noted in plan review. The achedullog of inspections is to be worked out winch the OCMI. Sea trials will be required as part of the initial certification in order to prove all of the reheel' systems. 2. For a U.S. flag Pretzel Wilt overseas, the ultimate aim will be a degree of inspection during conatruction equivalent to that which would be attained if the pretzel were built in the U.S. The Coast Guard maintains only a limited number of inspectors overseas, hence overseas inspections may be complicated by delays in communications and inspector availability. Additionally, the travel and subelatence costs associated with overseas inspections are reimbursable from the 58

Encl. (1) to NVIC D. 2. (cons 'd) owner to the Coast Guard. See NVIC 11-84 for further guidance on foreign construction requirements relative to the coD8trUCtioD of U.S. vessels overseas. 3. ~ though the ABS Rules have been recognized in part, the presence of an ADS surveyor does not substitute for the presence of a Coset Guard inspector. ~ Coast Guard inspector will be present during various phases of construction and will witness all tests, except as the OCMI may an ow otherwise. E. Inspection for Certification. Certificates will normally be issued and be valid for three years. A periodic inspection for certification will be required at least every three years for renewal of the Certificate of Inspection. Except as may be allowed by the OCMI, a Coast Guard inspector will be present to inspect the vessel and witness all required tests. During periodic inspections for certification, in addition to the inspectione required under Subchapter T. the inspector will: 1. be guided by 46 CFR 197.462 Pressure vessels and pressure piping (Commercial Diving Operations) and Section 10 (Surveys after Construction) of the ABS Rules, in particular Rule 10.11. 2. normally witness a test dive (see ABS Rule 2.13) to the design depth (eastaue depth for which a system or vehicle 1e designed) during which all systems are to be operationally tested. 3. review maintenance records to ascertain the nature and extent of routine maintenance. 4. ensure that all monitoring instruments and gauges, partic',1.rly those in the life support systems, are calibrated. 5. examine the internal surface of the pressure hull in select locations to ensure the absence of corrosion or laterDal damage; review the results of dimensional checks to verify the geometric integrity of the pressure hull. These checks should be performed triennd ally. P. Certificate of Inspection (COI). ~ submersible will be certificated for a - ic dive site. The dive site must be specified on the COI. If support vessels are integral to the safe operation of the sub ersible they should also be referenced on the COI with any operating restrictions regarding the support vessel's duties with respect to the subeersible's safety. The easieu~ duration of an operational dive will be specified on the COI. The COI should also reference the operations/eafety manual. G. Reinspection. Relnspections will be conducted annually as required by 46 CFR Subchapter T and guided by ABS Rule 10.9. Except as Day be allowed by the OCMI, a Coast Guard inspector will be present to inspect the vessel and witness all required tests. Emphasis will be given to emergency equipment, and the operation of all vessel control and life support 8y8tem8. 1. A visual examination of the hull, both internally and externally, should be conducted insofar as it is practicable. 59

Encl . (1 ) to NVIC G. 2. Maintenance records should be reviewed by the inspector to ascertain the nature and extent of routine maintenance. 3. All monitoring instruments and gauges, particularly those in the life support systems, should be calibrated and proven functional. 4. An operational dive, which need not be to the rated depth, should be conducted and all systems operationally tested. 5. Pilot evaluation. H. Drydocki~g or Hauling Out. :` 1. Submersibles shall be drydocked or hauled-out at intervals not to exceed 18 months. The periodic Cation requirements specified in 46 CFR 197.462 for commercial diving equipment and Section 10 of the ABS Rules, Surveys after Construction, should be used as a guide during drydock examinations. Underwater surveys in lieu of an actual drydocki~g or haul-out are not considered 8D acceptable alternative for submersibles. The condition of externally mounted ballast tanks, high pressure air tanks and O2 bottles, hydraulic and electrical systems must be given special attention. Additionally, care should be taken to determine if the pressure hull has sustained any damage which will require repair. Generally, the Coast Guard will adopt a very conservative approach regarding repark to the hull, life support systems, and buoyancy/ballast systems. Full restoration will be required. Approved weldlug procedures and non-destructive testing will be required on all pressure hull repairs. 2. Viewing ports have a limited number of dive cycles before fatigue failure becomes a concern. The estimated number of dives completed since installation should be compared to the manufacturer's data to determine when the viewports should be replaced. Should the operator present evidence that the viewports are still in serviceable condition, such as when actual dive pressures have been significantly less than the rated pressure, destructive testing and analysis of at least one viewport may provide a basis for retailing the remaining viewports until the nest drydocking period. In any case, viewporto will be replaced 10 years after their date of manufacture. See Section 2.I. below regarding replacement of damaged viewports. I. Notification of Repairs and Alterations. 1. Notification must be given to the OCMI before any repair or modification is made to the vessel. Additionally, no modifications or alterations shall be made to the pressure hull or any life support systems without consulting the Commandant (G-MTH-4~. 2. Until evidence is presented to the contrary, any damage to a viewport, no matter how minor, will be cause for its immediate replacement. 3. Notification must be given to the OCMI of any unintentional grounding/stranding, 1088 of power, increase in CO, C02, or lI2 beyond limits, or any emergency surfacing evolution for any reason. 60

Encl . ( 1 ) to WIC CHAPTER 3. CONSTRUCTION ~ ~G~. A. General Deslgn. 1. The basic requirement for passenger submersible design is that in the event of any single casualty the vessel can be returned to the surface under its own ability. Redundancy of systems and equipment is essential in order to meet this general design requirement. Vital systems, such as those necessary for the vessel to surface, to deploy lifesaving equipment, to disembark personnel, or for life support must be shown to have an acceptable level off reliability, a manual override control, or redundancy. A single casualty in most failure scenarios is assumed; however, some safety equipment and measures are required on the basis that more than one failure may occur in a single incident or in case the submersible is unable to return to the surface. Positive buoyancy in all operating modes is highly recommended so that if power or some other critical system is lost the vessel will return to the surface naturally (automatically). Vertical thrusters can be used for maintaining the desired depth when operating with positive buoyancy. In the event the vessel cannot return to the surface on its own and sinks to the bottom, the depth of water at the dive site cannot exceed the rated depth (the maximum depth reached during a magnet test dive witnessed by an inspector or an ABS surveyor, as may be accepted by the OCMI) of the submersible. Certification of the submersible is based on the safety of the overall operation including the dive site, support vessels, proximity of rescue/~alvage services, chewing, and documented operational and safety planning. B. Hull Structure. 1. Structural Standards. The hull structure should be designed, fabricated, and inspected to the standards of the American Society of Mechanical Engineers (ASHY) Code for Pressure Vessels for Human Occupancy (PVHO-1) or the standards of the American Bureau of~Shipping (ABS) K___ __ ~ c_ ~ __ I_, Vehicles. A proposal to use other established standards for underwater vehicles may be submitted to Commandant (G-MTH-4) for consideration. The standard used and the pertinent design parameters, such as maximum operating depth and Structural Safety factor, must be identified in the plan submittal. 2. Hull Penetrations. Requirements for hull penetrations for hatches, viewports, fluid piping, and electrical cable are found in the ABS rules and the ASHY PVHO-1 standards. Detalle of such penetrations should be carefully designed because their failure could be catastrophic. Special attention should be given to clusters of penetrations to ensure adequate ligament strength and stress relief are provided. The potential "zipper effect. due to placing viewports or other penetrations in line should be investigated and appropriate reinforcement should be provided. 61

Encl. (1) to NVIC Viewports. The of y recognized standard for acrylic viewports is ASME PVHO-1. The viewports should be adequately protected, e.g., protective covers or guards over the exterior and interior, to protect them from limpet, scratching or chemical cleaning agents, keeping in mind that damaged viewports must be replaced. 4. Structure. An esostructure complying with ABE rule 9.17 should be provided to protect the pressure hum and vlewports from damage due to collision, grounding, mooring, waves, or other hull impact forces. The esostructure should incorporate features to heighten the vessel's visibility while on the surface to reduce the posalbility of collision. C. Subdivision and Stability. 2. Subdivision. Subdivision is not normally required for vessels that carry 49 passengere or less and that are less than 65 feet in length when operating in protected waters with sufficient surface support to prevent collisions. Stability. See enclosure (2) for further guidance on stability. D. Means of Escape. Two means of escape from the pressure hull are required by 46 CFR 177.15-1. Practically, this means that two hatches are required and must be arranged so that if one is not accessible due to fire or excessive trim the other is. Ladders may be collapsible but must be easily restored to the exiting position. }I. Interior Construction. l 1. Fire Protection. a. 46 CFR 177.10-5 states that the - general construction of the vessel avail be such as to minimize fire hazards insofar as reasonable and practicable.. This mea" that a designer or builder should minimize the amount of flame, smoke, and toxic gas producing materials within the submersible to reduce the risk to passengers and crew. This is critical in ~ confined area, where return to the surface may take tome. The following materials have been identified as meeting the intent of the regulation: (l) 21ateriale approved by the Coast Guard under 46 CFR Part 164 Haterlale. (2) Materials meeting the Urban Mass Transportation Administration (UMTA) Recommended Fire Safety Practices for Rat1 Transit Materials Selection (see enclosure (5~. b. The following materials have been identified as meeting the intent of the regulation if they also meet the applicable UMIA recommended smoke density c~lteria (see enclosure (5~: (1) Fire retardant polyester resine and gel coats meeting Military Specification MIL-R-21607. 62

~cl. (1) to NVIC 3.E.1.b. (2) Polyester resins with a flame spread of 2S or less when tested to ASTM Standard E-84. (3) Nonfire retardant gel costs not exceeding .035. in thickness. (4) Materials approved by the Federal Aviation Actuation (PAA) for the interiors of commuter or transport aircraft tn accordance with Federal Aviation Regulations (FARs) 14 CFR Part 23, Appendix A, ant Part 25, Appendix A, respectively. i, Many test specifications including those referenced above have been promulgated by various organlsations for the purpose of determining the properties of materials in response to heat and flame. Such teats are performed under controlled laboratory conditions and may not adequately indicate how a material or product will behave in an actual fire. Talc gas production of plastic material in fires is of great concern to fire protection engineers in all fields of public transportation. Ideally, fire risk assesaments should be performed in the selection of passenger compartment materials, but practical methods have not been adequately evaluated to allow the Coast Guard to prescribe a particular method for use by designere of submersibles. However, the Coast Guard does not want to discourage the use and development of fire risk assesaments and will consider such assesaments for meeting the intent of 46 CFR 177.10-S(a) if carried out in a professional and competent cancer. d. Material for the construction of panels and enclosures that contain electrical equipment must be noncombustible and meet UL 67, Panelboards, and UL 50, Cabinets and Boxes. It is doubtful that glass reinforced or thermoformed plastic e can meet these requirements. The use of such materials in the pilot's control station ts subject to the guidelines for interior construction materials outlined above. They should not be used in the machinery space which is the most likely source of fire on the vessel. 2. Arrangements. Separation (e.g., a partition) between the control area and the passenger area to prevent passengers from interfering with operator performance should be provided. b. Machinery spaces ~U8t be separated from the passenger space by solid partitions and access doors must be closed during passenger operations. Machinery space partitions must be of an approved non-combustible material. Access to escape hatches must be unimpeded. d. Aisle width and headroom should be adequate for average sized persons standing upright. 63

Enc.= . (1 ) to NVIC F. Rails and Guards. . 1. Rails as required by 46 CPR 177.35-l(h) must be installed on the deck perimeter to pretreat passengers and crew from falling overboard. 2. The means of boarding from a passenger transfer vessel must be substantial and incorporate side rails. The transfer of passe~gere should take into account the relative deck heights of the submersible and surface craft, differing roll periods, wave effects, and protection of submersible appurtenances and the hull of the transfer craft. 64

Encl . ( 1 ) to NVIC CHAPTER 4. LIFESAVING EQUIPS. A. Life Preserver8. Coast Guard approved personal flotation devices, PFDs, will be required for everyone on board, locludiog children. Type I PFDs may not be appropriate when the only escape routes are through small horizontal hatches. The use of approved inflatable PPDs is encouraged on aubmerai hues. At lesat one manufacturer has obtainer Coast Guard approval for an inflatable PED. PFDs must be stowed on board. B. Primary Lifesaving Equipment. Generally, primary lifesaving equipment must be provided as required by Subehapter "T.- However, there are obvious problems with on board stowage of liferafts, lifefloats and bouffant apparatus. Alternatives to on board stowage, such as stowage on the surface support craft, must be addressed in the operations manual. C. 84~yLJhloy'. Although permanent stowage of ring buoys on the deck of the submersible may be impractical, they must be readily available during passenger boarding or whenever personnel are on deck. Stowage arrangements must be addressed in the operations manual. D. Distreas Signals. Pyrotechnics are not to be stowed inside the db~ir~3Ri--.---M-eans of alerting surface craft to underwater distress situations must be addressed in the operations manual. Consideration should be given to 8Dy reliable means of signalli~g the surface support craft; the sigDalli~g method must not be incapacitated by loss of primary power. The surface craft must have VHF capability to relay distress information to BAR stations and other rescue resources. If the submersible is capable of performing night dives, the means of 8igDalll~g the surface craft must be visible at night. E. Emergency Position Indicating. Since most submersible operations are limited to specific dive sites, and they are required to have a surface support craft in attendance at all times, EPIRBs will not normally be necessary. However, the OCMI may require an EPIRB if in his opinion one is necessary for the Safety of the operation. In any case, surface craft must be capable of rapidly determining the exact location of the submersible in an emergency. Water depth and clarity are obvious factors. Nighttime operations would require a more positive means, e.g., msrker buoys. F. First Ald Rit. ~ first aid kit should be provided. Since on-board . lnJuries to passengers would most likely be minor, a kit approved under 46 CFR 160.041 is considered adequate. Other kits having essentially the same contents as the Approved kits will also be satisfactory. G. ~ Emergency life support shall be provided in the case of failure of primary systems. Compliance with ABS Rule 5.11 or an equivalent arrangement will be accepted such as redundant breathing gas supply and CO2 removal systems with individual protection floor the contaminants of a fire for each person on board. The operator should be provided with an individual breathing gas mark. 65

Encl . ( 1 ) to NVIC CHAPTER 5. FIRE PROTECTION EQUIPS A. General. . The operations safety plan should contain procedures for firefighting. Fires may result from electtlcal system failures. The first step in combating fires of this nature should be to Secure the electrical power to the affected equipment. 2. Smoklug is strictly prohibited in the submersible and passengere must be informed of such restrictione. i, B. Fire Pumpa/Pire Main System. If a fire pump/fire main is prodded the source of water and its conductivity should be considered in light of the fact that the fire is likely to be electrical tn nature. Fised Fire Extinguishers . Pined systems, if provided, bust be nontoxic and nonasphysiating. CO2 is considered to be asphyxiating in an enclosed space and is not permitted. Halon 1301 is acceptable, but the system must be Coast Guard approved. D. Portable Fire Extinguishers. At least two approved portable extinguishers muse be provided and be easily accessible. Ralon 1211 and CO: are not acceptable because they are considered tonic in enclosed spaces. E. Fire Detection System. Detectors should be installed for normally closed Spaces containing electrical equipment or machinery. If fire tetectore are installed they Bust be listed. If a detection system is install ed, the components must be listed and the system arrangement plan must be approved. To be considered listed, detectors and system components must be listed with a nationally recognized testing laboratory acceptable to the Commandant. Secondary power for fire detection systems should be supplied by the emergency power source or by batteries that hare the capacity to operate the detectors for at least twice the maximum intended duration of an operational dive, or two hours, whichever, ts longer. 66

Encl. (1) to NVIC CHAP'1-" 6. REFINERY INSTAILATION. A. General. Marine engineering 8y8tem8 are subject to the requirements of 46 - CPR Subehapter ~ and Subehapter P as appropriate. The followi~g are certain specific items which must be conalderet and addressed in the dealgn; however, thle list is not all inclusive. 1. Pressure vessels (other than the main hull) which are permanently installed on board the vessel are subject to 46 CFR 54.01-5. Portable pressure vessels for use on board, but ser~lced/refilled ashore and reobtaining in co~erce, are considered ahip's stores and must be Department of Transportation (DOT) approved (46 CER 147.04~. DOT cylinders which are modified in any way are no longer considered DOT approved and must be shows to be equivalent to the appropriate pressure vessel standards. Hydraulic and pneumatic aysteme must meet 46 CPR 58.30. 3. Air conditioning systems must meet 46 CFR 58.20. B. Lifesupport System. 1. General. The standards discussed in Section 5 of ABS Rules regarding l oxygen supply, CO2 removals and emergency life support are generally acceptable. Provisions for personnel protection from hazards such as smoke or tonic vapors during the time it takes to surface and evacuate should be made. Life support systems should be capable of sustaining a full passenger and crew load for 72 hours beyond normal operations. Supporting calculations demonstrating compliance with these or similar Standards must be submitted. If other standards are proposed, the, must be submitted to Commandant (G-MTH) for evaluation. 2. Oxygen. The 0 system should be designed to maintain the 0 content at about 22 percent by volume. The O2 content should not exceed 25 percent by volume, nor should it fall below 20 percent. The system must be adequately monitored. 3. C02 Removal. The CO: removal system must be capable of asintainlug the CO2 concentration at or below 0.5 percent by volume. This system must be adequately monitored. Tests. An initial test of the CO2 removal system and the oxygen system should be conducted with the full passenger and crew load on board. The equilibrium point of CO2 concentration, once achieved, should be maintained for a period equal to the longest anticipated dive or one hour, whichever is longer. If the CO2 concentration exceeds 0.5 percent by volume or equilibrlu. cannot be maintained during this period, the system fails. The O2 supply and CO2 removal systems are among the operational systems that should be tested annually (see Section H of Chapter 2~. 67

Encl. (1) to NVIC Bilge Systems. A bilge system is normally required, An acceptable alternative ts a bilge water level sensing System provided an ample capability to quickly return to the surface is available upon activation of the sensing System alarm. A de-wateri~g capability in required when the Bessel is on the surface. A hand operated pump may be sufficient for this purpose. CHAP The 7. El.~CTRICAL INSTALLATION. A. General. The electrical system must meet the requirements of 46 CFR Subchapter T Part 183 and Subchapter J Electrical Engineering Parts 110 - 113 as appropriate. System redundancy must be considered and addressed. B. Cable. Low smoke cables are recommended for use. The low Smoke cables provide a degree of safety surpassing that provided by the standard shipboard cables due to the closed environment of the submersible. Emergency Power. 1. An emergency power source and controls must be provided for emergency lighting, emergency recovery 8yStem8, emergency life support 8yStem8, and underwater communications systems. It must be independent of the main power source and must be sized to supply all connected loads for at least twice the maximum intended duration of an operatione1 dive. At the end of thin period the voltage of the battery must not be lens than 88 per cent of the nomlual battery voltage. 2. Emergency lighting must be automatically activated upon loss of the main power source. Pilot controls should be illuminated by the emergency lighting system. Emergency lights may have a means to turn them off to conserve power, but such means should not be accessible to the passengers. There must be a means to indicate a low charge on the emergency batteries. D. Batteries and Battery Charging. 1. All batteries must be protected from salt water contamination, get remain accessible for regular servicing. 2. Batteries may be installed within the vessel hum if suitable precautions are -~de to protect the passenger compartment from outgassing and other associated hazards. Battery compartment isolation and sealing, monitoring of hydrogen and chlorine gas levels, catalytic conversion of gas emissions, and automatic bilge pumping are precautions that should be considered. Battery compartments must be sealed during normal passenger operations. 68

~cl. (1) toNVIC 7.D.3. Battery charglslg procedures and equipment must be addressed fro'' the standpoint of hydrogen generation am sources of ignition. Battery charging should be accomplished only while the submersible 18 at the surface. Adequate ventilation must be provided during charging operations. The ventilation system must exhaust outside the submersible to the weather. Portable ventlDg arrangements would be adequate. C}IA~T~ 8. VESSEL CONTROL. A. Ballast 57atens. Ballast systems must be designed to enable the vessel to stable on the surface ant have adequate freeboard for the safe transfer of passeDgere to and from the vessel in the worst expected operational sea state. Adequate capability of esintaiDi~g heel, trim and depth control while submerged must be provided. Positive buoyancy should be maintained at all times With depth eatntained by vertical thrusters. "Hard ballast. or pressurized water ballast tanks aunt comply with the regulations for pressure vessele, 46 CER Part 54. "Soft ballast" or free-flooding water ballast tanks must be constructed of material suitable for the intended use. B. ~ A. Sufficient Jettison "[last (i.e. drop weight) . . must be provided so that the vessel may return to the surface in the event the largest single floodable compartment or tam: other than the main passenger compartment becomes flooded. The drop weight should be tested at each inspection for certification ami more frequen~cl~r if there is reason to believe the system only not be functioning properly. When practicable, this system should be tested in the water; otherwise a test in drydock may be accepted. Auto-pilot. Auto-pilot control Day be provided but say not be employed without constant pilot monitoring and a annual over-ride. D. Communications. Communications systems for both submerged and surface modes must be provided. The system for submerged operation must be adequate for the rated depth of the vessel. Loss of submerged comm~"lcations shall be cause for returning to the surface. E. Alarms. All alarms must be independent of remote or automatic controls. P. Remotely Controlled Valves. Remotely controlled valves in the air, oxygen, ark bait system should be arranged for manual operation in an emergency. 69

'~cl. (1) to NVIC CHAP TO 9. OPERATIONS. A. General. . 1. Since a sub~eralble is usually not as self sufficient as a surface vessel, special consideration trill be given to the overall system of operations, support am ~alatenance in Blew of the en~riro~ent in which the submersible will operate. Depending on the location of operation, certain conditions such as strong tidal currents or hazards presented by other vessels or underwater obstructions may be cause for certain operating restrictions, additional design features, or possibly prohibitlog operations altogether. 2. Submersibles will be restricted to operations in waters no deeper than the designed and certified maximum operating depth of the vessel. The OCMI will take into account the elope of the bottom in proximity to deep water. 3. Certification will be for a particular operating location, and operations in other locations will not be permitted without specific Coast Guard approval. All aspects of the intended operations must be discussed with the cognizant OCMI and Captain of the Port (COTP) for the proposed operating area early in the planning stage. The written operational safety plan would be useful as a basis for that discussion. 4. Vital sYste - . All vital system should be identified and addressed - in the operations - nua1. The failure of any ~rital system is reason to terminate dive operations until the system is repaired and tested. The OCHI should be notified any time a Marital system faire during operations. B. Dive Site. The OCMI will specifically approve the dive site. Since passenger transfer from a surface craft to the submersible will normally occur at the site, an evaluation of prevailing weather and sea conditions, and the availability of natural shelter, must be considered. Additionally, vessel traffic density, bottom contours, current strength, and the presence of wrecks or other potential enta~gl-ments in the proposed diving area should be evaluated to see if they pose any risk to the submersible. The dive site will be clearly identified on the COI, as will the maximum depth to which the vessel may descend; the dive stte may . not be any deeper than the maximum depth for which the vessel is approved. C. Operations Manual/Safety Plan. 1. ~ document containing operating and emergency plans and procedures must be prepared for approval by the local OCMI. In should be clear and comprehensive. Emergency procedures should be easily found in the document and should provide clear instructions for dealing with emergencies such as fire, system failures, loss of co~mundcatlons, medical problems or injuries, life support sys tee malfunctions, atmospheric contamination from battery gases or other gas system leaks, support vessel casualties, etc. Reference to the Associatlon of Offshore Diving Contractors Code of Practice for Operation of Manned Submersible Craft may be of assistance in developing an operations n~nual/~efe~cy plan. 70

~cl. (1) to NVIC C. 2. In the planning stages and during renew, a draft o - nual/plan4 is acceptable. Ultimately, the ~anual/plan must be finalized and adhered to. Changes pair be made subject to approval of the OCMI 8Dd COTP. The operaelons manual/eafety plan should address at least the following a8pect8 of the operation: a. support craft functions ami capabilities. These should address: submersible shatowlag, diver a~rallability and capabilities, and emergency lift capability. lathe support craft should also be equipped with ~ radio and underwater telephone to permit reader commur~cations with the su~eralble, shore stations, BAR facilities, and other vessels in the subaersible's operating area. b. normal operational procedures for: submerging and surfaclog, surface operations, underwater operations (visibility, currents, communications, surface traffic, etc. ), and ferrying and transferring paesengers (surface vessels carrying core than als passengers to ant from the submersible are also subject to Coast Guard inspection). d. emergency procedures for scenarios such as: inability to surface, loss of power, controllable leakage of hull, collision, fire, evacuation out of and off the Pretzel. mooring and operational area proposal. e. the minimum amounts of air, oxygen, and battery power (ao~p~houre) which must be available before commencing any dive should be established and documented in the operations manual. The ABS rules should be used for guidance. D. Rescue. 1. Rescue capabilities should be identified as part of the original concept proposal and included in the operations manual. Regardless of all the precautions, there still exists a possibility that the submersible may not be able to surface on its own. Appropriate rescue facilities must be readily available in such a case. The depth of water for which the submersible mill be certificated will in no case exceed the demonstrated capability of the available rescue equipment. Generally, divers should be immediately available on the surface support craft Who can attach lifting cables or manipulate external ballast controls. Lifting capability on the surface must be available within 8 reasonable time, considering the amount of reserve life support on board the submersible. 2. Diver assistance at depths exceeding 150 feet requires special training and the use of wised gas equipment. ~8 obviously trill tale time to coordinate, if it is not already on-acene, and Bay be cause to limit the operatlug depth to no more than 150 feet. Remotely operated vehicles (ROVa) may be considered in lieu of dlvera. However, performance of all required functions must be demonstrated at the intended maximum operating depth to the ~atiefaction of the OCMI. 71

Encl. (1) to NVIC D. 3. The opera tlone manual show d include: procedures for locatlag the submersible; Steps necessary to raise it to the surface; a listing of annullable salvage facilities ~ includlog diver support; phone numbers; and estimated response times. Because of the potential for apparently minor situations to escalate, it is recommended that all emergencies be immediately reported by radio to the appropriate Coast Guard Rescue Coordination Center (RCC). It is also recommended that the rescue information contained in the operations manual be communicated to the Coast Guard station having Search and Rescue (SAR) responsibility for the operating area. . 4. Although the Coast Guard has statuatory responsibility for SAR, it does not have an underwater SAR capability. In the event of an underwater SAR Situation, the Coast Guard will coordinate the activities of esterDa1 underwater rescue resources (e.g., Nary, commercial companies). These may not be immediately available. Therefore, the submersible operator must anticipate all likely casualty situations and provide for the ready availability of specific rescue resources. E. Maintenance Periodic maintenance is essential to continued safe operations. A Schedule of regular periodic maintenance should be established and carefully followed. This Schedule wag be included in the operations manual/plan or developed as a separate Maintenance manual/plan. Maintenance records, including test reports of life support, control and emergency systems, should be reflexed during inspections for certification and reinspections. Failure to maintain adequate records could result in operatlo~al delays when trying to substantiate proper maintenance and repairs of vital systems during periodic reinspections. 72

Er~cl. (1) to NVIC CHAPTER 10. INNING AND LICENSING. A. General. The Coast Guard does not presently have regulations which specifically address licensing and canting of passenger carrying submeralbles. B. Submersibles not subject to inspection. Uninspectet submersibles may be operated by individuals holding a license as operator of un4nspec~cet passenger vessels or other license Rich is authorized by regulation to serve an operator of Specked passenger vessels. The operator must have familiarized Meself/herself with the operation of the vessel and its equipment. Submersibles subject to inspection. For inspected submersibles, a manning ~ . and licensing proposal must be submitted to Com~ndlant (G-MVP) via the cognizant O(:MI. This proposal must address levels of personnel training and qualifications as well as the Saber of personnel considered necessary for safe operation of the vessel. 2. 1. Normally two licensed individuals will be required so as to ensure the pretzel can be safely operated under all conditions, including incapacitation of the master. The Saber of unlicensed deckhands required, if 8Dy, Will be determined after evaluation of the okaying proposal and operational safety plan. 3. Individuals serving as master or mate on inspected submersibles will be required to possess the appropriate license. That license must authorize service on inspected passenger- carrying vessels of similar gross tonnage and route. b. The license must contain an endorsement for the submersible or class of submersibles to be operated. To obtain endorsement, an individual will be required to successfully complete a company training program that has been reviewed and approved by the local OCMI having a Regional Examination Center. Such a program would include, but not be liaised to: vessel systems, vessel operations, emergency procedures, aDd "hands on" qualification dives. Reference to the Deep Submersible Pilots Association's "Guidelines for the Selection, Training and Qualification of Deep Submersible Pilota. ea. be helpful in this regard. Applicants will be required to pass a specially prepared submersible operations esami~tion module. The submersible operations Dodge is vessel specific, and is prepared by the Coast Guard after studying the vessel's operations and technical manuals. 73

Encl . ( 1 ) to NVIC CHAPTER 11. FOREIGN PASSENGER SUBMERSIBLES OPRATING IN lisle U. S. 2. 3. A. Coastwise Trade. Vessels engaging in coastwise trade must be documented ..... . under the laws of the U.S. with a coastwise license. Foreign built and/or foreign flag submersibles may not engage in D.S. coastwise trade. With very few exceptions, all waters under the Jurisdiction of the O.S., for which the inspection statutes apply, are subject to the coastwise Iswe (Jones Ace). The U.S. Virgin Islands, the Commonwealth of the Harianas Islands, and American Samoa are not currently concreted by the coast~rise laws. There may be other U.S. territorial areas where the coa~twise laws do not apply. There are also specific operations such as qualified -voyages to nowhere" which have been determined bar the U.S. Customs not to be coastwise voyages, i.e., vessels carrying passengers or cargo from U.S. port to a point beyond the territorial waters and back to the same port. Specific guidance on characterizations of trade should be sought from the Department of the Treasury, U. S . Customs Service, Carriers, Drawbacks, and Bonds Division, Carrier Rulings Branch. B. Inspection Standards. All foreign passenger vessels operatlag in the U.S., are subject to the inspection laws of 46 USC. Due to the unique hazards associated with submersible operations, and the extraordinary application of the existing regulations, requests to operate foreign flag submeralbles in the U.S. will be very closely scrutinized. 1. Reciprocity. U.S. law [46 USC 3303(a)] provites that a foreign vessel inspected and certificated under laws and standards that are similar to those of the U.S., are genera ~ ~ subject only to an inspection to ensure that the condition of the vessel's propulsion equipment and lifesaving equipment are as stated in its current certificate of inspection. ~ foreign country that to part, to the Inter".tiona1 Convention for the Safety of Life at Sea, 1974, (SOLES) is considered to have inspection laws and standards similar to those of the U.S. and certificates issued by tat country may be accepted as evidence of lawful inspection provided that vessels of the U.S. visiting that country are accorded the came privileges. 2. The SOLES regulations, like U.S. regulations, were written primarily with surface craft in mind. Given the unique mature of these vessels, flag administration exemptions from specific SOLAS regulations can be anticipated. Any exemptions issued by the flag administration must be discussed with and be acceptable to the Coast Guard in accordance with SOLAS (Chapter I, Regulation 4) prior to the ~ressel's operation in the U.S. to ensure the standards to which the vessel was inspected are in fact similar to those of the U.S. Requests for consideration of exemptions are to be addressed to Commandant (G-MVI). 74

Encl. (I) to WIC B. 3. Vessels which are not registered in a nation party to SOLAS, or otherwise not inspected by their flag adml~atrations, are subject to the regulations of the applicable Subchapter of 46 CER as if they were U.S. flag ~ressela. C. Inspection and Certification. A foreign flag passenger submersible w111 - not be allowed to operate 1n the O.S. until it has either a Coast Guard issued COI or a SOILS Passenger Ship Safety Certificate (PSSC). 1. Submersibles with SOLAS certificates. Foreign passenger sub~eraibles that are tuspec ted by their flag administrations under the SOLAS, and have valid PSSC, will be allowed to operate in O.S. waters subject to section B.2. above. Additionally, the OCMI will perform a control verification examination to determine if the vessel is substantially in compliance with its Certificate and that it complies with any special requirements associated with specific esemptione that may have been granted. In order to verify the standards which have been applied, certain plan review Day be required. Plans should be submitted to Commandant (G-MVI) when addressing the standards applied (section B.2. above) and the exemptions for which approval is being sought. Control verification examination will be conducted annually with quarterly reinspections to ensure a vessel is maintained in compliance with the applied standards and the conditions of its certificates. 2. Submersibles without SOLES certificates. Any foreign passenger submersible that does not hold a valid PSSC must undergo full Coast Guard plan review and inspection for certification in accordance with the guidelines of this NVIC. These will be handled on a case by case basis. The Coast Guard will not normally conduct overseas inspection of foreign flag vessels. Because many of the most critical aspects of submersible construction must be witnessed as the vessel is being built, our criteria for lesuing a COI to a foreign submersible will be extremely stringent and Bag make this alternative unfeasible. D. Operations Manual. AD operations manual/safety plan, which includes the information described in Chapter 9 of this NVIC, must be submitted to the OCMI for approval. The dive site must be approved, and operating conditions stipulated, Just as for U.S. submersibles, before operations will be permitted. 75

Encl . (2 ~ to Nv ~~ Guidelines for Stability of Small Passenger Submersibles 3 March 1989 The Stability of submersibles is different in many ways from thee of Surface craft, but evaluating it in not any more difficult. Theme pages contain a short discussion of the principles of submersible stability, ~ list of the hazards to be guarded against, a list of the assumptions made in writing these guidelines, a procedure for conducting a stability review includlog evaluation criteria, and a sample stability letter. DISCUSSION Submersible vessels operate both on the sea surface and submerged beneath it. These are two very different realms, with different forces at work in each. Surface craft are subject to the strong overturning moments of surface waves and wind. The stability criteria for surface craft are intended to guard agalust these. Submersibles are subject to the same forces and moments while they are surfaced, so they must meet criteria for Surface craft. Beneath the surface, however, wind and wave effects are greatly reduced, and the mechanism of stability is entirely different. The criteria for submerged stability are correspondingly different. __ ~ ~ _ _ _ ~ \ ~ ~ ~ Basic Geometry Figure 1 76

Encl. (2) to NVIC These guidelines assure some knowledge of basic naval architecture. It will be useful nevertheless to review the definitions of the most important variables. Refer to Figure 1. B G A: GB Q! The center of buoyancy. It is the geometric center of the submerged volume and remains stationary while the vessel is completely submerged, even if in a trimmed condition. The center of gravity of the vessel's weight, as loaded. The baseline. The metacenter. It 1e the point about which ~ rotates for very small angles of inclination. For a vessel on the surface; the intersection of the vertical line through l1, and the horizontal line through G. For a submerged craft, the intersection of the vertical line through B and the horizontal line through G. The distance between ~ and B. Positive when ~ is above E. The distance between ~ and G. Positive when G is above E. The distance between ~ and M. Positive when ~ is above X. The distance between G and B. Positive when ~ is above G. The distance between G and M. Positive when ~ is above G. The distance between G and Z. This is the righting arm. It is positive if the vessel tends to right itself when it is inclined. BM The distance between ~ and M. Positive when ~ is above B. In addition to these, there are several variables not shown in Figure I: The moment of inertia of the waterplane. I depends on the orientation of an arbitrary asis. I is generally much larger in the longitudinal direction than in the transverse direction. The submerged volume. The weight of the submersible. The displacement. This is the weight of water displaced by an object. The geometric relation between B and ~ is; BM - I if. For a submerged object, there is no waterplane, so I - O. This makes BM - O as well. Put another way, the center of buoyancy of a submerged object is zero distance from the metacenter: they are the same point. That is why it is convenient to refer only to ~ and not to ~ when discussing submerged stability. 77

Encl . (2 ) to N1tIC The stability of a floating object depends on the fact that B shifts off ache centerline when the object heels. This strife defines GZ, the lever arm upon which the weight and buoyancy act to right the object. For a submerged object, this Shift in B does not occur. (Remember that ~ is the center of submerged volume, which does not more once the object is completely submerged.) If 811 weights associated with the object remain in place, G cannot move either. Buoyancy forces ace vertically upward through 8, and weight acts verticat],r downward through G. In the absence of outside forces, the object trill rotate until G is vertically below 11. See Figure 2. The weight at G is in effect hanging from the buoyancy at B. For a Submerged object in stable equilibrium, G is always vertically below B. ~3W \~W——— G(l Restoring Moment Figure 2 1~w 'a Recall that on the surface, I is dressy different tn the transverse and longitudinal directions, so roll stability aM Scrip stability are two very different cases on the surface. Submerged, however, 11 and G are fixed points that do noe depend on I. So submerged stability is not dependent on 78

Encl. (2) to NVIC direction: it is exactly the same in roll and trim. If some outside force acts to heel or trios the body, the restoring moment will be the weight of the object times GZ. Here, GZ - GB sin e, where e is the heel or trim angle about any horizontal axis. This means that the restoring moment is the same no matter whether the submersible i. inclined in the longitudinal or transverse direction. In the parlance of navel architecture, ~weight. and displacement are often interchanged. More correctly, however, Weight refers to the weight of an object, while ~displacement. is the weight of water displaced by the object. It is natural to interchange the two for an object floating on the surface, because the weight of the object always equals its displacement. This is not so for a submerged object. This distinction is extremely important, because the naval architecture of submersibles involves considerable effort to balance weight and displacement. If weight exceeds displacement, the submersible will ~ink. When displacement exceeds weight, the submersible rises . When its weight equals displacement, the submersible is neutrally buoyant, and its depth can be controlled. HAZARDS While surfaced, the stability of a submersible must be sufficient to safely withstand heeling moments caused by wind, waves, and passenger movement. The passenger submersibles built to date have been quite stable on the surface. For these, a simplified stability test is a conservative, but easy way of confirming surface stability. The assumptions below ensure that a simplified stability test is appropriate. The significant stability hazard while submerged is the large trimming moment that can be generated by passenger movement. This can be guarded against by requiring a minimum GB. A submerged inclining experiment measures the GB. The vessel's stability is also influenced by the weight of the submersible. Also while on the surface, the hatch or hatch coating must be high enough to prevent being overtopped by 4 ft. waves, and the embarkation deck must be high enough to be reasonably dry for embarking passengers. Vessel hull and appendage configurations/shapes are important in helping keep the deck dry by deflecting waves. This can be observed during operational tests. AS SUMPTIONS The submersible shown in Figure 1 is a military submarine. This is useful for discussing the principles of stability but there are some important differences between it and ~ passenger submersible. All passenger submersibles built so far are configured similar to the cross sections shown in Figure 3. These guidelines ant criteria assume such a configuration and are therefore much simpler than earlier guidelines on the subject. Specifically, these guidelines have been developed for submersibles having the following parameters: the submersible is less than 100 gross tons; it is less than 65 feet LPH (Length of Pressure Hull); it carries 49 or fewer passengers; the submersible will be operating on a route for which the surface test was performed; 79

Encl. (2) to NVIC the access hatches are on the top centerline, with a diameter not greater than. one-half the din hull diameter; there is co direr lockout; sad Go is positive at all ties. This may be assumed to be the case if: a. the esin pressure bull is a circler cylinder; b. the soft ant hard ballast tats are above the otid-height of the ouin pressure hull; and c. the batteries are installed below the mid-height of the din pressure hull. "Hard" ballast tanks are pressurized water ballast tanks, while -soft- ballast tacks are free-floodlDg water ballast tanks. It should be noted that the hard ballast tacks can cause considerable reduction in Go due to their weight and position above the hull centerline. In some scenarios, the positioning of these hard ballast tacks above the mid height of the main pressure hull could render the GB negative. There is also a possibility that the vessel could be unstable on the surface unless the waterplane tntersects the soft ballast tanks. ~ 'A fashion fatting _ access hatch `~_____ sof t belles t tan ~ / ~LW_~, Nt~ ~ j_S~ VieUportS ~ I, asin pressure bull tt~ries_~ Midship Sections Figure 3 T '\ A submersible that meets these assumptions w111 be very stable on the surface and while transiting through the surface. This cast easily be conflneed with a 80

Encl. (2) to NVIC simplified stability test, which frees the designer and the Coast Guard plan reviewer from developl~g a detailed computer model for calculating hydrostatic properties. Such a model ts very difficult to develop for B passenger submersible because of its complex shape, so the simplified stability test saves a lot of effort without compromising safety. If a design is proposed that does not meet these assumptions, it may Still be acceptable. But the stability review will have to address new questions and Set new policy in that casee STABILITY HIM PROM There are several elements to a stability review for a submersible: - - ~ spreadsheet calculation of weight sod displacement; - A spreadsheet calculation of loadlag during emergency ascent verifying positive GB; A deadweight survey; A submerged inclining experiment; A simplified stability test on the surface; and Some operational tests. Each of these are discussed below in detail. SPREADSHEET CALCULATION The weight and displacement must be exactly equal if a submersible is to passively maintain its depth submerged. If the weight and displacement are not equal, the vessel have to take on extra ballast or use propulsory to mantain neutral buoyancy. To ensure that the weight and displacement are equal, submersible designers keep very detailed spreadsheets (See Figure 4) showing the weight, displacement, and location of every component of the submersible and its equipment. These spreadsheets, if well kept, are the most accurate calculations of B. G. A, and 'S available. Since they are the foundation of all subsequent calculations, the designer's spreadshee~cs must be conatPucted and reviewed with care. The coordinate system for spreadsheet calculations should be clear and should be referenced to a drawing. The weight, displacement, and the locations of G and ~ should be calculated for a number of loading cases representing the complete range of operating conditions. By conducting the inclining experiment, the locations of G and ~ will later be confirmed (or not) for the "as inclined" condition. The spreadsheet should be detailed enough to use as a checklist during the deadweight survey. The handling of variable ballast water on confualon. The internal Solve of -soft. no buoyancy and the ballast water in them weight (This is a lost buoyancy should be calculated as buoyant _ _, _ them should be accounted for (Added weight). the ballast water in the soft tanks can have calculations that involve ~ or if. ~ should Thinly the spreadsheet can be a point of tanks should be considered to have should be considered to have no approach). "Hard" tanks, on the other hand, vol~e. and the weight of the ballast water in The weight and displacement of a significant effect on any not include the weight of water in soft tams, and ~ should not include the Solve of 80ft tanks. Am error here can change the calculated value of GB bar 10: or more. It is particularly important for this reason to understand Just how the spreadsheet calculates variable ballast water. 81

Encl. (2) to NVIC The spreadsheet should be submitted several weeks before the inclining experiment along with the inclining procedure. It should be well understood before the deadweight survey 80 that any questions can be cleared up at that time. DEADWEIGHT SURVEY The deadweight survey is really the first step in the inclining experiment, 80 they should be conducted in conjunction with each other. The submersible must be complete in all respects before the deadweight survey. All systems must be working, and all equipment must be aboard. The master should have made a recent trim dive to finalize the amount and arrangement of solid ballast. The deadweight survey should be conducted with the spreadsheet calculation in hand. Each item on the spreadsheet should be verified as being aboard or be listed as a weight to complete. Also, each item aboard should appear on the spreadsheet or be noted as a weight to remove. The locations of an items should agree with those given on the spreadsheet. Most submersibles will be designed to carry Rome fined, solid ballast BS a hedge against manufacturing inaccuracies and to ensure that a full payload can be carried. This has a significant effect on the stability of the submersible, so it is important to verify the amount and location of fixed ballast. This ballast should be well secured to prevent inadvertent shifting. Likewise, if the design includes a moveable trim control weight, its weight and location should be verified and compared to the position located at the operator's station. It is reasonable that there be provisions for both truly fixed ballast and moveable, variable solid ballast. For example, if the submersible needs 2500 pounds of ballast to submerge with minimum payload, it can be expected that something like 2000 pounds will be bolted to the skids. This is truly fixed and is expected to stay there forever. The other 500 pounce might be placed in the battery compartment. It will normally away there, but may be relocated, removed, or increased in small amounts to compensate for routine alterations to machinery and equipment. The operator needs this flexibility, and it can be accommodated by noting the amount, type, and location of ballast on the stability letter. At least a halfway should be scheduled for the deadweight survey, but it w111 take longer than that if the submersible has not been prepared. To facilitate the survey, bilge plates and access panels should be loose so that battery compartments ant machinery Spaces can be inspected. The spreadsheet should itemize each piece of equipment, eg; "lO batteries @ 200 pounds - 2000 pounds.- This is much easier to account for than; "Batteries 2000 pounda.- The deadweight survey is also a good opportunity to check that 811 equipment is securely stowed in lockers or racks. Large trim angles are normal in submerged operation. SUBMERGED INCLINING experiment Navigation and Inspection Circular (NVIC) 15-81 has been published as "Guidelines for Conducting Stability Tests." It is the basis for this section, and it must be well understood. This section does not replace NVIC 15-81, but adds information that was not contemplated when NVIC lS-81 was written. 82

Encl. (2) to NVIC In the intact condition, the only significant inclining moment submerged is due to passenger movement. If the distance GB is sufficiently large, the trim angle can be kept to scme safe maximum, even if a percentage of the passengers were to move the entire length of the submersible. The following criterion addresses this passenger movement hazard, but passenger movement should nevertheless be restricted as much as possible. The submersible must be inclined while submerged to determine the actual GB. Under full load conditions the distance, GB.CtU.1, determined by the inclining experiment must be not less than the minimum GB determined by the following formula: GBmin ~ nwNd / ~ tan e where n - 0.1 (This represents 101 of the passengers all moving at one time.) w - 160 pounds (72.5 kg) per person - the total number of passengers aboard d - the interior length of the main cabin accessible to passengers. This should not include machinery compartments if they are separated from the main cabin with a bulkhead. - the total weight (in units consistent with w) of the fully loaded submersible, not including soft ballast. e - 2S. (representing the maximum safe trim angle. This assumes that each passenger has an individual seat that is contoured or upholstered so that a person can remain in it at this angle.) An object in submerged equilibrium acts exactly as if its center of gravity at G were hanging frog' its center of buoyancy, B. This is true, regardless of the hydrostatic properties of the object, and regardless of the direction of inclining. This means that inclining in the longitudinal direction yields exactly the came rcault as inclining in the transverse direction. This in fortunate, because the extra distance available for moving inclining weights makes a longitudinal inclining much easier. Recall from NVIC 15-81 that an inclining experiment measures the relationship, wd / tan e where w is the inclining weight, and d is the distance the inclining weight moves. e is the inclined angle (trim angle, here) Since the weight of the submersible, if, and its center of gravity have been calculated precisely on the spreadsheet, the results of the inclining experiment can be used to calculate the actual G8 with the formula; GB.c~ua1 - ad / ~ tan e 83

Encl . (2 ~ to NVIC Remember that ~ should be ache weight of the submersible, not including the weight of free floodlag water ballast (soft ballast). Below are some special procedures tat will help obtain valid results from the inclining experiment. In order to maintain its depth during the inclining experiment, the submersible should be suspended from a small buoy. See Figure 5. The buoy should displace 60 to 100 pounds. It should be attached near the submersible's longitudinal center of buoyancy by a line 30-SO feet long. The submersible should be trimmed to be 30-50 pounds "heavy" so that the buoy wi U be about 1/2 submerged. This should be observed throughout the experiment by the surface boat in attendance. The suspension buoy should be fairly rigid. Pneumatic fenders tend to compress as they submerge, and this can make it difficult to achieve neutral buoyancy. pendulums Lo Or ~ ~ ~ :~ inclining weights Inclining Experiment Figure 5 84

Encl. (2) to ~~.C Pendulums should be rigged to wing in the lorlgitudiml direction. Whey should be as I°88 as possible inside the pressure hull, but even a short pendulum can give good results. Since ache distance GB is constant and does not depend on a Small angle approximation (1ike Gll does), the inclining will be valid at whatever angle is necessary to get readable deflections of the pendulums. Trim angles of 10 degrees or even more must be considered normal during diving and ascent, and the results of the inclining will be Just as valid at these angles as at small ones. Take this into account when planol~g for damping baths and water tubes, since spilled oil or water can be slippery and hazardous on the decks at these angles. There w111 probably be no need for pendulum damping if the inclining can be conducted in relatively deep, calm water. If the surface is rough, the surge near the bottom will sweep the submersible back and forth, making it very dif ficult to get good pendulum readings in any case. It is best to choose a sheltered spot without any Swell. The submerged inclining experiment will require a number of people to be aboard. There should be one person for each pendulum, a pilot, and enough people to move weights or to act as inclining weights. The experiment can take several hours submerged, so life support and air conditioning aystemn must be functioning properly before the inclining begins. Air entrained by the structure and under the fashion failing can shift during the inclining and invalidate the experiment. There should be provisions for ventlug entrained air such as vene holes in the fashion failing. Once the sub is submerged, it should be rocked or trimmed to large enough angles to ensure that all air has been vented before starting the submerged inclining. SIMPLIFIED STABILITY TEST The submersible must pass a simplified stability test to confirm that it is adequately stable on the surface. This should be as outlined in 46 CFR 171.030 with the following modifications: A trim dive, the deadweight survey, and the inclining experiment should be done before the simplified stability teat. This will ensure that the submersible is in dialog trio'. The hard ballast tanks should be about half full and the soft ballast tanks should be blown as dry as possible. In calculating the weight of personnel, A, the weight of each person should be taken as 160 pounce. The beam, b, should be taken as the transverse dlatance between the embarkation deck railings. See Figure 6. The passenger weight should be placed on the embarkation deck at a height equal to the center of gravity of the personnel aboard. The submersible passes the test if no more than one half the freeboard is immersed. Por this purpose, the freeboard is measured from the waterline to the horizontal line through the outboard limit of b at the embarkation deck level. See Figure 6' 85

Encl. (2 ~ to NNIIC \ freeboard Simplified Stability Test Figure 6 OPERATIONAL TESTS Certain operational teats relate closely to stability. These can conveniently be done in conjunction with the inclining esperimentse Emergency ascents: From several depths, including the certified test depth, all ballast tanks should be blown simultaneously. The time from the beginning of the procedure until the submersible breaks the surface should be recorded. A Coast Guard witness should be aboard to make an evaluation of the motion and attitude during ascent and especially upon breaking the surface. One ascent should be performed by dropping the external drop weights. These tests should verify thee the vessel does not attain a list such that the hatch becomes a downfloodi~g point once it is opened on the surface for disembarkation. Ilatch Height: The submersible must be capable of remaining surfaced under a sea state Waring average wave heights up to 4 feet and average winds up to 16 knots. This requirement is similar to ABS procedures which are not necessarily required or performed except to verify intent of the sub~eraible's operation. ABS has a forth for calculating hatch height, which requires a hydrostatic model aid which assumes that the critical motion for wave overtopping will be in roll. Obsenratiolls of existing submersibles suggest that wave overtopping is usually not a problem, and that any minor deck wetness comes from hea~re~pitch motions. As a check, the motion of the submersible on the surface should be observed and any tendency for deck wetness should be noted. 86

Encl. (2) to N3tIC Damaged ballast tanks: Prom just below the surface, all possible combinations of ballast tanks should be blown and the equilibrium waterline obeenred. In each case it should be noted whether the hatches are clear to open. A photographic record of these teats should be kept and included in the vessel file. Trim weight effect: If the pilot controls a moveable trim weight or can control trim with liquid ballast, this should be shifted as far 88 Fusible, both fore and aft. Record the trim angles experienced due to these ballast shifts. Effect of passenger movement: With the aubmersible on an even tile, ahift 10: of the intended number of pa~sengere all the way forward and aft. Record the maximum and equilibrium trim angles achieved. The trim angle should not exceed the maximum safe angle for batteries or machinery, and all items of furnishing should remain secure. The maximum trim angle is not espec ted to be comfortable, but it should still be possible to move about the cabin. STABILITY OTTER The end product of the stability review is a stability letter similar to the example below. Note that the stability letter should specifically limit the route to waters not deeper than the certified test depth and to waters consistent with the route assumed in performing the simplified stability tent. Name Master SubJ: Submersible , O.N. Small Passenger Vessel Stability Letter Dear Sir: You are responsible for maintaining this vessel in a satisfactory stability condition at all times and for following the instructions and precautions listed below. A stability test witnessed by the U.S. Coast Guard was conducted on the Submersible , O.N. , at on on the basis of this test, and a deadweight survey performed on the subjec~c vessel at on , stability calculations have been performed. Results indicate that the stability of 88 presently outfitted and equipped is satlafactory for operation both surfaced and submerged on protected/pareially protected waters as indicated on the Certificate of Inspection, provided that the following restrictions are strictly observed: 87

Encl. (2) to NVIC OPERATING RESTRICTIONS ROUTE. Partially protected waters not more than feet deep. 2. PASSENGERS. A maximum of _ passengers may be carried. A maximum of persons (pssseDgers and crew) may be carried. In no case shall the number of persons exceed that allowed by the Certificate of Inspection. All passengere are to remain Seated ~ in the individual seats provided, for the entire duration of each voyage. 3. FREEBOARD AND DRAFT. When surfaced to embark or disembark pssse~gers, 811 air ballast tanks are to be blown dry so that animus freeboard is maintained. Trim on the surface should be minimized. A load line is not authorized. 4. WATERTIGHT OPENINGS. Hatches are to be secured closed and checked before . _ commencing each dive. They are to remain secured until the surface craft has verified that they are clear of obstructions after resurfacing. Due to the danger of d~wnflooding, hatches are not to be opened in seas having average wave heights exceeding 4 feet. S. CARGO. No cargo is to be carried. 6. WEIGHT CHANGES. No solid ballast or other such weighes shall be added, removed, altered, or relocated without the authorization and supervision of the cognizant OCMI. All such ballast shall conform to ballast drawing No. . The vessel is fitted with pounds of permanent lead ballast in the skids as well as pounds of moveable lead ballast tn the drop weight tray between the skids and pounds of lead Pl8s secured in the battery compartment. 7. BILGES. The vessel's bilges shall be kept dry at all times consistent with pollution prevention requirements. 8. FREEING PORTS. Deck freeing ports shall be maintained operable and completely unobstructed at all times. This stability letter s~11 be posted under suitable ~cransparent material inside the submersible so that all pages are ~risible. It supersedes the temporary stability letter dated . Sincerely' (Authorized Coast Guard Official be: CCGD (m) 88

Encl. (3) to NVIC References American Bureau of Shipping Rules for Building and Classing Underwater Systems and Vehicles 1979, American Bureau of Shipping, P.0. Box 910, Paramus, NJ 07653-091 ~ "Safety Standard for Pressure Vessels for Human Occupancy,- ANSI/AMSE PVHO 1, The American Society of Mechanical Engineers, United Engineering Center, 345 East 47th Street, New York, NY 10017 Code of Federal Regulatlons: Title 46 - Shipping Chapter I - Cosat Guard, Department of Transportation: Subchapter T - Small Passenger Vessels (Under 100 Gross Tons), Parts 175 to 186 Subchapter C - Uninapected Vessels, Parts 24 to 26 Subchapter S - Subdivision and Stability, Parts 170 to 174 Subchapter V - Marine Occupational Safety and Health Standards, Part/197 Subchapter H - Passenger Vessels, Parts 70 to 89 Subchapter B - Herchant Marine Officers and Seamen, Parts 10 to 15 Subchapter ~ - Marine Engineering, Parts 50 to 64 Subehapter J - Electrical Engineering Parts 110 to 113 Title 33 - Navigation and Navigable Waters, Chapter I - Coast Guard, Department of Transportation Subchapter S - Boating Safety, Parts 173 to 183 Subchapter P - Ports and Waterways Safety, Parts 160 to 167 Subchapter O - Pollution, Parts 151 to 159 Marine Technology Society, Washington, DC: Safety and Operational Guidelines for Undersea Vehicles Safety and Operational Guidelines for Undersea Vehicles Book II International Safety Standard Guidelines for the Operation of - Undersea Vehicles 89

Bucl. (3) to NVIC References (cont'd) Manned Submersibles by R. Frank Busby, Office of the Oceanographer of the Nary "Systems Certification Procedures and Criteria Manual for Deep Submergence Systems, NAVMAT P-9290" June 1976, Department of the Nay,, Washington, DC 20362 "Code of Practice for Operation of Marched Submeralble Craft,- Association of Offshore Diving Contractors, 28-20 Little Russel Street, London WCLA 2HN "Guidelines for the Selection, Training and Qualificatlon of Deep Submersible Pilots" by the Deep Submersible Pilots Association 90

Encl. (4) to NVIC Addresses Department of the Treasury, U.S. Customs Service, Carriers, Drawbacks, and Bonds Division, Carrier Rullags Branch, 1301 Constitution Avenue NW, Washington, D.C. 20229 Commandant (G-MTH), U.S. Coast Guard, 2100 2nt Street SW, Washington, DC 20593-0001 Commandant (G-MYI), U.S. Coast Guard, 2100 2nd Street SW, Washington, DC 20593-0001 Marine Safety Center (G-MSC), 400 7th Street SW, Washington, D.C. 20593-0100 Officer in Charge, Marine Inspection The addresses for each OCMI are as follows. The zone of responsibility for each OCMI is described in 33 CFR 3. ATLANTIC COAST Commending Officer, Marine Safety Office, PO Box JOB, Portland, ME 04112-0108 Commanding Officer, Marine Safety Office, 447 Commercial St., Boston, MA 02109-1096 Commanding Officer, Marine Safety Office, John O'Pastore Federal Bldg., Providence, RI 02903-1790 Commanding Officer, Marine Inspection Office, Battery Parley Bldg., New York, NY 10004-1466 Commanding Officer, Harine Inspection Office, 801 Custom House, Philadelphia, PA 19106-2974 Commanding Officer, Marine Safety Office, Customhouse, Baltimore, MD 21202-4022 Com - ndin8 Officer, Marine Safety Office, Norfolk Federal Bldg., 200 Granby May, Norfolk, VA 23510-1888 Commanding Officer, Marine Safety Office, Suite 500, 272 North Front St., Wilmington, NC 28401-3907 Commanding Officer, Marine Safety Office, P.O. Box 724, 196 Tradd Street, Charleston, SC 29401-1899 91

Encl. (4) to N1IIC Addresses (con~c'd) Commending Officer, Marine Safety Office, PO Box 8191, Sabbath, GA 31402-8191 Commanding Officer, brine Safety Office, Room 213, 2831 Talleyrand Ave., Jacksonville, PI. 32206-3497 Compendia Officer, Marine Safety Office, Justice Bldg., 155 South Miami Are., Miami, E1 33130-1609 Commanding Officer, Marine Safety Office, PO Box S-3666, Old San Juan, PR 00904-3666 GULF OF MEXICO Commanding Officer, Marine Safety Office, 155 Columbia Drive, Tampa, FL 33606-3598 Co~ndlug Officer, Marine Safety Office, 1900 Firat Nat'1 Bank Bltg., PO Box 2924, Mobile, AL 36652-2924 Commanding Officer, Marine Safety Office, 1440 Canal Street, New Orleans, LA 70112-7116 Commanding Officer, Marine Safety Office, 800 David Dr. - Rm. 232, Morgan City, LA 70380-1304 Commanding Officer, Marine Safety Office, Federal Bl~g., 2875 75th St. & Hwy. 69, Port Arthur, TO 77640-2099 Commanding Officer, Marine Safety Office, Post Office BIdg., 601 Rosenberg, Galveston, TO 77S50-1705 Commending Officer, Marine Inspection Office, 8876 Gulf Freeway, Suite 210, Houston, TO 77017-6595 Commanding Officer, Marine Safety Office, PO Box 1621, Corpus Christi, 1~ 78403-1621 GREAT LARKS , Commanding Officer, Marine Safety Office, Rm 1111, Federal Bldg., lllW. Huron St., Buffalo, NY 14202-2395 Commanding Officer, Marine Safety Office, 1055 East Nintl. Cleveland, OR 4414-1092 92 ~ St.,

Encl. (4) to NVIC Addresses (cont'd) Commanding Officer, Harlne Safety Office, Federal Bldg., Room 101, 234 Suit St., Toledo, ON 43604-1590 Corroding Officer, Marine Safety Office, 2660 East Atwa~cer Street, De~croie, HI 48207-4413 Commanding Officer, Marine Inspection Office, Municipal Bldg., St. Ignace, ~ 49781-1425 Commanding Officer, Marine Safety Office, Card Park, Duluth, MN S5802-2352 Commanding Officer, Marine Inspection Office, 360 I`ouisiana St., Sturgeon Bay, ~ 54235-2479 Commanding Officer, Marine Safety Office, 2420 S. Lincoln Memorial Dr., Milwaukee, W! 53207-1997 Commanding Officer, Marine Safety Office, 610 South Ca~1 Street, Chicago, IL 60607-4573 INI~ND REARS Com - ndlag Offlcer, Marine Safety Office, Suite 700/Koss~an Bldg, Forbes Ave ~ S.c~wis St, Pittsburgh, PA 15222-1371 Commanding Officer, Marine Safety Office, PO Box 2412, Huntl~gton, W? 25725-2412 Commending Offlcer, thrice Saint, Office, 600 Federal Place, Room 360, I`ouis~rille, RY 40202-2230 Commanding Officer, thrice Safety Office, PO 80s 7509, Paducah, 1~! 42002-7509 Commanding Officer, Marine Safety Office, PO Box D~17, St. Louis, MO 63188~0017 Commending Officer, brine Safety Office, Suite 1134, 100 N. Main Bldg., Memphis, 111 38103-5014 PACIFIC COAST Commanding Officer, 2larine Safety Office, 2710 Harbor Drives North, San Diego, CA 92101-1064 93

Next: APPENDIX B: SUGGESTED INSPECTION REQUIREMENTS »
Safety of Tourist Submersibles Get This Book
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Over the past four years more than three-quarters of a million tourists have viewed the colorful coral-lined seas off the U.S. coasts while sitting comfortably in submersibles designed to carry over 40 passengers. Seven tourist submersibles have been operating in U.S. waters, and their safety record has been good. The primary concern, however, is that regulations and procedures will ensure that future submersibles builders and operators meet the same or better standards than are found in present operations.

This volume examines the development of the tourist submarines industry throughout the world and explores the problems involved with strengthening the Coast Guard's capability of providing the oversight and expertise needed to certify and inspect tourist submersibles. It identifies the needs for system redundancy, hazards analysis, and quality control and recommends ways to enhance emergency rescue capabilities and management of passenger safety.

The book also addresses concerns about small two- or three passenger submarines that do not now fall under the Coast Guard's safety purview.

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