NVIC 01-22: Acceptance of novel life-saving appliances

Commandant 2703 Martin Luther King Jr. Ave SE United States Coast Guard Washington, DC 20593-7509 Staff Symbol: CG-ENG Phone: (202) 372-1385 E-mail: typeapproval@uscg.mil COMDTPUB P16700.4 NVIC 01-22 February 22, 2022 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-22 Subj: ACCEPTANCE OF NOVEL LIFE-SAVING APPLIANCES AND ARRANGEMENTS Ref: (a) Title 46 of the Code of Federal Regulations (CFR) Subchapter A, Part 2 - Vessel Inspections (b) Title 46 of the Code of Federal Regulations (CFR) Subchapter W, Part 199 - Lifesaving Systems for Certain Inspected Vessels (c) International Convention for the Safety of Life at Sea (SOLAS) 1974, amended, Chapter III – Life-saving Appliance and Arrangements (d) International Maritime Organization (IMO) Circular MSC.1/Circ.1212/Rev.1, Revised guidelines on alternative design and arrangements for SOLAS chapters II-1 and III (e) Commandant Instruction 16000.7B, Marine Safety Manual Volume II, Section D, Chapter 7 (f) IMO Resolution A.520(13), Code of Practice for the Evaluation, Testing and Acceptance of Prototype Novel Life-saving Appliances and Arrangements

Acceptance of Novel Life-Saving Appliances and Arrangements — PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) provides guidance to

manufacturers and ship owners seeking acceptance of novel life-saving appliances (LSA) and arrangements under 46 CFR 199.40 on board a U.S. registered vessel subject to the International Convention for the Safety of Life at Sea (SOLAS), or a foreign flag passenger vessel seeking a Certificate of Compliance for the purpose of carrying a citizen of the United States as a passenger.

Acceptance of Novel Life-Saving Appliances and Arrangements — DISCLAIMER. This guidance is not a substitute for applicable legal requirements, nor is it

itself a regulation. It is not intended to, nor does it impose legally-binding requirements on any party. It represents the Coast Guard’s current thinking on this topic and is issued for guidance purposes to outline methods of best practice for compliance with the applicable law. You can use an alternative approach if the approach satisfies the requirements of the applicable statutes and regulations. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-22

Acceptance of Novel Life-Saving Appliances and Arrangements — ACTION.

a. Officers in Charge, Marine Inspection (OCMI) and the Commanding Officer, Marine Safety Center (MSC) are encouraged to bring this circular to the attention of the marine industry and other marine interests within their areas of responsibility. b. Manufacturers seeking U.S. Coast Guard (USCG) approval are encouraged to review the guidance contained in this NVIC to determine whether their equipment should be considered novel for the purposes of acceptance by the Office of Design and Engineering Standards, Commandant (CG-ENG) under 46 CFR 199.40(c) in lieu of approval. c. Acceptance of an alternative design and arrangement for lifesaving systems involves cooperation between the equipment approval and vessel plan review processes. In accordance with current authorities for these processes, the USCG will evaluate novel LSA lifesaving appliances and arrangements in the following scenarios: (1) For installation on a U.S. flag vessel, CG-ENG will consider an alternative design and arrangement that has undergone the analysis process under SOLAS Chapter III, Regulation 38 - Alternative Design and Arrangement (SOLAS III/38) and reference (d) under the provisions of 46 CFR 159.005-7(c) and 199.40(c)(2). (2) For installation on a foreign flag passenger vessel carrying a citizen of the United States as a passenger which will undergo initial or subsequent Certificate of Compliance Plan Review as outlined in reference (e), the MSC will consider an alternative design and arrangement that has undergone the analysis process under SOLAS III/38. d. Acceptance of a novel LSA or arrangement under this Circular should be based on the successful completion of the phases in Enclosure (1) for a U.S. flag vessel, or Enclosure (2) for a foreign flag passenger vessel.

Acceptance of Novel Life-Saving Appliances and Arrangements — DIRECTIVES AFFECTED. None.

DIRECTIVES AFFECTED. None.

Acceptance of Novel Life-Saving Appliances and Arrangements — BACKGROUND.

a. The USCG has statutory authority under Title 46, U.S. Code, Section 3306(a)(2) and

(b)(1) to approve lifesaving equipment.

The Life Saving and Fire Safety Division, Office of Design and Engineering Standards, Commandant (CG-ENG-4) carries out the approval of LSA under the requirements in 46 CFR Chapter I, Subchapter Q, (Equipment, Construction, And Materials: Specifications And Approval), and issues certificates of approval under Title 46 CFR Subpart 2.75 of reference (a). b. 46 CFR 199.30 defines a novel lifesaving appliance or arrangement as “a lifesaving appliance or arrangement that has new features not fully covered by the provisions of this part but that provides an equal or higher standard of safety”.

In lieu of type approval under 46 CFR 2.75, 46 CFR 199.40(c) allows CG-ENG to accept a novel lifesaving appliance or arrangement on board a U.S. flag vessel if it provides a level of safety equivalent to the requirements of reference (b).

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-22 c.

Currently, 46 CFR 199.40(c)(1) allows CG-ENG to accept a novel lifesaving appliance or arrangement if it is evaluated and tested in accordance with reference (f).

Additionally, 46 CFR 199.40(c)(2) allows CG-ENG to accept a novel lifesaving appliance or arrangement if it has successfully undergone evaluation and tests substantially equivalent to reference (f).

However, reference (f) was removed from the text of SOLAS Chapter III in 2010 by IMO Resolution MSC.216(82). d.

In 2019, the IMO issued reference (d).

The guidelines include goals and functional requirements to be taken into account when the performance criteria for the alternative design and arrangements of life-saving appliances cannot be determined directly from the prescriptive regulations of SOLAS Chapter III because of novel or unique features.

The USCG intends to use reference (d) for evaluation of novel LSA. e.

In accordance with 46 CFR 2.01-25, before a U.S. flag vessel engaged in international voyages may be issued a Passenger Ship Safety Certificate or Cargo Ship Safety Equipment Certificate, it must meet the applicable requirements of reference (c).

The issuance of these certificates includes an assessment whether the vessel was subject to SOLAS III/38.

SOLAS III/38 provides a process for Flag States to evaluate novel lifesaving appliances and arrangements that may deviate from the prescriptive requirements of part B (regulations 6 through 37) of SOLAS III, provided they meet the intent of those requirements and provide an equivalent level of safety. f.

The USCG has statutory authority over foreign flag passenger vessels under Title 46, U.S.

Code, Section 3505, which authorizes the Secretary under which the USCG operates to prevent a passenger vessel carrying U.S. citizen passengers from departing a U.S. port, if the Secretary finds that the vessel does not comply with SOLAS standards.

The process by which the USCG carries out this responsibility is outlined in reference (e).

As part of that process, the MSC conducts plan review of submitted documents for each foreign flag passenger vessel.

When applicable, those documents should include supporting information for any equivalencies or exemptions approved by the flag Administration.

Acceptance of Novel Life-Saving Appliances and Arrangements — DISCUSSION.

a. Primary lifesaving systems are a critical component in the overall safety of life onboard the vessel. Vessel design and operations have improved significantly and enable the vessel itself to serve as its own best safety platform. That said, these same improvements place even greater emphasis on the need for primary lifesaving equipment to work successfully under the most difficult conditions—because its only when all else fails that this equipment will be used. As the USCG considers novel lifesaving arrangements, we will approach this from the perspective of ensuring that these systems make demonstrable improvements to the design, operation and reliability of primary lifesaving systems. b. The USCG recognizes that under present regulations, the lifesaving “system” is generally approved as individual components on board U.S. flag vessels. With that in mind, a manufacturer of lifesaving equipment should consider carefully whether certain individual components comprising the novel system may be approved under the standards in 46 CFR NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-22 Subchapter Q. If the Original Equipment Manufacturer (OEM) intends to produce and market those individual components for conventional use on board U.S. flag vessels, they should then seek USCG type approval by following the conventional approval process in 46 CFR, subchapter Q, subparts 160.115, 160.132, 160.133, 160.135, 160.156, or 160.170, as appropriate. c. The equipment manufacturer, or other appropriate submitter for a U.S. flag vessel subject to SOLAS considering the carriage of a novel lifesaving appliance or arrangement, should follow the steps outlined in enclosure (1) with the engineering analysis process in references

(c) and (d). The analysis should take into account the goal, functional requirements and expected performance criteria, as set out in Appendix 5 of reference (d). d. The submitter for a foreign passenger vessel which will undergo initial or subsequent Certificate of Compliance plan review considering the carriage of a novel lifesaving appliance or arrangement should follow the steps outlined in enclosure (2). In consultation with the vessel’s flag Administration, the USCG will review and evaluate applicable engineering analyses and documentation required by SOLAS Chapter III, Regulation 38 where approval is required by the flag Administration of the alternative design deviating from the prescriptive requirements of SOLAS Chapter III. The successful technical review and processing for a USCG Certificate of Compliance will be heavily dependent on close engagement with the flag Administration.

Acceptance of Novel Life-Saving Appliances and Arrangements — ADDITIONAL CONSIDERATIONS. When considering the installation of a novel LSA or

arrangement, the MSC should be contacted to discuss the review and approval of plans for the design, construction, or alteration of a U.S. flag vessel, or foreign flag passenger vessels under Certificate of Compliance plan review.

Acceptance of Novel Life-Saving Appliances and Arrangements — ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.

a. The development of this NVIC and the general policies contained within it have been thoroughly reviewed by the originating office in conjunction with the Office of Environmental Management, Commandant (CG-47). This NVIC is categorically excluded under current Department of Homeland Security (DHS) categorical exclusion (CATEX) A3 from further environmental analysis in accordance with "Implementation of the National Environmental Policy Act (NEPA)", DHS Instruction Manual 023-01-001-01 (series). b. This NVIC will not have any of the following: significant cumulative impacts on the human environment; substantial controversy or substantial change to existing environmental conditions; or inconsistencies with any Federal, State, or local laws or administrative determinations relating to the environment. All future specific actions resulting from the general policy in this NVIC must be individually evaluated for compliance with the National Environmental Policy Act (NEPA), Department of Homeland Security (DHS) and Coast Guard NEPA policy, and compliance with all other applicable environmental mandates. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-22

Acceptance of Novel Life-Saving Appliances and Arrangements — DISTRIBUTION. No paper distribution will be made of this NVIC. An electronic version

will be located at https://www.dco.uscg.mil/Our-Organization/NVIC/.

Acceptance of Novel Life-Saving Appliances and Arrangements — RECORDS MANAGEMENT CONSIDERATIONS. This NVIC has been thoroughly

reviewed during the directives clearance process, and it has been determined there are no further records scheduling requirements, in accordance with Federal Records Act, 44 U.S.C . 3101 et seq., NARA requirements, and Information and Life Cycle Management Manual, COMDTINST M5212.12 (series). This policy does not create significant or substantial change to existing records management requirements.

Acceptance of Novel Life-Saving Appliances and Arrangements — FORMS/REPORTS. None.

FORMS/REPORTS. None.

Acceptance of Novel Life-Saving Appliances and Arrangements — REQUEST FOR CHANGES. All requests for changes and questions regarding

implementation of this NVIC and/or requests for changes should be directed to contact CG- ENG-4 staff at TypeApproval@uscg.mil. J. W. Mauger Rear Admiral, U.S. Coast Guard Assistant Commandant for Prevention Policy Encl: (1) Recommended Process for Acceptance of Novel Lifesaving Appliances and Arrangements on a US Flag Vessel (2) Recommended Process for Acceptance of Novel Lifesaving Appliances and Arrangements on a Foreign Flag Passenger Vessel seeking a Certificate of Compliance