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Annex 5, page 1

ANNEX 5

DRAFT MSC CIRCULAR

INTERIM GUIDELINES ON THE SECOND GENERATION INTACT STABILITY CRITERIA

1 The Maritime Safety Committee, at its [102nd session (13 to 22 May 2020)],
recognizing that performance-oriented criteria for dynamic stability phenomena in waves
needed to be developed and implemented to ensure a uniform international level of safety, as
specified in part A, section 1.2 of the International Code on Intact Stability, 2008 (resolution
MSC.267(85), as amended), approved the Interim guidelines on the second generation intact
stability criteria, as set out in the annex.

2 The Committee agreed to keep the Interim guidelines under review, taking into
account experience in design and operation of ships gained during their application.

3 Member States are invited to use the annexed Interim guidelines as complementary
measures when applying the requirements of the mandatory criteria of part A of the
Code and to bring them to the attention of all parties concerned, in particular shipbuilders,
shipmasters, shipowners, ship operators and shipping companies, and recount their
experience gained through the trial use of these Interim guidelines to the Organization.

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ANNEX

INTERIM GUIDELINES ON THE SECOND GENERATION INTACT STABILITY CRITERIA

Preamble

1 In view of a wide variety of ship types, sizes, operational profiles and environmental
conditions, the problems related to dynamic stability failures have generally not yet been
solved. Administrations should be aware of the fact that some ships are more at risk of
encountering critical stability in waves. The Administration may, for a particular ship or group
of ships, apply dynamic stability criteria which demonstrate that the safety level of a ship in
waves is sufficient.

2 For this purpose, performance-based criteria for assessing five dynamic stability
failure modes in waves are provided in these guidelines, namely, dead ship condition,
excessive acceleration, pure loss of stability, parametric rolling and surf-riding/broaching.

3 The physics and evaluation methods for these five stability failure modes had not
been well understood or developed when the mandatory intact stability criteria were
established. As such, the herewith presented dynamic stability criteria utilize the recent
progress using best practices and the most advanced scientific tools available, for practical
regulatory-oriented application. Accordingly, the background of the dynamic stability criteria is
principally based on first principles and latest technology, as opposed to predominant use of
casualty records which form the basis of the mandatory intact stability criteria. For this reason,
the presented dynamic stability criteria may be considered as the second generation intact
stability criteria.

4 The methodologies contained in these Interim guidelines are based on general

first-principle approaches derived from the analysis of ship dynamics. However, in the
development process, it was also necessary to simplify some of the assessment
methodologies and to perform some semi-empirical tuning.

5 In developing the framework of these Interim guidelines, it was recognized that an

integrated perspective, combining design methods and operational measures, is the most
effective way for properly addressing and continuously improving safety against accidents
related to stability for ships in a seaway.

6 Therefore, the second generation intact stability criteria should be used for helping to
ensure a uniform international level of safety of ships with respect to dynamic stability failure
modes in waves.

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Contents

Chapter 1 General

1.1 Introduction

1.2 Definitions

1.3 Nomenclature

Chapter 2 Guidelines on vulnerability criteria

2.1 Preface

2.2 Assessment of ship vulnerability to the dead ship condition failure mode

2.3 Assessment of ship vulnerability to the excessive acceleration failure mode

2.4 Assessment of ship vulnerability to the pure loss of stability failure mode

2.5 Assessment of ship vulnerability to the parametric rolling failure mode

2.6 Assessment of ship vulnerability to the surf-riding/broaching failure mode

2.7 Parameters common to stability failure mode assessments

Chapter 3 Guidelines for direct stability failure assessment

3.1 Objective

3.2 Requirements

3.3 Requirements for a method that adequately predicts ship motions

3.4 Requirements for validation of software for numerical simulation of ship

motions

3.5 Procedures for direct stability assessment

Chapter 4 Guidelines for operational measures

4.1 General principles

4.2 Stability failures

4.3 Operational measures

4.4 Acceptance of operational measures

4.5 Preparation procedures

4.6 Application

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1 GENERAL

1.1 Introduction

1.1.1 Purpose

1.1.1.1 The purpose of these Guidelines is to enable the use of the second generation intact
stability criteria for the assessment of dynamic stability failure modes in waves, as requested
in section 1.2 of Part A of the 2008 Intact Stability (IS) Code. These dynamic stability failure
modes are as follows: dead ship condition, excessive acceleration, pure loss of stability,
parametric rolling and surf-riding/broaching. In this sense, the overarching aim is to use the
latest technology and knowledge on ship dynamics to provide guidance for ship designers on
dynamic stability failure modes and to provide operational guidance for ship masters. This is
undertaken to further improve the safety level of a ship beyond the mandatory intact stability
criteria.

1.1.1.2 The main purpose of these criteria is to enable the use of the latest numerical
simulation techniques for evaluating the safety level of a ship from an intact stability viewpoint.
By using such tools for simulating the dynamic ship behaviours in a random seaway, the safety
level of a ship can be estimated with a probabilistic measure. This approach is hereby called
direct stability assessment. However, applying such tools to all new ships that are subject to
the 2008 IS Code is not practical due to the limitation of human resources and facilities that
are required for experimentally validating the numerical tools. Thus, the vulnerability of a ship
can be assessed using simpler vulnerability criteria or more comprehensive direct stability
assessment. The guidance for vulnerability criteria and the guidance for direct stability
assessment are provided in chapters 2 and 3 of the Interim guidelines, respectively.

1.1.1.3 It is noted that compliance with the criteria contained within part A of the 2008
IS Code, good seamanship, appropriate ship-handling and appropriate operation may avoid
the potential danger of excessive roll, excessive lateral accelerations or capsizing due to a
dynamic stability failure mode. Mindful of this fact, operational measures for a ship may be
provided as an alternative to the vulnerability criteria or direct stability assessment. For this
purpose, the guidelines for operational measures are provided in chapter 4 of the Interim
guidelines. Whereas the natural order of application is from the vulnerability criteria to direct
stability assessment and operational measures, all these alternatives are equivalent in the
regulatory sense and any of them can be used independently of others, in the way that is most
suitable for the particular design.

1.1.2 Framework

1.1.2.1 For the purpose of this framework, the following definitions apply:

.1 criterion is a procedure, an algorithm or a formula used for the assessment

on the likelihood of a stability failure;

.2 standard is a boundary separating acceptable and unacceptable likelihood

of a stability failure; and

.3 rule (or regulation) is a specification of a relationship between a standard and

a value produced by a criterion.

1.1.2.2 The second generation intact stability criteria are tools to judge the likelihood of intact
stability failures. Intact stability failure is an event that includes the occurrence of very large roll
(heel, list) angles or excessive rigid body accelerations, which may result in capsizing

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or impairs normal operation of the ship and could be dangerous to crew, passengers, cargo or
ship equipment. Three subtypes of intact stability failure are included:

.1 heel/list exceeding a prescribed limit;

.2 roll angles exceeding a prescribed limit; and
.3 lateral accelerations exceeding prescribed limit.

1.1.3 Application logic

1.1.3.1 The application logic is summarized in figure 1.1.3. Although the user may be guided
by a sequential logic of the Interim guidelines (see 1.1.3.2), it is also acceptable that the users
apply any alternative design assessment or operational measure option (see 1.1.1.3).
For example, a user may wish to immediately commence with the application of direct stability
assessment procedures without passing through Levels 1 and 2 of the vulnerability criteria or
develop operational measures without performing design assessment.

1.1.3.2 A sequential application logic can be summarized, as follows:

As the simplest options, the vulnerability criteria are presented in two levels:
Level 1 and Level 2. The assessment of the five stability failure modes should begin
with the use of these levels. Level 1 is an initial check and then, if the ship in a
particular loading condition is assessed as not vulnerable for the tested failure mode,
the assessment for that failure mode may conclude; otherwise, the design would
progress to Level 2. If the ship in a particular loading condition is assessed as not
vulnerable for the tested failure mode in Level 2, then the assessment would
conclude; otherwise, the design would progress to the application of direct stability
assessment, application of operational limitations, revising the design of the ship or
discarding the loading condition. If the ship in a particular loading condition is not
found acceptable with respect to direct stability assessment procedures, then the logic
is that the design would then progress to the application of operational measures or
operational guidance, revising the design or discarding the loading condition.

Figure 1.1.3 – Simplified scheme of the application structure of the second generation
intact stability criteria. For actual application details, reference is to be made to the text
of these Interim guidelines.

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1.1.4 Testing

1.1.4.1 The second generation intact stability criteria have been developed envisioning a
future incorporation into the 2008 IS Code. However, they require testing before using them
as mandatory criteria. This is because the robustness of the new criteria is not the same for
the different stability failure modes.

Specifically, results obtained in the development process, indicate that:

.1 Level 1 and Level 2 vulnerability criteria for dead ship stability failure mode
sometimes provide non-consistent results, i.e. Level 2 may be more
conservative than Level 1 for some ships;

.2 vulnerability criteria for excessive acceleration may require further

refinements;

.3 Level 2 vulnerability criterion for the pure loss of stability failure mode
provides very conservative results for ships with low freeboard; therefore,
results of testing for such ships should be treated with care; and

.4 parametric rolling and surf-riding/broaching Level 1 and Level 2 vulnerability

criteria have sufficient scientific background and feasible methods for
regulatory use.

1.1.4.2 Therefore, these criteria should be used on a trial basis at this stage. Such criteria
usage and subsequent reporting are necessary to gain experience and consequently enable
the introduction of this approach to the analysis of intact stability. It is also highly recommended
to apply the criteria to ships already in service and to compare the results with operational
experience.

1.1.5 Feedback

1.1.5.1 The second generation intact stability criteria methodology has been developed using
the latest technology and scientific knowledge for assessing ship dynamics in waves. The
methodology has been tested on a number of sample ships and, to this end, these draft Interim
Guidelines are intended to generate data and feedback for a large number of ships.

1.1.5.2 These guidelines have been issued as "Interim guidelines" in order to gain experience
in their use. They should be reviewed in order to facilitate future amendments based on the
experience gained.

1.1.5.3 Member States and international organizations are invited to submit information,
observations, suggestions, comments and recommendations based on the practical
experience gained through the application of these Interim guidelines. To support the objective
of obtaining robust criteria for regulatory use, suggestions for alternatives to and/or refinements
of the criteria elements contained in the Interim guidelines are encouraged. The suggestions
should compare the outcomes with the criteria elements included in the Interim guidelines.

1.1.5.4 With such feedback not only on the technical results but also their usability and clarity,
the Organization will be able to subsequently refine the second generation intact stability
criteria, if necessary.

1.1.6 Relationship with mandatory criteria

1.1.6.1 These Interim guidelines are not intended to be used in lieu of the mandatory intact
stability criteria contained in the 2008 IS Code. They are intended for use as a guide for ship
designers to assess the aspects of ship stability not adequately covered by the mandatory

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criteria and to provide operational guidance for ship masters. Therefore, they should be used
as a supplementary set of stability assessment methods.

1.1.7 Notes for application

1.1.7.1 These Interim guidelines are intended to be applied to ships that are also subject to
the 2008 IS Code.

1.1.7.2 These Interim guidelines have not been specifically developed for multihulls.
Moreover, for ships with an extended low weather deck, additional application provisions are
provided in the relevant chapters.

1.2 Definitions

1.2.1 Loading condition, in the context of these Interim guidelines, is defined by the mean
draught d, trim angle , metacentric height GM and mass moments of inertia Ixx(or natural roll
period Tr), Iyy and Izz.

1.2.2 Fully loaded departure condition means the loading condition, as defined in
section 3.4.1 of part B of the 2008 IS Code.

1.2.3 Sea state is the stationary condition of the free water surface and wind at a certain
location and time, described in these Interim guidelines by the significant wave height HS,
mean zero-crossing wave period TZ, mean wave direction , wave elevation energy spectrum
Szz, and mean wind speed, gustiness characteristics and direction. For combined wind sea and
swell, significant wave height, mean zero-crossing wave period and mean wave direction may
be defined separately for each of the two wave systems.

1.2.4 Sailing condition is a short notation for the combination of the ship forward speed Vs
and heading relative to mean wave direction .

1.2.5 Assumed situation is a condition of the ship that refers to the sailing condition
combined with sea state. Thus, a situation is defined by the ship forward speed v0, mean wave
direction , significant wave height HS and mean zero-crossing wave period TZ, direction and
gustiness characteristics of wind.

1.2.6 Design situation is an assumed situation representative for a particular stability failure
mode.

1.2.7 Wave scatter table is a table containing the probabilities of each range of sea states
encountered in the considered operational area or operational route. In these Interim
guidelines, the probabilities contained in a wave scatter table are defined to sum to unity.

1.2.8 Limited wave scatter table is a table obtained from the full wave scatter table by
removing all sea state ranges with the significant wave height above a certain limit.

1.2.9 Operational area and operational route are the geographical areas specified for the
ship operation. In the context of these Interim guidelines, operational area or operational route
are specified by the long-term wave statistics (wave scatter table) and wind statistics.

1.2.10 Nominal ship forward speed means the ship speed in calm water under action of the
ship's propulsion at a given setting.

1.2.11 Maximum service speed means maximum ahead service speed, as defined in SOLAS
regulation II-1/3.14.

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1.2.12 Design assessment corresponds to the application of vulnerability criteria according

to chapter 2 or direct stability assessment according to chapter 3 of these Interim guidelines
or a combination of the two.

1.2.13 Operational measures mean operational limitations or operational guidance.

1.2.14 Guidelines for vulnerability assessment means the content of chapter 2 of these
Interim guidelines.

1.2.15 Guidelines for direct stability assessment means the content of chapter 3 of these
Interim guidelines.

1.2.16 Guidelines for operational measures means the content of chapter 4 of these Interim
guidelines.

1.2.17 2008 IS Code means the International Code on Intact Stability, 2008, as amended.

1.2.18 Mean three-hour maximum amplitude means the average value of several maximum
amplitudes, each of which is determined for an exposure time of three hours.

1.3 Nomenclature

1.3.1 The general nomenclature used in these Interim guidelines is set forth in 1.3.2, 1.3.3,
1.3.4 and 1.3.5. Nomenclature that is specific to a particular section is defined in that location
and prevails over the general nomenclature reported here. If not otherwise stated, reference
should be made to the nomenclature used in the 2008 IS Code.

1.3.2 General ship characteristics

L = length of the ship, as defined in paragraph 2.12 of the introduction part of

the 2008 IS Code (m)
B = moulded breadth of the ship (m)
Bwl = moulded breadth at waterline (m)
D = moulded depth, as defined in the 2008 IS Code (m)
Vs = service speed (m/s)
v0 = forward speed (m/s)

Fn = Froude number = Vs / L g

Ak = total overall area of the bilge keels (no other appendages) (m2)
𝛻D = volume of displacement at waterline equal to D at zero trim (m3)
Dp = propeller diameter (m);
xi = longitudinal distance from the aft perpendicular to a station i (m),
positive forward

1.3.3 Constants
g = acceleration due to gravity, taken as 9.81 (m/s2)
ρ = density of salt water, taken as 1025 (kg/m3)
ρair = density of air, taken as 1.222 (kg/m3)

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1.3.4 Loading condition characteristics

dfull = draft corresponding to the fully loaded departure condition in
calm water (m)
CB,full = block coefficient of the fully loaded departure condition in calm water
Cm,full = midship section coefficient of the fully loaded departure condition in
calm water
d = mean draught, i.e. draft amidships corresponding to the loading
condition under consideration in calm water (m)
LWL = length of the ship on the waterline corresponding to the loading condition
under consideration (m)
KB = height of the centre of buoyancy above baseline corresponding to
the loading condition under consideration (m)
KG = height of the centre of gravity above baseline corresponding to the loading
condition under consideration (m)
𝛻 = volume of displacement corresponding to the loading condition under
consideration (m3)
CB = block coefficient corresponding to the loading condition under
consideration (-)
∆ = displacement (t)
AW = waterplane area at the draft equal to d (m2)
IT = transverse moment of inertia of water-plane area (m4)
Ixx = dry roll moment of inertia (t m2)
Iyy = dry pitch moment of inertia (t m2)
Izz = dry yaw moment of inertia (t m2)
m = mass of the ship (t)
kxx = dry roll radius of gyration around axis x = I xx / m (m)

kyy = dry pitch radius of gyration around axis y = I yy / m (m)

kzz = dry yaw radius of gyration around axis z = I zz / m (m)

GM = metacentric height of the loading condition in calm water (m), with or

without correction for free surface effect, as required
AL = projected lateral area of the portion of the ship and deck cargo above
the waterline (m2)
Z = vertical distance from the centre of AL to the centre of the underwater
lateral area or approximately to a point at one-half the mean draft, d (m)
Tr = linear natural roll period in calm water (s)
ωr = natural roll frequency = 2 π / Tr (rad/s)
φ = angle of roll, heel, or list (rad or deg)
θ = angle of pitch or trim (rad or deg)
ψ = angle of yaw, heading or course (rad or deg)

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φS = stable heel angle under the action of steady heeling moment calculated
as the first intersection between the righting lever curve (GZ curve) and
the heeling lever curve, (rad or deg)
φV = angle of vanishing stability. In presence of a heeling moment, it should
be calculated as the second intersection between the righting lever
curve (GZ curve) and the applied heeling lever curve (rad or deg)
1.3.5 Environmental condition characteristics
λ = wavelength (m)
H = wave height (m)
HS = significant wave height for the short-term environmental condition under
consideration (m)
s = wave steepness = H/λ
TZ = mean zero-crossing period for the short-term environmental condition
under consideration (s)
Tp = wave period corresponding to peak of spectrum for the short-term
environmental condition under consideration (s)
μ = mean wave direction with respect to ship centre plane (deg)
Szz = wave elevation energy spectrum (m2/(rad/s))
ω = circular frequency (rad/s)
k = wave number = 2π/ λ (rad/m);
1.3.6 Other parameters
Ns = number of simulations
fs = joint probability density of sea state (probability of sea states per unit
range of significant wave heights and mean zero-crossing periods)
(1/(m/s))

2 Guidelines on vulnerability criteria

2.1 Preface

As described in section 1.2 of part A of the 2008 IS Code, the Administration may for a
particular ship or group of ships apply criteria demonstrating that the safety of the ship in waves
is sufficient. For this purpose, the criteria for the dynamic stability failure modes in waves have
been developed, which address the dead ship condition, excessive acceleration, pure loss of
stability, parametric rolling, and surf-riding/broaching failure modes. These criteria should be
used for ensuring a uniform international level of safety of ships with respect to these failure
modes.

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2.2 Assessment of ship vulnerability to the dead ship condition failure mode

2.2.1 Application

2.2.1.1 The provisions given hereunder apply to all ships, except for ships with an extended
low weather deck.1

2.2.1.2 For each loading condition, a ship that:

.1 meets the standard contained in the criteria contained in 2.2.2 is considered

not to be vulnerable to the dead ship condition failure mode; or

.2 does not meet the standard contained in the criteria contained in 2.2.2 should
be subject to more detailed assessment of vulnerability to the dead ship
condition failure mode by applying the criteria contained in 2.2.3.

2.2.1.3 Alternatively to the criteria contained in 2.2.2 or 2.2.3, for each loading condition a
ship may be subject to either:

.1 direct stability assessment for the dead ship condition failure mode that is
performed according to the Guidelines for direct stability assessment in
chapter 3; or

.2 operational limitations related to operational area or route and season

developed in accordance with the Guidelines for operational measures in
chapter 4.

2.2.1.4 A detailed assessment of Level 2 vulnerability according to the criteria

contained in 2.2.3 may be performed without the requirement to conduct a more simplified
assessment in 2.2.2. Similarly, a detailed direct stability assessment as provided in 2.2.1.3.1
may be performed without the requirement to conduct a more simplified assessment in 2.2.2
or 2.2.3.

2.2.1.5 Stability limit information for determining the safe zones as functions of GM, draught
and trim is to be provided based on matrix calculations according to the criteria contained
in 2.2.2 or 2.2.3, and, if appropriate, direct stability assessment according to the Guidelines for
direct stability assessment in chapter 3. If relevant, the stability limit information for determining
safe zones should take into account operational limitations related to specific operational areas
or routes and specific season according to the Guidelines for operational measures in
chapter 4.

2.2.1.6 Reference environmental conditions to be used in the assessment may be modified

when introducing operational limitations permitting operation in specific operational areas or
routes and, if appropriate, specific season, according to the Guidelines for operational
measures in chapter 4.

2.2.1.7 Free surface effects should be accounted for as recommended in chapter 3 of part B
of 2008 IS Code.

1 The criteria for this failure mode may not be applicable to a ship with an extended low weather deck due to
increased likelihood of water on deck or deck-in-water.

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2.2.2 Level 1 vulnerability criterion for the dead ship condition

2.2.2.1 A ship is considered not to be vulnerable to the dead ship condition failure mode, if its
ability to withstand the combined effects of beam wind and rolling is demonstrated, with
reference to figure 2.2.2.1, as follows:

.1 the ship is subjected to a steady wind pressure acting perpendicular to the

ship's centreline which results in a steady wind heeling lever, lw1;

.2 from the resultant angle of equilibrium, 0 , the ship is assumed to roll owing
to wave action to an angle of roll, 1, to windward; and the angle of heel under
action of steady wind, 0, should not exceed 16 or 80% of the angle of deck
edge immersion, whichever is less;

.3 the ship is then subjected to a gust wind pressure which results in a gust
wind heeling lever, lw2 ; and

.4 under these circumstances, area b should be equal to or greater than area

a, as indicated in figure 2.2.2.1,

Figure 2.2.2.1 – Definition of area a and area b

where the angles in figure 2.2.2.1 are defined as follows:

φ0 = angle of heel under action of steady wind (deg)

φ1 = angle of roll to windward due to wave action (deg)(see 2.2.2.1.2 and 2.2.2.4)2

φ2 = angle of downflooding, φf, or 50° or φc, whichever is least,

2 Refer to the Explanatory Notes to the 2008 IS Code (MSC.1/Circ.1281).

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where:
φf = angle of heel at which openings in the hull, superstructures or deck
houses which cannot be closed weathertight immerse. In applying this
criterion, small openings through which progressive flooding cannot take
place need not be considered as open.
φc = angle of second intercept between wind heeling lever lw2 and GZ curves.

2.2.2.2 The wind heeling levers lw1 and lw2 referred to in 2.2.2.1.1 and 2.2.2.1.3 are constant
values at all angles of inclination and should be calculated as follows:
P  AL  Z
lw1 = (m) and
1000  g  

lw2 = 1.5  lw1 (m)

where:
P = wind pressure of 504 (Pa). The value of P used for ships with operational
limitations according to 2.2.1.6 may be reduced.

2.2.2.3 Alternative means for determining the wind heeling lever, lw1, may be used as an
equivalent to the calculation in 2.2.2.2. When such alternative tests are carried out, reference
should be made to the Guidelines developed by the Organization.3 The wind velocity used in
the tests should be 26 m/s in full scale with uniform velocity profile. The value of wind velocity
used for ships with operational limitations according to 2.2.1.6 may be reduced.

2.2.2.4 The angle of roll, φ1, referred to in 2.2.2.1 should be calculated as follows:

1 = 109  k  X1  X 2  r  s (deg)

where:

X1 = factor as shown in table 2.2.2.4-1

X2 = factor as shown in table 2.2.2.4-2

k = factor as follows:
k= 1.0 for a round-bilged ship having no bilge or bar keels
k= 0.7 for a ship having sharp bilges
k= as shown in table 2.2.2.4-3 for a ship having bilge keels, a bar
keel, or both
r = 0.73 + 0.6 OG / d, where: OG = KG - d
s = wave steepness shown in table 2.2.2.4-4
Ak = total overall area of bilge keels or area of the lateral projection of
the bar keel or sum of these areas (m2)

3 Refer to the Interim guidelines for alternative assessment of the weather criterion (MSC.1/Circ.1200).

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The angle of roll, φ1, for ships with anti-rolling devices should be determined without taking into
account the operation of these devices unless the Administration is satisfied with the proof that
the devices are effective even with sudden shutdown of their supplied power.

Table 2.2.2.4-1 – Values of factor X1

B/d X1
≤ 2.4 1.0
2.5 0.98
2.6 0.96
2.7 0.95
2.8 0.93
2.9 0.91
3.0 0.90
3.1 0.88
3.2 0.86
3.4 0.82
≥ 3.5 0.80

Table 2.2.2.4-2 – Values of factor X2

CB X2
≤ 0.45 0.75
0.50 0.82
0.55 0.89
0.60 0.95
0.65 0.97
≥ 0.70 1.00

Table 2.2.2.4-3 – Values of factor k

𝐴𝑘  100 k
𝐿𝑊𝐿  𝐵
0 1.0
1.0 0.98
1.5 0.95
2.0 0.88
2.5 0.79
3.0 0.74
3.5 0.72
≥ 4.0 0.70

Table 2.2.2.4-4 – Values of wave steepness, s

Natural roll Wave steepness

period, Tr (s) factor, s
≤6 0.100
7 0.098
8 0.093
12 0.065
14 0.053
16 0.044

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18 0.038
20 0.032
22 0.028
24 0.025
26 0.023
28 0.021
≥ 30 0.020

(Intermediate values in these tables should be obtained by linear interpolation.)

2.2.2.5 For ships subject to operational limitations according to 2.2.1.6, the wave steepness,
s, in table 2.2.2.4-4 may be modified.

2.2.2.6 For any ship, the angle of roll, φ1, may also be determined by alternative means on
the basis of the Guidelines developed by the Organization.4

2.2.3 Level 2 vulnerability criterion for the dead ship condition

2.2.3.1 A ship is considered not to be vulnerable to the dead ship condition failure mode if:

C  RDS 0

where:

RDS0 = 0.06;
C = long-term probability index that measures the vulnerability of the ship to
a stability failure in the dead ship condition based on the probability of
occurrence of short-term environmental conditions, as specified
according to 2.2.3.2.

2.2.3.2 The value of C is calculated as a weighted average from a set of short-term

environmental conditions, as follows:
𝑁

C = ∑ 𝑊𝑖 𝐶𝑠,𝑖
𝑖=1

where:
Wi = weighting factor for the short-term environmental condition, as specified
in 2.7.2;

C S ,i = short-term dead ship stability failure index for the short-term

environmental condition under consideration, calculated as specified in
2.2.3.2.1;

N = total number of short-term environmental conditions, according to 2.7.2.

4 Refer to the procedure described in the Interim guidelines for alternative assessment of the weather criterion
(MSC.1/Circ.1200).

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2.2.3.2.1 The short-term dead ship stability failure index, Cs,i, for the short-term
environmental condition under consideration, is a measure of the probability that the ship will
exceed specified heel angles at least once in the exposure time considered, taking into account
an effective relative angle between the ship and the waves. Each index, Cs,i, is calculated
according to the following formula:

C S ,i = 1, if either:
.1 the mean wind heeling lever l wind ,tot (according to 2.2.3.2.2)
exceeds the righting lever, GZ, at each angle of heel to
leeward, or

.2 the stable heel angle under the action of steady wind, φS,, is
greater than the angle of failure to leeward, φfail,+,; and

= 1 – exp(–rEA Texp), otherwise;

where:

Heel angles are to be taken as positive to leeward and negative to windward;

Texp = exposure time, to be taken as equal to 3600 s;

1   1   1 
rEA =  exp  −  + exp  −   (1/s);
 2  RI EA+   2  RI EA−  
2 2
Tz ,CS 
C
RIEA+ = S
;
res , EA+
C
RIEA- = S
;
res , EA−

Tz ,CS = reference average zero-crossing period of the effective relative roll

motion under the action of wind and waves determined according to
2.2.3.2.3 (s);

C S
= standard deviation of the effective relative roll motion under the action
of wind and waves determined according to 2.2.3.2.3 (rad);

φres,EA+ = range of residual stability to the leeward equivalent area limit angle, to
be calculated as

φEA+ – φS (rad);

φres,EA– = range of residual stability to the windward equivalent area limit angle, to
be calculated as

φS – φEA– (rad);

φEA+ = equivalent area virtual limit angle to leeward, to be calculated as

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1/ 2
 2  Ares, + 
 EA+ =  S +   (rad);
 GM res 

φEA– = equivalent area virtual limit angle to windward, to be calculated as

1/2
 2  Ares ,− 
EA− = S −   (rad);
 GM res 

φS = stable heel angle due to the mean wind heeling lever, l wind ,tot ,
determined according to 2.2.3.2.2 (rad);
Ares,+ = area under the residual righting lever curve (i.e., GZ − l wind ,tot ) from φS to
φfail,+ (m rad);
Ares,- = area under the residual righting lever curve (i.e., GZ − l wind ,tot ) from φfail,-
to φS (m rad) ;
GM res = residual metacentric height, to be taken as the slope of the residual
righting lever curve (i.e., GZ − l wind ,tot ) at φS (m);
φfail,+ = angle of failure to leeward, to be taken as min VW , + ,  crit, +  (rad);
φfail,– = angle of failure to windward, to be taken as max  VW , − ,  crit, −  (rad);
φVW,+ = angle of second intercept to leeward between the mean wind heeling
lever l wind ,tot and the GZ curve;
φVW,– = angle of second intercept to windward between the mean wind heeling
lever l wind ,tot and the GZ curve;
φcrit,+ = 
critical angle to leeward, to be taken as min  f ,+ ,50 deg (rad); 
φcrit, – = 
critical angle to windward, to be taken as max  f , − ,−50 deg (rad); 
φf,+, φf, – = angles of downflooding to leeward and windward, respectively, in
accordance with the definition of "angle of downflooding" in the
2008 IS Code, Part A, 2.3.1 (rad); são iguais?

2.2.3.2.2 The mean wind heeling lever l wind ,tot is a constant value at all angles of heel
and is calculated according to the following formula:

M wind ,tot
l wind ,tot = (m)
  g 

where:
M wind ,tot = mean wind heeling moment, to be calculated as

1
 air  U w2  Cwhm  AL  Z (N m);
2
Uw = mean wind speed, to be calculated as

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2/3
 HS 
  (m/s)
 0.06717 

Different expressions can be used when considering alternative

environmental conditions, in accordance with 2.2.1.6;

Cwhm = wind heeling moment coefficient, to be taken as equal to 1.22 or as

determined by other methods;

HS = significant wave height for the short-term environmental condition under

consideration, according to 2.7.2.

2.2.3.2.3 For the short-term environmental condition under consideration, the reference
average zero-crossing period of the effective relative roll motion, 𝑇𝑍,𝐶𝑠 , and the corresponding
standard deviation, σ𝐶𝑠 , to be used in the calculation of the short-term dead ship stability failure
index, 𝐶𝑆,𝑖 , are determined using the spectrum of the effective relative roll motion under to the
action of wind and waves, in accordance with the following formulae:

( m0 )
1/2
C S
= (rad)

2  ( m0 / m2 )
1/2
Tz ,CS = (s)

where:

mo = area under the spectrum S ( ) (rad2);

area under the function of   S ( ) (rad4/s2);
2
m2 =
S ( ) = spectrum of the effective relative roll angle, to be calculated as follows:

S M wind ,tot ( )
2
H rel ( )  S ,c ( ) + H 2 ( )  (rad2/(rad/s))
(   g    GM )2

 4 + ( 2  e   )
2

H 2
( ) =
(0,2 e −  2 ) 2 + ( 2  e   )
rel 2

04
H 2 ( ) =
(0,2 e −  2 )2 + ( 2  e   )
2

S ,c ( ) = spectrum of the effective wave slope, to be calculated as

r 2 ( )  S ( ) (rad2/(rad/s))

S ( ) = spectrum of the wave slope, to be calculated as

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4
 S zz ( ) (rad2/(rad/s))
g2

S zz ( ) = sea wave elevation energy spectrum (m2/(rad/s)). The standard

expression for S zz ( ) is defined in 2.7.2.1.1.

Different expressions can be used when considering alternative

environmental conditions, in accordance with 2.2.1.6;

S M wind ,tot ( ) = spectrum of moment due to the action of the gust, to be calculated as

 air  U w  Cwhm  AL  Z    2 ( )  Sv ( ) ((N m)2/(rad/s))

2

 ( ) = standard aerodynamic admittance function, to be taken as a constant

equal to 1.0;
Sv (  ) = gustiness spectrum. The standard expression for Sv ( ) is as follows:

U w2 X D2
4 K   ((m/s)2/(rad/s))
 4

(1 + X )
2
D
3

with K = 0.003 and X D = 600 ⋅ ω/(π ⋅ 𝑈𝑤 ). Different expressions can

be used when considering alternative environmental conditions in
accordance with 2.2.1.6;

μe = equivalent linear roll damping coefficient (1/s), calculated according to

the stochastic linearization method. This coefficient depends on linear
and nonlinear roll damping coefficients and on the specific roll velocity
standard deviation in the considered short-term environmental
conditions;

 0,e ( S ) = modified roll natural frequency close to the heel angle, φS , to be

calculated as:
1/2
 GM res 
0    (rad/s);
 GM 

ω0 = upright natural roll frequency = 2π/Tr (rad/s);

r(ω) = effective wave slope function determined according to 2.2.3.2.4;

and other variables as defined in 2.2.3.2.1 and 2.2.3.2.2.

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2.2.3.2.4 The effective wave slope function, r(ω), should be specified using a reliable
method, based on computations or derived from experimental data,5 and accepted by the
Administration.

2.2.3.2.5 In the absence of sufficient information, the recommended methodology for the
estimation of the effective wave slope function should be used, which is based on the following
assumptions and approximations:

.1 The underwater part of each transverse section of the ship is substituted by

an "equivalent underwater section" having, in general, the same breadth at
waterline and the same underwater sectional area of the original section.

However:

.1 sections having zero breadth at waterline, such as those in the

region of the bulbous bow, are neglected; and

.2 the draught of the "equivalent underwater section" is limited to the

ship sectional draught.

.2 The effective wave slope coefficient for each wave frequency is determined
by using the "equivalent underwater sections" considering only the
undisturbed linear wave pressure.

.3 For each section a formula is applied which is exact for rectangles.

2.2.3.2.6 The recommended methodology is applied considering the actual trim of the ship.
The recommended methodology for the estimation of the effective wave slope is applicable
only to monohull ships. For a ship that does not fall in this category, alternative prediction
methods should be applied.

2.3 Assessment of ship vulnerability to the excessive acceleration failure mode

2.3.1 Application

2.3.1.1 The provisions given hereunder apply to each ship in each loading condition provided
that:

.1 the distance from the waterline to the highest location along the length of the
ship where passengers or crew may be present exceeds 70% of the breadth
of the ship; and

.2 the metacentric height exceeds 8% of the breadth of the ship.

2.3.1.2 For each loading condition and location along the length of the ship where passengers
or crew may be present, a ship that:

.1 meets the standard contained in the criteria contained in 2.3.2 is considered

not to be vulnerable to the excessive acceleration failure mode; and

5 Refer to the procedure described in the Interim guidelines for alternative assessment of the weather criterion
(MSC.1/Circ.1200) for guidance.

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.2 does not meet the standard contained in the criteria contained in 2.3.2 should
be subject to more detailed assessment of vulnerability to the excessive
acceleration failure mode by applying the criteria contained in 2.3.3.

2.3.1.3 Alternatively to the criteria contained in 2.3.2 or 2.3.3, for each loading condition a
ship may be subject to either:

.1 direct stability assessment for the excessive acceleration failure mode that
is performed in accordance with chapter 3; or

.2 operational measures developed in accordance with chapter 4.

2.3.1.4 A detailed assessment of Level 2 vulnerability according to the criteria contained

in 2.3.3 may be performed without the requirement to perform a more simplified assessment
in 2.3.2. Similarly, a detailed direct stability assessment as provided in 2.3.1.3.1 may be
performed without the requirement to perform a more simplified assessment in 2.3.2 or 2.3.3.

2.3.1.5 Stability limit information for determining the safe zones as functions of GM, draught
and trim is to be provided based on matrix calculations according to the criteria contained in
sections 2.3.2 or 2.3.3 and, if appropriate, direct stability assessment according to the
provisions in chapter 3 on direct stability assessment. If relevant, the stability limit information
for determining safe zones should take into account operational measures or operational
guidance according to the provisions in chapter 4 on operational measures.

2.3.1.6 Reference environmental conditions to be used in the assessment may be modified,

according to the Guidelines for operational measures in chapter 4.

2.3.1.7 Free surface corrections should not be applied.

2.3.2 Level 1 vulnerability criterion for the excessive acceleration failure mode

2.3.2.1 A ship is considered not to be vulnerable to the excessive acceleration stability failure
mode if, for each loading condition and location along the length of the ship where passengers
or crew may be present,

  k L  ( g + 4 2hr / Tr2 )  REA1

where:

REA1 = 4.64 (m/s2)

φ = characteristic roll amplitude (rad) = 4.43 r s / δφ0.5;
kL = factor taking into account simultaneous action of roll, yaw and pitch
motions,
= 1.125 – 0.625 x /L, if x < 0.2 L,
= 1.0, if 0.2 L ≤ x ≤ 0.65 L,
= 0.527 + 0.727 x /L, if x > 0.65 L;
x = longitudinal distance (m) of the location where passengers or crew may
be present from the aft end of L;
hr = height above the assumed roll axis of the location where passengers or
crew may be present (m), for which definition, the roll axis may be

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assumed to be located at the midpoint between the waterline and the

vertical centre of gravity;
K1 + K 2 + (OG)( F )
r = effective wave slope coefficient = ;
B2 C d
− B − OG
12CB d 2

K1 = g β Tr2 (τ + τ ~
T - 1 / T~ ) / (4 π2);
K2 = g τ Tr2 (β – cos B~ ) / (4 π2);
OG = KG – d;
F = β (τ – 1 / T~ );
β = sin ( B~ ) / B~ ;
τ = exp(- T~ ) / T~ ;
~
B = 2 π2 B / (g Tr2);
~
T = 4 π2 CB d / (g Tr2);
s = wave steepness as a function of the natural roll period Tr (see 2.7.1),
as determined from table 2.3.2.1; and
δφ = non-dimensional logarithmic decrement of roll decay.

Table 2.3.2.1 – Values of wave steepness, s

(Intermediate values in the table should be obtained by linear interpolation)

Natural roll Wave

period, Tr (s) steepness, s
≤6 0.100
7 0.098
8 0.093
12 0.065
14 0.053
16 0.044
18 0.038
20 0.032
22 0.028
24 0.025
26 0.023
28 0.021
≥ 30 0.020

2.3.3 Level 2 vulnerability criterion for the excessive acceleration failure mode

2.3.3.1 A ship in a loading condition is considered not to be vulnerable to the excessive

acceleration stability failure mode if, for each location along the length of the ship where
passengers or crew may be present:
C  REA2

where:

REA2 = 0.00039;

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C = long-term probability index that measures the vulnerability of the ship to a

stability failure due to excessive acceleration for the loading condition and location
under consideration based on the probability of occurrence of short-term
environmental conditions, as specified according to 2.3.3.2.

2.3.3.2 The value of C is calculated as a weighted average from a set of short-term

environmental conditions, as follows:
N
C = Wi CS ,i
i =1
where:

Wi = weighting factor for the short-term environmental condition, as specified

in 2.7.2;
C S ,i = short-term excessive acceleration failure index for the short-term
environmental condition under consideration, calculated as specified in
2.3.3.2.1;
N = total number of short-term environmental conditions, according to 2.7.2.
2.3.3.2.1 The short-term excessive acceleration failure index, CS,i, for the loading condition,
location and for the short-term environmental condition under consideration is a measure of
the probability that the ship will exceed a specified lateral acceleration, calculated according
to the following formula:

CS,i = exp(-R22 / (2 σLAi2));

where:

R2 = 9.81 (m/s2);
σLAi = standard deviation of the lateral acceleration at zero speed and in a
beam seaway determined according to 2.3.3.2.2 (m/s2);

2.3.3.2.2 The standard deviation of the lateral acceleration at zero speed and in a beam
seaway, σLAi, is determined using the spectrum of roll motion due to the action of waves. The
square of this standard deviation is calculated according to the following formula:

3 N
 ( a y ( j ) ) Szz ( j )
2
 LAi
2
=
4 j =1
where:
Δω = interval of wave frequency (rad/s) = (ω2 – ω1) / N (rad/s);
ω2 = upper frequency limit of the wave spectrum in the evaluation range =
min((25 / Tr),2.0) (rad/s);
ω1 = lower frequency limit of the wave spectrum in the evaluation range =
max((0.5 / Tr),0.2) (rad/s);
N = number of intervals of wave frequency in the evaluation range, not to
be taken less than 100;
ωj = wave frequency at the mid-point of the considered frequency
interval = ω1 + ((2j – 1) / 2) Δω (rad/s);

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Szz(ωj) = sea wave elevation spectrum (m2/(rad/s)). The standard expression for
Szz(ω) is defined in 2.7.2.1.1;

= lateral acceleration = kL ( g + hr  j )  a ( j ) per unit wave

2
ay(ωj)
amplitude ((m/s²)/m);
kL, hr = as defined in 2.3.2.1;
φa(ωj) = roll amplitude in regular beam waves of unit amplitude and circular
frequency ωj at zero speed, = (φr(ωj)2 + φi(ωj)2)0.5 (rad/m);

  gGM 
a − J T ,roll 2j  + bBe j
 1000  (rad/m);
φr(ωj) =
  gGM
2
2
 − J T ,roll j  + ( Be j ) 2

 1000 

  gGM 
b − J T ,roll 2j  − aBe j
 1000 
φi(ωj) = (rad/m);
  gGM
2

 − J T ,roll 2j  + ( Be j )2
 1000 
a, b = cosine and sine components, respectively, of the Froude-Krylov roll
moment in regular beam waves of unit amplitude (kN·m/m), calculated
directly or using an appropriate approximation;

Be = equivalent linear roll damping factor (kN m s), with Be = 2 JT ,roll e

where e (1/s) is the equivalent linear roll damping coefficient;

1  g  GM Tr2
JT,roll = roll moment of inertia comprising added inertia = 1000 4 2
(t·m2).
Other suitable formulations for the numerical integration in the range from 1 to 2 can be
used as an alternative.

2.4 Assessment of ship vulnerability to the pure loss of stability failure mode

2.4.1 Application

2.4.1.1 The provisions given hereunder apply to all ships, except for ships with an extended
low weather deck,6 for which the Froude number, Fn, corresponding to the service speed
exceeds 0.24.

2.4.1.2 For each loading condition, a ship that:

.1 meets the standard contained in the criteria contained in 2.4.2 is considered

not to be vulnerable to the pure loss of stability failure mode; and

.2 does not meet the standard contained in the criteria contained in 2.4.2 should
be subject to more detailed assessment of vulnerability to the pure loss of
stability failure mode by applying the criteria contained in 2.4.3.

6 The criteria for this failure mode may not be applicable to a ship with an extended low weather deck due to
increased likelihood of water on deck or deck-in-water.

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2.4.1.3 Alternatively to the criteria contained in 2.4.2 or 2.4.3, for each loading condition a
ship may be subject to either:
.1 direct stability assessment for the pure loss of stability failure mode that is
performed according to the Guidelines for direct stability assessment in
chapter 3; or
.2 operational measures according to the Guidelines for operational measures
in chapter 4.

2.4.1.4 A detailed assessment of Level 2 vulnerability according to the criteria contained

in 2.4.3 may be performed without the requirement to perform a more simplified assessment
in 2.4.2. Similarly, a detailed direct stability assessment, as provided in 2.4.1.3.1, may be
performed without the requirement to perform a more simplified assessment in 2.4.2 or 2.4.3.

2.4.1.5 Stability limit information for determining the safe zones as functions of GM, draught
and trim is to be provided based on matrix calculations according to the criteria contained in
sections 2.4.2 or 2.4.3 and, if appropriate, direct stability assessment according to the
provisions in chapter 3 on direct stability assessment. If relevant, the stability limit information
for determining safe zones should take into account operational measures according to the
provisions in chapter 4.

2.4.1.6 Reference environmental conditions to be used in the assessment may be modified,

according to the Guidelines for operational measures in chapter 4.

2.4.1.7 Free surface effect should be accounted for as recommended in chapter 3 of part B
of the 2008 IS Code.

2.4.2 Level 1 vulnerability criterion for the pure loss of stability failure mode

2.4.2.1 A ship is considered not to be vulnerable to the pure loss of stability failure mode, if

 D −
GM min  RPLA and  1.0
AW ( D − d )
where:

RPLA = 0.05 (m);

GMmin = minimum value of the metacentric height (m) calculated as provided in
2.4.2.2.

2.4.2.2 As provided by 2.4.2.1, GMmin should be determined according to:

I TL
GMmin = KB + − KG

where:
ITL = transverse moment of inertia of the waterplane at the draft dL (m4);
dL = d − d L (m);
L  sW
δdL = min(d − 0.25d full , ) (m);
2
and d – 0.25dfull should not be taken less than zero;

sW = 0.0334;

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2.4.2.3 The use of the simplified conservative estimation of GMmin described in 2.4.2.2 without
initial trim effect can be applied for ships having non-even keel condition.

2.4.3 Level 2 vulnerability criteria for the pure loss of stability failure mode

2.4.3.1 A ship is considered not to be vulnerable to the pure loss of stability failure mode if,
when underway at the service speed, VS,

max (CR1, CR2 )  RPL0

where:
RPL0 = 0.06;
CR1, CR2 = criteria calculated according to 2.4.3.2.
2.4.3.2 Each of the two criteria, CR1 and CR2 in 2.4.3.1, represents a weighted average of
certain stability parameters for a ship considered to be statically positioned in waves of defined
height, Hi, and length, λi, obtained according to 2.4.3.2.2. CR1 and CR2 are calculated as
follows:
N
CR1 = Wi C1i
i =1
N
CR2 = WiC 2i
i =1
where:

CR1 = weighted criterion 1, computed using Criterion 1, C1i, as evaluated

according to 2.4.3.3;
CR2 = weighted criterion 2, computed using Criterion 2, C2i, as evaluated
according to 2.4.3.4;
Wi = weighting factor for the short-term environmental condition, as specified in
2.4.3.2.2;
N = total number of wave cases for which C1i and C2i are evaluated, according
to 2.4.3.2.2.

2.4.3.2.1 For calculating the restoring moment in waves, the following wavelength and wave
heights should be used:

Length  = L ; and
Height h = 0.01 iL i = 0,1,...,10 .
The index for the two criteria, based on φv and φs, should be calculated according to the
formulations given in 2.4.3.3 and 2.4.3.4, respectively. This is undertaken for the loading
condition under consideration and the ship assumed to be balanced in sinkage and trim in a
series of waves with the characteristics as described above.

In these waves to be studied, the wave crest is to be centred amidships, and at 0.1L, 0.2L,
0.3L, 0.4L and 0.5L forward and 0.1L, 0.2L, 0.3L and 0.4L aft thereof.

2.4.3.2.2 For each combination of Hs and Tz specified in 2.7.2, Wi is obtained as the value in
table 2.7.2.1.2 divided by the amount of observations given in this table, which is associated
with a Hi as calculated in 2.4.3.2.3 below and λi is taken as equal to L. The indices for each Hi

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should be linearly interpolated from the relationship between h used in 2.4.3.2.1 and the indices
obtained in 2.4.3.2.1 above.

2.4.3.2.3 The 3% largest effective wave height, Hi, for use in the evaluation of the
requirements is calculated by filtering waves within the ship length. For this purpose, an
appropriate wave spectrum shape should be assumed.

2.4.3.3 Criterion 1

Criterion 1, C1i, is a criterion based on the calculation of the angle of vanishing stability, φV ,
as provided in the following formula:

1 V  K PL1
C1i = 
0 otherwise
where:
K PL1 = 30 (deg)

The angle of vanishing stability, φV, should be determined as the minimum value calculated,
as provided in 2.4.3.2.1, 2.4.3.2.2 and 2.4.3.2.3 for the ship without consideration of the angle
of downflooding.

2.4.3.4 Criterion 2

Criterion 2, C2i, is a criterion based on the calculation of the angle of heel, φsw, under action of
heeling lever specified by lPL2 as provided in the following formula:

1  sw  K PL 2
C 2i = 
0 otherwise
where:
K PL2 = 15 degrees for passenger ships; and
= 25 degrees for all other ship types
l PL 2 = 8(Hi/λ) dFn2 (m);
Hi = as provided in 2.4.3.2.2 and 2.4.3.2.3;
λ = as provided in 2.4.3.2.2;
The angle of heel, φsw, should be determined as the maximum value calculated as provided in
2.4.3.2.1, 2.4.3.2.2 and 2.4.3.2.3, for the ship without consideration of the angle of
downflooding.

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2.5 Assessment of ship vulnerability to the parametric rolling failure mode

2.5.1 Application

2.5.1.1 For each loading condition, a ship that:

.1 meets the standard contained in the criteria contained in 2.5.2 is considered

not to be vulnerable to the parametric rolling failure mode;

.2 does not meet the standard contained in the criteria contained in 2.5.2 should
be subject to more detailed assessment of vulnerability to the parametric
rolling failure mode by applying the criteria contained in 2.5.3.

2.5.1.2 Alternatively to the criteria contained in 2.5.2 or 2.5.3, for each loading condition a
ship may be subject to either:
.1 a direct stability assessment for the parametric rolling failure mode that is
performed according to the Guidelines for direct stability assessment in
chapter 3; or

.2 operational measures for the parametric rolling failure mode according to the
Guidelines for operational measures in chapter 4.

2.5.1.3 A detailed assessment of Level 2 vulnerability according to the criteria contained in

2.5.3 may be performed without the requirement to perform a more simplified assessment in
2.5.2. Similarly, a detailed direct stability assessment as provided in 2.5.1.3.1 may be
performed without the requirement to perform a more simplified assessment in 2.5.2 or 2.5.3.

2.5.1.4 Stability limit information for determining the safe zones as functions of GM, draught
and trim is to be provided based on matrix calculations according to the criteria contained
in 2.5.2 or 2.5.3 and, if appropriate, direct stability assessment according to the provisions in
chapter 3 on direct stability assessment. If relevant, the stability limit information for
determining safe zones should take into account operational measures according to the
provisions in chapter 4.

2.5.1.5 Reference environmental conditions to be used in the assessment may be modified,

according to the Guidelines for operational measures in chapter 4.

2.5.1.6 Free surface effects should be accounted for as recommended in chapter 3 of part B
of 2008 IS Code.

2.5.2 Level 1 vulnerability criterion for the parametric rolling failure mode

2.5.2.1 A ship is considered not to be vulnerable to the parametric rolling failure mode if

 GM 1  D −
≤ RPR and  1.0
GM AW ( D − d )
where:

RPR = 1.87, if the ship has a sharp bilge; and, otherwise,

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 100 Ak 
= 0.17 + 0.425   , if Cm, full  0.96;
 LB 
 100 Ak 
= 0.17 + (10.625  Cm, full − 9.775 )   , if 0.94  Cm, full  0.96;
 LB 
 100 Ak 
= 0.17 + 0.2125   , if Cm, full  0.94; and
 LB 
for each formula, 
100 Ak 
 should not exceed 4;
 LB 
δGM1 = amplitude of the variation of the metacentric height (m) calculated as
provided in 2.5.2.2.

2.5.2.2 As provided by 2.5.2.1, δGM1 should be determined according to:

I TH − I TL
δGM1 =
2
where:
L  SW
d H = min( D − d , ) (m);
2
L  SW
d L = min(d − 0.25d full , ) (m);
2
and d − 0.25 d full should not be taken less than zero;
dH = d + d H (m);
dL = d − d L (m);
SW = 0.0167;
ITH = transverse moment of inertia of the waterplane at the draft dH
(m4); and
ITL = transverse moment of inertia of the waterplane at the draft dL
(m4).
2.5.2.3 The use of the simplified conservative estimation of GM1 described in 2.5.2.2, without
initial trim effect, can be applied for ships having a non-even keel condition.

2.5.3 Level 2 vulnerability criteria for the parametric rolling failure mode

2.5.3.1 A ship is considered not to be vulnerable to the parametric rolling failure mode, if

.1 C1  RPR1 ; or
.2 C 2  RPR 2 ;

where:
RPR1 = 0.06;
RPR2 = 0.025;
C1 = criterion calculated according to 2.5.3.2;
C2 = criterion calculated according to 2.5.3.3.

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2.5.3.2 The value for C1 is calculated as a weighted average from a set of waves specified in
2.5.3.2.3, as:
N
C1 = W C
i =1
i i

where:
Wi = weighting factor for the respective wave specified in 2.5.3.2.3;
Ci = 0, if the requirements of either the variation of GM in waves
contained in 2.5.3.2.1 or the ship speed in waves contained
in 2.5.3.2.2 is satisfied; and
= 1, if not;
N = the number of wave cases evaluated, as specified in 2.5.3.2.3.

2.5.3.2.1 For each wave specified in 2.5.3.2.3, the requirement for the variation of GM in
waves is satisfied if:

GM ( H i , i )
GM ( H i , i )  0 and  RPR
GM ( H i , i )
where:

RPR = as defined in 2.5.2.1;

δGM(Hi, λi) = one-half the difference between the maximum and minimum values of
the metacentric height calculated for the ship (m), corresponding to the
loading condition under consideration, considering the ship to be
balanced in sinkage and trim on a series of waves characterized by a
wave height Hi, and a wavelength λi ;
GM(Hi, λi) = the average value of the metacentric height calculated for the ship (m),
corresponding to the loading condition under consideration, considering
the ship to be balanced in sinkage and trim on a series of waves
characterized by a wave height Hi, and a wavelength λi;
Hi = wave height specified in 2.5.3.2.3 (m); and
λi = wavelength specified in 2.5.3.2.3 (m).

2.5.3.2.2 For each wave specified in 2.5.3.2.3, the requirement for the ship speed in waves
is satisfied if:

VPR i  Vs

where:

VPRi = the reference ship speed (m/s) corresponding to parametric resonance

conditions, when GM(Hi, λi)>0:

2i GM ( H i , i ) 
=  − g i
Tr GM 2

GM(Hi, λi) = as defined in 2.5.3.2.1 (m);

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λi = wavelength specified in 2.5.3.2.3 (m);

|| = the absolute value operation.

2.5.3.2.3 The specified wave cases for evaluation of the requirements contained in 2.5.3.2.1
and 2.5.3.2.2 are presented in table 2.5.3.2.3. In table 2.5.3.2.3, Wi, Hi, λi are as defined
in 2.5.3.2.
Table 2.5.3.2.3
Wave cases for parametric rolling evaluation

Wave Weight
Wavelength Wave height
factor
case
number Wi i (m) H i (m)
1 0.000013 22.574 0.350
2 0.001654 37.316 0.495
3 0.020912 55.743 0.857
4 0.092799 77.857 1.295
5 0.199218 103.655 1.732
6 0.248788 133.139 2.205
7 0.208699 166.309 2.697
8 0.128984 203.164 3.176
9 0.062446 243.705 3.625
10 0.024790 287.931 4.040
11 0.008367 335.843 4.421
12 0.002473 387.440 4.769
13 0.000658 442.723 5.097
14 0.000158 501.691 5.370
15 0.000034 564.345 5.621
16 0.000007 630.684 5.950

2.5.3.2.4 In the calculation of δGM(Hi, λi) and GM(Hi, λi) in 2.5.3.2.1, the wave crest should
be located amidships, and at 0.1 λi, 0.2 λi, 0.3 λi, 0.4 λi, and 0.5 λi forward and 0.1 λi, 0.2 λi,
0.3 λi, and 0.4 λi aft thereof.

2.5.3.3 The value of C2 is calculated as an average of values of C2(Fni,βi), each of which is a

weighted average from the set of waves specified in 2.5.3.4.2, for each set of Froude numbers
and wave directions specified:

 12
 ( f )  C 2 ( Fni , β f ) /25

12
1
C2 =  ( i h ) 2
C 2 Fn , β + C 2(0 , βh )+C 2 0 , β +
 i=1 i=1 

where:
C2(Fni,h) = C2(Fn,) calculated as specified in 2.5.3.3.1 with the ship proceeding in
head waves with a speed equal to Vi;
C2(Fni,f) = C2(Fn,) calculated as specified in 2.5.3.3.1 with the ship proceeding in
following waves with a speed equal to Vi;
Fni = Vi / L g , Froude number corresponding to ship speed Vi;

Vi = Vs·Ki , ship speed (m/s); and

Ki = as obtained from table 2.5.3.3.

Table 2.5.3.3

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Speed factor, Ki

i Ki

1 1.0
2 0.991
3 0.966
4 0.924
5 0.866
6 0.793
7 0.707
8 0.609
9 0.500
10 0.383
11 0.259
12 0.131

2.5.3.3.1 The weighted criteria C2(Fni,) are calculated as a weighted average of the
short-term parametric rolling failure index considering the set of waves specified in 2.5.3.4.2,
for a given Froude number and wave direction, as follows:

N
C2(Fni,) = W C
i =1
i S ,i

where:

Wi = weighting factor for the respective wave cases specified in 2.5.3.4.2;

C S ,i = 1, if the maximum roll angle evaluated according to 2.5.3.4 exceeds

25 degrees, and
= 0, otherwise;
N = total number of wave cases for which the maximum roll angle is
evaluated for a combination of speed and heading.

2.5.3.4 The maximum roll angle in head and following waves is evaluated as
recommended in 2.5.3.4.1 for each speed, Vi, defined in 2.5.3.3. For each evaluation, the
calculation of stability in waves should assume the ship to be balanced in sinkage and trim on
a series of waves with the following characteristics:

wavelength,  = L ;
wave height, h j = 0.01  jL, where j = 0,1,...,10 .

For each wave height, hj, the maximum roll angle is evaluated.

2.5.3.4.1 The evaluation of roll angle should be carried out using the time domain simulation
method with GZ calculated in waves.

2.5.3.4.2 Wi is obtained as the value in table 2.7.2.1.2 divided by the number of observations
given in the table. Each cell of the table corresponds to an average zero-crossing wave period,
Tz, and a significant wave height, Hs. With these two values, a representative wave height, Hri,

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should be calculated by filtering waves within the ship length. The maximum roll angle,
corresponding to the representative wave height, Hri, is obtained by linear interpolation of the
maximum roll angles for different wave heights, hj, obtained in 2.5.3.4. This maximum roll angle
should be used for the evaluation of CS,i in 2.5.3.3.1.

2.6 Assessment of ship vulnerability to the surf-riding/broaching failure mode

2.6.1 Application

2.6.1.1 For each loading condition, a ship that:

.1 meets the standard contained in the criteria contained in 2.6.2 is considered

not to be vulnerable to the surf-riding/broaching failure mode;

.2 does not meet the standard contained in the criteria in 2.6.2 should be
subject to either:

.1 the procedures of ship handling on how to avoid dangerous

conditions for surf-riding/broaching, as recommended in section
4.2.1 of the Revised guidance to the master for avoiding dangerous
situations in adverse weather and sea conditions
(MSC.1/Circ.1228), subject to the approval of the Administration; or

.2 more detailed assessment of vulnerability to the

surf-riding/broaching failure mode by applying the criteria contained
in 2.6.3.

2.6.1.2 Alternatively to the criteria contained in 2.6.2 or 2.6.3, for each loading condition a
ship may be subject to either:

.1 direct stability assessment for the surf-riding/broaching failure mode that is

performed according to the Guidelines for direct stability assessment in
chapter 3; or

.2 operational measures based on the Guidelines for operational measures in

chapter 4.

2.6.1.3 A detailed assessment of Level 2 vulnerability according to the criteria contained in

2.6.3 may be performed without the requirement to perform a more simplified assessment in
2.6.2. Similarly, a detailed direct stability assessment as provided in 2.6.1.3.1 may be
performed without the requirement to conduct a more simplified assessment in 2.6.2 or 2.6.3.

2.6.1.4 For ships that do not meet the standard contained in 2.6.2 and which are not applying
MSC.1/Circ.1228 according to 2.6.1.1 above, relevant consistent safety information should be
provided according to the criteria contained in either 2.6.3 of these Guidelines, Guidelines for
direct stability assessment in chapter 3 or Guidelines for operational measures in
chapter 4, as appropriate.

2.6.1.5 Reference environmental conditions to be used in the assessment may be modified

according to the Guidelines for operational measures in chapter 4.

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2.6.2 Level 1 vulnerability criteria for the surf-riding/broaching failure mode

2.6.2.1 A ship is considered not to be vulnerable to the surf-riding/broaching failure mode if:

.1 L ≥ 200 m; or
.2 Fn ≤ 0.3.

2.6.3 Level 2 vulnerability criterion for the surf-riding/broaching failure mode

2.6.3.1 A ship is considered not to be vulnerable to the surf-riding/broaching failure mode if

C ≤ RSR

where:
RSR = 0.005;
C = criterion calculated according to 2.6.3.2.

2.6.3.2 The value of C is calculated as

N N a
C =  (W 2( H S , TZ )  wijC 2ij )
H S TZ i =0 j =0

where:

W2(Hs, Tz) = weighting factor of short-term sea state specified in 2.7.2.1 as a

function of the significant wave height, HS, and the zero-crossing
wave period, TZ, in which W2(Hs, Tz) is equal to the number of
occurrences of the combination divided by the total number of
occurrences in the table, and it corresponds to the factor Wi specified
in 2.7.2;
wij = statistical weight of a wave specified in 2.6.3.3 with steepness (H/λ)j
and wavelength to ship length ratio (λ /L)i calculated with the joint
distribution of local wave steepness and lengths, which is, with
specified discretization Nλ = 80 and Na = 100; and
C2ij = coefficient specified in 2.6.3.4.

2.6.3.3 The value of wij should be calculated using the following formula:

2
√𝑔 𝐿5/2 𝑇01 2 3/2 √1 + 𝜈 2 𝐿 ⋅ 𝑟𝑖 ⋅ 𝑠𝑗 2 1 2
𝑔𝑇01
𝑤𝑖𝑗 = 4 𝑠 𝑟 ( ) Δ r Δ s ⋅ 𝑒xp [−2 ( ) {1 + (1 − √ ) }]
𝜋𝜈 (𝐻𝑠 )3 𝑗 𝑖 1 + √1 + 𝜈 2 𝐻𝑠 𝜈2 2𝜋𝑟𝑖 𝐿

where:
ν = 0.425;
T01 = 1.086 Tz;
sj = (H/λ)j = wave steepness varying from 0.03 to 0.15 with increment
Δs = 0.0012; and
ri = (λ/L)i = wavelength to ship length ratio varying from 1.0 to 3.0 with
increment Δr = 0.025.

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2.6.3.4 The value of C2ij is calculated for each wave, as follows:

1 if Fn  Fncr (r j , si )
C2ij = 
0 if Fn  Fncr (r j , si )

where:

Fncr = critical Froude number corresponding to the threshold of surf-riding

(surf-riding occurring under any initial condition) which should be
calculated in accordance with 2.6.3.4.1 for the regular wave with
steepness sj and wavelength to ship length ratio ri.

2.6.3.4.1 The critical Froude number, Fncr, is calculated as

Fncr = ucr / L g

where the critical nominal ship speed, ucr (m/s), is determined according to 2.6.3.4.2.

2.6.3.4.2 The critical nominal ship speed, ucr, is determined by solving the following equation
with the critical propulsor revolutions, ncr:

Te (ucr ; ncr ) − R(ucr ) = 0

where:
R(ucr) = calm water resistance (N) of the ship at the ship speed of ucr, see
2.6.3.4.3;
Te (ucr ; ncr ) = thrust (N) delivered by the ship's propulsor(s) in calm water
determined in accordance with 2.6.3.4.4; and
ncr = commanded number of revolutions of propulsor(s) (1/s)
corresponding to the threshold of surf-riding (surf-riding occurs
under any initial conditions), see 2.6.3.4.6.

2.6.3.4.3 The calm water resistance, R(u), is approximated based on available data with a
polynomial fit suitable to represent the characteristics of the resistance for the ship in question.
The fit should be appropriate to ensure the resistance is continuously increasing as a function
of speed in the appropriate range.

2.6.3.4.4 For a ship using one propeller as the main propulsor, the propulsor thrust, Te(u;n),
in calm water may be approximated using a second degree polynomial:


Te (u; n) = (1 − t p ) n2 Dp  0 + 1J +  2 J 2 (N)
4


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where:
u = speed of the ship (m/s) in calm water;
n = commanded number of revolutions of propulsor (1/s);
tp = approximate thrust deduction factor;
wp = approximate wake fraction;
κ0, κ1, κ2 = approximation coefficients for the approximated propeller thrust
coefficient in calm water;
u (1 − w p )
J = = advance ratio.
nDP
In case of a ship having multiple propellers, the overall thrust can be calculated by summing
the effect of the individual propellers calculated as indicated above.

For a ship using a propulsor(s) other than a propeller(s), the propulsor thrust should be
evaluated by a method appropriate to the type of propulsor used.

2.6.3.4.5 The amplitude of wave surging force for each wave is calculated as:
H ij
f ij = gki Fc i2 + Fs i2 (N)
2
where:
2
ki = wave number = (1/m);
ri L
Hij = wave height = s j ri L (m);

sj ,ri = as defined in 2.6.3.3;

𝐹𝑐𝑖 = ∑𝑁
𝑚=1 𝛿𝑥𝑚 𝑆 (𝑥𝑚 ) sin( 𝑘𝑖 𝑥𝑚 )exp(−0.5𝑘𝑖 ∙ 𝑑(𝑥𝑚 ))
𝑁

𝐹𝑠𝑖 = ∑ 𝛿𝑥𝑚 𝑆(𝑥𝑚 ) cos( 𝑘𝑖 𝑥𝑚 )exp(−0.5𝑘𝑖 ∙ 𝑑(𝑥𝑚 ))

𝑚=1

FCi and FSi are parts of the Froude-Krylov component of the wave surging force (m)
Xm = longitudinal distance from the midship to a station (m), positive for a
bow section;
xm = length of the ship strip associated with station m (m);
d(xm) = draft at station m in calm water (m);
S(xm) = area of submerged portion of the ship at station m in calm water (m2);
N = number of stations; and
m = index of a station.
2.6.3.4.6 The critical number of revolutions of the propulsor corresponding to the surf-riding
threshold, ncr (rj, si), can be determined by solving the following quadratic equation:

Te (ci , ncr ) − R(ci ) 64 1024

2 + 8a0 ncr + 8a1 − 4a2 + a3 − 12 a4 + a5 = 0
f ij 3 15

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where:
τ1
a0 = − ;
fij  ki  (M + M x )

r1 + 2r2 ci + 3r3ci2 + 4r4 ci3 + 5r5 ci4 − 2 2 ci ;

a1 =
f ij  ki  ( M + M x )

r2 + 3r3ci + 6r4 ci2 + 10 r5 ci3 −  2

a2 = ;
ki  ( M + M x )

r3 + 4r4 ci + 10 r5 ci2
a3 =  f ij ;
k i3 ( M + M x ) 3

r4 + 5r5ci
a4 = f ij ;
k (M + M x ) 2
i
2

r5
a5 = f ij3 ;
k (M + M x )
i
5 5

r1, r2, r3, r4, r5= regression coefficients for the calm water resistance under a
fifth degree polynomial approximation R (u )  r1u + r2u 2 + r3u 3 + r4u 4 + r5u 5 .

M = mass of the ship (kg);

Mx = added mass of the ship in surge (kg). In absence of ship specific data,
Mx may be assumed to be 0.1 M;

ci g
= = wave celerity (m/s).
ki

𝜏1 = 𝜅1 (1 − 𝑡𝑝 )(1 − 𝑤𝑝 )𝜌Dp3

2
𝜏2 = 𝜅2 (1 − 𝑡𝑝 )(1 − 𝑤𝑝 ) 𝜌Dp2

2.7 Parameters common to stability failure mode assessments

2.7.1 Inertial properties of a ship and natural period of roll motion

2.7.1.1 In the absence of direct calculations, the roll moment of inertia of the ship comprising
the effect of added inertia, JT,roll, may be estimated as follows:

1  g  GM Tr2
J T ,roll = (t·m2)
1000 4 2

2.7.1.2 The natural roll period, Tr, in a given loading condition, in the absence of sufficient
information, direct calculation or measurement, may be approximated using the formulae given
in part A, 2.3 of the 2008 IS Code, which is repeated below,

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2C  B
Tr = , where C = 0.373 + 0.023 ( B / d ) − 0.043 ( LWL /100 ) ,
GM

or its alternatives.

2.7.2 Environmental data

2.7.2.1 A set of standard environmental conditions are assumed. The characterization of the
standard environmental conditions refers to both the short-term and the long-term. The short-
term characterization is given in terms of the spectrum of sea elevation, known as the spectral
density of the sea wave elevation. The long-term characterization is given in terms of a wave
scatter table. The standard short-term and long-term characterizations are given in 2.7.2.1.1
and 2.7.2.1.2, respectively.

2.7.2.1.1 The spectral density of sea wave elevation, Szz(ω), is provided by the Bretschneider
wave energy spectrum as a function of the wave frequency, ω, as follows:

4
H S2  2  −5  1  2 4 
S zz ( ) =     exp  −    −4 
4  TZ     TZ  
 

2.7.2.1.2 The long-term characterization of the standard environmental conditions

(used in unrestricted service) is given by means of a wave scatter table. The wave scatter table
contains the number of occurrences Wi within each range of significant wave height Hs and
zero crossing wave period Tz in 100,000 observations. The wave scatter table, given in
table 2.7.2.1.2, specifies factors Wi as functions of Hs and Tz values which represent the mean
values of corresponding ranges.7

Table 2.7.2.1.2 Wave scatter table

Number of occurrences: 100 000 / Tz (s) = average zero-crossing wave period / Hs (m) = significant wave height

Tz (s) ► 3.5 4.5 5.5 6.5 7.5 8.5 9.5 10.5 11.5 12.5 13.5 14.5 15.5 16.5 17.5 18.5

Hs (m) ▼

0.5 1.3 133.7 865.6 1186.0 634.2 186.3 36.9 5.6 0.7 0.1 0.0 0.0 0.0 0.0 0.0 0.0

1.5 0.0 29.3 986.0 4976.0 7738.0 5569.7 2375.7 703.5 160.7 30.5 5.1 0.8 0.1 0.0 0.0 0.0

2.5 0.0 2.2 197.5 2158.8 6230.0 7449.5 4860.4 2066.0 644.5 160.2 33.7 6.3 1.1 0.2 0.0 0.0

3.5 0.0 0.2 34.9 695.5 3226.5 5675.0 5099.1 2838.0 1114.1 337.7 84.3 18.2 3.5 0.6 0.1 0.0

4.5 0.0 0.0 6.0 196.1 1354.3 3288.5 3857.5 2685.5 1275.2 455.1 130.9 31.9 6.9 1.3 0.2 0.0

5.5 0.0 0.0 1.0 51.0 498.4 1602.9 2372.7 2008.3 1126.0 463.6 150.9 41.0 9.7 2.1 0.4 0.1

6.5 0.0 0.0 0.2 12.6 167.0 690.3 1257.9 1268.6 825.9 386.8 140.8 42.2 10.9 2.5 0.5 0.1

7.5 0.0 0.0 0.0 3.0 52.1 270.1 594.4 703.2 524.9 276.7 111.7 36.7 10.2 2.5 0.6 0.1

8.5 0.0 0.0 0.0 0.7 15.4 97.9 255.9 350.6 296.9 174.6 77.6 27.7 8.4 2.2 0.5 0.1

9.5 0.0 0.0 0.0 0.2 4.3 33.2 101.9 159.9 152.2 99.2 48.3 18.7 6.1 1.7 0.4 0.1

10.5 0.0 0.0 0.0 0.0 1.2 10.7 37.9 67.5 71.7 51.5 27.3 11.4 4.0 1.2 0.3 0.1

11.5 0.0 0.0 0.0 0.0 0.3 3.3 13.3 26.6 31.4 24.7 14.2 6.4 2.4 0.7 0.2 0.1

12.5 0.0 0.0 0.0 0.0 0.1 1.0 4.4 9.9 12.8 11.0 6.8 3.3 1.3 0.4 0.1 0.0

13.5 0.0 0.0 0.0 0.0 0.0 0.3 1.4 3.5 5.0 4.6 3.1 1.6 0.7 0.2 0.1 0.0

14.5 0.0 0.0 0.0 0.0 0.0 0.1 0.4 1.2 1.8 1.8 1.3 0.7 0.3 0.1 0.0 0.0

15.5 0.0 0.0 0.0 0.0 0.0 0.0 0.1 0.4 0.6 0.7 0.5 0.3 0.1 0.1 0.0 0.0

7 Refer to International Association of Classification Societies (IACS) Recommendation No.34 (Corr.

Nov.2001).

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Number of occurrences: 100 000 / Tz (s) = average zero-crossing wave period / Hs (m) = significant wave height

Tz (s) ► 3.5 4.5 5.5 6.5 7.5 8.5 9.5 10.5 11.5 12.5 13.5 14.5 15.5 16.5 17.5 18.5

Hs (m) ▼

16.5 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.1 0.2 0.2 0.2 0.1 0.1 0.0 0.0 0.0

2.7.2.2 Alternative environmental conditions can be used for ships subject to operational
measures according to chapter 4 and should be accepted by the Administration.

2.7.2.2.1 Such alternative environmental conditions should specify the short-term

characteristics of wind and sea state, together with the probability of occurrence of each
short-term environmental condition.

2.7.2.2.2 The short-term sea state characteristics should be given in terms of a sea elevation
spectrum. The short-term wind state should be given in terms of a mean wind speed and a
gustiness spectrum.

2.7.2.2.3 The long-term characterization of the environmental condition should be given in

terms of probability of occurrence of each short-term condition. The probability of occurrence
of each short-term environmental condition corresponds to the weighting factor, Wi. The set of
short-term environmental conditions and corresponding weighting factors should be such that
the sum of the weighting factors, i.e. the probabilities of occurrence, is unity.

2.7.3 Other common parameters

2.7.3.1 Active means of motion reduction, such as active anti-roll fins and anti-roll tanks,
can significantly reduce roll motions in seaway. However, the safety of the ship should be
ensured in cases of failure of such devices, therefore, the vulnerability assessment according
to these Interim guidelines should be conducted with such devices inactive or retracted, if they
are retractable.

3 Guidelines for direct stability failure assessment

3.1 Objective

3.1.1 These Guidelines provide specifications for direct stability assessment procedures for
the following stability failure modes:

.1 dead ship condition;

.2 excessive acceleration;
.3 pure loss of stability;
.4 parametric rolling; and
.5 surf-riding/broaching.

3.1.2 The criteria, procedures and standards recommended in these guidelines ensure a
safety level corresponding to the average stability failure rate not exceeding 2.6·10-3 per ship
per year.

3.1.3 Direct stability assessment procedures are intended to employ latest technology while
being sufficiently practical to be uniformly accepted and applied using currently available
infrastructure.

3.1.4 The provisions given hereunder apply to all ships and all failure modes. However, the
provisions for both the dead ship condition and pure loss of stability failure modes should not
apply to ships with an extended low weather deck.

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3.2 Requirements

3.2.1 The failure event is defined as:

.1 exceedance of roll angle, defined as: 40 degrees, angle of vanishing stability

in calm water or angle of submergence of unprotected openings in calm
water, whichever is less; or

.2 exceedance of lateral acceleration of 9.81 m/s2, at the highest location along

the length of the ship where passengers or crew may be present.

The Administrations may define stricter requirements, if deemed necessary.

3.2.2 Active means of motion reduction, such as active anti-roll fins and anti-roll tanks, can
significantly reduce roll motions in seaway. However, the safety of the ship should be ensured
in cases of failure of such devices, therefore, the vulnerability assessment according to these
Interim guidelines should be conducted with such devices inactive or retracted, if they are
retractable.

3.2.3 The procedure for direct stability assessment consists of two major components:

.1 a method that adequately replicates ship motions in waves (see 3.3); and

.2 a prescribed procedure that identifies the process by which input values are
obtained for the assessment, how the output values are processed, and how
the results are evaluated (see 3.5).

3.3 Requirements for a method that adequately predicts ship motions

3.3.1 General considerations

3.3.1.1 The motion of ships in waves can be predicted by means of numerical simulations or
model tests.

3.3.1.2 The choice between numerical simulations, model tests or their combination should
be agreed with the Administration on a case-by-case basis taking into account these Interim
guidelines.

3.3.1.3 The procedures, calibrations and proper application of technology involved in the
conduct of model tests should follow "Recommended Procedures, Model Tests on Intact
Stability, 7.5-02-07-04.1" issued by the International Towing Tank Conference (ITTC) in 2008.
Users may follow recent amended versions of the Recommended Procedures at the time of
execution of tests, if deemed necessary.

3.3.1.4 Numerical simulation of ship motions may be defined as the numerical solution of the
motion equations of a ship sailing in waves including or excluding the effect of wind
(see 3.3.2).

3.3.2 General requirements

3.3.2.1 Modelling of waves

3.3.2.1.1 The mathematical model of waves should be consistent and appropriate for the
calculation of the forces.

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3.3.2.1.2 Modelling of irregular waves should be statistically and hydrodynamically valid.

Caution should be exercised to avoid a self-repetition effect.

3.3.2.2 Modelling of roll damping: avoiding duplication

3.3.2.2.1 Roll damping forces should include wave, lift, vortex (i.e. eddy-making) and skin
friction components.

3.3.2.2.2 The data to be used for the calibration of roll damping may be defined from:

.1 roll decay or forced roll test;

.2 CFD computations, if sufficient agreement with experimental results in

terms of roll damping is demonstrated;

.3 existing databases of measurements or CFD computations for similar

ships, if suitable range is available; or

.4 empirical formulae, applied within their applicability limits.

3.3.2.2.3 If the wave component of roll damping is already included in the calculation of
radiation forces, measures should be taken to avoid including these effects more than once.

3.3.2.2.4 Similarly, if any components of roll damping (e.g. cross-flow drag) are directly
computed whereas others are taken from the calibration data, similar measures should be
taken to exclude these directly computed elements from the calibration data used.

3.3.2.2.5 Consideration of the essential roll damping elements more than once can be
avoided through use of an iterative calibration procedure in which the roll decay or forced roll
tests are replicated in numerical simulations. The results should be determined to be
reasonably close to the original calibration model test data set.

3.3.2.3 Mathematical modelling of forces and moments

3.3.2.3.1 The Froude-Krylov forces should be calculated using body-exact formulations at

least for the dead ship condition, pure loss of stability and parametric rolling failure modes,
for instance using panel or strip-theory approaches.

3.3.2.3.2 Radiation and diffraction forces should be represented in one of three ways: one
is to use approximate coefficients and the other two involve either a body linear formulation or
a body-exact solution of the appropriate boundary-value problem.

3.3.2.3.3 Resistance forces should include wave, vortex and skin friction components. The
preferred source for these data is a model test. The added resistance in waves can be
approximated, if this element is not already included in the calculation of diffraction and
radiation forces. If the radiation and diffraction forces are calculated as a solution of the hull
boundary-value problem, measures must be taken to avoid including these effects more than
once.

3.3.2.3.4 Hydrodynamic reaction sway forces, roll moment and yaw moments could be
approximated, based on:

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.1 Coefficients derived from model tests in calm water with planar motion
mechanism (PMM) or in stationary circular tests, by means of a rotating arm
or an x-y carriage.8

.2 CFD computations, provided that sufficient agreement is demonstrated with

a model experiment in terms of values of sway force and yaw moment. If the
radiation and diffraction forces are calculated as a solution of the hull
boundary-value problem, measures must be taken to avoid including these
effects more than once.

.3 Empirical database or empirical formulae, used within their applicability

range.

3.3.2.3.5 Thrust may be obtained by use of a coefficient-based model with approximate

coefficients to account for propulsor-hull interactions.

3.3.3 Requirements for particular stability failure modes

3.3.3.1 For the dead ship condition failure mode:

.1 Ship motion simulations should include at least the following four degrees of
freedom: sway, heave, roll and pitch.

.2 Three-component aerodynamic forces and moments generated on topside

surfaces may be evaluated using model test results. CFD results may be
admitted upon demonstration of sufficient agreement with a model
experiment in terms of values of aerodynamic force and moments. Empirical
data or formulae could be applied within their applicability range.

3.3.3.2 For the excessive acceleration failure mode, the ship motion simulations should
include at least the following three degrees of freedom: heave, pitch and roll. If sway motion is
not modelled, consideration should be given to accurate reproduction of lateral acceleration.

3.3.3.3 For the pure loss of stability failure mode, ship motion simulations should include at
least the following four degrees of freedom: surge, sway, roll and yaw. For those degrees of
freedom not included in the dynamic modelling, static equilibrium should be assumed.

3.3.3.4 For the parametric rolling failure mode, ship motion simulations should include at least
the following three degrees of freedom: heave, roll and pitch.

3.3.3.5 For the surf-riding/broaching failure mode:

.1 Ship motion simulations should include at least the following four degrees of
freedom: surge, sway, roll and yaw. For those degrees of freedom not
included in the dynamic modelling, static equilibrium should be assumed.

.2 Hydrodynamic forces due to vortex shedding from a hull should be properly

modelled. This should include hydrodynamic lift forces and moments due to
the coexistence of wave particle velocity and ship forward velocity, other than
manoeuvring forces and moments in calm water.

8 The captive model test procedure should be based on the ITTC recommended procedure 7.5-02-06-02,
issued in 2014, as amended. The stationary circular test by means of an x-y carriage can reproduce a circular
model motion with any specified drift angle by combining the motion of an x-y carriage and a turn table.

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3.3.3.6 For the pure loss of stability and surf-riding/broaching failure modes, an appropriate
autopilot should be used.

3.3.3.7 For the pure loss of stability and surf-riding/broaching failure modes, the initial
condition should be set with a sufficiently small forward speed in order to avoid artificial
surf-riding, which cannot occur for a self-propelled ship.

3.4 Requirements for validation of software for numerical simulation of ship motions

3.4.1 Validation

3.4.1.1 Validation is the process of determining the degree to which a numerical simulation is
an accurate representation of the real physical world from the perspective of each intended
use of the model or simulation.

3.4.1.2 Different physical phenomena are responsible for different modes of stability failure.
Therefore, the validation of software for the numerical simulation of ship motions is
failure-mode specific.

3.4.1.3 The validation data should be compatible with the general characteristics of the ship
for which the direct stability assessment is intended to be carried out.

3.4.1.4 The process of validation should be performed in two phases: one qualitative and
the other quantitative. In the qualitative phase, the objective is to demonstrate that the software
is capable of reproducing the relevant physics of the failure mode considered. The objective
of the quantitative phase is to determine the degree to which the software is capable of
predicting the specific failure mode considered.

3.4.2 Qualitative validation requirements

Table 3.4.2 – Requirements and acceptance criteria for qualitative validation

Item Required for Objective Acceptance criteria

Periodic Software where Demonstrate Based on the shape of
properties of roll hydrostatic and consistency between calculated backbone
oscillator Froude-Krylov forces calculated roll curve. The backbone
are calculated with backbone curve curve must follow a trend
body exact (dependence of roll which is consistent with
formulation frequency in calm the righting lever
water on roll
amplitude) and GZ
curve in calm water
Response curve Software where Demonstrate Based on the shape of the
of roll oscillator hydrostatic and consistency between roll response curve. The
Froude-Krylov forces the calculated roll roll response curve must
are calculated with backbone curve and "fold around" the backbone
body exact the calculated roll curve and may show
formulation response curve hysteresis when the
(dependence of magnitude of excitation is
amplitude of excited increased
roll motion on the
frequency of
excitation)
Change of Software where Demonstrate capability Typically in head and
stability in waves hydrostatic and to reproduce wave following waves, the
Froude-Krylov forces pass effect stability decreases when

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are calculated with the wave crest is located

body exact near the midship section
formulation. (within the quarter of
Additional capability length) and the stability
to track the increases when the wave
instantaneous GZ trough is located near the
curve in waves may midship section (within the
be required quarter of length)
Principal Software where Demonstrate capability Usually, observing an
parametric hydrostatic and to reproduce principal increase and stabilization
resonance Froude-Krylov forces parametric resonance of amplitude of roll
are calculated with a oscillation in exact
body exact following or head seas
formulation when encounter frequency
is about twice of natural
roll frequency

Table 3.4.2 (continued) – Requirements and acceptance criteria

for qualitative validation

Item Required for Objective Acceptance criteria

Surf-riding Software for Demonstrate Observing sailing with the
equilibrium numerical simulation capability to speed equal to wave celerity
of surf-riding/ reproduce surf-riding, when the propeller RPM is
broaching while yaw is fixed. set for the speed in calm
water which is less than the
wave celerity. The horizontal
position of centre of gravity is
expected to be located near
a wave trough
Heel during turn Software for Demonstrate Observing development of
numerical simulation capability to heel angle during the turn
of surf-riding/ reproduce heel
broaching caused by turn
Turn in calm water Software for Demonstrate correct Observing correct direction of
numerical simulation modelling of turn with large rudder angles
of surf-riding/ manoeuvring forces
broaching
Straight captive run Software for Demonstrate correct Observing correct tendency
in stern quartering numerical simulation modelling of wave of phase difference of wave
waves of surf-riding/ forces including force to incident waves
broaching effect of wave
particle velocity
Heel caused by Software for Demonstrate Observing slowly developed
drift and wind numerical simulation capability to heel angle after applying
of ship motions in reproduce heel aerodynamic load
dead ship condition caused by a moment
created by
aerodynamic load
and drag caused by
drift

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3.4.3 Quantitative validation requirements

3.4.3.1 There are two objectives of quantitative validation of numerical simulation. The first is
to find the degree to which the results of numerical simulation differ from the model test results.
The results of a model test carried out in accordance with 3.3.1.3 should be recognized as
reference values. The second objective is to judge if the observed difference between
simulations and model tests is sufficiently small or conservative for direct stability assessment
to be performed for the considered failure modes.

Table 3.4.3 – Indicative requirements and acceptance criteria for quantitative validation

Item Required for Objective Acceptance criteria

Response curve for Parametric rolling Demonstrate Maximum (over encounter
parametric rolling in agreement between frequency) roll amplitude
regular waves numerical should not be
simulation and underpredicted by more
model tests than 10%, if the amplitude is
regarding amplitude below the angle of maximum
of the roll response GZ or 20% otherwise.
Underprediction less than 2
degrees may be
disregarded.
Response curve for All modes Demonstrate Maximum (over encounter
synchronous roll in agreement between frequency) roll amplitude
regular waves numerical should not be
simulation and underpredicted for more
model tests than 10%, if the amplitude is
regarding amplitude below the angle of maximum
of the roll response GZ or 20% otherwise.
Under-prediction less than 2
degrees may be
disregarded.
Variance test for Software for Demonstrate Reproduction of
synchronous roll numerical simulation correct (in terms of experimental results either
of dead ship statistics) modelling within 95% confidence
condition and of roll response in interval or conservative
excessive irregular waves
acceleration
Variance test for Software for Demonstrate Reproduction of
parametric rolling numerical simulation correct (in terms of experimental results either
of parametric rolling statistics) modelling within 95% confidence
of roll response in interval or conservative
irregular waves
Wave conditions for Software for Demonstrate Wave steepness causing
surf-riding and numerical simulation correct modelling of surf-riding and broaching at
broaching of surf-riding/ surf-riding/ the wavelength
broaching broaching 0.75 – 1.5 of ship length is
dynamics in regular within 15% of difference
waves between model tests and
numerical simulations.
Speed settings are also
within 15% difference
between model tests and
numerical simulations.

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3.5 Procedures for direct stability assessment

3.5.1 General description

3.5.1.1 The procedures for direct stability assessment contain a description of the necessary
calculations of ship motions including the choice of input data, pre- and post-processing.

3.5.1.2 The direct stability assessment procedure is aimed at the estimation of a likelihood of
a stability failure in an irregular wave environment and because the stability failures may be
rare, the direct stability assessment procedure may require a solution of the problem of rarity.
This arises when the mean time to stability failure is very long in comparison with the natural
roll period that serves as a main timescale for the roll motion process. The solution of the
problem of rarity essentially requires a statistical extrapolation; for this reason, the validation
must be performed for all elements of the direct stability assessment procedure.

3.5.1.3 These Guidelines provide two general approaches to circumvent the problem of rarity,
namely assessment in design situations and assessment using deterministic criteria.
Mathematical techniques are provided that reduce the required number of simulations or
simulation time and can be used to accelerate assessment for both, the full assessment and
the assessment performed in design situations.

3.5.2 Verification of failure modes

3.5.2.1 Once a failure is identified in a numerical simulation, it is necessary to examine

whether it can be regarded as a failure mode for which the numerical method is validated and
direct assessment is intended. The suggested judging criteria for this purpose are provided
below.

3.5.2.2 If the local period of the obtained roll motion in following waves or in stern quartering
waves is nearly equal to the local wave encounter period and the maximum roll angle occurs
nearly at the relative wave position in which the metacentric height becomes the smallest, it
can be regarded as pure loss of stability failure.

3.5.2.3 If the local period of the obtained roll motion is nearly equal to twice the local wave
encounter period and is nearly equal to the ship natural roll period, it can be regarded as the
parametric rolling stability failure considered in the vulnerability criteria, which is sometimes
called as "principal parametric rolling". Other types of parametric rolling may occur with much
smaller probability, which are not addressed by the second generation intact stability criteria.

3.5.2.4 The condition when the ship cannot keep a straight course despite the application of
maximum steering efforts is known as broaching. The second generation intact stability criteria
address broaching associated with surf-riding. Other types of broaching may occur at slower
speed but are not considered here because the centrifugal force, due to such slow-speed
broaching which could induce heel, is much smaller. The broaching associated with surf-riding
can be identified if both the yaw angle and yaw angular velocity increase over time under the
application of the maximum opposite rudder deflection.

3.5.2.5 If the local period of the obtained roll motion in beam waves is nearly equal to the
local wave encounter period, it can be regarded as harmonic rolling, which is relevant to the
dead ship condition failure mode, as well as the excessive acceleration failure mode.

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3.5.3 Environmental and sailing conditions

3.5.3.1 General approaches for selection of environmental and sailing conditions

3.5.3.1.1 The sea states chosen for the direct stability assessment must be representative
for the intended service of the ship.

3.5.3.1.2 Sea states are defined by the type of wave spectrum and statistical data of its
integral characteristics, such as the significant wave height and the mean
zero-crossing wave period. For ships of unrestricted service, the environment should be
described by the wave scatter table shown in table 2.7.2.1.2. For ships of restricted service,
the wave scatter table accepted by the Administration should be used.

3.5.3.1.3 It is recommended to use the Bretschneider wave energy spectrum (see 2.7.2.1.1)
and cosine-squared wave energy spreading with respect to the mean wave direction.
If short-crested waves are considered impracticable in model tests or numerical simulations,
long-crested waves can be used.

3.5.3.1.4 For a given set of environmental conditions, the assessment can be performed
using any of the following equivalent alternatives:

.1 full probabilistic assessment according to 3.5.3.2;

.2 assessment in design situations using probabilistic criteria according to

3.5.3.3; or

.3 assessment in design situations using deterministic criteria according to

3.5.3.4.

3.5.3.2 Full probabilistic assessment

3.5.3.2.1 In this approach, the criterion used is the estimate of the mean long-term rate of
stability failures, which is calculated as a weighted average over all relevant sea states, wave
directions with respect to the ship heading and ship forward speeds, for each addressed
loading condition.

3.5.3.2.2 To satisfy the requirements of this assessment, this criterion should not exceed the
standard of 2.610-8 (1/s).

3.5.3.2.3 The probabilities of the sea states are defined according to the wave scatter table
(see 3.5.3.1). For the excessive accelerations, pure loss of stability, parametric rolling and
surf-riding/broaching failure modes, the mean wave directions with respect to the ship heading
are assumed uniformly distributed and the ship forward speed should be regarded as uniformly
distributed from zero to the maximum service speed. For the dead ship condition failure mode,
beam waves and wind should be assumed and the ship forward speed should be taken as
zero.

3.5.3.3 Assessment in design situations using probabilistic criteria

3.5.3.3.1 Compared to the full probabilistic assessment, this approach significantly reduces
the required simulation time and number of simulations since the assessment is conducted in
fewer design situations. These design situations are specified for each stability failure mode
as combinations of the ship forward speed, mean wave direction with respect to the ship

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heading, significant wave height and mean zero-crossing wave period for each addressed
loading condition.

3.5.3.3.2 In this approach, the criterion is the maximum (over the design situations
corresponding to a particular stability failure mode) stability failure rate, defined in each design
situation as the upper boundary of its 95%-confidence interval.

3.5.3.3.3 To satisfy the requirements of this assessment, this criterion should not exceed the
threshold corresponding to one stability failure every 2 hours in full scale in design sea states
with probability density 10-5 (ms)-1.

3.5.3.3.4 Table 3.5.3.3.4 shows the design situations for particular stability failure modes,
including mean wave direction with respect to the ship heading, ship forward speed and range
of wave periods; and the step of the zero-crossing wave period in the specified ranges should
not exceed 1.0 s.

Table 3.5.3.3.4 – Design situations for each stability failure mode

Stability failure mode Wave directions Forward speeds Wave period

Beam wind and

Dead ship condition Zero Tz/Tr from 0.7 to 1.3
waves

Excessive acceleration Beam Zero Tz/Tr from 0.7 to 1.3

Tp corresponding to
Maximum
wavelengths
Pure loss of stability Following nominal service
comparable to ship
speed
length

Head and All wave periods in the

Parametric rolling Zero
following wave scatter table

Tp corresponding to
Maximum
wavelengths in the range
Surf-riding/broaching Following nominal service
from 1.0L to 1.5L
speed

3.5.3.3.5 For each mean zero-crossing wave period, the significant wave height is selected
according to the probability density of the sea state, as specified in 3.5.3.3.3. For unrestricted
service, the significant wave heights are shown in table 3.5.3.3.5 depending on the mean
zero-crossing wave period.

Table 3.5.3.3.5 – Significant wave heights for design sea states with probability density
10-5 (ms)-1 for unrestricted service

Tz (s) 4.5 5.5 6.5 7.5 8.5 9.5 10.5 11.5 12.5 13.5 14.5 15.5 16.5
Hs (m) 2.8 5.5 8.2 10.6 12.5 13.8 14.6 15.1 15.1 14.8 14.1 12.9 10.9

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3.5.3.4 Assessment in design situations using deterministic criteria

3.5.3.4.1 A probabilistic assessment may require a long simulation time even when using
design situations and this can make it difficult to use model tests rather than numerical
simulations. Applying deterministic criteria, such as the mean three-hour maximum roll
amplitude, may reduce the required simulation time and this may make it easier to use model
tests with, or instead of, numerical simulations. However, the inaccuracy of this approach
needs to be balanced by additional conservativeness.

3.5.3.4.2 In this approach, the criteria are the greatest (with respect to all design situations
for a particular stability failure mode) mean three-hour maximum roll amplitude and lateral
acceleration for each addressed loading condition.

3.5.3.4.3 To satisfy the requirements of this assessment, these criteria should not exceed
half of the values in the definition of stability failure in 3.2.1.

3.5.3.4.4 The simulations or model tests for each design situation should comprise at least
15 hours in full scale. This duration can be divided into several parts. The results should be
post-processed to provide at least five values of the three-hour maximum amplitude of roll
angle or lateral acceleration, which are averaged to define the mean three-hour maximum
amplitudes.

3.5.3.4.5 This approach uses design situations with the same mean wave directions with
respect to the ship heading, the same ship forward speeds and the same ranges of the mean
zero-crossing wave periods as the assessment in design situations using probabilistic criteria
(see 3.5.3.3).

3.5.3.4.6 For each mean zero-crossing wave period, the significant wave height is selected
according to the probability density of the sea state equal to 710-5 (ms)-1. Table 3.5.3.4.6
shows these significant wave heights for unrestricted service depending on the mean
zero-crossing wave period.

Table 3.5.3.4.6 Significant wave heights, in metres, for design sea states with probability
density 710-5 (ms)-1 for assessment using deterministic criteria for unrestricted service

Tz (s) 4.5 5.5 6.5 7.5 8.5 9.5 10.5 11.5 12.5 13.5 14.5 15.5
Hs (m) 2.0 4.4 6.9 9.1 10.9 12.1 12.8 13.1 13.0 12.5 11.3 9.0
10-5:
3.5.4 Direct counting procedure

3.5.4.1 The direct counting procedure uses ship motions resulting from multiple independent
realisations of an irregular seaway to estimate the rate of stability failure, r.

3.5.4.2 The procedure used for direct counting should provide the upper boundary of the 95%
confidence interval of the estimated rate of stability failure. This upper boundary is the one
which is used in direct stability assessment and operational measures.

3.5.4.3 The counting procedure should ensure independence of the counted stability failure
events.

3.5.4.4 The failure rate r and associated confidence interval can be estimated:

.1 by carrying out a simulation for each realisation of an irregular seaway only

until the first stability failure; or

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.2 on the basis of a set of independent simulations with fixed specified exposure

time texp (s), under the assumption that the relation between the probability p
of failure within texp and the failure rate r is p = 1 – exp (-r·texp).

3.5.4.5 Alternatively to direct counting, extrapolation procedures can be used as specified in

section 3.5.5.

3.5.5 Extrapolation procedures

3.5.5.1 The extrapolation procedures to be used with these Guidelines should only include
those procedures that have been successfully validated and applied and which should also
include a detailed description of their application.

3.5.5.2 Cautions

3.5.5.2.1 The extrapolation method may be applied as an alternative to the direct counting
procedure.

3.5.5.2.2 Caution should be exercised because uncertainty increases, as the extrapolation

is associated with additional assumptions used for describing ship motions in waves.

3.5.5.2.3 The statistical uncertainty of the extrapolated values should be provided in a form
of boundaries of the confidence interval evaluated with a confidence level of 95%.

3.5.5.2.4 To control the uncertainty caused by nonlinearity, the principle of separation may
be used. Extrapolation methods based on the principle of separation consist of at least two
numerical procedures addressing different aspects of the problem: "non-rare" and "rare".

3.5.5.2.5 The "non-rare" procedure focuses on the estimation of ship motions or waves of
small-to-moderate level for which the stability failure events can be characterized statistically
with acceptable uncertainty.

3.5.5.2.6 The "rare" procedure focuses on ship motions of moderate-to-severe level for
which numerical simulation are rarely required. Large motions may be separated from the rest
of the time domain data to obtain practical estimates of these motions.

3.5.5.2.7 Different extrapolation methods based on the separation principle may use
different assumptions on how the separation is introduced.

3.5.5.3 Extrapolation over wave height

3.5.5.3.1 Extrapolation of the mean time to stability failure or mean rate of stability failures
over significant wave height is a technique allowing the reduction of the required simulation
time by performing numerical simulations or model tests at greater significant wave heights
than those required in the assessment and extrapolating the results to lower significant wave
heights.

3.5.5.3.2 The extrapolation is based on the approximation lnT = A + B/Hs2, where T (s) is the
mean time to stability failure; Hs (m) is the significant wave height; and A, B are coefficients
which do not depend on the significant wave height but depend on the other parameters
specifying the situation (wave period, wave direction and ship forward speed).

3.5.5.3.3 The extrapolation can be performed when at least three values of the stability
failure rate are available. These values should be obtained by direct counting for a range of

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significant wave heights of at least 2 m. Each of the values used in the extrapolation should
correspond to the upper boundary of the 95%-confidence interval of stability failure rate and
not exceed 5% of the reciprocal natural roll period of the ship. The results should be checked
for the presence of outliers and non-conservative extrapolation and corrected, when
necessary, by adding or removing points used for extrapolation.

3.5.5.4 Other extrapolation procedures

3.5.5.4.1 Other extrapolation procedures may be used, taking into account 3.5.5.1
and 3.5.5.2. Such procedures may include those listed below and others:

.1 envelope peak-over-threshold (EPOT);

.2 split-time/motion perturbation method (MPM); and
.3 critical wave method.

3.5.6. Validation of extrapolation procedures

3.5.6.1 Extrapolation procedures used for direct stability assessment should be validated.

3.5.6.2 Validation of an extrapolation procedure is a demonstration that the extrapolated

value is in reasonable statistical agreement with the result of the direct counting, if such volume
of data would be available.

3.5.6.3 The data for validation of the extrapolation procedure may be produced by a
mathematical model of reduced complexity (e.g. a set of ordinary differential equations instead
of a numerical solution of a boundary value problem) or by running the full mathematical model
on significantly more severe environmental and/or more onerous loading conditions. The
objective is to decrease the computational cost by which a large data set can be obtained (the
validation data set). Physical experiments can be used for the same purpose.

3.5.6.4 The direct counting procedure applied to the validation data set should produce the
"true value". The extrapolation procedure applied to a minimally required fraction of the
validation data set should re-produce the "true value" within 95% confidence.

3.5.6.5 Validation of the extrapolation procedure should be performed for 50 statistically

independent data sets and evaluated for a number of ship speeds, relative wave headings and
sea states.

3.5.6.6 A comparison should be made between the extrapolation and the "true value" for each
data set. The comparison should be considered successful if the extrapolation confidence
interval and the confidence interval of the "true value" overlap.

3.5.6.7 The validation should be considered successful if at least 88% of individual data set
comparisons are successful.

4 Guidelines for operational measures

4.1 General principles

4.1.1 A combined consideration of design and operational aspects can effectively be used
to achieve a sufficient safety level. In application, this principle requires guidance to be
provided for the preparation of operational measures, consistent with the design assessment
requirements.

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4.1.2 Whereas the principles used in these Guidelines can be applied to consider any
operational problems related to ship behaviour in a seaway, detailed procedures in these
Guidelines cover the following stability failure modes:

.1 dead ship condition;

.2 excessive acceleration;
.3 pure loss of stability;
.4 parametric rolling; and
.5 surf-riding/broaching.

4.1.3 These Guidelines consider the operational limitations and operational guidance,
which are defined in 4.3.1. Either operational limitations or operational guidance can be used
for the following four stability failure modes: excessive acceleration, pure loss of stability,
parametric rolling and surf-riding/broaching. For the dead ship condition failure mode, only
operational limitations related to areas or routes and season (4.3.1.1 and 4.5.1) can be applied.
This means that neither operational limitations related to maximum significant wave height nor
operational guidance are applicable because the ship's main propulsion plant and auxiliaries
are inoperable. This means that the ship is neither able to avoid heavy weather nor control
speed and course.

4.1.4 Operational limitations and operational guidance should provide at least the same
level of safety as that provided by the procedures and standards given by the Guidelines for
vulnerability criteria in chapter 2 or the direct stability assessment in chapter 3. In particular,
the safety level of those loading conditions that fail design assessment requirements in
chapter 2 or chapter 3 should become sufficient if all combinations of the sailing condition and
sea state that are not recommended by these operational measures are removed from the
design assessment.

4.1.5 Whereas the principle in 4.1.4 can be directly used to prepare operational measures
ensuring a required safety level, more detailed procedures were developed as described in
these Guidelines for convenience of ship designers and Administrations. Using the procedures
and standards described herein corresponds to setting a safety level in accordance with the
Guidelines for direct stability assessment in chapter 3.

4.1.6 Although the application of operational measures can reduce the likelihood of stability
failure to a desired low level, a loading condition for which too many situations should be
avoided to achieve the required safety level should not be considered as acceptable.
Therefore, from practical and regulatory perspectives, operational measures should not be
considered as always sufficient for any loading condition.

4.1.7 In case operational measures are provided for particular failure mode(s) based on
these Guidelines, they may be applied instead of the relevant provisions in the guidance
provided in MSC.1/Circ.1228.

4.2 Stability failures

4.2.1 The definition of stability failure should be consistent with those used in either the
Guidelines for vulnerability criteria in chapter 2 or the Guidelines for direct stability assessment
in chapter 3.

4.2.2 The provisions given hereunder apply to all ships, except for ships with an extended
low weather deck when considering the dead ship condition failure mode or the pure loss of
stability failure mode.

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4.3 Operational measures

4.3.1 These Guidelines consider the following ship specific operational measures:

.1 Operational limitations which define the limits on a ship's operation in a

considered loading condition, are as follows:

.1 Operational limitations related to areas or routes and season permit

operation in specific operational areas (either geographical areas or
specific types of operational areas like sheltered waters) or routes
and, if appropriate, the specific season. For the operational area,
route and season, the environmental conditions are specified by the
wave scatter table and corresponding wind statistics.

.2 Operational limitations related to maximum significant wave height

permit operation in conditions up to a maximum significant wave
height. The environmental conditions are specified by the
combination of the wave scatter table related to operational area or
route and season, and corresponding wind statistics. The wave
scatter table limited to a specific significant wave height is referred
to as a limited wave scatter table.

.2 Operational guidance which defines the combinations of ship speed and

heading relative to mean wave direction that are not recommended and that
should be avoided in each relevant sea state.

4.3.2 The operational measures specified in 4.3.1 require different amount of information
and planning in their application, as follows:

.1 operational limitations related to areas or routes and season do not require

weather data during the operation of the ship and thus do not need any
specific information and planning;

.2 operational limitations related to maximum significant wave height need a

forecast for the significant wave height and the availability of appropriate
routing in a sufficient time before encountering possible storm conditions;
and

.3 operational guidance requires detailed forecast information about wave

energy spectrum and wind characteristics, together with means for indicating
combinations of ship speed and heading relative to mean wave direction that
should be avoided, which should be available for safe routeing in a sufficient
time before encountering possible storm conditions.

4.3.3 The operational measures specified in 4.3.1 can be combined, e.g. operational
limitations can be applied up to a certain significant wave height and operational guidance for
greater significant wave heights. When operational limitations are combined with operational
guidance, the requirements for operational guidance apply.

4.4 Acceptance of operational measures

4.4.1 Operational limitations and operational guidance should be accepted by the

Administration according to these Guidelines.

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4.4.2 Acceptance of a loading condition for unrestricted operation, limited operation or

operation using onboard operational guidance should be performed following these Guidelines
in combination with the design assessment requirements according to chapter 2 or chapter 3.
A loading condition is considered as:

.1 acceptable for unrestricted operation, if it satisfies the design assessment

requirements for all five stability failure modes specified in 4.1.2;

.2 acceptable for limited operation, if it is provided with operational limitations

for one or more stability failure modes specified in 4.1.2 for unrestricted
operation and satisfies the design assessment requirements for the
remaining stability failure modes;

.3 acceptable for operation using onboard operational guidance, if it is provided

with operational guidance for one or more stability failure modes specified in
4.1.2 for unrestricted operation and is either provided with operational
limitations for unrestricted operation or satisfies the design assessment
requirements for the remaining stability failure modes;

.4 acceptable for operation in a specified area or on a specified route during a

specified season, if it is provided with operational limitations for one or more
stability failure modes specified in 4.1.2 for this area or route and season,
and satisfies the design assessment requirements for the remaining stability
failure modes;

.5 acceptable for limited operation in a specified area or on a specified route

during a specified season, if it is provided with operational limitations for one
or more stability failure modes specified in 4.1.2 for a given significant wave
height limit for this area or route and season, and either has operational
limitations without specification of maximum operational significant wave
height for this area or route and season, or satisfies the design assessment
requirements for the remaining stability failure modes; and

.6 acceptable for operation using onboard operational guidance in a specified

area or on a specified route during a specified season, if it is provided with
operational guidance for one or more stability failure modes specified in 4.1.2
for this area or route and season and is either provided with operational
limitations for this area or route and season or satisfies the design
assessment requirements for the remaining stability failure modes.

4.4.3 Application of the operational limitations related to maximum significant wave height
or operational guidance can reduce the stability failure rate to any low level. However, if too
many sailing conditions in too many sea states should be avoided for a certain loading
condition, such loading condition cannot be considered as acceptable in practical operation.
Therefore:
.1 A loading condition cannot be considered as acceptable if the ratio of the
total duration of all situations which should be avoided to the total operational
time, is greater than 0.2. In the calculation of this ratio, the situations that
should be avoided include those defined by:

.1 operational limitations related to maximum significant wave height;

or

.2 operational guidance.

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.2 In the calculation of the ratio in 4.4.3.1, the probabilities of the sea states are
taken according to the full wave scatter table. Wave headings are assumed
uniformly distributed and the ship forward speed is assumed uniformly
distributed between zero and the maximum service speed.

4.4.4 Active means of motion reduction, such as active anti-roll fins and anti-roll tanks, can
significantly reduce roll motions in seaway. Therefore, if such devices are not considered in
the development and application of the operational measures, the advice to the ship master
may be suboptimal or misleading. On the other hand, the safety of the ship with specific
reference to aspects addressed by the present Guidelines should be ensured also in cases of
failure of such devices. Therefore, it is recommended that the development, application and
acceptance of the operational measures is done both with operating and inactive (or retracted,
if retractable) anti-roll devices.

4.4.5 Operational guidance can indicate some sailing conditions as safe with respect to roll
motion but they may be unattainable due to limits of the propulsion and steering systems of
the ship or undesirable due to other problems, such as excessive vertical motions or
accelerations and slamming. For example, for parametric rolling in bow waves, roll motions
may reduce with increasing forward speed, but high speeds in bow waves could be either
unattainable or could lead to excessive vertical motions or loads. Neglecting this contradiction
can lead to misleading operational guidance or even put the ship in danger if in some sea state
all sailing conditions, acceptable from the point of view of roll motions, are unattainable or
dangerous because of other reasons.

4.5 Preparation procedures

4.5.1 Operational limitations related to areas or routes and season

4.5.1.1 Operational limitations are prepared following the design assessment procedures in
chapter 2 or chapter 3 with modified environmental conditions assumed in operation. The
modification of the reference environmental conditions is based on the wave scatter table for
a specified area or a specified route during a specified season and corresponding wind
statistics, acceptable to the Administration.

4.5.1.2 The environmental conditions applied in the preparation of the operational limitations
related to specified areas or specified routes during a specified season should be consistent
with the corresponding vulnerability criteria if the preparation is based on the Guidelines for
vulnerability assessment in chapter 2. If the preparation is based on direct stability assessment
these environmental conditions should be consistent with the Guidelines for direct stability
assessment in chapter 3. Other environmental conditions may be applied, as appropriate.

4.5.1.3 For some Level 1 and Level 2 vulnerability assessment procedures, regular wave
cases should be defined, based on the wave statistics.

4.5.2 Operational limitations related to maximum significant wave height

4.5.2.1 Operational limitations related to maximum significant wave height are developed
using design assessment procedures in chapter 2 or chapter 3 for a specific environment,
which is defined by cutting the wave scatter table for a specified area or a specified route
during a specified season at a specified significant wave height and by corresponding
modification of wind statistics.

4.5.2.2 The environmental conditions applied in the preparation of the operational limitations
related to maximum significant wave height should be consistent with the corresponding

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vulnerability criteria, if the preparation is based on the Guidelines for vulnerability assessment
in chapter 2. If the preparation is based on the direct stability assessment, these conditions
should be consistent with the Guidelines for direct stability assessment in chapter 3. Other
environmental conditions may be applied, as appropriate.

4.5.2.3 For certain Level 1 and Level 2 vulnerability assessment procedures, definition of the
corresponding regular wave cases is required; this is done in the same way as for operational
limitations without specification of maximum operational significant wave height.

4.5.3 General principles of preparation of operational guidance

4.5.3.1 Operational guidance should indicate all sailing conditions that should be avoided for
each range of sea states in the relevant wave scatter table.

4.5.3.2 Operational guidance should ensure that the considered loading condition satisfies
the design assessment requirements in chapter 2 or chapter 3 after removing from the design
assessment all sailing conditions that should be avoided. To simplify the preparation and
acceptance of operational guidance, three equivalent approaches, recommended for the
preparation of operational guidance, are considered below in detail. These approaches are
based on:

.1 probabilistic motion criteria and standards (referred to as probabilistic

operational guidance);

.2 deterministic motion criteria and standards (referred to as deterministic

operational guidance); and

.3 simplified motion criteria and standards (referred to as simplified operational

guidance).

4.5.3.3 Operational guidance should clearly indicate acceptable and unacceptable sailing
conditions for each relevant sea state and may be presented in the form of a polar diagram.

4.5.3.4 Other forms different from polar diagrams could be used for displaying operational
guidance, provided that equivalent information is included.

4.5.4 Probabilistic operational guidance

4.5.4.1 This type of operational guidance uses probabilistic criteria, such as the probability of
stability failure during a specified time or the rate of stability failures, and corresponding
probabilistic thresholds to distinguish sailing conditions which should be avoided.

4.5.4.2 Sailing conditions that should be avoided are those for which:

r > 10-6 s-1;

where r (s-1) is the upper boundary of the 95% confidence interval of the stability failure rate.

4.5.4.3 Procedures and numerical methods applied for the determination of the failure rate
as referred to in 4.5.4.2 should satisfy the recommendations of the Guidelines for direct stability
assessment in chapter 3.

4.5.4.4 If a certain assumed situation should be avoided, assessment for higher significant
wave heights, with other parameters unchanged, is not required. Conversely, if a certain

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assumed situation does not have to be avoided, assessment for lower significant wave heights,
with other parameters unchanged, is not required.

4.5.5 Deterministic operational guidance

4.5.5.1 Using deterministic criteria, such as maximum roll amplitude in a given exposure time,
represent a simpler but less accurate approach than using probabilistic criteria. Therefore, in
order to provide an equivalent safety level, the thresholds for deterministic criteria are
conservatively selected.

4.5.5.2 Deterministic operational guidance can be prepared using only model tests, only
numerical simulations or their combination. Numerical methods applied in such simulations
should satisfy the recommendations of the Guidelines for direct stability assessment in
chapter 3.

4.5.5.3 Sailing conditions that should be avoided are those for which:

x3h > xlim,

where  = 2 is the scaling factor, x3h is the mean three-hour maximum roll or lateral acceleration
amplitude and xlim is the corresponding stability failure threshold, as defined in the Guidelines for
direct stability assessment in 3.2.1.

4.5.5.4 To define the mean three-hour maximum amplitude, the total recommended duration
of a test or simulation is 15 hours at full scale for each considered situation.

4.5.5.5 If a certain assumed situation should be avoided, an assessment for higher significant
wave heights, with other parameters unchanged, is not required. Conversely, if a certain
assumed situation does not have to be avoided, an assessment for lower significant wave
heights, with other parameters unchanged, is not required.

4.5.6 Simplified operational guidance

4.5.6.1 Whereas probabilistic and deterministic operational guidance provides accurate and
detailed recommendations for the ship forward speed and course in each sea state, it requires
model tests or numerical methods of high accuracy. Therefore, simpler conservative
approaches may be used to develop operational guidance for acceptable forward speed and
course when it is deemed practicable.

4.5.6.2 In principle, any simple conservative estimations for the sailing conditions that should
be avoided in each relevant sea state, can be used if they are shown to provide a superior
safety level compared to the design assessment requirements. In particular, Level 1 or Level 2
vulnerability criteria of the Guidelines for vulnerability assessment in chapter 2 can be used.
Some examples of recommended approaches based on Level 1 and Level 2 vulnerability
criteria are included below:

.1 For the excessive acceleration stability failure mode, all forward speeds
should be avoided in all sea states where CS,i > 10-6, where CS,i is defined
according to 2.3.3.2.1 of the Guidelines for vulnerability assessment. The
transfer function ay() defined in 2.3.3.2.2 is multiplied by the absolute value
of the sine of the wave heading angle  and calculated by replacing the wave
frequency j with wave encounter frequency ej.

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.2 For the pure loss of stability failure mode, nominal ship forward speed of the
ship of 0.752∙L1/2 m/s or greater, should be avoided in following to beam wave
directions in sea states for which max(C1i,C2i) = 1, where C1i and C2i are
defined in 2.4.3.3 and 2.4.3.4, respectively, of the Guidelines for vulnerability
assessment.

.3 For the parametric rolling stability failure mode, forward speed, for which
CS,i(vs,Hs,Tz), defined according to 2.5.3.3.1 of the Guidelines for vulnerability
assessment, is equal to 1, should be avoided in all wave directions and all
sea states.

.4 For the surf-riding/broaching failure mode, either:

.1 nominal ship speed of 0.94 ⋅ 𝐿1/2 (m/s), or greater, should be

avoided when the wavelength, based on mean wave period, is
greater than 80% of the ship length, the significant wave height is
greater than 4% of the ship length L (m) and the heading angle
 (deg) from the wave direction is less than 45 degrees; or

.2 alternatively, the critical nominal ship speed provided by the Level 2

vulnerability criteria (see 2.6.3.4.2) or above should be avoided in
following to beam wave directions in sea states for which cHT >
0.005, where cHT is calculated as:
N Na
cHT ( H s , Tz ) =  wij ( H s , Tz ) C 2ij
i =1 j =1

where wij ( H s , Tz ) and C 2 ij should be calculated based on the

level 2 vulnerability criteria in 2.6.3.2, but with the diffraction
component of the wave force taken into account.

4.6 Application

4.6.1 Operational guidance should be provided as easily accessible and understandable

information in graphical form which clearly indicates unacceptable sailing conditions for a given
sea state, as well as the relevant stability failure modes. Automatic alert systems can be used
for the cases when sailing conditions are close to or within the areas of unacceptable sailing
conditions.

4.6.2 Unacceptable sailing conditions are derived from the pre-defined databases of
probabilistic, deterministic or simplified safety criteria, stored as functions of the ship forward
speed and ship heading with respect to the mean wave direction for relevant sea states. These
sea states are specified by using as input the actual significant wave height, mean
zero-crossing wave period, mean wave direction and ship course.

4.6.3 The effect of non-parallel wave systems (cross sea) can be reproduced using these
pre-defined databases by combining separate responses to the wind sea and swell which
correspond to the significant wave height, mean zero-crossing wave period and mean wave
direction of each of these wave systems by:

.1 summing the rate of stability failures for each of these wave systems when
using probabilistic operational guidance;

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.2 summing the maximum responses to each of these wave systems when

using deterministic operational guidance; and

.3 overlaying the unacceptable sailing conditions for each of these wave

systems when using simplified operational guidance.

The procedure described above is meant to be a practical approximation tool for addressing
cross sea conditions starting from pre-calculations based on simpler standard sea states.
However, such a procedure is an approximate one and sea states encountered in the ship's
operation can be characterized by complex spectra combining multiple wind sea and swell
systems. Therefore, particular caution is recommended to be exercised during operation when
making use of operational guidance developed according to the described procedure, if the
sea state is characterized by complex combinations of wind sea and swell systems.

4.6.4 The master should ensure that the ship, at any time during the voyage and
considering the available weather forecasts, satisfies the operational limitations related to
maximum significant wave height or operational guidance.

***

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