Underwater Intervention 2019 (Diving Track, Marine Technology Society)

Feb. 5-7 2019, New Orleans Louisiana USA

© Bart Kemper 2019

Shortfalls in polymer specifications for PVHOs

Bart Kemper, P.E.

Principal Engineer
Kemper Engineering Services, LLC
Baton Rouge, LA

ABSTRACT: Initial work in developing Performance-oriented minimums and updated

windows, face ports, lenses and other
transparent structures using glassy polymers
was often through empirical methods or
conservative design tables. Current minimum
standards in ASME PVHO do not require
ductility, the key characteristic driving
material selection compared to brittle but
stronger materials. Performance-oriented
minimums and updated design methods are
needed.
Initial work in developing windows, face
ports, lenses and other transparent structures
using glassy polymers was often through
empirical methods or conservative design
tables. Current minimum standards in ASME
PVHO do not require ductility, the key
characteristic driving material selection
compared to brittle but stronger materials.
design methods are needed.
The ASME Pressure Vessel for Human
Occupancy (PVHO) safety codes cover
design (PVHO-1) and post-construction
(PVHO-2) for submersibles, diving bells,
hyperbaric chambers, and other applications
where people are enclosed and under
pressure. Almost all codes and standards
have a central focus then refer to other codes
to address various details such as material
testing, fastener technology, and welding.
With respect to the ASME PVHO codes, the
primary focus is windows. In PVHO
terminology, “viewport” includes all the
components to hold the transparent portion,
called a “window.” For other equipment, the
“window” is called is a “face port” or a
“lens.” The three materials specified within
PVHO-1 are: polymethyl methacrylate

(PMMA), or “acrylic”; polyamide, or Nylon;
and polycarbonate (PC).
Selecting PMMA
As documented in Chapter 1 of the seminal
work by Dr. Jerry Stachiw, The Handbook of
Acrylics (Stachiw, 2003) the use of acrylics
for PVHOs was an evolutionary development
that began with glass used early diving
apparatus, starting in the mid-1500’s. In the
1930’s the Bathysphere dove to 923 meters
using fuzed quartz for windows. Fuzed
quartz is stronger and harder than glass.
Despite the individual components being
extensively tested, numerous leaks were
reported during the various dives, generally
due to the windows not being precisely
seated.
The TRIESTE I, launched in 1953, was the
first deep-diving submersible to use acrylic
windows. The acrylic conical frustums – ie.
cones with the apex cut of -- fit into mating
steel seats. Unlike the previous use of brittle
crystallines such as glass and fuzed quartz,
acrylic is a ductile plastic. Any miniscule
misalignment, which had previously caused
leaks with brittle materials, was sealed by the
acrylic deforming under pressure. This
ductility was cited by the designers of the
TRIESTE I and II as being the reason for zero
window-related leaks and resultant
operational interruptions. (Stachiw, 2003)
Fig. 1. Excerpt from PVHO-1 Table 2-3.4-1, published in 2016. The values shown above are
unchanged from the recommendations published in 1973.
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PVHO Material Specification Shortfalls / 2
Dr. Stachiw began his pioneering work in
underwater materials technology for the US
Navy in the 1960’s. The first ASME PVHO
standard was published in 1977, with content
being almost exclusively on window design.
The multi-organizational committee, led by
Dr. Stachiw, was very aware of the novelty of
their code and took great efforts to be
conservative in their assumptions and
methods. Like other codes and standards,
lessons were learned and incorporated into the
code over time and new issues were
addressed. ASME PVHO-1 has expanded its
scope over the years to include full systems.
PVHO-2 was introduced in 2003 to address
post-construction standards.
What is striking about the history of the
PVHO codes is the material specifications for
acrylic, most recently published in PVHO-1
in 2016, is largely unchanged from the initial
specification proposed in 1973. (Stachiw,
1973) In comparison, the ASME Pressure
Vessel code has changed multiple material
specifications over the years and completely
overhauled the allowable stress levels in
1999, reducing the design margin with respect
failure from 4.0 to 3.5. (Canonico, 2000)
The PVHO-1 specifications for acrylics
materials are in Table 2-3.4-1 (Specified
Values of Physical Properties for Each Lot)
and Table 2-3.4-2 (Specified Values of
 PVHO Material Specification Shortfalls / 3

Physical Properties for Each Casting). The
key mechanical values shown below have not
changed since 1973.
Defining performance
Ductility is a measure of deformation after
yield without fracture. Brittle materials like
glass and cast iron will bend elastically (prior
to yield), but will fail with little or no plastic
behavior. It takes less strain energy per unit
volume to cause a failure with a brittle
material compares to a plastic material with
similar moduli of elasticity and yield points.
Fig. 2 shows the stress-strain curves at
various temperatures. The star shows the
PVHO-1 minimum elongation of 2.0% The
straight red line plots the specified minimum
Modulus of Elongation terminating at the
minimum specified strength. Calculating the
resultant elongation:
Strain = Stress/Modulus
Strain = (9000 psi)/(400,000 psi)
= 0.0225 = 2.25%

The area under the stress-strain curves

represents the volume-specific energy to
fracture (w). A measure for failure is the
elongation and stress at break, which
represents a minimum of volume-specific
energy. Even in a generally compressive
loading, localized deflection often has tensile
areas that can fail in minute areas and become
failure point initiators. Assuming a linear
behavior, the minimum volume-specific
energy absorption up to fracture can be
calculated using

wmin = ½ smax emin

(Eqn. 3.33, Osswald, 2006)

“Minimum values” are specification the

properties used in evaluating the quality of a
material, whether it’s a metal, ceramic, or
plastic. A “minimum value” should be less
than or equal to the literature value, but
sufficient to establish required performance.
The PVHO-1 specified minimum elongation
is 2%. The literature values for elongation at
break at standard conditions ranges from
4.5% (Hassard, 1973) (Stachiw, 1973) to 4.5- Fig. 2. Stress vs. strain at different temperatures
5.0% (Osswald, 2006). At first blush, the (Hassard, 1973) (Stachiw, 2003) The red line shows
PVHO-1 specification is acceptable because the PVHO specification for the tensile modulus. The
it’s less than the literature values. However, star shows the PVHO specification for elongation of
it does not address whether the minimum 2.0%. The elongation due to pure elastic strain (at
tensile strength of 9,000 psi along the modulus) is
value provides the required performance.
2.25%, more than the total required.

Kemper Engineering Services (www.kempereng.com)


The significance is the current PVHO-1
specification of 2.0% is less than the elastic
elongation of 2.25%. Instead of the value for
“elongation at break” providing the measure
of ductility, it specifies zero ductility is
required and allows a fully brittle formulation
to be created. Assuming the same minimum
strength, using the code-specified elongation
will result in less volume-specific energy to
fracture than pure brittle value calculated
above. This will replicate previous failure
modes using crystalline materials and negate
the fundamental reason for choosing acrylic.
Polyamide selection
Nylon 6 is specified in PVHO-1 section 2-
2.14.13. Nylon properties (without
designation) are specified in PVHO-1 Table
2-2.14.13-2. The challenge is the
compressive strength test, requires the test to
be performed at 122°F. The glass transition
temperature of Nylon 6 is approximately
117°F (47°C), as cited in BASF literature.
Polymers above their glass transition
temperature act in a more rubber-like manner,
whereas below which the material acts in a
plastic state more typical of its service
conditions. The test method is specified in
PVHO-1 2-3.7(c) “Tests for Compressive
Deformation,” in which the required test
temperature is 122°F (50°C). Nylon 6 cannot
pass this test in the “dry, as molded” state. It
is noted the test procedure was copied from
ASTM D621, which was withdraw by ASTM
in 1994 with no replacement.
Many PVHO applications require submersion
or working in humid environments.
Assuming a “dry, as-molded” condition is not
always reasonable for design, particularly in
not used exclusively in a controlled
environment such as medical treatment
facility. Nylon 6 glassy transition
temperature is reduced to as little as 47°F
(8°C) as water is absorbed. The change from
a “plastic state” to “rubbery state,” with the
Kemper Engineering Services (www.kempereng.com)
PVHO Material Specification Shortfalls / 4
attendant changes in properties, will change
the joint mechanics between the glassy
polymer window and its seat. Nylon 6 loses
up to 75% of its yield strength, compressive
strength, and tensile strength as water is
absorbed locally as well as with temperature
increase, as cited in TORAY Plastics
literature as well as other references.
(Osswald, 2006)
Water saturation with Nylon 6 is a variable
not addressed in PVHO-1 or PVHO-2, either
as a steady-state condition or a transient
condition. Water saturation can change over
time with change in environment. The nylon
can swell as it absorbs water as well as
change its thermodynamic properties, further
complicating the joint dynamics as a steady
state or transient condition. It is noted other
polyamides, such as Nylon 12, are more
resistant to water absorption, have a higher
glass transition temperature, and retain more
of their mechanical properties over
temperatures and water saturation ranges.
Time dependent properties
Transient considerations go beyond Nylon 6.
All of the polymers specified by PVHO-1 and
PVHO-2 are more sensitive to temperatures
than steel. The percentage of change in
mechanical properties the metallic
components experience in a 100°F (38°C)
degree change can be less than a 10°F (3.8°C)
for glassy polymers like acrylic and
polycarbonate (Richeton, 2006) as well as
Nylon 6, as previously discussed.
Nylon has heat transfer properties more
similar to PMMA and PC than steels.
(Osswald, 2006) These polymers are thermal
insulators compared to steel. Polymers retain
the elevated temperatures and associated
lowered properties for hours more than steel,
creating operational concerns in PVHO
applications that are not kept in laboratory-
like steady state conditions. (Kemper, 2018)

Despite these issues in the PVHO code, there
has not been a string of failures similar to
when bolts are counterfeited and placed into
service with mechanical properties lower than
required performance, such as those in the
offshore industry reported by the Bureau of
Safety and Environmental Enforcement. The
various acrylic and polycarbonate
manufacturers work with their clients to
improve performance and reliability. Typical
modern joint strengths are 85% of the base
material, well in excess of current code
minimums and is part of the current proven
reliability of modern submersibles. It raises
the question of the potential outcome of
meeting only minimum standards.
New requirements
While most PVHO shells, typically made of
steel, are usually certified as ASME Pressure
Vessels, it’s done with a metal blank in lieu of
the installed windows. The fully outfitted
PVHO as a functional system has not been
inspected in the same manner as a traditional
pressures vessel, but instead has been certified
by professionals with specialized knowledge
in the specific type of PVHO application, per
PVHO-1 Section 3.
In 2016 the PVHO code became a “systems”
document, looking beyond the 1973 exclusive
focus on windows and taking in the system as
a whole. In the same year the National Boiler
Inspection Code included PVHOs as items to
be inspected. In 2018 the ASME Boiler and
Pressure Vessel Committee undertook adding
acrylic as an authorized material for regular
pressure vessels, those without life support
considerations. They are reportedly adopting
the PVHO-1 and PVHO-2 as the design and
post-construction guidance for these pressure
vessels.
These changes make it imperative the PVHO
codes are accurate and reliable as written,
without requiring specialized knowledge of
Kemper Engineering Services (www.kempereng.com)
PVHO Material Specification Shortfalls / 5
work-arounds. The science associated with
polymers has advanced since 1973. Since
that time acrylics, polycarbonates, and nylons
have been used in applications ranging from
aerospace to biomedical applications with the
attendant research and analysis. The same
advances in quality control, testing, and
manufacturing that led to reducing allowable
stresses for pressure vessels has been
occurring throughout industry, including with
polymers.
It is noted there has been decades of material
science advancement in transparent polymers,
including PMMA. Finite Element Analysis
has been used in acrylic engineering in
biomedical (Shahmiri, 2013), defense
(Dorogov, 2010), aerospace (Tahmasebie,
2002), and other applications since 1973 with
attendant testing, validation, and codification.
Conclusion
The original PVHO rules for window design
were based on over a decade of empirical
testing. Since then more than four decades of
advancements have added to the available
body of knowledge. Performance standards,
those validated by testing, have become more
common. Engineering numerical methods
such as Finite Element Analysis and
Computational Fluid Dynamics are no longer
rarified research tools but are incorporated
into conventional engineering practice.
Finite Element Analysis are not only proven
with polymers, it successfully correlated to
PVHO applications (Du, 2016), to include
failure due to cyclic loading. (Kemper, 2013)
Existing PVHO manufacturers and end users
contributing modern best practices in
manufacturing techniques, updated material
properties, new material suitable for PVHO
applications, post-construction maintenance
and repairs, and other issues will help update
the PVHO code to modern methods and data.
 PVHO Material Specification Shortfalls / 6

This conference paper is part of the ongoing
work by Kemper Engineering Services to
advance the use of engineering techniques of
acrylic and polycarbonate windows and
optics. Interested parties are encouraged to
correspond directly with Bart Kemper at
bkemper@kempereng.com or participate in
this effort online at Researchgate.net in the
project, “Advancing glassy polymer usage in
pressure vessels and windows/optics”, under
his listing. Kemper Engineering is a sponsor
of MTS Manned Underwater Vehicle
Committee.
Bart Kemper, P.E. is Principal Engineer at
Kemper Engineering Services in Baton
Rouge, Louisiana. He is a graduate of
Louisiana State University in mechanical
engineering and the current Chair for the
Windows Subcommittee of the ASME
PVHO-1 safety standard. He is also a
member of MTS and is a reviewer for the
Marine Technology Society Journal as well as
The Journal of the National Academy of
Forensic Engineers. Bart has assisted in a
number of novel designs and product
developments as well as published multiple
patents, papers and presentations on topics
ranging including nonlinear finite element
modeling, pressure vessels, acrylic windows,
blast effects, event reconstructions, forensics,
and military engineering.

References

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2016) American Society of Mechanical Engineers, NY.

ASME (2016) Safety Standard for Pressure Vessels for Human Occupancy: In-Service
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Injection Molded Nylon 6. BASF Corporation, 2003.

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regulatory-programs/emerging-technologies/bolt-and-connector-failures

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 PVHO Material Specification Shortfalls / 7

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(Accessed 9 Jan. 2019 at https://www.toray.jp/plastics/en/amilan/technical/tec_011.html)
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