[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2006 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



          33


          Part 200 to End

                         Revised as of July 1, 2006


          Navigation and Navigable Waters
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2006
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 33:
          Chapter II--Corps of Engineers, Department of the 
          Army, Department of Defense                                3
          Chapter IV--Saint Lawrence Seaway Development 
          Corporation, Department of Transportation                659
  Finding Aids:
      Material Approved for Incorporation by Reference........     701
      Table of CFR Titles and Chapters........................     703
      Alphabetical List of Agencies Appearing in the CFR......     721
      List of CFR Sections Affected...........................     731

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                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 33 CFR 203.11 refers 
                       to title 33, part 203, 
                       section 11.

                     ----------------------------

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
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INCORPORATION BY REFERENCE

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This material, like any other properly issued regulation, has the force 
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    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
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the revision dates of the 50 CFR titles.

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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2006.

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                               THIS TITLE

    Title 33--Navigation and Navigable Waters is composed of three 
volumes. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2006. The first and 
second volumes, parts 1-124 and 125-199, contain current regulations of 
the Coast Guard, Department of Homeland Security. The third volume, part 
200 to End, contains current regulations of the Corps of Engineers, 
Department of the Army, and the Saint Lawrence Seaway Development 
Corporation, Department of Transportation.

    In volumes one and two, subject indexes follow the subchapters.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page 1]]



                TITLE 33--NAVIGATION AND NAVIGABLE WATERS




                  (This book contains part 200 to End)

  --------------------------------------------------------------------
                                                                    Part

chapter ii--Corps of Engineers, Department of the Army, 
  Department of Defense.....................................         203

chapter iv--Saint Lawrence Seaway Development Corporation, 
  Department of Transportation..............................         401

Cross Reference: For research and development, laboratory research and 
  development and tests, work for others regulations, see 32 CFR part 
  555.


Abbreviation Used in Chapter II:
    CE = Corps of Engineers.

[[Page 3]]



 CHAPTER II--CORPS OF ENGINEERS, DEPARTMENT OF THE ARMY, DEPARTMENT OF 
                                 DEFENSE




  --------------------------------------------------------------------


  Editorial Note: Other regulations issued by the Department of the Army 
appear in Title 32, Chapter V; Title 33, Chapter II; and Title 36, 
Chapter III, of the Code of Federal Regulations.
Part                                                                Page
203             Emergency employment of Army and other 
                    resources, natural disaster procedures..           5
207             Navigation regulations......................          26
208             Flood control regulations...................         106
209             Administrative procedure....................         140
210             Procurement activities of the Corps of 
                    Engineers...............................         165
211             Real estate activities of the Corps of 
                    Engineers in connection with civil works 
                    projects................................         182
214             Emergency supplies of drinking water........         198
220             Design criteria for dam and lake projects...         201
221             Work for others.............................         202
222             Engineering and design......................         218
223             Boards, commissions, and committees.........         311
230             Procedures for implementing NEPA............         312
236             Water resource policies and authorities: 
                    Corps of Engineers participation in 
                    improvements for environmental quality..         324
238             Water resources policies and authorities: 
                    Flood damage reduction measures in urban 
                    areas...................................         326
239             Water resources policies and authorities: 
                    Federal participation in covered flood 
                    control channels........................         329
240             General credit for flood control............         331
241             Flood control cost-sharing requirements 
                    under the ability to pay provision......         337
242             Flood Plain Management Services Program 
                    establishment of fees for cost recovery.         343
245             Removal of wrecks and other obstructions....         344
263             Continuing authorities programs.............         348
273             Aquatic plant control.......................         366
274             Pest control program for civil works 
                    projects................................         371

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276             Water resources policies and authorities: 
                    Application of section 134a of Public 
                    Law 94-587..............................         375
277             Water resources policies and authorities: 
                    Navigation policy: Cost apportionment of 
                    bridge alterations......................         378
279             Resource use: Establishment of objectives...         386
320             General regulatory policies.................         391
321             Permits for dams and dikes in navigable 
                    waters of the United States.............         404
322             Permits for structures or work in or 
                    affecting navigable waters of the United 
                    States..................................         405
323             Permits for discharges of dredged or fill 
                    material into waters of the United 
                    States..................................         413
324             Permits for ocean dumping of dredged 
                    material................................         420
325             Processing of Department of the Army permits         421
326             Enforcement.................................         451
327             Public hearings.............................         462
328             Definition of waters of the United States...         465
329             Definition of navigable waters of the United 
                    States..................................         467
330             Nationwide permit program...................         472
331             Administrative appeal process...............         483
334             Danger zone and restricted area regulations.         498
335             Operation and maintenance of Army Corps of 
                    Engineers civil works projects involving 
                    the discharge of dredged or fill 
                    material into waters of the U.S. or 
                    ocean waters............................         593
336             Factors to be considered in the evaluation 
                    of Army Corps of Engineers dredging 
                    projects involving the discharge of 
                    dredged material into waters of the U.S. 
                    and ocean waters........................         595
337             Practice and procedure......................         602
338             Other Corps activities involving the 
                    discharge of dredged material or fill 
                    into waters of the U.S..................         609
384             Intergovernmental review of Department of 
                    the Army Corps of Engineers programs and 
                    activities..............................         610
385             Programmatic regulations for the 
                    comprehensive Everglades Restoration 
                    Plan....................................         613

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PART 203_EMERGENCY EMPLOYMENT OF ARMY AND OTHER RESOURCES, NATURAL 
DISASTER PROCEDURES--Table of Contents




                         Subpart A_Introduction

Sec.
203.11 Purpose.
203.12 Authority.
203.13 Available assistance.
203.14 Responsibilities of non-Federal interests.
203.15 Definitions.
203.16 Federally recognized Indian Tribes and the Alaska Native 
          Corporations.

                     Subpart B_Disaster Preparedness

203.21 Disaster preparedness responsibilities of non-Federal interests.

                     Subpart C_Emergency Operations

203.31 Authority.
203.32 Policy.

 Subpart D_Rehabilitation Assistance for Flood Control Works Damaged by 
 Flood or Coastal Storm: The Corps Rehabilitation and Inspection Program

203.41 General.
203.42 Inspection of non-Federal flood control works.
203.43 Inspection of Federal flood control works.
203.44 Rehabilitation of non-Federal flood control works.
203.45 Rehabilitation of Federal flood control works.
203.46 Restrictions.
203.47 Modifications to non-Federal flood control works.
203.48 Inspection guidelines for non-Federal flood control works.
203.49 Rehabilitation of Hurricane and Shore Protection Projects.
203.50 Nonstructural alternatives to rehabilitation of flood control 
          works.
203.51 Levee owner's manual.
203.52 [Reserved]

   Subpart E_Emergency Water Supplies: Contaminated Water Sources and 
                           Drought Assistance

203.61 Emergency water supplies due to contaminated water source.
203.62 Drought assistance.

                       Subpart F_Advance Measures

203.71 Policy.
203.72 Eligibility criteria and procedures.

            Subpart G_Local Interests/Cooperation Agreements

203.81 General.
203.82 Requirements of local cooperation.
203.83 Additional requirements.
203.84 Forms of local participation--cost sharing.
203.85 Rehabilitation of Federal flood control projects.
203.86 Transfer of completed work to local interests.

    Authority: 33 U.S.C. 701n.

    Source: 68 FR 19359, Apr. 21, 2003, unless otherwise noted.



                         Subpart A_Introduction



Sec. 203.11  Purpose.

    This part prescribes administrative policies, guidance, and 
operating procedures for natural disaster preparedness, response, and 
recovery activities of the United States Army Corps of Engineers.



Sec. 203.12  Authority.

    Section 5 of the Flood Control Act of 1941, as amended, (33 U.S.C. 
701n) (69 Stat. 186), commonly and hereinafter referred to as Public Law 
84-99, authorizes an emergency fund to be expended at the discretion of 
the Chief of Engineers for: preparation for natural disasters; flood 
fighting and rescue operations; repair or restoration of flood control 
works threatened, damaged, or destroyed by flood, or nonstructural 
alternatives thereto; emergency protection of federally authorized 
hurricane or shore protection projects which are threatened, when such 
protection is warranted to protect against imminent and substantial loss 
to life and property; and repair and restoration of federally authorized 
hurricane or shore protection projects damaged or destroyed by wind, 
wave, or water of other than ordinary nature. The law includes provision 
of emergency supplies of clean water when a contaminated source 
threatens the public health and welfare of a locality, and activities 
necessary to protect life and improved property from a threat resulting 
from a major flood or coastal storm. This law authorizes the Secretary 
of the Army (Secretary) to construct wells and to transport water

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within areas determined by the Secretary to be drought-distressed. The 
Secretary of the Army has delegated the authority vested in the 
Secretary under Public Law 84-99 through the Assistant Secretary of the 
Army (Civil Works) to the Chief of Engineers, subject to such further 
direction as the Secretary may provide.



Sec. 203.13  Available assistance.

    Corps assistance provided under authority of Public Law 84-99 is 
intended to be supplemental to State and local efforts. The principal 
assistance programs and activities of the Corps are described in this 
section.
    (a) Disaster preparedness. Technical assistance for many types of 
disasters is available to State and local interests. Primary Corps 
efforts are focused on technical assistance for, and inspections of, 
flood control works, and related flood fight preparedness and training 
activities. Technical assistance for specialized studies, project 
development, and related activities, and requirements for long term 
assistance, are normally beyond the scope of disaster preparedness 
assistance, and are appropriately addressed by other Corps authorities 
and programs. Subpart B addresses disaster preparedness responsibilities 
and activities.
    (b) Emergency operations. Emergency operations, consisting of Flood 
Response (flood fight and rescue operations) and Post Flood Response 
assistance, may be provided to supplement State and local emergency 
operations efforts. Subpart C of this part addresses emergency 
operations assistance.
    (c) Rehabilitation. The Corps may rehabilitate flood control works 
damaged or destroyed by floods and coastal storms. The Corps 
Rehabilitation and Inspection Program (RIP) incorporates both disaster 
preparedness activities and Rehabilitation Assistance. The RIP consists 
of a process to inspect flood control works; a status determination, 
i.e., an inspection-based determination of qualification for future 
potential Rehabilitation Assistance; and the provision of Rehabilitation 
Assistance to those projects with Active status that are damaged in a 
flood or coastal storm event. Subpart D addresses Rehabilitation 
Assistance and the RIP.
    (d) Emergency water supplies due to contaminated water source. The 
Corps may provide emergency supplies of clean water to any locality 
confronted with a source of contaminated water causing, or likely to 
cause, a substantial threat to the public health and welfare of the 
inhabitants of the locality. Subpart E addresses emergency water supply 
assistance.
    (e) Drought assistance. Corps assistance may be provided to drought-
distressed areas (as declared by the Secretary of the Army or his 
delegated nominee) to construct wells and to transport water for human 
consumption. Subpart E addresses drought assistance.
    (f) Advance Measures. Advance Measures assistance may be provided to 
protect against imminent threats of predicted, but unusual, floods. 
Advance Measures projects must be justified from an engineering and 
economic standpoint, and must be capable of completion in a timely 
manner. Advance Measures assistance may be provided only to protect 
against loss of life and/or significant damages to improved property due 
to flooding. Subpart F of this part addresses Advance Measures 
assistance.



Sec. 203.14  Responsibilities of non-Federal interests.

    Non-Federal interests, which include State, county and local 
governments; federally recognized Indian Tribes; and Alaska Native 
Corporations, are required to make full use of their own resources 
before Federal assistance can be furnished. The National Guard, as part 
of the State's resources when it is under State control, must be fully 
utilized as part of the non-Federal response. Non-Federal 
responsibilities include the following:
    (a) Disaster preparedness. Disaster preparedness is a basic tenet of 
State and local responsibility. Disaster preparedness responsibilities 
of non-Federal interests include:
    (1) Operation and maintenance of flood control works;

[[Page 7]]

    (2) Procurement and stockpiling of sandbags, pumps, and/or other 
materials or equipment that might be needed during flood situations;
    (3) Training personnel to operate, maintain, and patrol projects 
during crisis situations, and preparation of plans to address emergency 
situations;
    (4) Taking those actions necessary for flood control works to gain 
and maintain an Active status in the Corps Rehabilitation and Inspection 
Program (RIP), as detailed in subpart D of this part; and,
    (5) Responsible regulation, management, and use of floodplain areas.
    (b) Emergency operations. During emergency operations, non-Federal 
interests must commit available resources, to include work force, 
supplies, equipment, and funds. Requests for Corps emergency operations 
assistance will be in writing from the appropriate State, tribal, or 
local official. For flood fight direct assistance and Post Flood 
Response assistance, non-Federal interests must furnish formal written 
assurances of local cooperation by entering into Cooperation Agreements 
(CA's), as detailed in subpart G of this regulation. (For Corps work 
authorized under Public Law 84-99, the term ``Cooperation Agreement'' is 
used to differentiate this agreement from a Project Cooperation 
Agreement (PCA) that addresses the original construction of a project.) 
Following Flood Response or Post Flood Response assistance, it is a non-
Federal responsibility to remove expedient flood control structures and 
similar works installed by the Corps under Public Law 84-99.
    (c) Rehabilitation of non-Federal flood control projects. Prior to 
Corps rehabilitation of non-Federal flood control projects, non-Federal 
interests must furnish formal written assurances of local cooperation by 
entering into a CA, as detailed in subpart G of this part. Requirements 
of local participation include such items as provision of lands, 
easements, rights-of-way, relocations, and suitable borrow and dredged 
or excavated material disposal areas (LERRD's), applicable cost-sharing, 
and costs attributable to deficient and/or deferred maintenance.
    (d) Rehabilitation of Federal flood control projects. Sponsors of 
Federal flood control projects are usually not required to furnish 
written assurances of local cooperation, if the PCA for the original 
construction of the project is sufficient. (Note: The PCA may also be 
referred to as a local cooperation agreement (LCA), cooperation and 
participation agreement (C&P), or similar terms.) In lieu of a new PCA, 
the Corps will notify the sponsor of the sponsor's standing 
requirements, including such items as LERRD's, costs attributable to 
deficient or deferred maintenance, removal of temporary works, 
relocations, and any cost-sharing requirements contained in subpart G of 
Sec. 203.82. Modifications to the existing Operation and Maintenance 
Manual may be required based on the Rehabilitation Assistance required.
    (e) Emergency water supplies due to contaminated water source. 
Except for federally recognized Indian Tribes or Alaska Native 
Corporations, Non-Federal interests must first seek emergency water 
assistance through the Governor of the affected State. If the State is 
unable to provide the needed assistance, then the Governor or his or her 
authorized representative must request Corps assistance in writing. 
Similarly, requests for Corps assistance for Indian Tribes or Alaska 
Native Corporations must be submitted in writing. A CA (see subpart G of 
this part) is required prior to assistance being rendered. Requests for 
assistance must include information concerning the criteria prescribed 
by subpart E of this part.
    (f) Drought assistance. Except for federally recognized Indian 
Tribes or Alaska Native Corporations, non-Federal interests must first 
seek emergency drinking water assistance through the Governor of the 
affected State. Requests for Corps assistance will be in writing from 
the Governor or his or her authorized representative. Similarly, 
requests for Corps assistance for Indian Tribes or Alaska Native 
Corporations must be submitted in writing. A CA (see subpart G of this 
part) is required prior to assistance being rendered. Assistance can be 
provided to those drought-distressed areas (as declared by the Secretary 
of the Army) to construct wells and to transport water for

[[Page 8]]

human consumption. Requests for assistance must include information 
concerning the criteria prescribed by subpart E of this part.
    (g) Advance Measures. Advance Measures assistance should complement 
the maximum non-Federal capability. Requests for assistance must be made 
by the Governor of the affected State, except requests for assistance on 
tribal lands held in trust by the United States, or on lands of the 
Alaska Natives, may be submitted directly by the affected Federally 
recognized Indian Tribe or Alaska Native Corporation, or through the 
regional representative of the Bureau of Indian Affairs, or through the 
Governor of the State in which the lands are located. A CA (see subpart 
G of this part) is required prior to assistance being rendered. Non-
Federal participation may include either financial contribution or 
commitment of non-Federal physical resources, or both.



Sec. 203.15  Definitions.

    The following definitions are applicable throughout this part:
    Federal project. A project constructed by the Corps, and 
subsequently turned over to a local sponsor for operations and 
maintenance responsibility. This definition also includes any project 
specifically designated as a Federal project by an Act of Congress.
    Flood control project: A project designed and constructed to have 
appreciable and dependable effects in preventing damage from irregular 
and unusual rises in water level. For a multipurpose project, only those 
components that are necessary for the flood control function are 
considered eligible for Rehabilitation Assistance.
    Governor. All references in part 203 to the Governor of a State also 
refer to: the Governors of United States commonwealths, territories, and 
possessions; and the Mayor of Washington, D.C.
    Hurricane/Shore Protection Project (HSPP). A flood control project 
designed and constructed to have appreciable and predictable effects in 
preventing damage to developed areas from the impacts of hurricanes, 
tsunamis, and coastal storms. These effects are primarily to protect 
against wave action, storm surge, wind, and the complicating factors of 
extraordinary high tides. HSPP's include projects known as shore 
protection projects, shore protection structures, periodic nourishment 
projects, shore enhancement projects, and similar terms. Components of 
an HSPP may include both hard (permanent construction) and soft 
(sacrificial, i.e., sand) features.
    Non-Federal project. A project constructed with non-Federal funds, 
or a project constructed by tribal, State, local, or private interests, 
or a component of such a project. A project constructed under Federal 
emergency disaster authorities, such as Public Law 84-99 or the Robert 
T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 
U.S.C. 5121, et seq.) (hereinafter referred to as the Stafford Act), is 
a non-Federal project unless it repairs or replaces an existing Federal 
project. Works Progress Administration (WPA) projects, and projects 
funded completely or partially by other (non-Corps) Federal agencies, 
are considered non-Federal projects for the application of Public Law 
84-99 authority.
    Non-Federal sponsor. A non-Federal sponsor is a public entity that 
is a legally constituted public body with full authority and capability 
to perform the terms of its agreement as the non-Federal partner of the 
Corps for a project, and able to pay damages, if necessary, in the event 
of its failure to perform. A non-Federal sponsor may be a State, County, 
City, Town, Federally recognized Indian Tribe or tribal organization, 
Alaska Native Corporation, or any political subpart of a State or group 
of states that has the legal and financial authority and capability to 
provide the necessary cash contributions and LERRD's necessary for the 
project.
    Repair and rehabilitation. The term ``repair and rehabilitation'' 
means the repair or rebuilding of a flood control structure, after the 
structure has been damaged by a flood, hurricane, or coastal storm, to 
the level of protection provided by the structure prior to the flood, 
hurricane, or coastal storm. ``Repair and rehabilitation'' does not 
include improvements (betterments) to

[[Page 9]]

the structure, nor does ``repair and rehabilitation'' include any repair 
or rebuilding of a flood control structure that, in the normal course of 
usage, has become structurally unsound and is no longer fit to provide 
the level of protection for which it was designed.



Sec. 203.16  Federally recognized Indian Tribes and the Alaska Native 
Corporations.

    Requests for Public Law 84-99 assistance on tribal lands held in 
trust by the United States, or on lands of the Alaska Natives, may be 
submitted to the Corps directly by the affected federally recognized 
Indian Tribe or Alaska Native Corporation, or through the appropriate 
regional representative of the Bureau of Indian Affairs, or through the 
Governor of the State.



                     Subpart B_Disaster Preparedness



Sec. 203.21  Disaster preparedness responsibilities of non-Federal 
interests.

    Disaster preparedness is a basic tenet of State and local 
responsibility. Assistance provided under authority of Public Law 84-99 
is intended to be supplemental to the maximum efforts of State and local 
interests. Assistance under Public Law 84-99 will not be provided when 
non-Federal interests have made insufficient efforts to address the 
situation for which assistance is requested. Assistance under Public Law 
84-99 will not be provided when a request for such assistance is based 
entirely on a lack of fiscal resources with which to address the 
situation. Non-Federal interests' responsibilities are addressed in 
detail as follows:
    (a) Operation and maintenance of flood control works. Flood control 
works must be operated and maintained by non-Federal interests. 
Maintenance includes both short-term activities (normally done on an 
annual cycle, or more frequently) such as vegetation control and control 
of burrowing animals, and longer term activities such as repair or 
replacement of structural components (e.g., culverts) of the project.
    (b) Procurement/stockpiling. Procurement and stockpiling of 
sandbags, pumps, and/or other materials or equipment that might be 
needed during flood situations is a non-Federal responsibility. The 
Corps is normally a last resort option for obtaining such materials. 
Local interests should request such materials from State assets prior to 
seeking Corps assistance. Local interests are responsible for 
reimbursing (either in kind or in cash) the Corps for expendable flood 
fight supplies and materials, and returning items such as pumps. When a 
flood is of sufficient magnitude to receive a Stafford Act emergency or 
disaster declaration, then the District Engineer may waive reimbursement 
of expendable supplies.
    (c) Training and plans. Training personnel to operate, maintain, and 
patrol flood control projects during crisis situations is a non-Federal 
responsibility. Specific plans should be developed and in place to 
address known problem areas. For instance, the non-Federal sponsor of a 
levee reach prone to boils should have personnel specifically trained in 
flood fighting boils. In addition, contingency plans must be made when 
needed to address short term situations. For instance, if a culvert 
through a levee is being replaced, then the contingency plan should 
address all actions needed should a flood event occur during the 
construction period when levee integrity is lacking.
    (d) Corps Rehabilitation and Inspection Program for Flood Control 
Works. To be eligible for Rehabilitation Assistance under Public Law 84-
99, it is a non-Federal responsibility to take those actions necessary 
for flood control works to gain and maintain an Active status in the 
Corps Rehabilitation and Inspection Program (RIP), as detailed in 
subpart D of this part.



                     Subpart C_Emergency Operations



Sec. 203.31  Authority.

    Emergency operations under Public Law 84-99 apply to Flood Response 
and Post Flood Response activities. Flood Response activities include 
flood fighting, rescue operations, and protection of Corps-constructed 
hurricane/shore protection projects. Post Flood Response activities 
include certain limited activities intended to prevent imminent loss of 
life or significant public

[[Page 10]]

property, or to protect against significant threats to public health and 
welfare, and are intended to bridge the time frame between the 
occurrence of a disaster and the provision of disaster relief efforts 
under authority of The Stafford Act.
    (a) Flood Response. Flood Response measures are applicable to any 
flood control work where assistance is supplemental to tribal, State, 
and local efforts, except that Corps assistance is not appropriate to 
protect flood control works constructed, previously repaired, and/or 
maintained by other Federal agencies, where such agencies have emergency 
flood fighting authority. Further, Flood Response measures (except 
technical assistance) are not appropriate for flood control works 
protecting strictly agricultural lands. Corps assistance in support of 
other Federal agencies, or State and local interests, may include the 
following: technical advice and assistance; lending of flood fight 
supplies, e.g., sandbags, lumber, polyethylene sheeting, or stone; 
lending of Corps-owned equipment; hiring of equipment and operators for 
flood operations; emergency contracting; and similar measures.
    (b) Post Flood Response. The Corps may furnish Post Flood Response 
assistance for a period not to exceed 10 days (the statutory limitation) 
from the date of the Governor's request to the Federal Emergency 
Management Agency for an emergency or disaster declaration under 
authority of the Stafford Act. Requests for Post Flood Response 
assistance must be made by the Governor of the affected State, except 
that requests for assistance on lands held in trust by the United 
States, or on lands of the Alaska Natives, may be submitted directly by 
the affected federally recognized Indian Tribe or Alaska Native 
Corporation, or through the appropriate regional representative of the 
Bureau of Indian Affairs, or through the Governor of the State in which 
the lands are located. Assistance from the Corps may include the 
following: provision of technical advice and assistance; cleaning of 
drainage channels, bridge openings, or structures blocked by debris 
deposited during a flood event, where the immediate threat of flooding 
of or damage to public facilities has not abated; removal of debris 
blockages of critical water supply intakes, sewer outfalls, etc.; 
clearance of the minimum amounts of debris necessary to reopen critical 
transportation routes or public services/facilities; other assistance 
required to prevent imminent loss of life or significant damage to 
public property, or to protect against significant threats to public 
health and welfare. Post Flood Response assistance is supplemental to 
the maximum efforts of non-Federal interests.



Sec. 203.32  Policy.

    Prior to, during, or immediately following flood or coastal storm 
activity, emergency operations may be undertaken to supplement State and 
local activities. Corps assistance is limited to the preservation of 
life and property, i.e., residential/commercial/industrial developments, 
and public facilities/services. Direct assistance to individual 
homeowners, individual property owners, or businesses is not permitted. 
Assistance will be temporary to meet the immediate threat, and is not 
intended to provide permanent solutions. All Corps activities will be 
coordinated with the State Emergency Management Agency or equivalent. 
Reimbursement of State or local emergency costs is not authorized. The 
local assurances required for the provision of Corps assistance apply 
only to the work performed under Public Law 84-99, and will not prevent 
State or local governments from receiving other Federal assistance for 
which they are eligible.
    (a) Flood Response. Requests for Corps assistance will be in writing 
from the appropriate requesting official, or his or her authorized 
representative. When time does not permit a written request, a verbal 
request from a responsible tribal, State, or local official will be 
accepted, followed by a written confirmation.
    (1) Corps assistance may include operational control of flood 
response activities, if requested by the responsible tribal, State, or 
local official. However, legal responsibility always remains with the 
tribal, State, and local officials.

[[Page 11]]

    (2) Corps assistance will be terminated when the flood waters recede 
below bankfull, absent a short term threat (e.g., a significant storm 
front expected to arrive within a day or two) likely to cause additional 
flooding.
    (3) Removal of ice jams is a local responsibility. Corps technical 
advice and assistance, as well as assistance with flood fight 
operations, can be provided to supplement State and local efforts. The 
Corps will not perform ice jam blasting operations for local interests.
    (b) Post Flood Response. A written request from the Governor is 
required to receive Corps assistance. Corps assistance will be limited 
to major floods or coastal storm disasters resulting in life threatening 
situations. The Governor's request will include verification that the 
Federal Emergency Management Agency (FEMA) has been requested to make an 
emergency or disaster declaration; a statement that the assistance 
required is beyond the State's capability; specific damage locations; 
and the extent of Corps assistance required to supplement State and 
local efforts. Corps assistance is limited to 10 days following receipt 
of the Governor's written request, or on assumption of activities by 
State and local interests, whichever is earlier. After a Governor's 
request has triggered the 10-day period, subsequent request(s) for 
additional assistance resulting from the same flood or coastal storm 
event will not extend the 10-day period, or trigger a new 10-day period. 
The Corps will deny any Governor's request for Post Flood Response if it 
is received subsequent to a Stafford Act Presidential disaster 
declaration, or denial of such a declaration. Shoreline or beach erosion 
damage reduction/prevention actions under Post Flood Response will 
normally not be undertaken unless there is an immediate threat to life 
or critical public facilities.
    (c) Loan or issue of supplies and equipment. (1) Issuance of 
Government-owned equipment or materials to non-Federal interests is 
authorized only after local resources have been fully committed.
    (2) Equipment that is lent will be returned to the Corps immediately 
after the flood operation ceases, in a fully maintained condition, or 
with funds to pay for such maintenance. The Corps may waive the non-
Federal interest's responsibility to pay for or perform maintenance if a 
Stafford Act Presidential emergency or disaster declaration has already 
been made for the affected locality, and the waiver is considered 
feasible and reasonable.
    (3) Expendable supplies that are lent, such as sandbags, will be 
replaced in kind, or paid for by local interests. The Corps may waive 
the local interest's replacement/payment if a Stafford Act Presidential 
disaster declaration has been made for the affected locality, and the 
waiver is considered feasible and reasonable. All unused expendable 
supplies will be returned to the Corps when the operation is terminated.



 Subpart D_Rehabilitation Assistance for Flood Control Works Damaged by 
 Flood or Coastal Storm: The Corps Rehabilitation and Inspection Program



Sec. 203.41  General.

    (a) Authority. Public Law 84-99 authorizes repair and restoration of 
the following types of projects to ensure their continued function:
    (1) Flood control projects.
    (2) Federally authorized and constructed hurricane/shore protection 
projects.
    (b) Implementation of authority. The Rehabilitation and Inspection 
Program (RIP) implements Public Law 84-99 authority to repair and 
rehabilitate flood control projects damaged by floods and coastal storm 
events. The RIP consists of a process to inspect flood control work; a 
status determination, i.e., an inspection-based determination of 
qualification for future Rehabilitation Assistance; and the provision of 
Rehabilitation Assistance to those projects with Active status that are 
damaged in a flood or coastal storm event.
    (c) Active status. In order for a flood control work to be eligible 
for Rehabilitation Assistance, it must be in an Active status at the 
time of damage from a flood or coastal storm event. To gain an Active 
status, a non-Federal flood control work must meet certain

[[Page 12]]

engineering, maintenance, and qualification criteria, as determined by 
the Corps during an Initial Eligibility Inspection (IEI). To retain an 
Active status, Federal and non-Federal flood control works must continue 
to meet inspection criteria set by the Corps, as determined by the Corps 
during a Continuing Eligibility Inspection (CEI). All flood control 
works not in an Active status are considered to be Inactive, regardless 
of whether or not they have previously received a Corps inspection, or 
Corps assistance.
    (d) Modification of flood control projects. Modification of a flood 
control project to increase the level of protection, or to provide 
protection to a larger area, is beyond the scope of Public Law 84-99 
assistance. Such modifications to Federal projects are normally 
accomplished under congressional authorization and appropriation, or 
under Continuing Authorities Programs of the Corps. Such modifications 
to non-Federal projects are normally accomplished by the non-Federal 
sponsor and local interests. Modifications necessary to preserve the 
structural integrity of an existing non-Federal flood control project 
may be funded by the RIP, but such work must meet the criteria 
established in Sec. 203.47 to be eligible for funding under Public Law 
84-99.



Sec. 203.42  Inspection of non-Federal flood control works.

    (a) Required inspections. The Corps will conduct inspections of non-
Federal flood control works. These inspections are IEI's and CEI's. 
Conduct of IEI's and CEI's will be as provided for in Sec. 203.48.
    (1) Corps involvement with any non-Federal flood control work 
normally begins when the sponsor requests an IEI. The Corps will conduct 
an IEI to determine if the flood control work meets minimum engineering 
and maintenance standards and is capable of providing the intended 
degree of flood protection. An Acceptable or Minimally Acceptable rating 
(see Sec. 203.48) on the IEI is required to allow the project to gain 
an Active status in the RIP.
    (2) CEI's are conducted periodically to ensure that projects Active 
in the RIP continue to meet Corps standards, and to determine if the 
sponsor's maintenance program is adequate. A rating of Acceptable or 
Minimally Acceptable (see Sec. 203.48) on a CEI is required in order to 
retain an Active status in the RIP.
    (b) Advice and reporting. Information on the results of IEI and CEI 
inspections will be furnished in writing to non-Federal sponsors, and 
will be maintained in Corps district offices.
    (1) Non-Federal sponsors will be informed that an IEI rating of 
Unacceptable will cause the flood control work to remain in an Inactive 
status, and ineligible for Rehabilitation Assistance.
    (2) Non-Federal sponsors will be informed that a CEI rating of 
Unacceptable will cause the flood control work to be placed in an 
Inactive status, and ineligible for Rehabilitation Assistance.
    (3) Non-Federal sponsors will be informed that maintenance 
deficiencies found during CEI's may negatively impact on eligibility of 
future Rehabilitation Assistance, and the degree of local cost-sharing 
participation in any proposed work. Follow-up inspections can be made by 
the Corps to monitor progress in correcting deficiencies when warranted.



Sec. 203.43  Inspection of Federal flood control works.

    (a) Required inspections. A completed Federal flood control project, 
or completed functional portions thereof, is granted Active status in 
the RIP upon transfer of the operation and maintenance of the project 
(or functional portion thereof) to the non-Federal sponsor. Federal 
flood control works will be periodically inspected in accordance with 33 
CFR 208.10 and Engineer Regulation (ER) 1130-2-530, Flood Control 
Operations and Maintenance Policies. These periodic inspections of 
Federal flood control works are also, for simplicity, known as CEI's. If 
a Federal project is found to be inadequately maintained on a CEI, then 
it will be placed in an Inactive status in the RIP. [Note: This is a 
separate and distinct action from project deauthorization, which is not 
within the scope of PL 84-99 activities.] A Federal project will remain 
in an Inactive status until such

[[Page 13]]

time as an adequate maintenance program is restored, and the project is 
determined by the Corps to be adequately maintained.
    (b) Advice and reporting. Information on the results of CEI 
inspections will be furnished in writing to non-Federal sponsors, and 
will be maintained in Corps district offices. Non-Federal sponsors will 
be informed that a CEI rating of Unacceptable will cause the flood 
control work to be placed in an Inactive status, and not eligible for 
Rehabilitation Assistance. Non-Federal sponsors will be informed that 
maintenance deficiencies found during CEI's may negatively impact on 
eligibility of future Rehabilitation Assistance, and the degree of local 
cost-sharing participation in any proposed work. Follow-up inspections 
can be made by the Corps to monitor progress in correcting deficiencies 
when warranted.



Sec. 203.44  Rehabilitation of non-Federal flood control works.

    (a) Scope of work. The Corps will provide assistance in the 
rehabilitation of non-Federal projects only when repairs are clearly 
beyond the normal physical and financial capabilities of the project 
sponsor. The urgency of the work required will be considered in 
determining the sponsor's capability.
    (b) Eligibility for Rehabilitation Assistance. A flood control 
project is eligible for Rehabilitation Assistance provided that the 
project is in an Active status at the time of the flood event, the 
damage was caused by the flood event, the work can be economically 
justified, and the work is not otherwise prohibited by this subpart D.
    (c) Work at non-Federal expense. At the earliest opportunity prior 
to commencement of or during authorized rehabilitation work, the Corps 
will inform the project sponsor of any work that must be accomplished at 
non-Federal cost. This includes costs to correct maintenance 
deficiencies, and any modifications that are necessary to preserve the 
integrity of the project.
    (d) Nonconforming works. Any non-Federal project constructed or 
modified without the appropriate local, State, tribal, and/or Federal 
permits, or waivers thereof, will not be rehabilitated under Public Law 
84-99.
    (e) Cooperation Agreements. A Cooperation Agreement is required in 
accordance with subpart G of this part.



Sec. 203.45  Rehabilitation of Federal flood control works.

    Rehabilitation of Federal flood control projects will be identical 
to rehabilitation of non-Federal projects (Sec. 203.44), except for 
those conditions contained in subpart G of this part concerning 
cooperation agreements, when the original PCA for the Federal project is 
sufficient. Additional requirements for Hurricane/Shore Protection 
Projects are covered in Sec. 203.49.



Sec. 203.46  Restrictions.

    (a) Restrictions to flood control works. Flood control works are 
designed and constructed to have appreciable and dependable protection 
in preventing damage from irregular and unusual rises in water levels. 
Structures built primarily for the purposes of channel alignment, 
navigation, recreation, fish and wildlife enhancement, land reclamation, 
habitat restoration, drainage, bank protection, or erosion protection 
are generally ineligible for Public Law 84-99 Rehabilitation Assistance.
    (b) Non-flood related rehabilitation. Rehabilitation of flood 
control structures damaged by occurrences other than floods, hurricanes, 
or coastal storms will generally not be provided under Public Law 84-99.
    (c) Maintenance and deterioration deficiencies. Rehabilitation under 
Public Law 84-99 will not be provided for either Federal or non-Federal 
flood control projects that, as a result of poor maintenance or 
deterioration, require substantial reconstruction. All deficient or 
deferred maintenance existing when flood damage occurs will be 
accomplished by, or at the expense of, the non-Federal sponsor, either 
prior to or concurrently with authorized rehabilitation work. When work 
accomplished by the Corps corrects deferred or deficient maintenance, 
the estimated deferred or deficient maintenance cost will not be 
included as contributed non-Federal funds, and will be in addition to 
cost-sharing requirements addressed in Sec. 203.82. Failure of project 
sponsors to correct deficiencies noted

[[Page 14]]

during Continuing Eligibility Inspections may result in ineligibility to 
receive Rehabilitation Assistance under Public Law 84-99.
    (d) Economic justification. No flood control work will be 
rehabilitated unless the work required satisfies Corps criteria for a 
favorable benefit-to-cost ratio, and the construction cost of the work 
required exceeds $15,000. Construction costs greater than $15,000 do not 
preclude the Corps from making a determination that the required work is 
a maintenance responsibility of the non-Federal sponsor, and not 
eligible for Corps Rehabilitation Assistance.



Sec. 203.47  Modifications to non-Federal flood control works.

    Modifications necessary to preserve the structural integrity of 
existing non-Federal projects may be constructed at additional Federal 
and non-Federal expense in conjunction with approved rehabilitation 
work. The additional Federal cost will be limited to not more than one-
third of the estimated Federal construction cost of rehabilitation to 
preflood level of protection, or $100,000, whichever is less. The 
modification work must be economically justified. Non-Federal interests 
are required to contribute a minimum of 25% of the total construction 
costs of the modification, LERRD's, and any additional funds necessary 
to support the remaining cost of the modification beyond what the Corps 
can provide. Engineering and design costs will be at Corps cost.
    (a) Cash contributions. Non-Federal contributions will be only in 
cash. In-kind services are not permitted for modification work.
    (b) Protection of additional areas. Modifications designed to 
provide protection to additional area are not authorized.



Sec. 203.48  Inspection guidelines for non-Federal flood control works.

    (a) Intent. The intent of these guidelines is to facilitate 
inspections of the design, construction, and maintenance of non-Federal 
flood control works. The guidelines are not intended to establish design 
standards for non-Federal flood control works, but to provide uniform 
procedures within the Corps for conducting required inspections. The 
results of these inspections determine Active status in the RIP, and 
thus determine eligibility for Rehabilitation Assistance. The contents 
of this section are applicable to both IEI's and CEI's.
    (b) Level of detail. Evaluations of non-Federal flood control works 
will be made through on site inspections and technical analyses by Corps 
technical personnel. The level of detail required in an inspection will 
be commensurate with the complexity of the inspected project, the 
potential for catastrophic failure to cause significant loss of life, 
the economic benefits of the area protected, and other special 
circumstances that may occur. Technical evaluation procedures are 
intended to establish the general capability of a non-Federal flood 
control work to provide reliable flood protection.
    (c) Purposes. The IEI assesses the integrity and reliability of the 
flood control work. In addition, other essential information required to 
help determine the Federal interest in future repairs/rehabilitation to 
the flood control work will be obtained. The IEI will establish the 
estimated level of protection and structural reliability of the existing 
flood control work. Subsequent CEI's will seek to detect changed project 
conditions that may have an impact on the reliability of the flood 
protection provided by the flood control work, to include the level of 
maintenance being performed on the flood control work.
    (d) Inspection components--(1) Hydrologic/hydraulic analyses. The 
level of protection provided by a non-Federal flood control work will be 
evaluated and expressed in terms of exceedence frequency (e.g., a 20% 
chance of a levee being overtopped in any given year). These analyses 
also include an evaluation of existing or needed erosion control 
features for portions of a project that may be threatened by stream 
flows, overland flows, or wind generated waves.
    (2) Geotechnical analyses. The Geotechnical evaluation will be based 
primarily on a detailed visual inspection. As a minimum, for levees, the 
IEI will identify critical sections where levee stability appears 
weakest and

[[Page 15]]

will document the location, reach, and cross-section at these points.
    (3) Maintenance. Project maintenance analysis will evaluate the 
maintenance performance of the non-Federal sponsor, and deficiencies of 
the project. This evaluation should reflect the level of maintenance 
needed to assure the intended degree of flood protection, and assess the 
performance of recent maintenance on the project. The effects of 
structures on, over, or under the flood control work, such as buried 
fiber optic cables, gas pipelines, etc., will be evaluated for impact on 
the stability of the structure.
    (4) Other structural features. Other features that may be present, 
such as pump stations, culverts, closure structures, etc., will be 
evaluated.
    (e) Ratings. Inspected flood control works will receive a rating in 
accordance with the table below. The table below provides the general 
assessment parameters used in assigning a rating to the inspected flood 
control work.

------------------------------------------------------------------------
                 Rating                             Assessment
------------------------------------------------------------------------
A--Acceptable..........................  No immediate work required,
                                          other than routine
                                          maintenance. The flood control
                                          project will function as
                                          designed and intended, and
                                          necessary cyclic maintenance
                                          is being adequately performed.
M--Minimally Acceptable................  One or more deficient
                                          conditions exist in the flood
                                          control project that need to
                                          be improved/corrected.
                                          However, the project will
                                          essentially function as
                                          designed and intended.
U--Unacceptable........................  One or more deficient
                                          conditions exist which can
                                          reasonably be foreseen to
                                          prevent the project from
                                          functioning as designed,
                                          intended, or required.
------------------------------------------------------------------------

    (f) Sponsor reclama. If the results of a Corps evaluation are not 
acceptable to the project sponsor, the sponsor may choose, at its own 
expense, to provide a detailed engineering study, preferably certified 
by a qualified Professional Engineer, as a reclama to attempt to change 
the Corps evaluation.



Sec. 203.49  Rehabilitation of Hurricane and Shore Protection Projects.

    (a) Authority. The Chief of Engineers is authorized to rehabilitate 
any Federally authorized hurricane or shore protection structure damaged 
or destroyed by wind, wave, or water action of an other than ordinary 
nature when, in the discretion of the Chief of Engineers, such 
rehabilitation is warranted for the adequate functioning of the project.
    (b) Policies. (1) Rehabilitation of HSPP's is limited to the repair/
restoration of the HSPP to a pre-storm condition that allows for the 
adequate functioning of the project, provided that the damage was caused 
by an extraordinary storm.
    (2) To be eligible for Rehabilitation Assistance, HSPP's must be:
    (i) A completed element of a Federally authorized project; or,
    (ii) A portion of a Federally authorized project constructed by non-
Federal interests when approval of such construction was obtained from 
the Commander, Headquarters, U.S. Army Corps of Engineers (HQUSACE), or 
his designated representative; or,
    (iii) A portion of a Federally authorized project constructed by 
non-Federal interests and designated by an Act of Congress as a Federal 
project; and
    (3) Rehabilitation Assistance for sacrificial features will be 
limited to that necessary to reduce the immediate threat to life and 
property, or restoration to pre-storm conditions, whichever is less.
    (4) To be eligible for rehabilitation, the sacrificial features of 
an HSPP must be substantially eroded by wind, wave, or water action of 
an other than ordinary nature. The determination of whether a storm 
qualifies as extraordinary will be made by the Director of Civil Works, 
and may be delegated to the Chief, Operations Division, Directorate of 
Civil Works.
    (5) Rehabilitation will not be provided for uncompleted HSPP's. An 
HSPP (or separable portion thereof) is considered completed when 
transferred to the non-Federal sponsor for operation and maintenance.
    (6) Definition of extraordinary storm. An extraordinary storm is a 
storm that, due to prolongation or severity, creates weather conditions 
that cause significant amounts of damage to a Hurricane/Shore Protection 
Project. ``Prolongation or severity'' means a Category 3 or higher 
hurricane as measured on the Saffir-Simpson scale, or a storm that has 
an exceedance frequency equal to or greater than the design storm of the 
project. ``Significant

[[Page 16]]

amounts of damage'' have occurred when:
    (i) The cost of the construction effort to effect repair of the HSPP 
or separable element thereof (exclusive of dredge mobilization and 
demobilization costs) exceeds $1 million and is greater than two percent 
of the original construction cost (expressed in current day dollars) of 
the HSPP or separable element thereof; or,
    (ii) The cost of the construction effort to effect repair of the 
HSPP or separable element thereof (exclusive of dredge mobilization and 
demobilization costs) exceeds $6 million; or,
    (iii) More than one-third of the planned or historically placed sand 
for renourishment efforts for the HSPP (or separable element thereof) is 
lost.
    (c) Procedural requirements. Rehabilitation of HSPP'S will be done 
in accordance with Sec. 203.45, except as modified by this section.
    (d) Combined rehabilitation and periodic nourishment. In some cases, 
the non-Federal sponsor may wish to fully restore the sacrificial 
features of a project where only a partial restoration is justifiable as 
Rehabilitation Assistance. In these cases, a cost allocation between 
Rehabilitation Assistance and periodic nourishment under the terms of 
the project PCA will be determined by the Director of Civil Works.



Sec. 203.50  Nonstructural alternatives to rehabilitation of flood 
control works.

    (a) Authority. Under Public Law 84-99, the Chief of Engineers is 
authorized, when requested by the non-Federal sponsor, to implement 
nonstructural alternatives (NSA's) to the rehabilitation, repair, or 
restoration of flood control works damaged by floods or coastal storms.
    (b) Policy. (1) The option of implementing an NSA project (NSAP) in 
lieu of a structural repair or restoration is available only to non-
Federal sponsors of flood control works eligible for Rehabilitation 
Assistance in accordance with this regulation, and only upon the request 
of such non-Federal sponsors.
    (2) A sponsor is required for implementation of an NSAP. The NSAP 
sponsor must be either a non-Federal sponsor as defined in Sec. 203.15, 
or another Federal agency. The NSAP sponsor must demonstrate that it has 
the legal authority and financial capability to provide for the required 
items of local cooperation.
    (3) The Corps shall not be responsible for the operation, 
maintenance, or management of any NSAP implemented in accordance with 
this section.
    (4) The Corps may, in its sole discretion, reject any request for an 
NSA that would:
    (i) Lead to significantly increased flood protection expenses or 
flood fighting expenses for public agencies, flood control works 
sponsors, public utilities, or the Federal Government; or,
    (ii) Threaten or have a significant adverse impact on the integrity, 
stability, or level of protection of adjacent or nearby flood control 
works; or,
    (iii) Lead to increased risk of loss of life or property during 
flood events.
    (5) The principal purposes of an NSAP are for:
    (i) Floodplain restoration;
    (ii) Provision or restoration of floodways; and,

    Note to paragraphs (b)(5)(i) and (ii): Habitat restoration is 
recognized as being a significant benefit that can be achieved with an 
NSAP, and may be a significant component of an NSAP, but is not 
considered to be a principal purpose under PL 84-99 authority.

    (iii) Reduction of future flood damages and associated flood control 
works repair costs.
    (c) Limitation on Corps expenditures. Exclusive of the costs of 
investigation, report preparation, engineering and design work, and 
related costs, Corps expenditures for implementation of an NSAP are 
limited to the lesser of the Federal share of rehabilitation 
construction costs of the project were the flood control work to be 
structurally rehabilitated in accordance with subpart D of this part, or 
the Federal share of computed benefits which would be derived from such 
structural rehabilitation. This limitation on Corps expenditures may be 
waived by the Director of Civil Works or the Chief, Operations Division, 
Directorate of Civil Works when compelling reasons exist.

[[Page 17]]

    (d) Responsibilities of the NSAP non-Federal sponsor. (1) Operate 
and maintain the NSAP;
    (2) Provide, or arrange for and obtain, all funding required to 
implement the NSAP in excess of the limitation established in paragraph 
(c) of this section.
    (3) Accept the transfer of ownership of any lands or interests in 
lands acquired by the Corps and determined by the Corps to be necessary 
to implement the NSAP.
    (e) Responsibilities of other Federal agencies acting as NSAP 
sponsor. The Corps may participate with one or more Federal agencies in 
NSAP's. If the Corps is the lead Federal agency, based on mutual 
agreement of the Federal agencies, then a non-Federal NSAP sponsor is 
required. (See paragraph (d) of this section.) If another Federal agency 
is the lead Federal agency, then Corps participation in the NSAP will be 
based on the content of this section, with appropriate allowances for 
effecting an NSAP in accordance with the authority and ultimate goal of 
the lead Federal agency. In such cases, a Memorandum of Agreement 
between the Corps and the lead Federal agency is required, in accordance 
with paragraph (1) of this section.
    (f) Responsibilities of the requesting flood control work project 
sponsor. (1) The flood control work project sponsor must request the 
Corps undertake an NSA project in lieu of rehabilitation of the flood 
control work, in accordance with the sponsor's applicable laws, 
ordinances, rules, and regulations.
    (2) If not also the NSAP sponsor, the flood control work project 
sponsor must:
    (i) Divest itself of responsibility to operate and maintain the 
flood control work involved in the NSAP; and
    (ii) Provide to the NSAP sponsor such lands or interests in lands as 
it may have which the Corps determines are necessary to implement the 
NSAP.
    (g) Allowable Public Law 84-99 expenses for NSAP's. (1) Acquisition 
of land or interests in land.
    (2) Removal of structures, including manufactured homes, for salvage 
and/or reuse purposes.
    (3) Demolition and removal of structures, including utility 
connections and related items.
    (4) Debris removal and debris reduction.
    (5) Removal, protection, and/or relocation of highways, roads, 
utilities, cemeteries, and railroads.
    (6) Construction to promote, enhance, control, or modify water flows 
into, out of, through, or around the nonstructural project area.
    (7) Nonstructural habitat restoration, to include select planting of 
native and desirable plant species, native species nesting site 
enhancements, etc.
    (8) Total or partial removal or razing of existing reaches of levee, 
to include removal of bank protection features and/or riprap.
    (9) Protection/floodproofing of essential structures and facilities.
    (10) Supervision, administrative, and contract administration costs 
of other expenses allowed in this subparagraph.
    (h) Time limitation. Corps participation in development and 
implementation of an NSAP may cease, at the sole discretion of the 
Corps, one year after the date of approval of rehabilitation of the 
damaged flood control work or the date of receipt of the flood control 
work public sponsor's request for an NSAP, whichever is earlier, if 
insufficient progress is being made to develop and implement the NSAP 
for reasons beyond the control of the Corps. In such circumstances, the 
Corps may, at its sole discretion, determine that Rehabilitation 
Assistance for the damaged flood control project may also be denied.
    (i) Participation and involvement of other Federal, State, tribal, 
local, and private agencies. Nothing in this section shall be construed 
to limit the participation of other Federal, State, tribal, local, and 
private agencies in the development, implementation, or future 
operations and maintenance of an NSAP under this section, subject to the 
limitations of such participating agency's authorities and regulations.
    (j) Future assistance. After transfer of NSAP operation and 
maintenance responsibility to the NSAP sponsor or the lead Federal 
agency, flood-related assistance pursuant to Public Law 84-

[[Page 18]]

99 will not be provided anywhere within the formerly protected area of 
the flood control work, except for rescue operations provided in 
accordance with Sec. 203.13(b). As an exception, on a case-by-case 
basis, certain structural flood control works (or elements thereof) 
repaired or set back as part of the implementation of an NSAP having a 
non-Federal sponsor may be considered for future flood-related 
assistance.
    (k) Environmental considerations. NSAP's are subject to the same 
environmental requirements, restrictions, and limitations as are 
structural rehabilitation projects.
    (l) Requirements for Cooperation Agreement (CA)/Items of Local 
Cooperation--(1) Requirement for Local Cooperation. In order to clearly 
define the obligations of the Corps and of non-Federal interests, a CA 
with the NSAP non-Federal sponsor is required. Requirements are 
addressed in paragraphs (l)(2) through (10) of this section. When 
another Federal agency is the lead Federal agency, a Memorandum of 
Agreement (MOA) between the Corps and that agency is required. Wording 
of MOA's will be similar to, and consistent with, requirements detailed 
in paragraphs (l)(2) through (10) of this section for CA's, with 
appropriate modifications based on the other Federal agencies' 
authorized expenditures and programs.
    (2) The CA requirements of subpart G of this part are not applicable 
to NSAP's.
    (3) Items of Local Cooperation. For NSAP's, non-Federal interests 
shall:
    (i) Provide without cost to the United States all borrow sites and 
dredged or excavated material disposal areas necessary for the project;
    (ii) Hold and save the United States free from damages due to the 
project, except for damages due to the fault or negligence of the United 
States or its contractor; and
    (iii) Maintain and operate the project after completion in a manner 
satisfactory to the Chief of Engineers.
    (4) Cost sharing. The Corps may assume up to 100 percent of the 
costs of implementing an NSAP, subject to the limitations set forth in 
paragraph (c) of this section.
    (5) Eligibility under other Federal programs. NSAP CA's shall not 
prohibit non-Federal interests from accepting funding from other Federal 
agencies, so long as the provision of such other Federal agency funding 
is not prohibited by statute.
    (6) Contributed funds. Contributed funds may be accepted without 
further approval by the Chief of Engineers upon execution of the CA by 
all parties. The required certificate of the district commander will 
cite 33 U.S.C. 701h as the pertinent authority.
    (7) Obligation of contributed funds. In accordance with OMB Circular 
A-34, all contributed funds must be received in cash and deposited with 
the Treasury before any obligations can be made against such funds.
    (8) Prohibition of future assistance. The prohibition of future 
assistance described in paragraph (j) of this section must be included 
in the NSAP CA.
    (9) Assurance of compliance with Executive Order 11988. NSAP CA's 
shall include acknowledgment of, and a statement of planned adherence 
to, Executive Order 11988, Floodplain Management, 3 CFR 117 (1977 
Compilation), or as it may be revised in the future, by the NSAP 
sponsor.
    (10) The CA must include a statement of legal restrictions placed on 
formerly protected lands that would preclude future use and/or 
development of such lands in a fashion incompatible with the purposes of 
the NSAP.
    (m) Acquisition of LERRD's. (1) For the acquisition of LERRD's, 
reimbursement may be made to the non-Federal sponsor of an NSAP. Such 
reimbursements are subject to the normal Corps land acquisition process, 
funding caps set forth in (c) of this section, and availability of 
appropriations.
    (2) For the acquisition of LERRD's, Corps funding may be combined 
with the funding of other Federal agencies, absent specific statutory 
language or principle prohibiting such combinations, under the terms of 
the MOA with other Federal agencies.



Sec. 203.51  Levee owner's manual.

    (a) Authority. In accordance with section 202(f) of Public Law 104-
303, the Corps will provide a levee owner's manual to the non-Federal 
sponsor of all flood control works in an Active status in the RIP.

[[Page 19]]

    (b) Policies--(1) Active non-Federal projects. A levee owner's 
manual developed and distributed by the Corps will be provided to all 
sponsors of Active non-Federal projects. The levee owner's manual will 
include the standards that must be met to maintain an Active status in 
the Rehabilitation and Inspection Program. Levee owner's manuals will 
also be provided, upon request, to sponsors of Inactive non-Federal 
projects so that the sponsors may evaluate their projects and prepare 
for an IEI to gain an Active status in the RIP.
    (2) Federal projects. The Operation and Maintenance Manual specified 
by 33 CFR 208.10(a)(10) will fulfill the requirement of providing a 
levee owner's manual if the Corps has not provided a separate levee 
owner's manual to the sponsor of a Federal project.
    (c) Procedural requirements. Levee Owner's Manuals will be initially 
provided to non-Federal sponsors of Active flood control works during 
scheduled CEI's and IEI's. Sponsors of Inactive projects and private 
levee owners will be provided manuals upon written request to the 
responsible Corps district.



Sec. 203.52  [Reserved]



   Subpart E_Emergency Water Supplies: Contaminated Water Sources and 
                           Drought Assistance



Sec. 203.61  Emergency water supplies due to contaminated water source.

    (a) Authority. The Chief of Engineers is authorized to provide 
emergency supplies of clean water to any locality confronted with a 
source of contaminated water causing, or likely to cause, a substantial 
threat to the public health and welfare of the inhabitants of the 
locality.
    (b) Policies. (1) Any locality faced with a threat to public health 
and welfare from a contaminated source of drinking water is eligible for 
assistance.
    (2) Eligibility for assistance will be based on one or more of the 
following factors:
    (i) The maximum contaminant level or treatment technique for a 
contaminant, as established by the Environmental Protection Agency 
pursuant to the Safe Drinking Water Act (see 40 CFR 141), is exceeded.
    (ii) The water supply has been identified as a source of illness by 
a tribal, State, or Federal public health official. The specific 
contaminant does not have to be identified.
    (iii) An emergency (e.g., a flood or chemical spill) has occurred 
that has resulted in either: one or more contaminants entering the 
source on a sufficient scale to endanger health; or, the emergency has 
made inoperable the equipment necessary to remove known contaminants.
    (iv) The presence of a contaminant is indicated on the basis of 
other information available.
    (3) Corps assistance will be directed toward the provision of the 
minimum amount of water required to maintain the health and welfare 
requirements of the affected population. The quantity of water and the 
means of distribution will be at the discretion of the responsible Corps 
official, who will consider the needs of the individual situation, the 
needs of the affected community, and the cost effectiveness of providing 
water by various methods.
    (4) If a locality has multiple sources of water, assistance will be 
furnished only to the extent that the remaining sources, with reasonable 
conservation measures, cannot provide adequate supplies of drinking 
water.
    (5) Loss of water supply is not a basis for assistance under this 
authority.
    (6) Water will not be furnished for commercial processes, except as 
incidental to the use of existing distribution systems. This does not 
prohibit the furnishing of water for drinking by employees and on-site 
customers. Water for preparing retail meals and similar personal needs 
may be provided to the extent it would be furnished to individuals.
    (7) The permanent restoration of a safe supply of drinking water is 
the responsibility of local interests.
    (8) Corps assistance is limited to 30 days, and requires the local 
interests to provide assurances of cooperation in a CA. (See subpart G 
of this part.) Extension of this 30-day period requires agreement (as an 
amendment to the previously signed CA) between the

[[Page 20]]

State and the Corps. This agreement must cover specified services and 
responsibilities of each party, and provision of a firm schedule for 
local interests to provide normal supplies of water.
    (9) State, tribal, and local governments must make full use of their 
own resources, including National Guard capabilities.
    (c) Governor's request. A letter signed by the Governor, or his or 
her authorized representative, requesting Corps assistance and 
addressing the State's commitments and capabilities in response to the 
emergency situation, is required. All requests should identify the 
following information:
    (1) Describe the local and State efforts undertaken. Verify that all 
reasonably available resources have been committed.
    (2) Identify the specific needs of the State, and the required Corps 
assistance.
    (3) Identify additional commitments to be accomplished by the State.
    (4) Identify the project sponsor(s).
    (d) Non-Federal responsibilities. Non-Federal interests are 
responsible for restoration of the routine supply of clean drinking 
water, including correcting any situations that cause contamination. If 
assistance is furnished by the Corps, local interests must furnish the 
basic requirements of local cooperation as detailed in the Cooperation 
Agreement. In all cases, reasonable water conservation measures must be 
implemented. Local interests will be required to operate and maintain 
any loaned equipment, and to remove and return such equipment to Federal 
interests, in a fully maintained condition, after the situation is 
resolved.



Sec. 203.62  Drought assistance.

    (a) Authority. The Chief of Engineers, acting for the Secretary of 
the Army, has the authority under certain statutory conditions to 
construct wells for farmers, ranchers, political subdivisions, and to 
transport water to political subdivisions, within areas determined to be 
drought-distressed.
    (b) General policy. (1) It is a non-Federal responsibility for 
providing an adequate supply of water to local inhabitants. Corps 
assistance to provide emergency water supplies will only be considered 
when non-Federal interests have exhausted reasonable means for securing 
necessary water supplies, including assistance and support from other 
Federal agencies.
    (2) Before Corps assistance is considered under this authority, the 
applicability of other Federal assistance authorities must be evaluated. 
If these programs cannot provide the needed assistance, then maximum 
coordination should be made with appropriate agencies in implementing 
Corps assistance.
    (c) Governor's request. A letter signed by the Governor, requesting 
Corps assistance and addressing the State's commitments and capabilities 
with response to the emergency situation, is required. All requests 
should identify the following information:
    (1) A description of local and State efforts undertaken. A 
verification that all available resources have been committed, to 
include National Guard assets.
    (2) Identification of the specific needs of the State, and the 
required Corps assistance.
    (3) Identification of the additional commitments to be accomplished 
by the State.
    (4) Identification of the project sponsor(s).
    (d) Definitions applicable to this section--(1) Construction. This 
term includes initial construction, reconstruction, or repair.
    (2) Drought-distressed area. An area that the Secretary of the Army 
determines, due to drought conditions, has an inadequate water supply 
that is causing, or is likely to cause, a substantial threat to the 
health and welfare of the inhabitants of the impacted area, including 
the threat of damage or loss of property.
    (3) Eligible applicant. Any rancher, farmer or political subdivision 
within a designated drought-distressed area that is experiencing an 
inadequate supply of water due to drought.
    (4) Farmer or rancher. An individual who realizes at least one-third 
of his or her gross annual income from agricultural sources, and is 
recognized in the community as a farmer or rancher. A farming 
partnership, corporation, or similar entity engaged in farming or

[[Page 21]]

ranching, which receives its majority income from such activity, is also 
considered to be a farmer or rancher, and thus an eligible applicant.
    (5) Political subdivision. A city, town, borough, county, parish, 
district, association, or other public body created by, or pursuant to, 
Federal or State law, having jurisdiction over the water supply of such 
public body.
    (6) Reasonable cost. In connection with the Corps construction of a 
well, means the lesser of:
    (i) The cost of the Chief of Engineers to construct a well in 
accordance with these regulations, exclusive of:
    (A) The cost of transporting equipment used in the construction of 
wells, and
    (B) The cost of investigation and report preparation to determine 
the suitability to construct a well, or,
    (ii) The cost to a private business of constructing such a well.
    (7) State. Any State, the District of Columbia, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, Northern Marianas Islands, 
American Samoa, and the Trust Territory of the Pacific Islands.
    (e) Guidance--construction of wells. (1) Assistance to an eligible 
applicant for the construction of a well may be provided on a cost-
reimbursable basis if:
    (i) It is in response to a written request by a farmer, rancher, or 
political subdivision for construction of a well under Public Law 84-99.
    (ii) The applicant is located within an area that the Secretary of 
the Army has determined to be drought-distressed.
    (iii) The Secretary of the Army has made a determination that:
    (A) The applicant, as a result of the drought, has an inadequate 
supply of water.
    (B) An adequate supply of water can be made available to the 
applicant through the construction of a well.
    (C) As a result of the drought, a private business could not 
construct the well within a reasonable time.
    (iv) The applicant has secured the necessary funding for well 
construction from commercial or other sources, or has entered into a 
contract to pay to the United States the reasonable cost of such 
construction with interest over a period of years, not to exceed 30, as 
the Secretary of the Army deems appropriate.
    (v) The applicant has obtained all necessary Federal, State and 
local permits.
    (2) The financing of the cost of construction of a well by the Corps 
under this authority should be secured by the project applicant.
    (3) The project applicant will provide the necessary assurances of 
local cooperation by signing a Cooperation Agreement (subpart G of this 
part) prior to the start of Corps work under this authority.
    (4) Equipment owned by the United States will be utilized to the 
maximum extent possible in exercising the authority to drill wells, but 
can only be used when commercial firms cannot provide comparable service 
within the time needed to prevent the applicant from suffering 
significantly increased hardships from the effects of an inadequate 
water supply.
    (f) Guidance--transport of water. (1) Assistance to an applicant in 
the transportation of water may be provided if:
    (i) It is in response to a written request by a political 
subdivision for transportation of water.
    (ii) The applicant is located within an area that the Secretary of 
the Army has determined to be drought-distressed.
    (iii) The Secretary of the Army has made a determination that, as a 
result of the drought, the applicant has an inadequate supply of water 
for human consumption, and the applicant cannot obtain water.
    (2) Transportation of water by vehicles, small diameter pipe line, 
or other means will be at 100 percent Federal cost.
    (3) Corps assistance in the transportation of emergency water 
supplies will be provided only in connection with water needed for human 
consumption. Assistance will not be provided in connection with water 
needed for irrigation, recreation, or other non-life supporting 
purposes, or livestock consumption.
    (4) Corps assistance will not include the purchase of water, nor the 
cost of loading or discharging the water into or from any Government 
conveyance,

[[Page 22]]

to include Government-leased conveyance.
    (5) Equipment owned by the United States will be utilized to the 
maximum extent possible in exercising the authority to transport water, 
consistent with lowest total Federal cost.
    (g) Request for assistance. A written request must be made to the 
district commander with Civil Works responsibility for the affected 
area. Upon receipt of a written request, the appropriate State and 
Federal agencies will be notified, and coordination will continue as 
appropriate throughout the assistance.

[68 FR 36468, June 18, 2003]



                       Subpart F_Advance Measures



Sec. 203.71  Policy.

    Advance Measures consists of those activities performed prior to a 
flood event, or potential flood event, to protect against loss of life 
and/or significant damages to improved property from flooding. Emergency 
work under this authority will be considered when requested by the 
Governor of a State confronted with an imminent threat of unusual 
flooding. Corps assistance will be to complement the maximum efforts of 
tribal, State, and local authorities. Projects will be designed for the 
specific threat, normally of expedient-type construction, and typically 
temporary in nature.



Sec. 203.72  Eligibility criteria and procedures.

    (a) Threat of flooding. An imminent threat of unusual flooding must 
exist before Advance Measures projects can be approved. The threat may 
be established by National Weather Service predictions, or by Corps of 
Engineers determinations of unusual flooding from adverse or unusual 
conditions. The threat must be clearly defined to the extent that it is 
readily apparent that damages will be incurred if preventive action is 
not taken immediately.
    (b) Governor's request. A letter signed by the Governor, requesting 
Corps assistance and addressing the State's commitments and capabilities 
with response to the emergency situation, is required. All requests 
should identify the following information:
    (1) Describe the non-Federal efforts undertaken. Verify that all 
available resources have been committed.
    (2) Identify the specific needs, and the required Corps assistance.
    (3) Identify additional commitments to be accomplished by the non-
Federal interests.
    (4) Identify the non-Federal sponsor(s).
    (c) Feasibility. The proposed work should be temporary in nature, 
technically feasible, designed to deal effectively and efficiently with 
the specific threat, and capable of construction in time to prevent 
anticipated damages.
    (d) Economic justification. All work undertaken under this category 
must have a favorable benefit-to-cost ratio, under Corps of Engineers 
economic guidelines.
    (e) Local cooperation/responsibilities. Subpart G of this part 
provides requirements for a Cooperation Agreement needed to provide 
local assurances. The project sponsor must remove temporary works 
constructed by the Corps when the operation is over, at no cost to the 
Corps.
    (f) Contingency planning efforts for potential Advance Measures 
activities. Occasionally weather phenomena occur which produce a much 
higher than normal probability or threat of flooding which may be 
predicted several months in advance of occurrence or significant impact. 
Impacts on specific locations may be unpredictable, but regional impacts 
may have a high likelihood of occurrence. In such situations, the Corps 
may provide technical and contingency planning assistance to tribal, 
State, and local agencies, commensurate with the predicted weather 
phenomenon, based on requests for assistance from such tribal, State, 
and local agencies. Specific Advance Measures projects must be addressed 
as specified in paragraph (b) of this section.
    (g) Definitions--(1) Imminent threat. A subjective statistical 
evaluation of how quickly a threat scenario can develop, and how likely 
that threat is to develop in a given geographical location. Implicit in 
the timing aspect can be considerations of available time (when the next 
flood or storm event is likely

[[Page 23]]

to occur), season (e.g., a snowpack that will melt in the coming spring 
runoff), or of known cyclical activities.
    (2) Unusual flooding. A subjective determination that considers 
potential ability to approach an area's flood of record, a catastrophic 
level of flooding, or a greater than 50-year level of flooding.



            Subpart G_Local Interests/Cooperation Agreements



Sec. 203.81  General.

    (a) Requirements for Cooperation Agreements. In order to maintain a 
firm understanding between the Corps and non-Federal interests 
concerning the responsibilities of each party in responding to or 
recovering from a natural disaster, division or district commanders 
shall negotiate a cooperation agreement (CA) with a non-Federal sponsor 
whenever assistance (other than short term technical assistance) is 
furnished. CA's do not require approval by HQUSACE unless they contain 
special or unusual conditions. For assistance to other than a public 
entity, a public agency is required to be the non-Federal sponsor, co-
sign the agreement, and be responsible, from the Corps perspective, for 
accomplishment of all work and conditions required in the CA. Project 
sponsors must meet the definition contained in Sec. 203.15.
    (b) Request for assistance. (1) For urgent situations involving 
Flood Response activities, division/district commanders may respond to 
oral requests from responsible representatives of local interests. 
However, all oral requests must be confirmed in writing. Assistance can 
be furnished before the written statement is received.
    (2) Before furnishing assistance (other than short term technical 
assistance) under Advance Measures, or under Emergency Water Supplies, 
the district/division commander must receive a request, signed by the 
Governor (or the Governor's representative for Emergency Water 
assistance due to a contaminated source), identifying the problem, 
verifying that all available State and local resources have been 
committed, and requesting Federal assistance.



Sec. 203.82  Requirements of local cooperation.

    It is Corps policy that provision of assistance under Public Law 84-
99 will, insofar as feasible, require local interests to: provide 
without cost to the United States all LERRD's necessary for the 
authorized work; hold and save the United States free from damages due 
to the authorized work, exclusive of damages due to the fault or 
negligence of the United States or its contractor; maintain and operate, 
in a manner satisfactory to the Chief of Engineers, all the works after 
completion. When assistance includes the construction of temporary 
protective works, the maintain and operate clause is modified by adding 
(or substituting, as applicable) the requirement for local interests to 
remove any temporary works constructed by the Corps under Public Law 84-
99. If any permanent works are constructed, then the sponsor is required 
to operate and maintain the project in accordance with requirements 
determined by the Corps.
    (a) Furnishing of LERRD's. This item provides for sites of 
structures, for borrow and disposal areas, and for access. It also 
provides for all other rights in, upon, through, or over private 
property as needed by the United States in connection with the 
authorized work. Performance by the local interests under their 
assurance to furnish LERRD's will normally not be considered a 
contribution. If more advantageous to the Federal Government, borrow and 
disposal areas may be assumed as a Federal responsibility. Easements 
must be provided for future Federal inspection of maintenance or 
removal. If a public agency sponsors a project for a non-public 
applicant, the applicant must provide an easement to the sponsor for 
future maintenance or removal, as well as for Federal inspection. 
Easements should extend to the life of the project.
    (b) Hold and save clause. This clause serves as legal protection of 
the government. Where property concerned is under tenancy, both the 
property owner and the tenant should acknowledge the non-Federal 
sponsor's signed CA.

[[Page 24]]

    (c) Maintain and operate clause. This item is intended to protect 
the investment of government resources and provide proper stewardship of 
resources entrusted to the Corps. This clause must include: ``It is 
understood that the foregoing maintenance and operation requirement 
extends to interrelated features of all protective work under the 
control of (insert name of sponsor, and owner if appropriate).''
    (d) Removal of temporary works. Local interests are responsible for 
the removal of all temporary works constructed by the Corps, which are 
unsuitable for upgrade to permanent structures. Structures may be deemed 
unsuitable due to inherent health, access, or safety problems that could 
result from their location. The wording of this clause must not preclude 
the use of other Federal assistance programs to fund removal.
    (e) Request for retention of temporary flood control works. Local 
interests may ask to retain a temporary structure for protection from 
future floods. This will not be approved by the Corps unless the works 
are upgraded to meet all Corps criteria for permanent projects. Public 
Law 84-99 funds will not be used to upgrade the structure. An upgraded 
project must comply with permitting, environmental, and other regulatory 
and legal requirements. Unless upgraded, such projects are not eligible 
for rehabilitation, and must be removed in accordance with paragraph (d) 
of this section. Unless upgraded, temporary projects which are not 
removed by the local sponsor will cause all projects with the same 
sponsor to lose eligibility for Public Law 84-99 assistance. Local 
interests must initiate action to upgrade or remove the temporary works 
within 30 days after the flood threat has passed.
    (f) Cost sharing. (1) The Federal Government may assume up to 80 
percent of the eligible construction costs for rehabilitation of non-
Federal flood control projects, and up to 100 percent of the eligible 
construction costs for rehabilitation of Federal flood control projects. 
The Federal Government may assume up to 100 percent of the eligible 
construction costs for rehabilitation of HSPP's. Sponsors will provide 
their share of costs as provided for in Sec. 203.84. The sponsor's 
share is in addition to providing costs for LERRD's, and any costs for 
correction of any deferred/deficient maintenance. The Corps will 
determine the dollar value of any in-kind services provided by the local 
sponsor.
    (2) For those unusual occasions where permanent construction (vice 
the temporary standard) for Advance Measures projects is employed, the 
local sponsor will normally be required to provide 25 percent of the 
project cost, in addition to LERRD's.



Sec. 203.83  Additional requirements.

    (a) Maintenance deficiencies. Rehabilitation, Emergency Water, Post 
Flood Response, and Advance Measures authorities may not be used to 
correct deferred or deficient maintenance. Such correction must be 
accomplished by, or at the expense of, local interests. This may include 
restoring normal levee or dune height after subsidence, replacement of 
deteriorated components such as outlet structures and pipes, removal of 
debris, and new construction items such as protection against erosion. 
This restriction on use of these authorities does not preclude 
furnishing flood fight assistance during an emergency.
    (b) Areas of minor damage, flood control works. Separable areas with 
minor damage will be included in the maintenance program of local 
interests.
    (c) Minor completion items. Local interests should be responsible 
for minor completion items, such as dressing fills, placing sod, or 
seeding completed work.
    (d) Adequacy of requirements of local cooperation. In determining 
the adequacy of the pledge of local cooperation, district/division 
commanders must consider the local sponsor's performance capability, 
taking into account any shortcomings in meeting prior commitments. Local 
sponsors should make provisions to establish and provide resources for a 
``Contingency Fund'' to meet future maintenance requirements if apparent 
inadequacies of protective works indicate maintenance costs will be 
unusually high. Local sponsors should make provisions to establish and 
provide resources for a ``Capital Improvement Fund'' to meet future 
costs of capital

[[Page 25]]

improvement projects such as replacement of culverts in levees, pump 
station equipment, etc.
    (e) Eligibility under other Federal programs. The Cooperation 
Agreement must be worded to allow local interests to accept funding from 
other Federal programs for meeting the local responsibility. For 
example, removal of temporary works will be without cost under Corps 
Public Law 84-99 assistance, but will not be ``at no cost to the United 
States.'' Use of another Federal agency's funds is contingent upon that 
agency providing the Corps written assurance that such usage does not 
violate any existing laws or rules concerning the usage or expenditure 
of such funds.



Sec. 203.84  Forms of local participation--cost sharing.

    In addition to the standard requirements of local cooperation and 
according to the circumstances, local participation in project work may 
be in the form of: contributed funds; the furnishing of materials, 
equipment, or services; and/or accomplishment of work either 
concurrently or within a specified reasonable period of time. The final 
terms agreed upon will be set forth in writing and made a part of the CA 
before commencement of work.
    (a) Contributed funds. Contributed funds may be accepted, or 
refunded, without further reference or approval by the Chief of 
Engineers. The required certificate of the district commander will cite 
33 U.S.C. 701h as the pertinent authority.
    (b) Obligation of contributed funds. Per OMB Circular A-34, all 
contributed funds must be received in cash and deposited with the 
Treasury before any obligations can be made against such funds. Public 
Law 84-99 assistance for well construction is exempted from this 
requirement because financing is specifically authorized. However, the 
CA for such well construction assistance (see subpart G of this part) 
must be signed in advance of any obligations. To reduce administrative 
problems, CA terms for well construction should be for no longer a 
period than that which will allow for payments within the means of the 
applicant. Public Law 84-99 limits the term to a maximum of 30 years.
    (c) Provision of work or services in kind. To the extent 
practicable, local interests should be allowed to minimize the amount of 
contributed funds by providing equivalent work or services in kind. Such 
services do not include LERRD's.



Sec. 203.85  Rehabilitation of Federal flood control projects.

    Some sponsors of Federal flood control projects are not required to 
furnish written assurances of local cooperation, when such assurances 
already exist from the PCA of the original construction of the project. 
In lieu of a new PCA, the Corps will notify the sponsor, in writing, of 
the sponsor's standing requirements. These requirements include such 
items as LERRD's, costs attributable to deficient or deferred 
maintenance, removal of temporary works, cost-sharing requirements, and 
any other requirements contained in Sec. 203.82. The project sponsor 
must acknowledge its responsibilities prior to the provision of 
Rehabilitation Assistance. If the existing PCA does not adequately 
address responsibilities, then a CA will be required.



Sec. 203.86  Transfer of completed work to local interests.

    Responsibility for operation and maintenance of a project for which 
emergency work under Public Law 84-99 is undertaken will always remain 
with the non-Federal sponsor throughout the process, and thereafter. The 
Corps will notify the non-Federal sponsor by letter when repair/
rehabilitation/work efforts are completed. Detailed instructions, and 
suggestions relative to proper maintenance and operation, may be 
furnished as an enclosure to this letter. The letter will remind the 
local interests that they are responsible for satisfactory maintenance 
of the flood control works in accordance with the terms of the PCA or 
CA. In appropriate cases for Federal projects, refer to the ``Flood 
Control Regulation for Maintenance and Operation of Flood Control Works: 
(33 CFR 208)'' or the project's Operation and Maintenance Manual. 
Reporting requirements placed on the non-Federal

[[Page 26]]

sponsor will vary according to organization and other circumstances.



PART 207_NAVIGATION REGULATIONS--Table of Contents




Sec.
207.9 Mystic River, Mass.; dam of Commonwealth of Massachusetts, 
          Metropolitan District Commission.
207.10 Charles River, Mass.; dam of Charles River Basin Commission.
207.20 Cape Cod Canal, Mass.; use, administration, and navigation.
207.50 Hudson River Lock at Troy, N.Y.; navigation.
207.60 Federal Dam, Hudson River, Troy, N.Y.; pool level.
207.100 Inland waterway from Delaware River to Chesapeake Bay, Del. and 
          Md. (Chesapeake and Delaware Canal); use, administration, and 
          navigation.
207.160 All waterways tributary to the Atlantic Ocean south of 
          Chesapeake Bay and all waterways tributary to the Gulf of 
          Mexico east and south of St. Marks, Fla.; use, administration, 
          and navigation.
207.169 Oklawaha River, navigation lock and dam at Moss Bluff, Fla.; 
          use, administration and navigation.
207.170 Federal Dam, Oklawaha River, Moss Bluff, Fla.; pool level.
207.170a Eugene J. Burrell Navigation Lock in Haines Creek near Lisbon, 
          Florida; use, administration, and navigation.
207.170b Apopka-Beauclair Navigation Lock in Apopka-Beauclair Canal in 
          Lake County, Fla.; use, administration, and navigation.
207.170c Kissimmee River, navigation locks between Lake Tohopekaliga and 
          Lake Okeechobee, Fla.; use, administration, and navigation.
207.170d Taylor Creek, navigation lock (S-193) across the entrance to 
          Taylor Creek at Lake Okeechobee, Okeechobee, Fla.; use, 
          administration, and navigation.
207.175a Carlson's Landing Dam navigation lock, Withlacoochee River, 
          Fla.; use, administration, and navigation.
207.180 All waterways tributary to the Gulf of Mexico (except the 
          Mississippi River, its tributaries, South and Southwest Passes 
          and the Atchafalaya River) from St. Marks, Fla., to the Rio 
          Grande; use, administration, and navigation.
207.185 Taylors Bayou, Tex., Beaumont Navigation District Lock; use, 
          administration and navigation.
207.187 Gulf Intracoastal Waterway, Tex.; special floodgate, lock and 
          navigation regulations.
207.200 Mississippi River below mouth of Ohio River, including South and 
          Southwest Passes; use, administration, and navigation.
207.249 Ouachita and Black Rivers, Ark. and La., Mile 0.0 to Mile 338.0 
          (Camden, Ark.) above the mouth of the Black River; the Red 
          River, La., Mile 6.7 (Junction of Red, Atchafalaya and Old 
          Rivers) to Mile 276.0 (Shreveport, La.); use, administration, 
          and navigation.
207.260 Yazoo Diversion Canal, Vicksburg, Miss., from its mouth at 
          Kleinston Landing to Fisher Street; navigation.
207.270 Tallahatchie River, Miss., between Batesville and the mouth; 
          logging.
207.275 McClellan-Kerr Arkansas River navigation system: use, 
          administration, and navigation.
207.300 Ohio River, Mississippi River above Cairo, Ill., and their 
          tributaries; use, administration, and navigation.
207.306 Missouri River; administration and navigation.
207.310 Mississippi River at Keokuk, Iowa; operation of power dam by 
          Mississippi River Power Co.
207.320 Mississippi River, Twin City Locks and Dam, St. Paul and 
          Minneapolis, Minn.; pool level.
207.330 Mississippi River between Winnibigoshish and Pokegama dams, 
          Leech River between outlet of Leech Lake and Mississippi 
          River, and Pokegama reservoir; logging.
207.340 Reservoirs at headwaters of the Mississippi River; use and 
          administration.
207.350 St. Croix River, Wis. and Minn.
207.360 Rainy River, Minn.; logging regulations for portions of river 
          within jurisdiction of the United States.
207.370 Big Fork River, Minn.; logging.
207.380 Red Lake River, Minn.; logging regulations for portion of river 
          above Thief River Falls.
207.390 [Reserved]
207.420 Chicago River, Ill.; Sanitary District controlling works, and 
          the use, administration, and navigation of the lock at the 
          mouth of river, Chicago Harbor.
207.425 Calumet River, Ill.; Thomas J. O'Brien Lock and Controlling 
          Works and the use, administration and navigation of the lock.
207.440 St. Marys Falls Canal and Locks, Mich.; use, administration, and 
          navigation.
207.441 St. Marys Falls Canal and Locks, Mich.; security.
207.460 Fox River, Wis.
207.470 Sturgeon Bay and Lake Michigan Ship Canal, Wis.; use and 
          navigation.
207.476 The Inland Route--lock in Crooked River, Alanson, Mich.; use, 
          administration, and navigation.
207.480 Lake Huron, Mich.; Harbor of refuge, Harbor Beach; use and 
          navigation.
207.560 Sandusky Harbor, Ohio; use, administration, and navigation.

[[Page 27]]

207.565 Vermilion Harbor, Ohio; use, administration, and navigation.
207.570 Harbors of Huron, Lorain, Cleveland, Fairport, Ashtabula, 
          Conneaut, Ohio; use, administration, and navigation.
207.580 Buffalo Harbor, N.Y.; use, administration, and navigation.
207.590 Black Rock Canal and Lock at Buffalo, N.Y.; use, administration 
          and navigation.
207.600 Rochester (Charlotte) Harbor, N.Y.; use, administration, and 
          navigation.
207.610 St. Lawrence River, Cape Vincent Harbor, N.Y.; use, 
          administration, and navigation of the harbor and U.S. 
          breakwater.
207.640 Sacramento Deep Water Ship Channel Barge Lock and Approach 
          Canals; use, administration, and navigation.
207.680 Willamette River, Oreg.; use, administration, and navigation of 
          canal and locks at Willamette Falls, Oreg.
207.718 Navigation locks and approach channels, Columbia and Snake 
          Rivers, Oreg. and Wash.
207.750 Puget Sound Area, Wash.
207.800 Collection of navigation statistics.

    Authority: 40 Stat. 266 (33 U.S.C. 1).



Sec. 207.9  Mystic River, Mass.; dam of Commonwealth of Massachusetts, 
Metropolitan District Commission.

    (a) Definition and authority of superintendent. The term 
superintendent as used in the regulations in this section shall mean 
himself and/or his personnel then on duty at the dam. The positioning 
and movements of all watercraft of every description while in the locks 
or within 100 yards of the locks or dam shall be subject to the 
direction of the superintendent whose orders must be obeyed. This order 
does not relieve the master of the responsibility for the safety of his 
vessel.
    (b) Description of locks. There are three (3) locks to be used for 
the passage of vessels; one large lock 325 feet long, 45 feet wide, 
shall be used for vessels with draft up to seventeen (17) feet; two 
small locks each 120 feet long and 22 feet wide shall be used for boats 
up to six (6) feet draft.
    (c) Maximum draft. Vessels drawing within six (6) inches of depth 
over the sills shall not be permitted lockage except under special 
permission of the superintendent. Every vessel using the locks and 
drawing more than ten (10) feet shall be accurately and distinctly 
marked at bow and stern showing the exact draft of water at such 
portions of the vessel. Gages set into the walls or the locks, both 
upstream and downstream of each gate, indicate the depth in feet of 
water over the sill of the gate.
    (d) Vessels denied lockage. The superintendent may deny passage 
through the locks to any craft with sharp, rough projecting corners, 
overhanging equipment or cargo, or any craft or two that is in sinking 
condition or in any way unseaworthy or insufficiently manned and 
equipped, or any craft failing to comply with the regulations in this 
section or with any orders given in pursuance thereof.
    (e) Protection of lock gates. (1) In no case shall boats be 
permitted to enter or leave any of the locks until directed to do so by 
the superintendent. Boats shall not be permitted to enter or start to 
leave until the lock gates are at rest within the gate recesses. All 
persons, whether in charge of vessels or not, are prohibited from 
willfully or carelessly damaging the locks or any of the appurtenances 
or the grounds adjacent thereto, and from throwing or allowing any 
material of any kind to fall from the barge, scow or other vessel into 
the locks.
    (2) No person shall permit or suffer any vessel, scow, raft, or 
float to come in contract with any gate or any of the locks of the 
Amelia Earhart Dam.
    (f) Damage to walls. The sides of all craft passing through the 
locks must be free from projection of any kind which might injure the 
lock walls. All craft must be provided with suitable fenders. One or 
more men as the superintendent may direct shall be kept at the head of 
every tow until it has cleared the lock and guide walls, and shall 
protect the walls by use of the fenders.
    (g) Unnecessary delay at locks. No person shall cause or permit any 
craft of which he is in charge to remain in the locks or their 
approaches for a longer period of time than is necessary for the passage 
of the locks unless he is especially permitted to do so by the 
superintendent, and if such craft is, in the opinion of such 
superintendent, in a position to obstruct navigation, it shall be 
removed at once as requested or directed by the superintendent.

[[Page 28]]

    (h) Procedure at locks. The locks shall be operated promptly for the 
passage of all craft upon signal, excepting only in such cases as are 
specifically provided for in the regulations in this section. All 
registered merchant vessels shall pass through the locks in the order 
directed by the superintendent. Other craft shall be allowed to pass 
through the locks at the discretion of the superintendent.
    (i) Navigation of the locks. (1) All barges navigating the locks 
whether approaching or leaving the locks are required to be assisted by 
one or more tugs of sufficient power to insure full control at all 
times. All craft approaching the locks while any other vessel going in 
the opposite direction is in or about to enter shall be stopped where 
they will not obstruct the free passage of such other vessel.
    (2) All vessels over 100 gross tons including those which are 
accompanied by towboats must attach not less than two good and 
sufficient lines, cables, or hawsers to the bollards or other fixtures 
provided for the purpose to check the speed of the vessel and to stop it 
as soon as it has gone far enough to permit the lock gate behind it to 
be closed. Each line, cable, or hawser shall be attended on board while 
passing into the lock by one or more of the vessel's crew. Where vessels 
are so long that in order to get them wholly within the locks it is 
necessary to go within 100 feet of the lock gate ahead, the speed of the 
vessel must be slow and the vessel must be fully under control at all 
times by the lines, cables or hawsers. All towboats and vessels less 
than 100 gross tons may enter the locks without having lines out subject 
to the discretion of the superintendent. The master or person in charge 
of a vessel shall arrange to have any line, cable, or hawser handed or 
thrown from the lock walls by the superintendent, or his assistants, 
made fast on the vessel as requested or directed, so that in cases of 
emergency such line, cable, or hawser may also be used to check the 
speed of and stop the vessel.
    (3) Operators of vessels less than 200 gross tons may use the 
floating moorings in the large lock to fasten lines or hawsers, but they 
shall not be used to check the way on any vessel greater than 30 gross 
tons.
    (4) Vessels less than 30 gross tons may fasten lines to the floating 
moorings in the large or small locks. All persons shall keep off the 
floating moorings at all times.
    (5) No line shall be attached to anything on or a part of the dam 
except the fixtures provided for this purpose.
    (6) Equipment of each craft shall include a sufficient bow line and 
stern line.
    (j) Mooring. When a craft is in position in the lock, it shall be 
securely fastened in a manner satisfactory to the superintendent to 
prevent the craft moving about while the lock is being filled or 
emptied, and the lines, cables, or hawsers used for this purpose shall 
be attended as far as is necessary or required while the filling or 
empting is in progress.
    (k) [Reserved]
    (l) Signals. (1) All craft desiring lockage shall, on approaching 
the locks, signal by two long and two short blasts of a whistle or other 
sound device. Two long blasts from the lock in reply will indicate a 
delayed opening and direct the craft not to enter the lock.
    (2) Lights are located at each end of each lock and will normally 
show red. No vessel shall come within 100 feet of the outside of any 
gate when the signal is red except when so directed by the 
superintendent.
    (3) Fireboats and craft owned by the U.S. Government shall be given 
prompt and preferential lockage when they sound four long blasts.
    (4) No vessel shall move into or out of any lock until the 
controlling signal is green. A green light in addition to audio loud 
speakers, operated by the superintendent or his assistants, will direct 
craft through the locks.
    (5) It shall be the duty of every master or person in charge of any 
vessel to ascertain by personal observation that the lock gate is fully 
open before proceeding.
    (m) Operating machinery. Lock employees only shall be permitted to 
operate the lock gates, signals or other appliances. No person shall 
deface or injure any part of the Amelia Earhart Dam, or any pier, wall 
or other structure or any mechanism connected

[[Page 29]]

therewith; nor shall any person, without the consent of the 
superintendent, make fast to the dam, guard, guide wall, pier, or any 
appurtenance thereof any vessel, scow, raft, or float.
    (n) Vessel to carry regulations. A copy of the regulations in this 
section shall be kept at all times on board each vessel regularly 
engaged in navigating the locks. Copies may be obtained without charge 
from the superintendent; the Commonwealth of Massachusetts, M.D.C. Parks 
Division, Boston, Mass.; New England Division, Corps of Engineers, 
Division Engineer, Waltham, Mass.

[32 FR 8716, June 17, 1967, as amended at 56 FR 13764, Apr. 4, 1991]



Sec. 207.10  Charles River, Mass.; dam of Charles River Basin Commission.

    (a) The movements of all vessels or boats in and near the lock shall 
be under the direction of the superintendent in charge of these 
structures and his assistants, whose orders and signals shall be obeyed.
    (b) Every vessel using the lock and drawing more than 10 feet shall 
be accurately and distinctly marked at the bow and stern, showing the 
exact draft of water at such portions of the vessel.
    (c) All steam vessels desiring to pass through the lock shall signal 
for the same by two long and two short blasts of the whistle.
    (d)(1) All vessels passing through the lock shall have their 
outboard spars, if any, rigged in, and booms amidships, and secured. All 
standing and running rigging must be triced in to keep it from blowing 
out and fouling the drawbridge. Every vessel of 200 tons and under shall 
be provided with at least two, and every vessel of more than 200 tons 
shall be provided with at least four good and sufficient lines, cables, 
or hawsers. Anchors shall either be stowed or shall hang from hawse 
pipes, hauled up close, clear of the water if possible. Vessels with 
anchors under foot or hanging from catheads will not be permitted to 
enter the lock.
    (2) All vessels must be sufficiently manned and must have a 
sufficient number of round and fore-and-aft fenders to protect the lock 
from injury. All heavy rope fenders must be securely lashed to prevent 
their falling into the lock and interfering with the gates.
    (e) All vessels approaching the lock while any other vessel going in 
the opposite direction is in or about to enter it shall be stopped where 
they will not obstruct the free passage of such other vessel.
    (f) It shall be the duty of every master or person in charge of any 
vessel upon approaching the lock from the upstream end to ascertain by 
personal observation whether or not the upper lock gate is open, and a 
vessel shall not be permitted to come within 100 feet of the upper lock 
gate until the gate has been wholly withdrawn into its recess.
    (g) All towboats, whether towing or not, and other steam vessels of 
less than 100 tons gross may enter the lock under their own power and 
without having lines out, but all other vessels, including those which 
are accompanied by towboats, must attach not less than two good and 
sufficient lines, cables, or hawsers to the bollards or other fixtures 
provided for the purpose to check the speed of the vessel and to stop it 
as soon as it has gone far enough to permit the lock gate behind it to 
be closed, and each line, cable, or hawser shall be attended on board 
while passing into the lock by one or more of the vessel's crew. Where 
vessels are so long that in order to get them wholly within the lock it 
is necessary to approach within 150 feet of the lock gate ahead, the 
speed of the vessel must be slow and fully under control by the lines, 
cables, or hawsers. Steam vessels of more than 100 tons gross, not 
including towboats, will not be permitted to turn their propellers on 
entering the lock after the bow of the vessel has entered, but will be 
drawn in by means of capstans on the lock walls or otherwise, and their 
speed must be checked and the vessel stopped by lines, cables, or 
hawsers as in other cases. All steam vessels may leave the lock under 
their own power. The master or person in charge of a vessel shall 
arrange to have any line, cable, or hawser handed or thrown from the 
lock walls by the superintendent or his assistants, made fast on the 
vessel as requested or directed, so that in cases of emergency such 
line, cable, or hawser may also be

[[Page 30]]

used to check the speed of and stop the vessel.
    (h) When a vessel is in position in the lock it shall be securely 
fastened in a manner satisfactory to the superintendent, or his 
assistant in charge of the lock at the time, to prevent the vessel from 
moving about while the lock is being filled or emptied, and the lines, 
cables, and hawsers used for this purpose shall be attended as far as is 
necessary or required while the filling or emptying is in progress.
    (i) No vessel which has iron or irons projecting from it or lumber 
or other cargo projecting over its sides shall enter the lock, except at 
such time and with such precautions to prevent damage to the lock or its 
appurtenances as the superintendent, or the assistant in charge of the 
lock at the time, may require.
    (j) All persons, whether in charge of vessels or not, are prohibited 
from willfully or carelessly damaging the lock, any of its appurtenances 
or the grounds adjacent thereto, and from throwing any material of any 
kind into the lock. No line shall be attached to anything except the 
bollards and other fixtures provided for the purpose.
    (k) Upon each passage through the lock, the master or clerk of a 
vessel shall make a statement of the kind and tonnage of the freight 
carried.
    (l) No person shall cause or permit any vessel or boat of which he 
is in charge to remain in the lock or its approaches for a longer time 
than is necessary for the passage of the lock, unless he is especially 
permitted to do so by the superintendent or the assistant in charge of 
the lock at the time, and if such vessel or boat is, in the opinion of 
such superintendent or assistant, in a position to obstruct navigation 
it shall be removed at once as requested or directed by such 
superintendent or assistant.
    (m) All registered merchant vessels shall pass through the lock in 
the order directed by the superintendent or the assistant in charge of 
the lock at the time. Unregistered craft will not be allowed to pass 
through the lock separately unless especially permitted by such 
superintendent or assistant.
    (n) The lock shall be operated promptly for the passage of all 
vessels upon signal excepting only in such cases as are specifically 
provided for in this section.

[Regs., May 6, 1909]



Sec. 207.20  Cape Cod Canal, Mass.; use, administration, and navigation.

    (a) Limit of Canal. The canal, including approaches, extends from 
the Canal Station Minus 100 in Cape Cod Bay, approximately one and six-
tenths (1.6) statute miles seaward of the Canal Breakwater Light, 
through dredged channels and land cuts to Cleveland Ledge Light in 
Buzzards Bay approximately four (4) statute miles southwest of Wings 
Neck.
    (b) Supervision. (1) The movement of ships, boats and craft of every 
description through the canal and the operation and maintenance of the 
waterway and all property of the United States pertaining thereto shall 
be under the supervision of the Division Engineer, U.S. Army Engineer 
Division, New England, Corps of Engineers, Waltham, Massachusetts, or 
the authorized representative of the division engineer, the Engineer-In-
Charge of the Cape Cod Canal. The division engineer or the Engineer-In-
Charge from time to time will prescribe rules governing the dimensions 
of vessels which may transit the waterway, and other special conditions 
and requirements which will govern the movement of vessels using the 
waterway.
    (2) The Engineer-In-Charge, through the marine traffic controller on 
duty, will enforce these regulations and monitor traffic through the 
canal. The marine traffic controller on duty is the individual 
responsible for interpretation of these regulations with respect to 
vessels transiting the canal. Vessels transiting the canal must obey the 
orders of the marine traffic controller.
    (3) The government has tugs stationed at the West Boat Basin for 
emergency use on an on-call basis. A patrol vessel is manned and 
operational 24-hours a day.
    (c) Communications. There is a marine traffic controller on duty 24 
hours a day, seven days a week, in the traffic control center located at 
the Canal Administrative Office. The primary method of communications 
between the canal and vessels transiting will be by

[[Page 31]]

VHF-FM Marine radio. The traffic controller can also be contacted by 
telephone.
    (1) For radio communications, call the traffic controller on channel 
16 to establish contact. The transmissions will then be switched to 
channel 12 or 14 as the working channel to pass information. Channel 13 
is also available at the canal office; however, the use of channel 13 
should be limited to emergency situations or whenever vessels do not 
have one of the other channels. All four channels are monitored 
continuously by the traffic controller. Radio discipline will be adhered 
to in accordance with FCC rules and regulations.
    (2) For telephone communications with the traffic controller, call 
(617) 759-4431.
    (3) Vessels shall maintain a radio guard on Marine VHF-FM channel 13 
during the entire passage through the canal.
    (4) All radio communications in the vicinity of the canal are tape 
recorded for future reference.
    (d) Vessels allowed passage. The canal is open for passage to all 
adequately powered vessels properly equipped and seaworthy, of sizes 
consistent with safe navigation as governed by the controlling depths 
and widths of the channel and the vertical and horizontal clearances of 
the bridges over the waterway. The granting of permission for any vessel 
to proceed through the waterway shall not relieve the owners, agents and 
operators of full responsibility for its safe passage. No vessel having 
a greater draft forward than aft will be allowed to transit the canal. 
Craft of low power and wind driven are required to have and use 
auxiliary power during passage throughout the canal as defined in 
paragraph (a) of this section. Low powered vessels will be required to 
await slack water or favorable current for canal transit.
    (e) Tows. (1) Tows shall be made-up outside the canal entrances. All 
vessels engaged in towing other vessels not equipped with a rudder shall 
use two lines or a bridle and one tow line. If the vessel in tow is 
equipped with a rudder or a ship shaped bow, one tow line may be used. 
All tow lines of hawsers must be hauled as short as practicable for safe 
handling of the tows. No towboat will be allowed to enter the waterway 
with more than two barges in tow unless prior approval is granted by the 
Engineer-In-Charge; requests must be submitted 12 hours in advance of 
the passage.
    (2) The maximum length of pontoon rafts using the canal will be 
limited to 600 feet, and the maximum width to 100 feet. Pontoon rafts 
exceeding 200 feet in length will be required to have an additional tug 
on the stern to insure that the tow is kept in line. The tugs used must 
have sufficient power to handle the raft safely.
    (3) Dead ships are required to transit the canal during daylight 
hours and must be provided with the number of tugs sufficient to afford 
safe passage through the canal. (A dead ship will not be allowed to 
enter the canal unless prior approval is granted by the Engineer-In-
Charge; requests must be submitted 12 hours in advance of the passage).
    (f) Dangerous cargoes. The master or pilot of any vessel or tow 
carrying dangerous cargoes must notify the Marine Traffic Controller 
prior to entering the canal. Dangerous cargoes are defined as those 
items listed in 33 CFR 126.10 when carried in bulk (i.e., quantities 
exceeding 110 U.S. gallons in one tank) plus Class A explosives 
(commercial or military) as listed in 49 CFR 173.53 (commercial) and 46 
CFR 146.29-100 (military), liquified natural gas and liquified petroleum 
gas. Transportation of dangerous cargoes through the canal shall be in 
strict accordance with existing regulations prescribed by law. In 
addition, vessels carrying dangerous cargoes shall comply with the 
following requirements.
    (1) They must have sufficient horsepower to overcome tidal currents 
or they will be required to wait for favorable current conditions.
    (2) Transits will be during daylight hours.
    (3) No transit will be permitted when visibility conditions are 
unstable or less than 2 miles at the approaches and throughout the 
entire length of the canal.
    (4) Transits must await a clear canal for passage.

[[Page 32]]

    (g) Obtaining clearance. (1) Vessels under 65 feet in length may 
enter the canal without obtaining clearance. All craft are required to 
make a complete passage through the canal except excursion craft which 
may operate and change direction within the canal in accordance with 
procedures coordinated with the marine traffic controller on duty. When 
the railroad bridge span is in the closed (down) position, all vessels 
are directed not to proceed beyond the points designated by stop signs 
posted east and west of the railroad bridge. Vessels proceeding with a 
fair tide (with the current) should turn and stem the current at the 
designated stop points until the railroad bridge is in the raised (open) 
position.
    (2) Vessels 65 feet in length and over shall not enter the canal 
until clearance has been obtained from the marine traffic controller by 
radio. See paragraph (c) ``Communications'' for procedures. If a vessel, 
granted prior clearance, is delayed or stops at the mooring basins, 
state pier, or the Sandwich bulkhead, a second clearance must be 
obtained prior to continuing passage through the canal.
    (3) Vessels will be given clearance in the order of arrival, except 
when conditions warrant one-way traffic, or for any reason an order of 
priority is necessary, clearance will be granted in the following order.
    (i) First--To vessels owned or operated by the United States, 
including contractors' equipment employed on canal maintenance or 
improvement work.
    (ii) Second--To passenger vessels.
    (iii) Third--To tankers and barges docking and undocking at the 
Canal Electric Terminal.
    (iv) Fourth--To merchant vessels, towboats, commercial fishing 
vessels, pleasure boats and miscellaneous craft.
    (4) Procedures in adverse weather: Vessels carrying flammable or 
combustible cargoes as defined in 46 CFR 30.25 will be restricted from 
passage through the canal when visibility is less than \1/2\ mile. Other 
vessels may transit the canal in thick weather by use of radar with the 
understanding that the U.S. Government will assume no responsibility: 
And provided, That clearance has been obtained from the marine traffic 
controller.
    (h) Traffic lights. There are three sets of traffic lights showing 
red, green, and yellow that are operated on a continuous basis at the 
canal. The traffic lights apply to all vessels 65 feet in length and 
over. The traffic lights are a secondary system that is operated in 
support of the radio communications system. The traffic lights are 
located at the easterly canal entrance, Sandwich, and at the westerly 
entrance to Hog Island Channel at Wings Neck. A third traffic light is 
located at the Canal Electric Terminal basin on the south side of the 
canal in Sandwich, and applies only to vessels arriving and departing 
that terminal.
    (1) Westbound traffic. When the green light is on at the eastern 
(Cape Cod Bay) entrance, vessels may proceed westward through the canal. 
When the red light is on, any type of vessel 65 feet in length and over 
must stop clear of the Cape Cod Bay entrance channel. When the yellow 
light is on, vessels 65 feet in length and over and drawing less than 25 
feet may proceed as far as the East Mooring Basin where they must stop. 
Prior to continuing passage through the canal, clearance must be 
obtained from the marine traffic controller.
    (2) Eastbound traffic. When the green light is on at Wings Neck, 
vessels may proceed eastward through the canal. When the red light is 
on, vessels 65 feet and over in length and drawing less than 25 feet 
must keep southerly of Hog Island Channel Entrance Buoys Nos. 1 and 2 
and utilize the general anchorage areas adjacent to the improved 
channel. Vessel traffic drawing 25 feet and over are directed not to 
enter the canal channel at the Cleveland Ledge Light entrance and shall 
lay to or anchor in the vicinity of Buzzards Bay Buoy No. 11 (FLW & 
Bell) until clearance is granted by the canal marine traffic controller 
or a green traffic light at Wings Neck is displayed. When the yellow 
light is on, vessels may proceed through Hog Island Channel as far as 
the West Mooring Basin where they must stop. Prior to continuing passage 
through the canal, clearance must be obtained from the marine traffic 
controller.

[[Page 33]]

    (i) Railroad Bridge Signals. The following signals at the Buzzards 
Bay Railroad Bridge will be given strict attention.
    (1) The vertical lift span on the railroad bridge is normally kept 
in the raised (open) position except when it is lowered for the passage 
of trains, or for maintenance purposes. Immediately preceding the 
lowering of the span, the operator will sound two long blasts of an air 
horn. Immediately preceding the raising of the span, the operator will 
sound one long blast of an air horn. When a vessel or craft of any type 
is approaching the bridge with the span in the down (closed) position 
and the span cannot be raised immediately, the operator of the bridge 
will so indicate by sounding danger signals of four short blasts in 
quick succession.
    (2) When the lift span is in the down (closed) position in foggy 
weather or when visibility is obscured by vapor, there will be four 
short blasts sounded from the bridge every two minutes.
    (j) Speed. All vessels are directed to pass mooring and boat basin 
facilities, the state pier, and all floating plant engaged in 
maintenance operations of the waterway at a minimum speed consistent 
with safe navigation. In order to coordinate scheduled rail traffic with 
the passage of vessels, to minimize erosion of the canal banks and dikes 
from excessive wave wash and suction, and for the safety of vessels 
using the canal, the following speed regulations must be observed by 
vessels of all types, including pleasure craft. The minimum running time 
for the land cut between the East Mooring Basin (Station 35) and the 
Administration Office in Buzzards Bay (Station 388) is prescribed as 
follows:

Head Tide--60 Minutes
Fair Tide--30 Minutes
Slack Tide--45 Minutes


The minimun running time between the Administration Office (Station 388) 
and Hog Island Channel westerly entrance Buoy No. 1 (Station 661) is 
prescribed as follows:

Head Tide--46 Minutes
Fair Tide--23 Minutes
Slack Tide--35 Minutes


The running time at slack water will apply to any vessel which enters 
that portion of the canal between stations 35 and 661, within the period 
of one-half hour before or after the predicted time of slack water as 
given in the National Ocean Survey publication ``Current Tables, 
Atlantic Coast, North America.'' The minimum running time during a head 
tide or a fair tide shall apply to any vessel which enters that portion 
of the canal between Station 35 and 661 at any time other than 
designated above for time requirements at slack tide. Vessels of any 
kind unable to make a through transit of the land cut portion of the 
canal against a head current of 6.0 knots within a maximum time limit of 
2 hours 30 minutes shall be required to obtain the assistance of a 
helper tug at the vessel owner's expense or await favorable tide 
conditions prior to receiving clearance from the marine traffic 
controller. In the event vessels within the confines of the canal fail 
to perform and are unable to make sufficient headway against the 
currents, the marine traffic controller may activate a helper tug in 
accordance with paragraph (k) of this section.
    (k) Management of vessels. (1) Vessels within the limits of the 
canal shall comply with applicable navigation rules.
    (2) Vessels within the limits of the canal shall comply with the 
applicable requirements for the use of pilots established by the Coast 
Guard, including but not limited to those contained in 46 CFR 157.20-40. 
Vessels will not be granted clearance to enter the canal until the 
marine traffic controller has been notified of the name of the pilot who 
will be handling the vessel.
    (3) The master of a vessel will be responsible for notifying the 
marine traffic controller as soon as an emergency situation appears to 
be developing. When in the opinion of the marine traffic controller an 
emergency exists, he/she can require the master to accept the assistance 
of a helper vessel. Whether or not assistance is provided by a 
government vessel or by a private firm under contract to the government, 
the government reserves the right to seek compensation from the vessel 
owners for all costs incurred.
    (4) Right of Way: All vessels proceeding with the current shall have 
the right of way over those proceeding

[[Page 34]]

against the current. All craft up to 65 feet in length shall be operated 
so as not to interfere with the navigation of vessels of greater length.
    (5) Passing of vessels: The passing of one vessel by another when 
proceeding in the same direction is prohibited except when a leading low 
powered ship is unable to make sufficient headway. However, extreme 
caution must be observed to avoid collision, and consideration must be 
given to the size of the ship to be overtaken, velocity of current and 
wind, and atmospheric conditions. Masters of vessels involved shall 
inform the marine traffic controller on duty of developing situations to 
facilitate coordination of vessel movement. Meeting or passing of 
vessels at the easterly end of the canal between Station Minus 40 and 
Station 60 will not be permitted, except in cases of extreme emergency, 
in order to allow vessels to utilize the center line range to minimize 
the effects of hazardous eddies and currents. Due to bank suction and 
tidal set, meeting and passing of vessels at the following locations 
will be avoided:
    (i) Sagamore Bridge.
    (ii) Bourne Bridge.
    (iii) Railroad Bridge.
    (iv) Mass Maritime Academy.
    (6) Unnecessary delay in canal: Vessels and other type crafts must 
not obstruct navigation by unnecessarily idling at low speed when 
entering or passing through the canal.
    (7) Stopping in the waterway: Anchoring in the Cape Cod Canal 
Channel is prohibited except in emergencies. For the safety of canal 
operations it is mandatory that the masters of all vessels anchoring in 
or adjacent to the canal channel (Cape Cod Bay to Cleveland Ledge Light) 
for any reason, immediately notify the marine traffic controller.
    (8) Utilization of mooring and boat basins and the Sandwich 
Bulkhead: Vessels mooring or anchoring in the mooring or boat basins at 
the Sandwich bulkhead must do so in a manner not to obstruct or impede 
vessel movements to and from facilities. These facilities are of limited 
capacity and permission to occupy them for periods exceeding 24 hours 
must be obtained in advance from the marine traffic controller. Mooring 
in the West Boat Basin at Buzzards Bay, near the railroad bridge, is not 
permitted except in an emergency. Fishing boats, yachts, cabin cruisers 
and other craft utilizing the East Boat Basin on the south side of the 
canal at Sandwich, Massachusetts are not permitted to tie up at the 
Corps of Engineers landing float or anchor in a manner to prevent canal 
floating plant from having ready access to the float. All vessels or 
barges left unattended must be securely tied with adequate lines or 
cables. The United States assumes no liability for damages which may be 
sustained by any craft using the bulkhead at Sandwich or the canal 
mooring or boat basin facilities. Vessels shall not be left unattended 
along the face of the government bulkhead. A responsible person with 
authority to authorize and/or accomplish vessel movement must remain 
onboard at all times.
    (l) Grounded, wrecked or damaged vessels. In the event a vessel is 
grounded, or so damaged by accident as to render it likely to become an 
obstruction and/or hazard to navigation in the waterway, the division 
engineer or the division engineer's authorized representative shall 
supervise and direct all operations that may be necessary to remove the 
vessel to a safe locality.
    (m) [Reserved]
    (n) Deposit of refuse. No oil or other allied liquids, ashes, or 
materials of any kind shall be thrown, pumped or swept into the canal or 
its approaches from any vessel or craft using the waterway, nor shall 
any refuse be deposited on canal grounds, marine structures, or 
facilities.
    (o) Trespass to property. Subject to the provisions of paragraph (q) 
of this section trespass upon the canal property is prohibited.
    (p) Bridges over the canal. The government owns, operates and 
maintains all bridges across the canal which include one railroad bridge 
and two highway bridges. The division engineer or his/her authorized 
representative may establish rules and regulations governing the use of 
these bridges.
    (q) Recreational use of canal--(1) Policy. (i) It is the policy of 
the Secretary of the Army acting through the Chief of Engineers to 
provide the public with

[[Page 35]]

safe and healthful recreational opportunities within all water resource 
development projects administered by the Chief of Engineers, including 
the canal and government lands part thereof. Any recreational use of the 
canal and those lands shall be at the users own risk.
    (ii) All water resource development projects open for recreational 
use shall be available to the public without regard to sex, race, creed, 
color or national origin. No lessee, licensee, or concessionaire 
providing a service to the public shall discriminate against any person 
or persons because of sex, race, creed, color or national origin in the 
conduct of operations under the lease, license or concession contract.
    (2) Motor vehicles. Operation of motor vehicles, motorcycles, 
minibikes, mopeds, motorbikes, snowmobiles, and all types of off-road 
vehicles is prohibited on government lands and service roads except in 
areas specifically designated for such operation.
    (3) Swimming. Swimming, skin diving, snorkling, and scuba diving in 
the canal between the east entrance in Cape Cod Bay and the west 
entrance at Cleveland Ledge Light are prohibited. Diving operations may 
be authorized by the Engineer-In-Charge in conjunction with operation 
and maintenance of the canal.
    (4) Camping. Overnight tenting or camping on governmment land is 
prohibited except in areas designated by the division engineer. Bourne 
Scenic Park and Scusset Beach State Reservation are designated camping 
areas. Persons asleep during hours of darkness in or out of vehicles 
shall be considered as campers.
    (5) Fishing. Persons may fish with rod and line from the banks of 
the canal on Federally owned property except areas designated by the 
division engineer. Fishing and lobstering by boat in the Cape Cod Canal 
between the east entrance in Cape Cod Bay and the west entrance at 
Cleveland Ledge Light are prohibited. Fishing by boat is permitted in 
the area west of the State Pier in Buzzards Bay, provided that all craft 
stay out of the channel defined by U.S. Coast Guard buoys and beacons. 
Fish and game laws of the United States and the Commonwealth of 
Massachusetts will be enforced.
    (6) Hunting. Hunting is permitted in accordance with game laws of 
the United States and the Commonwealth of Massachusetts.
    (7) Fires. No open fires will be allowed at any time except by 
special permission and then shall be continuously overseen and in 
compliance with state or town laws.
    (8) Control of animals and pets. (i) No person shall bring or have 
horses in camping, picnic, swimming beaches or developed recreation 
areas.
    (ii) No person shall bring dogs (except seeing eye dogs), cats, or 
other pets into developed recreation areas unless penned, caged, or on a 
leash no longer than six feet or otherwise under physical restrictive 
controls at all time.
    (9) Restrictions. (i) The division engineer may establish a 
reasonable schedule of visiting hours for all or portions of the project 
area and close or restrict the public use of all or any portion of the 
project by the posting of appropriate signs indicating the extent and 
scope of closure. All persons shall observe such posted restrictions.
    (ii) The operation or use of any audio or other noise producing 
device including, but not limited to, communications media and vehicles 
in such a manner as to unreasonably annoy, endanger persons or affect 
vessel traffic through the canal is prohibited.
    (10) Explosives, firearms, other weapons and fireworks. (i) The 
possession of loaded firearms, ammunition, projectile firing devices, 
bows and arrows, crossbows, and explosives of any kind is prohibited 
unless in the possession of a law enforcement officer or Government 
employee on official duty or used for hunting during the hunting season 
as permitted under paragraph (q)(6) of this section, or unless written 
permission has been received from the division engineer.
    (ii) The possession or use of fireworks is prohibited unless written 
permission has been received from the division engineer.
    (11) Public property. Destruction, injury, defacement or removal of 
public property including natural formations, historical and 
archeological features and vegetative growth is prohibited

[[Page 36]]

without written permission of the division engineer.
    (12) Abandonment of personal property. (i) Abandonment of personal 
property is prohibited. Personal property shall not be left unattended 
upon the lands or waters of the project except in accordance with this 
regulation. After a period of 24 hours, abandoned or unattended personal 
property shall be impounded and stored at a storage point designated by 
the division engineer. The division engineer shall assess a reasonable 
impoundment fee, which shall be paid before the impounded property is 
returned to its owners.
    (ii) The division engineer shall, by public or private sales or 
otherwise, dispose of all lost, abandoned, or unclaimed personal 
property that comes into his/her custody or control. However, efforts 
should be made to find the owner, the owner's heirs or next of kin, or 
legal representatives. If the owner, heirs or next of kin, or legal 
representative is determined but not found, the property may not be 
disposed of until the expiration of 120 days after the date when notice, 
giving the time and place of the intended sale or other disposition, has 
been sent by certified or registered mail to that person at last known 
address. When diligent effort to determine the owner, owner's heirs or 
next of kin, or legal representative is unsuccessful, the property may 
be disposed of without delay, except that if it has a fair market value 
of $25 or more the property generally may not be disposed of until three 
months after the date it is received at the Cape Cod Canal 
Administrative Office. The net proceeds from the sale of property shall 
be placed into the Treasury of the United States as miscellaneous 
receipts.
    (13) Lost and found articles. All abandoned/lost articles shall be 
deposited by the finder at the Canal Administration office or with Canal 
ranger. The finder shall leave his/her name, address, and phone number. 
All lost articles shall be disposed of in accordance with procedures set 
forth in paragraph (q)(12) of this section.
    (14) Advertisement. Advertising by the use of billboards, signs, 
markers, audio devices or any other means whatever is prohibited unless 
written permission has been received from the division engineer.
    (15) Commercial activities. The engaging in or solicitation of 
business without the written permission of the division engineer is 
prohibited.
    (16) Unauthorized structures. The construction or placing of any 
structure of any kind under, upon or over the project lands or water is 
prohibited unless a permit has been issued by the division engineer. 
Structures not under permit are subject to summary removal by the 
division engineer.
    (17) Special events. Prior approval must be obtained from the 
Engineer-In-Charge for special events, recreational programs and group 
activities. The public shall not be charged any fee by the sponsor of 
such event unless the division engineer has approved in writing the 
proposed schedule of fees.
    (18) Interference with government employees. Interference with any 
government employee in the conduct of official duties pertaining to the 
administration of these regulations is prohibited.

[45 FR 51552, Aug. 4, 1980; 45 FR 60430, Sept. 12, 1980, as amended at 
56 FR 13765, Apr. 4, 1991]



Sec. 207.50  Hudson River Lock at Troy, N.Y.; navigation.

    (a) Authority of lockmaster. The lockmaster shall be charged with 
the immediate control and management of the lock, and of the area set 
aside as the lock area, including the lock approach channels. He shall 
see that all laws, rules and regulations for the use of the lock and 
lock area are duly complied with, to which end he is authorized to give 
all necessary orders and directions in accordance therewith, both to 
employees of the Government and to any and every person within the 
limits of the lock or lock area, whether navigating the lock or not. No 
one shall cause any movement of any vessel, boat, or other floating 
thing in the lock or approaches except by or under the direction of the 
lockmaster or his assistants.
    (b) Signals. Steamboats or tows desiring lockage in either direction 
shall give notice to the lock tenders, when not more than three-fourths 
mile from

[[Page 37]]

the lock, by one long blast of (10 seconds' duration), followed by one 
short blast (of three seconds' duration), or a whistle or horn. When the 
lock is ready for entrance a green light will be shown from the river 
wall. An amber light will indicate that the lock is being made ready for 
entrance. A red light will indicate that the approaching vessel must 
wait. Whenever local conditions make it advisable the visual signals 
will be supplemented by sound signals as follows:
    (1) One long blast of a horn to indicate that the vessel must wait.
    (2) One short blast of a horn to indicate that the lock is being 
made ready for entrance.
    (3) Two short blasts of a horn to indicate permission to enter the 
lock.
    (4) Four short and rapid blasts to attract attention, indicate 
caution, and signal danger.
    (c) Draft of boats. Deep-draft boats must clear the miter sills by 
at least 3 inches. Boats drawing too much water will not be allowed to 
lighter cargo in the entrances.
    (d) Precedence at the lock. The vessel arriving first at the lock 
shall be first to lock through; but precedence shall be given to vessels 
belonging to the United States and to commercial vessels in the order 
named. Arrival posts or markers may be established ashore above or below 
the lock. Vessels arriving at or opposite such posts or markers will be 
considered as having arrived at the lock within the meaning of this 
paragraph. If the traffic is crowded in both directions; up and down 
lockages will usually be made alternately, but the lock tender may 
permit two or more lockages to be made at one time in the same direction 
when this will not cause unreasonable delay. In case two or more boats 
or tows are to enter for the same lockage, they shall enter as directed 
by the lock tender. No boat shall run ahead of another while in the 
lock. The boat that enters first shall leave first.
    (e) Lockage of pleasure boats. The lockage of pleasure boats, house 
boats or like craft shall be expedited by locking them through with 
commercial craft (other than barges carrying gasoline or highly 
hazardous materials) in order to utilize the capacity of the lock to its 
maximum. Lockage of pleasure craft may be made with commercial craft 
carrying petroleum products other than gasoline, provided a clear 
distance of at least 100 feet between such vessels can be maintained in 
the lock. If, after the arrival of such craft, no separate or combined 
lockage can be accomplished within a reasonable time, not to exceed the 
time required for three other lockages, then separate lockage shall be 
made.
    (f) Stations while waiting. Boats waiting their turn to enter the 
lock must lie at a sufficient distance from the lock and in such a 
position as to leave sufficient room for the passage of boats leaving 
the lock.
    (g) Unnecessary delay. (1) Boats must not cause delay in entering or 
leaving the lock. Masters and pilots will be held to a strict 
accountability in this matter, and those with tows must provide enough 
men to move barges promptly. Boats failing to enter the lock with 
reasonable promptness after being signaled will lose their turn.
    (2) Tugboats arriving with their tows in a condition which will 
delay locking shall lose their turn if so ordered by the lock tender. 
Leaking boats may be excluded until put in shape to be passed through 
safely.
    (h) Mooring. Boats in the lock or waiting in the entrance shall be 
moored where directed by the lock tender, by bow, stern, and spring 
lines, to the snubbing posts or line hooks. Tying boats to the lock 
ladders is strictly prohibited.
    (i) Protection of lock gates. Boats will not be permitted to enter 
or leave the lock until the lock gates are at rest in the gate recesses 
and the lock tender has directed the boat to start.
    (j) Damage to walls, etc. All craft passing through the lock must be 
free from projections or sharp corners which might scar the walls or 
injure other parts. Steamboats must be provided with suitable fenders, 
etc. One man shall be kept at the head of every tow till it has cleared 
the lock and guide walls, and shall use the fender to prevent scarring 
the walls.
    (k) Handling machinery. None but employees of the United States will 
be allowed to move any valve, gate, or other machinery belonging to the 
lock.

[[Page 38]]

    (l) Refuse in lock. Throwing ashes, refuse, or other obstruction in 
the entrances or in the lock, or on the walls thereof, and passing coal 
from flats or barges to a steamboat while in the lock is prohibited.
    (m) [Reserved]
    (n) Trespass on U.S. property. Trespass on U.S. property, or willful 
injury to the banks, masonry, fences, trees, houses, machinery, or other 
property of the United States at or near the lock is strictly 
prohibited.
    (o) Penalties. In addition to the penalties prescribed by law, boats 
which fail to comply with the regulations in this section will 
thereafter be refused lockage until assurances have been received, 
satisfactory to the District Engineer, Corps of Engineers, New York, New 
York, that the regulations will be complied with.

[Regs., Mar. 24, 1916, as amended at 16 FR 7210, July 24, 1951; 26 FR 
352, Jan. 18, 1961; 56 FR 13765, Apr. 4, 1991]



Sec. 207.60  Federal Dam, Hudson River, Troy, N.Y.; pool level.

    (a) Whenever the elevation of the pool created by the Federal dam at 
Troy, N.Y., shall fall to a point level with the crest of the main 
spillway, the elevation of which is +14.33 feet mean sea level, the 
operation of the power plant shall cease and further operation thereof 
shall be suspended until such time as the water level rises to or above 
+14.43 feet mean sea level.
    (b) Flashboards may be maintained on the section of the spillway of 
the dam having an elevation of +14.33 feet mean sea level in order to 
increase the elevation of this section to an elevation equal to that of 
the auxiliary spillway, or +16.33 feet mean sea level: Provided, That 
the flashboards are so erected as to drop automatically when the pool 
level rises to an elevation of +18.5 feet mean sea level, and conform in 
other respects to the plans attached thereto.
    (c) The tide staff to be used in determining the elevation of the 
pool shall be the ceramic tide staff now located on the westerly face of 
the east lock wall north of the northerly gates, the zero of which is 
set 2 feet below mean sea level.
    (d) The regulations of the pool level and the maintenance of 
flashboards shall be subject to the supervision and approval of the 
District Engineer, New York City.

[Regs., Dec. 2, 1924, as amended at 25 FR 8907, Sept. 16, 1960]



Sec. 207.100  Inland waterway from Delaware River to Chesapeake Bay, 
Del. and Md. (Chesapeake and Delaware Canal); use, administration, and 
navigation.

    (a) Applicability. The regulations in this section are applicable to 
that part of the inland waterway from Delaware River to Chesapeake Bay, 
Del. and Md., between Reedy Point, Delaware River, and Old Town Point 
Wharf, Elk River.
    (b) Supervision. The District Engineer, Corps of Engineers, 
Philadelphia, Pa., has administrative supervision over the waterway and 
is charged with the enforcement of these regulations. The District 
Engineer from time to time will prescribe rules governing the dimensions 
of vessels which may transit the waterway, and other special conditions 
and requirements which will govern the movement of vessels using the 
waterway. The District Engineer's representative is the Chesapeake City 
Resident Engineer. The Chesapeake City Resident Engineer through the 
dispatcher on duty will enforce these regulations and monitor traffic 
through the canal.
    (c) Safe navigation required. Clearance for any vessel to enter or 
pass through any part of the waterway will be contingent on the vessel's 
having adequate personnel, machinery, and operative devices for safe 
navigation. In the event of question as to the ability of any vessel to 
navigate the waterway safely, a ruling will be made by the dispatcher. 
The owner, agent, master, pilot, or other person in charge of the vessel 
concerned may appeal the dispatcher's ruling to the District Engineer 
whose decision shall be final. A clearance by the dispatcher for a 
vessel's passage through the waterway shall not relieve the owners, 
agents, and operators of the vessel of full responsibility for its safe 
passage.
    (d) Radio equipment. Requirements for radio equipment on vessels 
transiting the waterway are as described in rules

[[Page 39]]

governing traffic through the waterway issued by the District Engineer. 
Vessels not having the mandatory radio equipment will not be permitted 
to transit the canal.
    (e) Anchorage and wharfage facilities. The anchorage basin at 
Chesapeake City and free wharfage facilities on the west side of the 
anchorage basin are available for small vessels only. These facilities 
are of limited capacity, and permission to occupy them for periods 
exceeding 24 hours must be obtained in advance from the dispatcher at 
Chesapeake City.
    (f) Projections from vessels. No vessel carrying a deck load which 
overhangs or projects beyond the sides of the vessel will be permitted 
to enter or pass through the waterway. Vessels carrying rods, poles, or 
other gear extending above the top of the vessel's mast will be required 
to lower such equipment to a level with the top of the mast before 
entering the waterway.
    (g) [Reserved]
    (h) Tows--(1) Integrated pusher-type tows. The maximum overall 
length and extreme breadth of this type of tow which may transit the 
canal are as described in rules governing traffic through the waterway 
issued by the District Engineer.
    (2) All other types of tows. All ships or tugs engaged in towing 
vessels not equipped with a rudder, whether light or loaded, shall use 
two towlines or a bridle on one towline. If the vessel in tow is 
equipped with a rudder, one towline without a bridle may be used. All 
towlines must be hauled as short as practicable for safe handling of the 
tows. No towboat will be permitted to enter the waterway with more than 
two loaded, or three light barges. Two or more barges or other vessels, 
not self-propelled, shall be towed abreast and not in tandem, using two 
towlines unless the towboat is made fast alongside the tow.
    (i) [Reserved]
    (j) Traffic lights. Traffic lights are located at Reedy Point and 
Old Town Point Wharf. These traffic lights are described in the rules 
governing traffic through the waterway issued by the District Engineer.
    (k) Drawbridges. Operation of the Penn Central vertical lift bridge 
across the canal will be in accordance with regulations promulgated by 
the U.S. Coast Guard, Sec. 117.235a Chesapeake and Delaware Canal, 
Del., of this chapter.
    (l) [Reserved]
    (m) Refuse and oil. The depositing of trash, refuse, debris, oil, or 
other material in the waterway or upon the banks or right-of-way is 
prohibited. Violators are subject to penalties as prescribed by Federal 
law.
    (n) Damage to waterway property. Damage to the waterway, lands, 
banks, bridges, jetties, piers, fences, buildings, trees, telephone 
lines, lighting structures, or any other property of the United States 
pertaining to the waterway is prohibited.
    (o) Fish and game. The fish and game laws of the United States and 
of the States of Delaware and Maryland, within their respective bounds, 
will be enforced upon the waters and lands pertaining to the waterway 
owned by the United States.
    (p) Grounded, wrecked, or damaged vessels. In the event a vessel is 
grounded or wrecked in the waterway or is damaged by accident or 
successive mechanical breakdown, the owner, agent, or operator shall 
take prompt action to prevent the vessel from becoming or remaining an 
obstruction to navigation, and such persons shall also respond to such 
instructions as may be issued by the District Engineer to prevent the 
vessel from becoming or remaining a menace to navigation. The lack of 
reasonable response from owner, agent, or operator may be deemed 
sufficient cause for the District Engineer to undertake repair or 
removal of the vessel as he may determine to be in the best interest to 
the Government.
    (q)-(s) [Reserved]
    (t) Pilotage. Any pilot who pilots in the canal shall comply with 
State laws or Coast Guard regulations and must be licensed for this 
waterway by the U.S. Coast Guard.
    (u) Vessels difficult to handle. Vessels which are observed by the 
pilot or master in charge, to be difficult to handle, or which are known 
to have handled badly on previous trips, must transit the canal during 
daylight hours and must have tug assistance. Such vessels

[[Page 40]]

must obtain permission from the dispatcher to enter the canal and must 
be provided with the number of tugs sufficient to afford safe passage. 
Agents must make their own arrangements for tug assistance. Such 
eastbound vessels must clear Reedy Point Bridge, and such westbound 
vessels the Chesapeake City Bridge, before dark.

[37 FR 9670, May 16, 1972, as amended at 42 FR 57961, Nov. 7, 1977; 56 
FR 13765, Apr. 4, 1991]



Sec. 207.160  All waterways tributary to the Atlantic Ocean south of 
Chesapeake Bay and all waterways tributary to the Gulf of Mexico east 
and south of St. Marks, Fla.; use, administration, and navigation.

    (a) Description. This section applies to the following:
    (1) Waterways. All navigable waters of the United States, natural or 
artificial, including bays, lakes, sounds, rivers, creeks, intracoastal 
waterways, as well as canals and channels of all types, which are 
tributary to or connected by other waterways with the Atlantic Ocean 
south of Chesapeake Bay or with the Gulf of Mexico east and south of St. 
Marks, Florida.
    (2) Locks. All Government owned or operated locks and hurricane gate 
chambers and appurtenant structures in any of the waterways described in 
paragraph (a)(1) of this section.
    (3) U.S. property. All river and harbor lands owned by the United 
States in or along the waterways described in paragraph (a)(1) of this 
section, including lock sites and all structures thereon, other sites 
for Government structures and for the accommodation and use of employees 
of the United States, and rights of way and spoil disposal areas to the 
extent of Federal interest therein.
    (4) Vessels and rafts. The term ``vessel'' as used in this section 
includes all floating things moved over these waterways other than 
rafts.
    (b) Authority of District Engineers. The use, administration, and 
navigation of these waterways, Federal locks and hurricane gate chambers 
shall be under the direction of the officers of the Corps of Engineers, 
U.S. Army, detailed in charge of the respective sections, and their 
authorized assistants. The cities in which the U.S. District Engineers 
are located are as follows:

    U.S. District Engineer, Norfolk, Virginia.
    U.S. District Engineer, Wilmington, North Carolina.
    U.S. District Engineer, Charleston, South Carolina.
    U.S. District Engineer, Savannah, Georgia.
    U.S. District Engineer, Jacksonville, Florida.

    (c) [Reserved]
    (d) Bridges. (For regulations governing the operation of bridges, 
see Sec. Sec. 117.1, 117.240 and 117.245 of this title.)
    (e) Locks--(1) Authority of lockmasters. (i) Locks staffed with 
Government personnel. The provisions of this subparagraph apply to all 
waterways in this Section except for the segment of the Atlantic 
Intracoastal Waterway identified in (e)(1)(ii). The lockmaster shall be 
charged with the immediate control and management of the lock, and of 
the area set aside as the lock area, including the lock approach 
channels. He/she shall see that all laws, rules and regulations for the 
use of the lock and lock area are duly complied with, to which end he/
she is authorized to give all necessary orders and directions in 
accordance therewith, both to employees of the Government and to any and 
every person within the limits of the lock and lock area, whether 
navigating the lock or not. No one shall cause any movement of any 
vessel, boat, or other floating thing in the lock or approaches except 
by or under the direction of the lockmaster or his/her assistants.
    (ii) Locks staffed with contract personnel. The provisions of this 
subparagraph apply to the segment of the Atlantic Intracoastal Waterway 
comprising the Albermarle and Chesapeake Canal and the Dismal Swamp 
Canal including Great Bridge Lock, Chesapeake, Virginia; Deep Creek 
Lock, Chesapeake, Virginia; and South Mills Lock, North Carolina. 
Contract personnel shall give all necessary orders and directions for 
operation of the locks. No one shall cause any movement of any vessel, 
boat or other floating thing in the locks or approaches except by or 
under the direction of the contract lock operator. All duties and 
responsibilities of the lockmaster set forth in this section shall be 
performed

[[Page 41]]

by the contract lock operator except that the responsibility for 
enforcing all laws, rules and regulations shall be vested in a 
government employee designated by the Norfolk District Engineer. The 
District Engineer will notify waterway users and the general public 
through appropriate notices and media concerning the location and 
identity of the designated government employee.
    (2) Signals. Vessels desiring lockage in either direction shall give 
notice to the lockmaster at not more than three-quarters of a mile nor 
less than one-quarter of a mile from the lock, by two long and two short 
blasts of a whistle. When the lock is available, a green light, 
semaphore or flag will be displayed; when not available, a red light, 
semaphore or flag will be displayed. No vessels or rafts shall approach 
within 300 feet of any lock entrance unless signalled to do so by the 
lockmaster.
    (3) Precedence at locks. (i) The vessel arriving first at a lock 
shall be first to lock through; but precedence shall be given to vessels 
belonging to the United States and to commercial vessels in the order 
named. Arrival posts or markers may be established ashore above or below 
the locks. Vessels arriving at or opposite such posts or markers will be 
considered as having arrived at the locks within the meaning of this 
paragraph.
    (ii) The lockage of pleasure boats, house boats or like craft shall 
be expedited by locking them through with commercial craft (other than 
barges carrying petroleum products or highly hazardous materials) in 
order to utilize the capacity of the lock to its maximum. If, after the 
arrival of such craft, no separate or combined lockage can be 
accomplished within a reasonable time not to exceed the time required 
for three other lockages, then separate lockage shall be made.
    (4) Entrance to and exit from locks. No vessel or raft shall enter 
or leave the locks before being signalled to do so. While waiting their 
turns, vessels or rafts must not obstruct traffic and must remain at a 
safe distance from the lock. They shall take position in rear of any 
vessels or rafts that may precede them, and there arrange the tow for 
locking in sections if necessary. Masters and pilots of vessels or in 
charge of rafts shall cause no undue delay in entering or leaving the 
lock, and will be held to a strict accountability that the approaches 
are not at any time unnecessarily obstructed by parts of a tow awaiting 
lockage or already passed through. They shall provide sufficient men to 
move through the lock promptly without damage to the structures. Vessels 
or tows that fail to enter the locks with reasonable promptness after 
being signalled to do so will lose their turn.
    (5) Lockage of vessels. (i) Vessels must enter and leave the locks 
carefully at slow speed, must be provided with suitable lines and 
fenders, must always use fenders to protect the walls and gates, and 
when locking at night must be provided with suitable lights and use them 
as directed.
    (ii) Vessels which do not draw at least six inches less than the 
depth on miter sills or breast walls, or which have projections or sharp 
corners liable to damage gates or walls, shall not enter a lock or 
approaches.
    (iii) No vessel having chains or lines either hanging over the sides 
or ends, or dragging on the bottom, for steering or other purposes, will 
be permitted to pass a lock or dam.
    (iv) Power vessels must accompany tows through the locks when so 
directed by the lockmaster.
    (v) No vessel whose cargo projects beyond its sides will be admitted 
to lockage.
    (vi) Vessels in a sinking condition shall not enter a lock or 
approaches.
    (vii) The passing of coal from flats or barges to steamers while in 
locks is prohibited.
    (viii) Where special regulations for safeguarding human life and 
property are desirable for special situations, the same may be indicated 
by printed signs, and in such cases such signs will have the same force 
as other regulations in this section.
    (ix) The lockmaster may refuse to lock vessels which, in his 
judgment, fail to comply with this paragraph.
    (6) Lockage of rafts. Rafts shall be locked through in sections as 
directed by the lockmaster. No raft will be locked that is not 
constructed in accordance with the requirements stated in paragraph (g) 
of this section. The

[[Page 42]]

party in charge of a raft desiring lockage shall register with the 
lockmaster immediately upon arriving at the lock and receive 
instructions for locking.
    (7) Number of lockages. Tows or rafts locking in sections will 
generally be allowed only two consecutive lockages if one or more single 
vessels are waiting for lockage, but may be allowed more in special 
cases. If tows or rafts are waiting above and below a lock for lockage, 
sections will be locked both ways alternately whenever practicable. When 
there are two or more tows or rafts awaiting lockage in the same 
direction, no part of one shall pass the lock until the whole of the one 
preceding it shall have passed.
    (8) Mooring. (i) Vessels and rafts when in the lock shall be moored 
where directed by the lockmaster by bow, stern and spring lines to the 
snubbing posts or hooks provided for that purpose, and lines shall not 
be let go until signal is given for vessel or raft to leave. Tying boats 
to the lock ladders is prohibited.
    (ii) The mooring of vessels or rafts near the approaches to locks 
except while waiting for lockage, or at other places in the pools where 
such mooring interferes with general navigation of the waterway is 
prohibited.
    (9) Maneuvering locks. The lock gates, valves, and accessories will 
be moved only under the direction of the lockmaster; but if required, 
all vessels and rafts using the locks must furnish ample help on the 
lock walls for handling lines and maneuvering the various parts of the 
lock under the direction of the lockmaster.
    (f) [Reserved]
    (g) Rafts, logging. (1) Rafts will be permitted to navigate a 
waterway only if properly and securely assembled. The passage of ``bag'' 
or ``sack'' rafts, ``dog'' rafts, or of loose logs over any portion of a 
waterway, is prohibited. Each section of a raft will be secured within 
itself in such a manner as to prevent the sinking of any log, and so 
fastened or tied with chains or wire rope that it cannot be separated or 
bag out so as to materially change its shape. All dogs, chains and other 
means used in assembling rafts shall be in good condition and of ample 
size and strength to accomplish their purposes.
    (2) No section of a raft will be permitted to be towed over any 
portion of a waterway unless the logs float sufficiently high in the 
water to make it evident that the section will not sink en route.
    (3) Frequent inspections will be made by the person in charge of 
each raft to insure that all fastenings remain secure, and when any one 
is found to have loosened, it shall be repaired at once. Should any log 
or section be lost from a raft, the fact must be promptly reported to 
the District Engineer, giving as definitely as possible the exact point 
at which the loss occurred. In all cases the owner of the lost log or 
section will take steps immediately to remove the same from the 
waterway.
    (4) The length and width of rafts shall not exceed such maximum 
dimensions as may be prescribed by the District Engineer.
    (5) All rafts shall carry sufficient men to enable them to be 
managed properly, and to keep them from being an obstruction to other 
craft using the waterway. To permit safe passage in a narrow channel 
rafts will, if necessary, stop and tie up alongside the bank. Care must 
be exercised both in towing and mooring rafts to avoid the possibility 
of damage to aids to navigation maintained by the United States or under 
its authorization.
    (6) When rafts are left for any reason with no one in attendance, 
they must be securely tied at each end and at as many intermediate 
points as may be necessary to keep the timbers from bagging into the 
stream, and must be moored so as to conform to the shape of the bank. 
Rafts moored to the bank shall have lights at 500-foot intervals along 
their entire length. Rafts must not be moored at prominent projections 
of the bank, or at critical sections.
    (7) Logs may be stored in certain tributary streams provided a clear 
channel at least one-half the width of the channel be left clear for 
navigation along the tributary. Such storage spaces must be protected by 
booms and, if necessary to maintain an open channel, piling should also 
be used. Authority for placing these booms and piling must be obtained 
by written permit from the District Engineer.

[[Page 43]]

    (8) The building, assembling, or breaking up of a raft in a waterway 
will be permitted only upon special authority obtained from the District 
Engineer, and under such conditions as he may prescribe.
    (h) Dumping of refuse or oil in waterway, obstructions. Attention is 
invited to the provisions of sections 13 and 20 of the River and Harbor 
Act of March 3, 1899 (30 Stat. 1152, 1154; 33 U. S. C. 407, 415), and of 
sections 2, 3, and 4 of the Oil Pollution Act of June 7, 1924 (43 Stat. 
604, 605; 33 U.S.C. 432-434), which prohibit the depositing of any 
refuse matter in these waterways or along their banks where liable to be 
washed into the waters; authorize the immediate removal or destruction 
of any sunken vessel, craft, raft, or other similar obstruction, which 
stops or endangers navigation; and prohibit the discharge of oil from 
vessels into the coastal navigable waters of the United States.
    (i) Damage. Masters and owners of vessels using the waterways are 
responsible for any damage caused by their operations to canal 
revetments, lock piers and walls, bridges, hurricane gate chambers, 
spillways, or approaches thereto, or other Government structures, and 
for displacing or damaging of buoys, stakes, spars, range lights or 
other aids to navigation. Should any part of a revetment, lock, bridge, 
hurricane gate chamber, spillway or approach thereto, be damaged, they 
shall report the fact, and furnish a clear statement of how the damage 
occurred, to the nearest Government lockmaster or bridge tender, and by 
mail to the District Engineer, U.S. Engineer Office, in local charge of 
the waterway in which the damage occurred. Should any aid to navigation 
be damaged, they shall report that fact immediately to the 
Superintendent of Lighthouses at Norfolk, Virginia, if north of New 
River Inlet, North Carolina; to the Superintendent of Lighthouses at 
Charleston, South Carolina, if between New River Inlet, North Carolina, 
and St. Lucie Inlet, Florida; to the Superintendent of Lighthouses at 
Key West, Florida, if between St. Lucie Inlet and Suwanee River, 
Florida; and to the Superintendent of Lighthouses, New Orleans, 
Louisiana, if between Suwanee River and St. Marks, Florida.
    (j) Trespass on property of the United States. Trespass on waterway 
property or injury to the banks, locks, bridges, piers, fences, trees, 
houses, shops or any other property of the United States pertaining to 
the waterway is strictly prohibited. No business, trading or landing of 
freight or baggage will be allowed on or over Government piers, bridges, 
or lock walls.
    (k) Copies of regulations. Copies of the regulations in this section 
will be furnished free of charge upon application to the nearest 
District Engineer.

[Regs., Apr. 30, 1938, as amended at 8 FR 15381, Nov. 9, 1943; 25 FR 
8908, Sept. 16, 1960; 26 FR 353, Jan. 18, 1961; 34 FR 4967, Mar. 7, 
1969; 42 FR 57961, Nov. 7, 1977; 48 FR 6335, Feb. 11, 1983; 56 FR 13765, 
Apr. 4, 1991]



Sec. 207.169  Oklawaha River, navigation lock and dam at Moss Bluff, 
Fla.; use, administration, and navigation.

    (a) The owner of or agency controlling the lock shall not be 
required to operate the navigation lock except from 7 a.m. to 7 p.m. 
during the period of February 15 through October 15 each year, and from 
8 a.m. to 6 p.m. during the remaining months of the year. During the 
above hours and periods the lock shall be opened upon demand for the 
passage of vessels. The hours of operation are based on local time.
    (b) The owner of or agency controlling the lock shall place signs of 
such size and description as may be designated by the District Engineer, 
U.S. Army Engineer District, Jacksonville, Fla., at each side of the 
lock indicating the nature of the regulations of this section.

[35 FR 10520, June 27, 1970, as amended at 38 FR 5468, Mar. 1, 1973]



Sec. 207.170  Federal Dam, Oklawaha River, Moss Bluff, Fla.; pool level.

    (a) The level of the pool shall normally be maintained at elevation 
56.5 feet above sea level: Provided, That the level of the pool may be 
raised to not exceeding 58.5 feet above sea level at such times as may 
be authorized in writing by the District Engineer, Jacksonville, Fla., 
and subject to such conditions as he may specify.

[[Page 44]]

    (b) When, in the opinion of the District Engineer, an emergency 
exists requiring the lowering of the pool level to an elevation less 
than 56.5 above sea level either to safeguard the dikes or to increase 
the discharge from Lake Griffin in times of high water, the discharge 
past the dam shall be regulated in such manner as he may direct until he 
shall declare the emergency passed.

[Regs., Dec. 3, 1928]



Sec. 207.170a  Eugene J. Burrell Navigation Lock in Haines Creek near 
Lisbon, Fla.; use, administration, and navigation.

    (a) The owner of or agency controlling the lock shall not be 
required to operate the navigation lock except from 7 a.m. to 12 noon, 
and from 1 p.m. to 7 p.m., during the period of February 15 through 
October 15 each year; and from 8 a.m. to 12 noon, and from 1 p.m. to 6 
p.m., during the remaining months of each year. During the above hours 
and periods the lock shall be opened upon demand for the passage of 
vessels.
    (b) The owner of the lock shall place signs, of such size and 
description as may be designated by the District Engineer, U.S. Army 
Engineer District, Jacksonville, Florida, at each side of this lock 
indicating the nature of the regulations of this section.

[24 FR 1461, Feb. 27, 1959]



Sec. 207.170b  Apopka-Beauclair Navigation Lock in Apopka-Beauclair 
Canal in Lake County, Fla.; use, administration, and navigation.

    (a) The owner of or agency controlling the lock shall not be 
required to operate the navigation lock except from 7:00 a.m. to 12:00 
noon, and from 1:00 p.m. to 7:00 p.m., during the period of February 15 
through October 15 each year; and from 8:00 a.m. to 12 noon, and from 
1:00 p.m. to 6:00 p.m., during the remaining months of each year. During 
the above hours and periods the lock shall be opened upon demand for the 
passage of vessels.
    (b) The owner of the lock shall place signs, of such size and 
descriptions as may be designated by the District Engineer, U.S. Army 
Engineer District, Jacksonville, Florida, at each side of this lock 
indicating the nature of the regulations.

[24 FR 5151, June 24, 1959]



Sec. 207.170c  Kissimmee River, navigation locks between Lake 
Tohopekaliga and Lake Okeechobee, Fla.; use, administration, and 
navigation.

    (a) The owner of or agency controlling the locks shall be required 
to open the navigation locks upon demand for passage of vessels during 
the following hours and periods:

 
------------------------------------------------------------------------
                       Locks S-61, S-65, and S-65E
------------------------------------------------------------------------
Monday through Friday...........  All year..........  7:00 a.m. to 6:00
                                                       p.m.
Saturday and Sunday.............  Mar. 1 through      5:30 a.m. to 7:30
                                   Oct. 31.            p.m.
 Do.............................  Nov. 1 through      5:30 a.m. to 6:30
                                   Feb. 28.            p.m.
------------------------------------------------------------------------
                               Lock S-65A
------------------------------------------------------------------------
Seven days a week...............  All year..........  8:00 a.m. to 5:00
                                                       p.m.
------------------------------------------------------------------------
                      Locks S-65B, S-65C, and S-65D
------------------------------------------------------------------------
Monday through Friday...........  All year..........  8:00 a.m. to 5:00
                                                       p.m.
Saturday and Sunday.............  Mar. 1 through      5:30 a.m. to 7:30
                                   Oct. 31.            p.m.
 Do.............................  Nov. 1 through      5:30 a.m. to 6:30
                                   Feb. 28.            p.m.
------------------------------------------------------------------------
 

    (b) The owner of or agency controlling the locks shall place signs, 
of such size and description as may be designated by the District 
Engineer, U.S. Army Engineer District, Jacksonville, Florida, at each 
side of the locks indicating the nature of the regulations of this 
section.

[29 FR 2384; Feb. 12, 1964, as amended at 31 FR 7566, May 26, 1966; 33 
FR 7626, May 23, 1968]



Sec. 207.170d  Taylor Creek, navigation lock (S-193) across the entrance 
to Taylor Creek at Lake Okeechobee, Okeechobee, Fla.; use, administration, 
and navigation.

    (a) The owner of or agency controlling the lock shall not be 
required to operate the navigation lock except from 5:30 a.m. to 8:00 
p.m. daily. During the above hours the lock shall be opened upon demand 
for the passage of vessels.
    (b) The owner of the lock shall place signs, of such size and 
description as

[[Page 45]]

may be designated by the District Engineer, U.S. Army Engineer District, 
Jacksonville, Florida at each side of this lock indicating the nature of 
the regulations of this section.

[Regs., July 17, 1973, 1522-01 (Taylor Creek, Fla.) DAEN-CWO-N]

(Sec. 7, 40 Stat. 266; 33 U.S.C. 1)

[38 FR 21404, Aug. 8, 1973]



Sec. 207.175a  Carlson's Landing Dam navigation lock, Withlacoochee 
River, Fla.; use, administration, and navigation.

    (a) The owner of or agency controlling the lock shall not be 
required to operate the navigation lock except from 7 a.m. to 12 noon, 
and from 1 p.m. to 7 p.m., during the period of February 15 through 
October 15 each year; and from 8 a.m. to 12 noon, and from 1 p.m. to 6 
p.m., during the remaining months of each year. During the above hours 
and periods the lock shall be opened upon demand for the passage of 
vessels.
    (b) The owner of or agency controlling the lock shall place signs, 
of such size and description as may be designated by the District 
Engineer, U.S. Army Engineer District, Jacksonville, Fla., at each side 
of the lock indicating the nature of the regulations in this section.

[30 FR 6161, May 1, 1965]



Sec. 207.180  All waterways tributary to the Gulf of Mexico (except 

the Mississippi River, its tributaries, South and Southwest Passes 
and the Atchafalaya River) from St. Marks, Fla., to the Rio Grande; 
use, administration, and navigation.

    (a) The regulations in this section shall apply to:
    (1) Waterways. All navigable waters of the U.S. tributary to or 
connected by other waterways with the Gulf of Mexico between St. Marks, 
Fla., and the Rio Grande, Tex. (both inclusive), and the Gulf 
Intracoastal Waterway; except the Mississippi River, its tributaries, 
South and Southwest Passes, and the Atchafalaya River above its junction 
with the Morgan City-Port Allen Route.
    (2) Locks and floodgates. All locks, floodgates, and appurtenant 
structures in the waterways described in paragraph (a)(1) of this 
section.
    (3) Bridges, wharves, and other structures. All bridges, wharves, 
and other structures in or over these waterways.
    (4) Vessels. The term ``vessels'' as used in this section includes 
all floating craft other than rafts.
    (5) Rafts. The term ``raft'' as used in this section includes any 
and all types of assemblages of floating logs or timber fastened 
together for support or conveyance.
    (b) Authority of District Engineers. The use, administration, and 
navigation of the waterways and structures to which this section applies 
shall be under the direction of the officers of the Corps of Engineers, 
U.S. Army, in charge of the respective districts, and their authorized 
assistants. The location of these Engineer Districts, and the limits of 
their jurisdiction, are as follows:
    (1) U.S. District Engineer, Mobile, Ala. The St. Marks River, Fla., 
to the Pearl River, Mississippi and Louisiana; and the Gulf Intracoastal 
Waterway from Apalachee Bay, Fla., to mile 36.4 east of Harvey Lock.
    (2) U.S. District Engineer, Vicksburg, Miss. The Pearl River and its 
tributaries, Mississippi and Louisiana.
    (3) U.S. District Engineer, New Orleans, La. From Pearl River, 
Mississippi and Louisiana, to Sabine River, Louisiana and Texas; and the 
Gulf Intracoastal Waterway from mile 36.4 east of Harvey Lock, to mile 
266 west of Harvey Lock.
    (4) U.S. District Engineer, Galveston, Tex. The Sabine River, 
Louisiana and Texas, to the Rio Grande, Tex.; and the Gulf Intracoastal 
Waterway from mile 266 west of Harvey Lock, to Brownsville, Tex.
    (c) [Reserved]
    (d) Locks and floodgates. (1) The term ``lock'' as used in this 
section shall include locks, floodgates, and appurtenant structures, and 
the area designated as the lock area including the lock approach 
channels.
    (2) Authority of lockmasters. The term ``lockmaster'' as used in 
this section means the official in charge of operating a lock or 
floodgate. The lockmaster is responsible for the immediate management 
and control of

[[Page 46]]

the lock and lock area and for the enforcement of all laws, rules, and 
regulations for the use of the lock. He is authorized to give all 
necessary and appropriate orders and instructions to every person in the 
lock area, whether navigating the lock or not; and no one shall cause 
any movement of any vessel within the lock area unless instructed to do 
so by the lockmaster or his duly authorized assistants. The lockmaster 
may refuse passage through the lock to any vessel which, in his 
judgment, fails to comply with the regulations of this section.
    (3) Sound signals. Vessels desiring passage through a lock shall 
notify the lockmaster by three long and distinct blasts of a horn, 
whistle, or calls through a megaphone, when within a reasonable distance 
from the lock. When the lock is ready for entrance, the lockmaster shall 
reply with three long blasts of a horn, whistle, or calls through a 
megaphone. When the lock is not ready for entrance, the lockmaster shall 
reply by four or more short, distinct blasts of a horn, whistle, or 
calls through a megaphone (danger signal). Permission to leave the lock 
shall be indicated by the lockmaster by one long blast.
    (4) Visual signals. Signal lights and discs shall be displayed at 
all locks as follows:
    (i) From sunset to sunrise. One green light shall indicate the lock 
is open to approaching navigation; one red light shall indicate the lock 
is closed to approaching navigation.
    (ii) From sunrise to sunset. Large discs, identical in color and 
number to the light signals prescribed in paragraph (d)(4)(i) of this 
section will be displayed from a mast on or near the lock wall.
    (5) Radiophone. Locks will moior continously VHF--Channel 14 
(``Safety and Calling'' Channel) and/or AM-2738 kHz for initial 
communication with vessels. Upon arrival at a lock, a vessel equipped 
with radio-phone will immediately advise the lock by radio of its 
arrival so that the vessel may be placed on proper turn. Information 
transmitted or received in these communications shall in no way affect 
the requirements for use of sound signals or display of visual signals, 
as provided in paragraphs (d) (3) and (4) of this section.
    (6) Precedence at locks. The order of precedence for locking is:
    (i) U.S. Government vessels, passenger vessels, commercial vessels, 
rafts, and pleasure craft.
    (ii) The vessel arriving first at a lock will be locked through 
first. When vessels approach simultaneously from opposite directions, 
the vessel approaching at the same elevation as the water in the lock 
chamber will be locked through first. In order to achieve the most 
efficient utilization of the lock, the lockmaster is authorized to 
depart from the normal order of locking precedence, stated in paragraph 
(d)(6)(i) of this section, as in his judgment is warranted.
    (iii) The lockage of pleasure boats, houseboats, or like craft may 
be expedited by locking them through with commercial craft (other than 
vessels carrying dangerous cargoes, as described in 46 CFR part 146). 
If, after the arrival of such craft, no combined lockage can be made 
within reasonable time, not to exceed three other lockages, then 
separate lockage shall be made.
    (7) Entrance to and exits from locks. No vessel or tow shall enter 
or exit from a lock before being signaled to do so. While awaiting turn, 
vessels or tows must not obstruct navigation and must remain at a safe 
distance from the lock, taking position to the rear of any vessel or 
tows that precede them; and rearranging the tow for locking in sections, 
if necessary. Masters and pilots of vessels or tows shall enter or exit 
from a lock with reasonable promptness after receiving the proper 
signal. Appropriate action will be taken to insure that the lock 
approaches are not obstructed by sections of a tow either awaiting 
lockage or already locked through. Masters of vessels shall provide 
sufficient men to assist in the locking operation when deemed necessary 
by the lockmaster. Care shall be taken to insure prompt and safe passage 
of the vessel without damage to the structure.
    (8) Lockage and passage of vessels. Vessels or tows shall enter and 
exit from locks under sufficient control to prevent damage to the lock, 
gates, guide

[[Page 47]]

walls, fenders, or other parts of the structure. Vessels shall be 
equipped with and use suitable fenders and adequate lines to protect the 
lock and to insure safe mooring during the locking operation. Vessels 
shall not meet or pass anywhere between the gate walls or fender system 
or in the approaches to locks.
    (9) Vessels prohibited from locks. The following vessels shall not 
be permitted to enter locks or approach channels:
    (i) Vessels in a sinking condition.
    (ii) Vessels leaking or spilling cargo.
    (iii) Vessels not having a draft of at least three (3) inches less 
than the depth over the sills or breast walls.
    (iv) Vessels having projection or cargo loaded in such a manner that 
is liable to damage the structure.
    (v) Vessels having chains, links, or drags either hanging over the 
sides or ends or dragging on the bottom for steering or other purposes.
    (vi) Vessels containing flammable or dangerous cargo must have the 
hatch covers in place and securely fastened.
    (10) Number of lockages. Tows locking in sections will generally be 
allowed only two consecutive lockages if other vessels are waiting for 
lockage unless otherwise decided by the lockmaster. If other tows are 
waiting above and below a lock, lockages will be made both ways 
alternately whenever practicable.
    (11) Mooring in locks. (i) When in a lock, vessels and tows shall be 
moored where directed by the lockmaster by bow, stern, and spring lines 
to the snubbing posts or hooks provided for that purpose, and lines 
shall not be let go until the signal is given for the vessel to exit. 
Tying to the lock ladders is prohibited.
    (ii) Mooring near the approaches to locks is prohibited except when 
the vessels or tows are awaiting lockage.
    (12) Lock operating personnel. Vessels and tows using the locks may 
be required to furnish personnel to assist in locking through; however, 
the operation of the structure is the responsibility of the lockmaster, 
and personnel assisting in the lockage of the vessels and tows will 
follow the direction of the appropriate official on duty at the lock. No 
gates, valves or other accessories or controls will be operated unless 
under his direction.
    (13) [Reserved]
    (14) Lockage of rafts. Rafts shall be locked through as directed by 
the lockmaster. No raft will be locked that is not constructed in 
accordance with the requirements stated in paragraph (f) of this 
section. The person in charge of a raft desiring lockage shall register 
with the lockmaster immediately upon arriving at the lock and receive 
instructions for locking.
    (e) Waterways. (1)-(5)(i) [Reserved]
    (ii) Algiers Canal between the Mississippi River and Bayou 
Barataria, La., and on Harvey Canal, Gulf Intracoastal Waterway, mile 0 
to mile 6 WHL, tows 74 feet in width will be allowed. Tows in excess of 
55 feet wide desiring to move over Algiers Canal or Harvey Canal will 
obtain clearance from the lockmaster at Algiers Lock or Harvey Lock, 
respectively, before entering the canal. Overwidth tows will report 
clearing Algiers or Harvey Canal to the respective lockmaster and will 
rearrange tows to conform to prescribed dimensions immediately upon 
leaving the canal. The lockmaster will withhold permission for 
additional tows over 55 feet wide until all previously authorized tows 
moving in the opposite direction have cleared the waterway.
    (iii)-(vi) [Reserved]
    (vii) Vessels or tows shall not navigate through a drawbridge until 
the movable span is fully opened.
    (6) Projections from vessels. Vessels or tows carrying a deck load 
which overhangs or projects over the side, or whose rigging projects 
over the side, so as to endanger passing vessels, wharves, or other 
property, shall not enter or pass through any of the narrow parts of the 
waterway without prior approval of the District Engineer.
    (7) Meeting and passing. Passing vessels shall give the proper 
signals and pass in accordance with the Federal Rules of the Road. At 
certain intersections where strong currents may be encountered, sailing 
directions may be issued through navigation bulletins or signs posted on 
each side of the intersection.

[[Page 48]]

    (f) Rafts. The navigation regulations in this paragraph shall apply 
fully to the movement of rafts.
    (1) Rafts will be permitted to navigate a waterway only if properly 
and securely assembled. Each raft shall be so secured as to prevent the 
loss or sinking of logs.
    (2) All rafts shall carry sufficient men to enable them to be 
managed properly. It will be the responsibility of the owner to remove 
logs from the waterway that have broken loose from the raft.
    (3) Building, assembling, or breaking up of a raft within a waterway 
may be permitted; however, the work must be done in an area that will 
not restrict the use of the waterway by other users. The work area must 
be cleared of loose logs so that they will not enter the waterway and 
become a hazard to navigation.
    (g) Damage. Should any damage be done to a revetment, lock, 
floodgates, bridge, or other federally owned or operated structure, the 
master of the vessel shall report the accident to the nearest lockmaster 
or bridgetender as soon as possible after the accident. Damage to aids 
to navigation and to nonfederally owned bridges must be reported to the 
Commander, Eighth Coast Guard District, New Orleans, La.
    (h) Marine accidents. Masters, mates, pilots, owners, or other 
persons using the waterways covered by this section shall report to the 
District Engineer at the earliest possible date any accident on the 
waterway which causes any vessel to become an obstruction to navigation. 
The information to be furnished the District Engineer shall include the 
name of the vessel, its location, and the name and address of the owner. 
The owner of a sunken vessel shall properly mark the vessel as soon as 
practicable after sinking.
    (i) Trespass on U.S. property. (1) Trespass on or injury to waterway 
property of the United States is prohibited. No business, trading, or 
landing of freight, will be allowed on Government property without 
permission of the District Engineer.
    (2) The District Engineer may establish policy pertaining to 
mooring, exchanging crews, loading and unloading supplies, and making 
emergency repairs in the vicinity of locks so long as navigation is not 
impeded thereby.
    (j) Liability. The regulations of this section will not affect the 
liability of the owners and operators of vessels for any damage caused 
by their operations to the waterway or to the structures therein.

[36 FR 8866, May 14, 1971, as amended at 37 FR 26419, Dec. 12, 1972; 42 
FR 57961, Nov. 7, 1977; 48 FR 6707, Feb. 15, 1983; 54 FR 6519, Feb. 13, 
1989; 56 FR 13765, Apr. 4, 1991]



Sec. 207.185  Taylors Bayou, Tex., Beaumont Navigation District Lock; 
use, administration, and navigation.

    (a) Between March 15 and September 15 each year, pleasure boats, 
houseboats, and other craft not employed for commercial purposes, will 
be locked through only at 6:00 and 11:45 a.m., and 6:30 p.m., except in 
cases of emergency; but whenever a lockage is made for a commercial 
boat, other craft may likewise pass through if there is room in the 
lock. At all other times lockages shall be made in accordance with Sec. 
207.180.
    (b) The lock tender or one in charge of the lock shall be the judge 
as to whether the boat presenting itself for lockage is a commercial or 
pleasure boat.

[4 FR 1719, Apr. 29, 1939]



Sec. 207.187  Gulf Intracoastal Waterway, Tex.; special floodgate, lock 
and navigation regulations.

    (a) Application. The regulations in this section shall apply to the 
operation of the Brazos River Floodgates and the Colorado River Locks at 
Mile 400.8 and Mile 441.5, respectively, west of Harvey Lock, La., on 
the Gulf Intracoastal Waterway, and navigation of the tributary Colorado 
River Channel in the vicinity of said locks.
    (b) Definitions. The term current means the velocity of flow of 
water in the river. It is expressed in statute miles per hour. The term 
``head differential'' means the difference measured in feet between the 
water level in the river and that in the waterway when the floodgates or 
lock gates are closed. The term ``Lockmaster'' means the official in 
charge of the floodgates or locks.

[[Page 49]]

    (c) Operation of floodgates and locks--(1) Unlimited passage. The 
floodgates and locks shall be opened for the passage of single vessels 
and towboats with single or multiple barges when the current in the 
river is less than 2 miles per hour and the head differential is less 
than 0.7 foot. When the head differential is less than 0.7, the Colorado 
River locks shall normally be operated as floodgates, using only the 
riverside gates of each lock.
    (2) Limited passage. When the current in either river exceeds 2 
miles per hour or the head differential at the Brazos River floodgates 
is between the limits of 0.7 foot and 1.8 feet, both inclusive, or the 
head differential at the Colorado River locks is 0.7 foot or greater, 
passage shall be afforded only for single vessels or towboats with 
single loaded barges or two empty barges. When two barges are rigidly 
assembled abreast of each other and the combined width of both together 
is 55 feet or less, they shall be considered as one barge. Each section 
of an integrated barge shall be considered as one barge, except when it 
is necessary to attach a rake section to a single box section to 
facilitate passage, the two sections shall be considered as one barge. 
It shall be the responsibility of the master, pilot or other person in 
charge of a vessel to determine whether a safe passage can be effected, 
give due consideration to the vessel's power and maneuverability, and 
prevailing current velocity, head differential, weather and visibility. 
If conditions are not favorable, passage shall be delayed until 
conditions improve and a safe crossing is assured.
    (3) Gate closures. The Brazos River Floodgates shall be closed to 
navigation when the head differential exceeds 1.8 feet. The Colorado 
River Locks shall be closed to navigation when the current in the river 
exceeds a critical velocity as determined by the District Engineer, U.S. 
Army Engineer District, Galveston, Tex. The Brazos River Floodgates or 
the Colorado River Locks shall be closed to navigation when in the 
opinion of said District Engineer it is required for the protection of 
life and property, or it is to the advantage of the Government to permit 
uninterrupted emergency or maintenance operations, including dredging.
    (4) Mooring facilities. Mooring facilities located on both banks of 
the Gulf Intracoastal Waterway on the approaches to the floodgates and 
locks are for the mooring of vessels when the floodgates or locks are 
closed to navigation or tows are limited to single barges. Vessels 
awaiting passage shall be moored parallel to the bank and as close to 
the bank as possible. Barges shall be moored fore and aft with two 
lines, each to a separate mooring facility. Beaching of vessels in lieu 
of mooring them is prohibited. The mooring facilities are numbered and 
vessels making fast to them shall notify the Lockmaster giving the 
number of each facility being used.
    (5) [Reserved]
    (6) Communication--(i) Radio. The floodgates and locks are equipped 
with short wave radio equipment transmitting and receiving on VHF--FM 
Channels 12, 13, 14 and 16. Call letters for the floodgates are WUI 411 
and for the locks are WUI 412.
    (ii) Telephone. The floodgates and locks are equipped with telephone 
facilities. The floodgates may be reached by phoning Freeport, Tx, 713-
233-1251; the locks may be reached by phoning Matagorda, Tx, 713-863-
7842.
    (7) Arrival posts. Arrival posts 10 feet high and 10 inches in 
diameter have been established on the approaches to the locks and 
floodgates. They are painted with alternate horizontal bands of red and 
white 3 inches wide. Arrival at the floodgates or locks shall be 
determined as provided in paragraph (d)(4) of Sec. 207.180.
    (d) Navigation of the Colorado River Channel--(1) Traffic signals. 
(i) Light and sound signals directed both upstream and downstream on the 
Colorado River are mounted on top of a galvanized skeleton steel tower 
85 feet high located on the northeast point of land at the Gulf 
Intracoastal Waterway crossing of the river. They will be operated from 
the control house of the East Lock of the Colorado River Locks to direct 
the interchange of traffic in the Colorado River and the Gulf 
Intracoastal Waterway.
    (ii) Vessels navigating the Colorado River and desiring passage 
either upstream or downstream through the crossing, or into the crossing 
and

[[Page 50]]

through a lock into the Gulf Intracoastal Waterway, shall give notice to 
the Lockmaster by two long and distinct blasts of a whistle or horn when 
within a distance of not more than one-half mile nor less than one-
fourth mile from the Gulf Intracoastal Waterway crossing. When the locks 
and the crossing are clear of vessels, the Lockmaster shall reply by two 
long and distinct blasts of a whistle or horn and display a green light 
from the signal tower indicating that the vessel in the river may 
proceed across the crossing or into the main stem of the Gulf 
Intracoastal Waterway either eastbound or westbound. When there are 
vessels in the river crossing or in the locks, the Lockmaster shall 
reply by four or more short blasts of a whistle or horn (danger signal) 
and display a red light from the signal tower indicating the vessel in 
the river shall wait at least a quarter of a mile from the crossing for 
clearance. When the locks and crossing are clear of vessels, the 
lockmaster shall indicate to the waiting vessel by two long and distinct 
blasts of a whistle or horn and display of a green light from the signal 
tower indicating that the vessel may proceed across the crossing or into 
the main stem of the Gulf Intracoastal Waterway either eastbound or 
westbound. During periods when the red light may be obscured by fog, 
mist, or rain, an audible signal consisting of a long blast followed by 
a short blast of a whistle or horn, repeated every 30 seconds, shall be 
sounded from the signal tower as an adjunct to the red light.
    (2) Signs. Large signs with silver reflective background and stop 
sign red letters are erected one-fourth mile upstream and downstream 
from the Gulf Intracoastal Waterway on the Colorado River. The legend 
states ``DO NOT PROCEED BEYOND THIS POINT WHEN SIGNAL TOWER LIGHT IS 
RED.'' These signs must be obeyed.
    Note: The foregoing regulations are supplementary to the regulations 
in Sec. 207.180.

[31 FR 15310, Dec. 7, 1966, as amended at 34 FR 15797, Oct. 14, 1969; 48 
FR 6707, Feb. 15, 1983]



Sec. 207.200  Mississippi River below mouth of Ohio River, including 
South and Southwest Passes; use, administration, and navigation.

    (a) Mississippi River bank protection works provided by United 
States. Except in case of great emergency, no vessel or craft shall 
anchor over revetted banks of the river, and no floating plant other 
than launches and similar small craft shall land against banks protected 
by revetment except at regular commercial landings. In all cases, every 
precaution to avoid damage to the revetment works shall be exercised. 
The construction of log rafts along mattressed or paved banks or the 
tying up and landing of log rafts against such banks shall be performed 
in such a manner as to cause no damage to the mattress work or bank 
paving. Generally, mattress work extends out into the river 600 feet 
from the low water line. Information as to the location of revetted 
areas may be obtained from, and will be published from time to time by, 
the District Engineers, Corps of Engineers, New Orleans, Louisiana, 
Vicksburg, Mississippi, and Memphis, Tennessee, and the President, 
Mississippi River Commission, Vicksburg, Mississippi.
    (b) Mississippi River below Baton Rouge, La., including South and 
Southwest Passes--(1) Supervision. The use, administration, and 
navigation of the waterways to which this paragraph applies shall be 
under the supervision of the District Engineer, Corps of Engineers, New 
Orleans, Louisiana.
    (2)-(3) [Reserved]
    (4) Cable and pipeline crossings. Any cable or pipeline crossing or 
extending into the waterways shall be marked by large signs with 12-inch 
black letters on a white background readable from the waterway side, 
placed on each side of the river near the point where the cable or 
pipeline enters the water, and at a sufficient height to be readable 
above any obstructions normally to be expected at the locality such as 
weeds or moored vessels.
    (5) Marine accidents. Masters, mates, pilots, owners, or other 
persons using the waterway to which this paragraph applies shall notify 
the District Engineer by the most expeditious means available of all 
marine accidents, such

[[Page 51]]

as fire, collision, sinking, or stranding, where there is possible 
obstruction of the channel or interference with navigation or where 
damage to Government property is involved, furnishing a clear statement 
as to the name, address, and ownership of the vessel or vessels 
involved, the time and place, and the action taken. In all cases, the 
owner of the sunken vessel shall take immediate steps properly to mark 
the wreck.

[15 FR 3325, May 30, 1950, as amended at 17 FR 6594, July 18, 1952; 27 
FR 3166, Apr. 3, 1962; 33 FR 10456, July 23, 1968; 42 FR 51773, Sept. 
29, 1977; 42 FR 57961, 57962, Nov. 7, 1977]



Sec. 207.249  Ouachita and Black Rivers, Ark. and La., Mile 0.0 

to Mile 338.0 (Camden, Ark.) above the mouth of the Black River; 
the Red River, La., Mile 6.7 (Junction of Red, Atchafalaya and 
Old Rivers) to Mile 276.0 (Shreveport, La.); use, administration, 
and navigation.

    (a) [Reserved]
    (b) Locks--(1) Authority of lockmasters. (i) Locks staffed with 
Government personnel. The lockmaster shall be charged with the immediate 
control and management of the lock and of the area set aside as the lock 
area, including the lock approach channels. He shall insure that all 
laws, rules, and regulations for the use of the lock and lock area are 
duly complied with, to which end he is authorized to give all necessary 
orders and directions in accordance therewith both to employees of the 
Government and to any and every person within the limits of the lock or 
lock area, whether navigating the lock or not. No one shall cause any 
movement of any vessel or other floating thing in the lock or approaches 
except by or under the direction of the lockmaster or his assistants. 
For the purpose of the regulations in this section, the ``lock area'' is 
considered to extend from the downstream to the upstream arrival posts.
    (ii) Locks staffed with contract personnel. Contract lock operators 
shall give all necessary orders and direction for operation of the 
locks. No one shall cause any movement of any vessel or other floating 
object in the locks or approaches except by or under the direction of 
the contract lock operator. All duties and responsibilities of the 
lockmasters set forth in this section shall be performed by the contract 
lock operator except that the responsibility for enforcing all laws, 
rules and regulations shall be vested in an offsite government employee 
designated by the Vicksburg District Engineer.
    (2) Sound signals. (i) Vessels desiring passage through a lock in 
either direction shall give notice to the lockmaster by one long and one 
short distinct blast of a horn or whistle when not less than three-
fourths mile from the lock. When carrying dangerous cargo, the signal 
will be one long and two short blasts of the horn or whistle. When the 
lock is ready for entrance, the lockmaster shall reply with one long 
blast of a horn or whistle. When the lock is not ready for entrance, the 
lockmaster shall reply by four or more short, distinct blasts of a horn 
or whistle (danger signal). Permission to leave the lock shall be 
indicated by the lockmaster by one short blast. A distinct blast is 
defined as a clearly audible blast of any length. A long blast means a 
blast of from 4 to 6 seconds' duration. A short blast is of about 1 
second's duration.
    (ii) Vessels that are not equipped with a sound signal desiring 
passage through a lock shall give notice to the lockmaster by one long 
blast of the horn located at either end of the lock wall. The horn may 
be activated by pulling the properly marked chain or rope hanging from 
the horn down to the water surface. One long blast means a blast of from 
4 to 6 seconds' duration.
    (3) Visual signals. Signal lights will be displayed outside each 
lock gate to supplement the sound signals, as follows:
    (i) One green light to indicate that the lock is open to approaching 
navigation.
    (ii) One red light to indicate that the lock is not open to 
approaching navigation. Vessels shall stand clear.
    (iii) Navigation over the dam is possible during high water. When 
this condition exists, a continuous flashing red light, visible upstream 
and downstream, will be displayed to indicate that traffic will bypass 
the lock and pass over the dam on the Ouachita and Black Rivers.

[[Page 52]]

    (iv) A navigation pass is not provided as part of the Red River 
Locks and Dams. When water levels rise to within 2 feet of the top of 
the lock walls, operation of the locks will cease until the water level 
falls below this level. These stages can reasonably be expected to occur 
once in 10 years. No vessel, tow, or raft shall attempt to navigate over 
the lock or other structures at high river stages. United States Coast 
Guard radiotelephone broadcasts and U.S. Army Corps of Engineers 
navigation bulletins should be monitored for information on lock 
operations.
    (4) Radiotelephone. Two-way radio equipment is provided at all 
locks. The ``Safety and Calling'' channel (Channel 16, frequency of 
156.8 mhz), will be monitored at all times for initial communication 
with vessels. Information transmitted or received in these 
communications shall in no way affect the requirements for the use of 
sound signals or display of visual signals as provided in paragraphs 
(b)(2) and (3) of this section.
    (5) Precedence at locks. (i) The vessel arriving first at a lock 
will be first to lock through. In the case of vessels approaching the 
lock simultaneously from opposite directions, the vessel approaching at 
the same elevation as the water in the lock chamber will be locked 
through first. Precedence shall be given to vessels belonging to the 
United States, passenger vessels, commercial vessels, rafts, and 
pleasure craft, in the order named. Arrival posts or markers will be 
established ashore above and below the locks. Vessels arriving at or 
opposite such posts or markers will be considered as having arrived at 
the lock within the meaning of this paragraph (b)(5). The lockmaster may 
prescribe such departure from the normal order of precedence stated 
above, as in his judgment, is warranted under prevailing circumstances 
to achieve best lock utilization.
    (ii) The lockage of pleasure boats, houseboats, or like craft may be 
expedited by locking them through with commercial craft (other than 
barges carrying dangerous cargoes). If, after the arrival of such craft, 
no combined lockage can be accomplished within a reasonable time, not to 
exceed the time required for three other lockages, then separate 
lockages shall be made. Dangerous cargoes are described in 46 CFR part 
146.
    (iii) Vessels, tows, or rafts navigating on the Ouachita and Black 
Rivers with overall dimensions greater than 80 feet wide, 600 feet long, 
and 9 feet draft, or tows or rafts requiring breaking into two or more 
sections to pass through the lock may transit the lock at such time as 
the lockmaster determines that they will neither unduly delay the 
transit of craft of lesser dimensions, nor endanger the lock structure 
and appurtenances because of wind, current, or other adverse conditions. 
These craft are also subject to such special handling requirements as 
the lockmaster finds necessary at the time of transit.
    (iv) The maximum dimensions on the Red River Waterway of a vessel 
tow attempting to pass through the lock during normal pool stages in a 
single passage are 80 feet wide, 705 feet long, and 9 feet draft. Tows 
requiring breaking into two or more sections to pass through the lock 
may transit the lock at such times as the lockmaster/lock operator 
determines that they will neither unduly delay the transit of craft of 
lesser dimensions, nor endanger the lock structure and appurtenances 
because of wind, current, or other adverse conditions. These craft are 
also subject to such special handling requirements as the lockmaster/
lock operator finds necessary at the time of transit.
    (6) Entrance to an exit from locks. No vessel or raft shall enter or 
leave locks before being signaled to do so. While waiting their turn, 
vessels or rafts must not obstruct navigation and must remain at a safe 
distance from locks. Before entering a lock they shall take position in 
the rear of any vessels or rafts that precede them, and there arrange 
the tow for locking in sections if necessary. Masters and pilots of 
vessels or persons in charge of rafts shall cause no undue delay in 
entering or leaving locks upon receiving the proper signal. They shall 
take such action as will insure that the approaches are not at any time 
unnecessarily obstructed by parts of a tow awaiting lockage or already 
passed through. They shall provide sufficient men to move through locks

[[Page 53]]

promptly without damage to the structures. Vessels or tows shall enter 
locks with reasonable promptness after being signaled to do so.
    (7) Lockage and passage of vessels. (i) Vessels shall enter and 
leave locks under such control as to prevent any damage to the locks, 
gates, guide walls, guard walls, and fenders. Vessels shall be provided 
with suitable lines and fenders, shall always use fenders to protect the 
walls and gates, and when locking at night shall be provided with 
suitable lights and use them as directed. Fenders on vessels shall be 
water-soaked or otherwise fire proofed before being utilized in the lock 
or approaches. Vessels shall not meet or pass each other anywhere 
between the guide walls or fender system at the approaches to locks.
    (ii) Vessels which do not have a draft of at least 2 feet less than 
the depth over sills, or which have projections liable to damage gates, 
walls, or fenders, shall not enter the approaches to or pass through 
locks. Information concerning depth over sills may be obtained from the 
lockman on duty.
    (iii) Vessels having chains, lines, or drags either hanging over the 
sides or ends or dragging on the bottom for steering or other purposes 
will not be permitted to pass locks or dams.
    (iv) Towing vessels shall accompany all tows or partial tows through 
locks.
    (v) No vessel whose cargo projects beyond its sides will be admitted 
to lockage.
    (vi) Vessels in a sinking condition shall not enter locks or 
approaches.
    (vii) The lockmaster may refuse to lock vessels which in his 
judgment fail to comply with the regulations in this paragraph.
    (viii) This section shall not affect the liability of the owners and 
operators of boats for any damage caused by their operations to locks or 
other structures.
    (8) Number of lockages. Tows or rafts locking in sections will 
generally be allowed only two consecutive lockages if individual vessels 
are waiting for lockage, but may be allowed more in special cases. If 
tows or rafts are waiting above and below a lock for lockage, sections 
will be locked both ways alternately whenever practicable. When two or 
more tows or rafts are waiting lockage in the same direction, no part of 
one shall pass the lock until the whole of the one preceding it shall 
have passed.
    (9) Mooring. (i) Vessels and rafts when in a lock shall be moored 
where directed by the lockmaster by bow, stern, and spring lines to the 
bitts provided for that purpose and lines shall not be let go until the 
signal is given for the vessel or raft to leave. Tying to the lock 
ladders is prohibited.
    (ii) The mooring of vessels or rafts near the approaches to locks 
except while waiting for lockage, or at other places in the pools where 
such mooring interfers with general navigation, is prohibited.
    (10) Operating locks. The lock gates, valves, and accessories will 
be moved only under the direction of the lockmaster; but, if required, 
all vessels and rafts using the locks shall furnish ample help on the 
lock walls for handling lines under the direction of the lockmaster.
    (c) Trespass on U.S. property. Trespass on lock grounds or other 
waterway property or injury to the banks, lock entrances, locks, cribs, 
dams, piers, fences, trees, buildings, or any other property of the 
United States pertaining to the waterway is strictly prohibited. No 
landing of freight, passengers, or baggage will be allowed on or over 
Government piers, lock walls, guide or guard walls, except by permission 
of the lockmaster. No person except employees of the United States or 
persons assisting with the locking operations under the direction of the 
lockmaster will be allowed on the dam, lock walls, guide walls, guard 
walls, abutments, or appurtenant structures.
    (d) Vessels to carry regulations. A copy of the regulations in this 
section shall be kept at all times on board each vessel regularly 
navigating the waterways to which the regulations in this section apply. 
Copies may be obtained free of charge at any of the locks or from the 
Vicksburg District Engineer, Vicksburg, Mississippi, upon request.

[37 FR 14778, July 25, 1972, as amended at 52 FR 18235, May 14, 1987; 52 
FR 34775, Sept. 15, 1987; 56 FR 13765, Apr. 4, 1991; 63 FR 24428, May 4, 
1998]

[[Page 54]]



Sec. 207.260  Yazoo Diversion Canal, Vicksburg, Miss., from its mouth 
at Kleinston Landing to Fisher Street; navigation.

    (a) Signals. Vessels navigating the canal will be governed by the 
Pilot Rules for Western Rivers (rivers emptying into the Gulf of Mexico 
and their tributaries) prescribed by the U.S. Coast Guard. (See part 95 
of this title.) \1\
---------------------------------------------------------------------------

    \1\ Part 95 was removed by CGD 82-029, 47 FR 19519, May 6, 1982.
---------------------------------------------------------------------------

    (b) Rafts. Rafts will be permitted to navigate the canal only if 
properly and securely assembled. Each section of a raft shall be so 
secured within itself as to prevent the sinking of any log, and so 
fastened with chains or wire rope that it cannot be separated or bag out 
or materially change its shape. All logs, chains, and other means used 
in assembling rafts shall be in good condition and of ample size and 
strength to accomplish their purpose. No section of a raft will be 
permitted to be towed unless the logs float sufficiently high in the 
water to make it evident that the section will not sink en route. Rafts 
shall not be of greater dimensions than 50 feet wide by 600 feet long, 
and if longer than 300 feet they shall be handled by two tugs; and in 
all cases they must be handled by sufficient tug power to make headway 
and guide the raft so as to give half the channel to passing vessels.
    (c) Mooring. At stages below 20 feet on the Vicksburg Gage, no 
vessel or raft shall be moored along the west bank of the canal between 
points Latitude 32[deg]21[min]16[sec], Longitude 90[deg]53[min]05[sec] 
and Latitude 32[deg]20[min]55[sec], Longitude 90[deg]53[min]18[sec], 
which is approximately 1200 feet above and 1200 feet below the public 
boat launch (foot of Clay Street) at Vicksburg City Front. No vessel or 
raft shall be moored along the west bank of the canal at any stage from 
the mouth of the Yazoo Diversion Canal where it enters into the 
Mississippi River to Latitude 32[deg]20[min]21[sec], Longitude 
90[deg]53[min]44[sec], which is approximately 1200 feet from the mouth 
of the canal. No vessel or raft shall be moored along the east bank of 
the canal at any stage from the mouth of the Yazoo Diversion Canal where 
it enters into the Mississippi River to Latitude 32[deg]20[min]12[sec], 
Longitude 90[deg]53[min]41[sec], which is approximately 750 feet from 
the mouth of the canal. When tied up, boats, barges, or rafts shall be 
moored by bow and stern lines parallel to the bank and as close in as 
practicable. Lines shall be secured at sufficiently close intervals to 
insure the vessel or raft will not be drawn away from the bank by winds, 
current, or other passing vessels. No vessel or raft shall be moored 
along the banks of the canal for a period longer than five (5) calendar 
days without written permission from the District Engineer, Corps of 
Engineers, Vicksburg District Office, 4155 E. Clay St., Vicksburg, 
Mississippi 39180-3435.
    (d) [Reserved]
    (e) Refuse in canal. No person shall roll or throw any stones, 
ashes, cinders, barrels, logs, log butts, sawdust, shavings, refuse, or 
any other material into the canal or the approach thereto, or place any 
such material on the bank or berm so that it is liable to be rolled, 
thrown, or washed into the canal.
    (f) Preservation of works of improvement. Masters and pilots of all 
craft using the canal shall avoid damaging any revetment, dike, 
floodwall, or other work of improvement placed in or adjacent to the 
canal. They shall not disturb any gages or marks set as aids to 
navigation in the canal or approaches thereto.
    (g) Fairway. A clear channel not less than 175 feet wide as 
established by the District Engineer shall be left open at all times to 
permit free and unobstructed navigation by all types of vessels.

[13 FR 9562, Dec. 31, 1948; 42 FR 57962, Nov. 7, 1977, as amended at 63 
FR 24428, May 4, 1998]



Sec. 207.270  Tallahatchie River, Miss., between Batesville and the 
mouth; logging.

    (a) The floating of ``sack'', rafts, or of loose timbers, logs, or 
cribs is prohibited.
    (b) Rafts shall be made up of logs parallel with each other, 
secured, and held closely together by cross sticks, chains, or cables 
placed across each crib and at the joints between cribs. No raft shall 
be over 60 feet wide or 800 feet long.

[[Page 55]]

    (c) In rafting nonbuoyant timber each crib must contain self-buoyant 
logs in such proportion of ``floaters'' to ``sinkers'' as will safely 
float the whole; and in assembling such cribs, extra strong connections 
must be used to prevent the breaking up of a crib or the detachment of 
individual logs.
    (d) No raft shall be moved at river stages less than that 
corresponding to a reading of 3\4/10\ feet on the U.S. Weather Bureau 
gage at Greenwood, Miss.
    (e) A raft in transit must be accompanied by sufficient men, or by 
power boats of sufficient capacity to properly manage the movement of 
the raft and to keep it from being an obstruction to other craft 
navigating the river, or from forming jams at bridges.
    (f) Rafts in transit must be so floated, and when not in transit be 
so tied to the bank, as not to interfere with the passage of boats.
    (g) When rafts are left with no one in attendance they must be 
securely tied at each end and at as many intermediate points as will 
prevent them from bagging into the stream. When left at night a white 
light shall be exposed at each end of the raft.
    (h) This section shall apply to the portion of the Tallahatchie 
River, Miss., between Batesville, Panola County, Miss., and the mouth.

[Regs. Feb. 18, 1918, as amended at 25 FR 8908, Sept. 16, 1960]



Sec. 207.275  McClellan-Kerr Arkansas River navigation system: use, 
administration, and navigation.

    (a) Applicability of regulations. These regulations apply to all 
locks and appurtenant structures, wharves, and other Corps of Engineers 
structures in the following waterways: The White River between 
Mississippi River and Arkansas Post Canal, Arkansas; Arkansas Post 
Canal, Arkansas; Arkansas River between Dam No. 2, Arkansas, and 
Verdigris River, Oklahoma; Verdigris River between Arkansas River and 
Catoosa, Oklahoma; and reservoirs on these waterways between Mississippi 
River, Arkansas, and Catoosa, Oklahoma.
    (b) Authority of district engineers. The use, administration, and 
navigation of the structures to which this section applies shall be 
under the direction of the officers of the Army Corps of Engineers, 
detailed in charge of the respective districts, and their authorized 
assistants. The cities in which these district engineers are located, 
and the limits of their jurisdictions, are as follows:
    (1) District Engineer, U.S. Army Engineer District, Little Rock, 
Arkansas. From Mississippi River, Arkansas, to Arkansas-Oklahoma State 
line at Fort Smith, Arkansas.
    (2) District Engineer, U.S. Army Engineer District, Tulsa, Oklahoma. 
From Arkansas-Oklahoma State line at Fort Smith, Arkansas, to Catoosa, 
Oklahoma.
    (c) Authority of lockmasters. The lockmaster shall be charge with 
the immediate control and management of the lock and of the area set 
aside as the lock area. The lockmaster shall ensure that all laws, 
rules, and regulations for the use of the lock and lock area are duly 
complied with, to which end he/she is authorized to give all necessary 
orders and directions both to employees of the Government and to any 
person within the limits of the lock area, whether navigating the lock 
or not. No one shall cause any movement of any vessel or other floating 
thing in the lock area except by or under the direction of the 
lockmaster. Failure to comply with directions given by the lockmaster 
pursuant to the regulations in this section may result in refusal of 
lockage. For the purpose of the regulations in this section, the ``lock 
area'' is considered to be between the upstream and downstream arrival 
points. The district engineer may extend the limits of the lock area 
consistent with the safe and efficient use of the waterway.
    (d) Precedence at locks. (1) Precedence shall be given to vessels 
owned by the United States, licensed commercial passenger vessels 
operating on a published schedule or regularly operating in the ``for 
hire'' trade, commercial tows, rafts, and pleasure craft, in the order 
named. Precedence being equal, the first vessel to arrive at a lock will 
normally be the first to lock through; however, the lockmaster may 
depart

[[Page 56]]

from this procedure to achieve optimum utilization of the lock or in 
accordance with the order of precedence stated above and in paragraphs 
(d)(2) and (h) of this section. Arrival points have been established 
ashore upstream and downstream of the locks. Vessels arriving at these 
markers or the mooring cells immediately upstream and downstream of the 
lock will be considered as having arrived at the lock within the meaning 
of this subparagraph.
    (2) Vessels or tows, with overall dimensions greater than 105 feet 
wide or 595 feet long may transit the lock at such time as the 
lockmaster determines that they will neither unduly delay the transit of 
craft of lesser dimensions, nor endanger the lock structure and 
appurtenances because of wind, current, or other adverse conditions. 
These craft are also subject to such special handling requirements as 
the lockmaster deems necessary at the time of transit.
    (e) Safety rules for vessels using navigation locks. (1) Leaking 
vessels may be excluded from the locks.
    (2) Smoking, open flames, and activities capable of producing a 
flammable atmosphere such as painting will not be permitted in the lock 
chamber.
    (3) All deckhands handling lines during locking procedures shall 
wear a personal flotation device.
    (f) Dangerous cargo barges. The following rules are prescribed for 
all tows containing dangerous cargoes as defined in Title 46, Code of 
Federal Regulations. These rules are applicable to both loaded barges 
and empty barges.
    (1) All hatches on barges used to transport dangerous cargoes shall 
be closed before the tow enters the lock area.
    (2) Prior to entering the lock area, towboat pilots shall furnish 
the name of product, the source of shipment, the company which made the 
shipment, and the consignee. If a towboat is not equipped with a radio 
or its radio is out of service, pilots shall furnish this information to 
the lockmaster while the tow is in the lock chamber. The shipping papers 
required by Title 46, Code of Federal Regulations, shall be available 
for review by the lockmaster. Lockage shall be refused when this 
information is not furnished to the lockmaster.
    (3) Fenders shall be water-soaked or otherwise spark proofed.
    (4) Smoking, open flames, chipping, or other spark producing 
activity are prohibited in the ``lock area.''
    (5) Simultaneous lockage of other vessels with vessels carrying 
dangerous cargoes or containing flammable vapors shall normally not be 
permitted. if significant delays are occurring at a lock, such 
simultaneous lockages, except with pleasure craft, may be permitted by 
the lockmaster, when he/she determines such action safe and appropriate, 
provided:
    (i) The first vessel entering or the last vessel exiting shall be 
secured before the other enters or leaves.
    (ii) All masters involved have agreed to the joint use of the lock.
    (g) General locking procedures. (1) In case two or more boats or 
tows are to enter for the same lockage, their order of entry and exit 
shall be determined by the lockmaster.
    (2) Tows entering a lock shall come to a complete stop at a point 
designated by the district engineer before proceeding to the mooring 
position.
    (3) When entering or exiting locks, tow speeds shall not exceed 200 
feet per minute (rate of slow walk) or the rate of travel whereby the 
tow can be stopped by checking should mechanical difficulties develop. 
When navigating over Norrell Dam during high water, vessels shall reduce 
speed to the minimum necessary to maintain steerageway. Pilots should 
check with the individual lockmasters concerning prevailing conditions. 
It is also recommended that pilots check their ability to reverse their 
engines prior to beginning an approach. Towboat engines shall not be 
turned off in the lock unless authorized by lockmaster.
    (4) The sides and ends of all vessels passing through any lock shall 
be free from protrusions of any kind which might damage the lock 
structure.
    (5) All vessels shall be provided with suitable fenders. When 
entering and exiting locks, one deckhand, or more if the lockmaster so 
directs, shall be stationed at the bow and stern of tows. These 
deckhands shall maintain their

[[Page 57]]

stations while tows are moving adjacent to any part of a lock. They 
shall protect the lock walls by the use of hand-held fenders. In all 
cases, two deckhands shall be stationed at the bows of tows 100 feet 
wide or wider when entering locks. They shall remain at their stations 
until the bows of such tows pass the recessed miter gates.
    (6) Masters and pilots must use every precaution to prevent 
unnecessary delay in entering or leaving locks. Vessels failing to enter 
locks with reasonable promptness when signaled to do so shall lose their 
turn. Rearranging or switching of barges in the locks or in approaches 
is prohibited unless approved or directed by the lockmaster.
    (7) No vessel shall enter a lock unless its draft is at least two 
feet less than the least depth of water over the sills. Information 
concerning controlling depth over sills can be obtained from the 
lockmaster at each lock or by inquiry at the office of the district 
engineer of the district in which the lock is located.
    (8) Vessels awaiting their turn to lock shall be positioned so that 
they will not interfere with vessels leaving the lock. However, to the 
extent practicable under the prevailing conditions, vessels and tows 
shall be positioned so as to minimize approach time.
    (9) Number of lockages. (i) Tows or rafts locking in sections will 
generally be allowed only two consecutive lockages if other vessels are 
waiting lockage, but may be allowed more in special cases. No part of a 
tow shall pass a lock until the whole of the one preceding it shall have 
passed. The lockmaster may prescribe a departure from the normal order 
of precedence to achieve the best lock utilization.
    (ii) One deckhand, or more if the lockmaster so directs, shall tend 
the lines at the bow and stern of each section of a tow that transits a 
lock or moors to the river walls.
    (10) Vessels shall enter and leave locks under such control as to 
prevent any damage to the walls and gates.
    (11) Placing or discharging refuse of any description into the lock, 
on the lock walls, on the esplanade, or on any other government property 
is prohibited.
    (h) Lockage of pleasure craft. In order to fully utilize the 
capacity of the lock, lockmasters may expedite the lockage of pleasure 
craft by locking them through with commercial vessels, except vessels 
carrying volatile cargoes or other substances likely to emit toxic, 
flammable, or explosive vapors. If the lockage of pleasure craft cannot 
be accomplished within the time required for three single lockages, a 
separate lockage of pleasure craft shall be made. Pleasure craft 
operators are advised that the locks have a pull chain located at the 
end of each river wall which signals the lockmaster that lockage is 
desired.
    (i) Locking rafts and floating dredge discharge line. While awaiting 
lockage, rafts and tows containing floating dredge discharge line shall 
not obstruct the lock approaches. They shall be properly and securely 
assembled to assure adequate control while entering and exiting locks. 
The passage of loose logs through a lock is prohibited. Lockage will be 
refused to rafts unless the logs float sufficiently high to make it 
evident that the raft will not sink.
    (j) Mooring--(1) At locks. (i) When in the locks, all vessels shall 
be moored as directed by the lockmaster. Vessels shall be moored with 
bow and stern lines leading in opposite directions to prevent the vessel 
from ``running'' in the lock. All vessels will have one additional line 
available on the head of the tow for emergency use. The pilot of a 
vessel shall remain at his station in the pilot house and the deckhands 
shall stand by the mooring lines during the entire locking procedure. 
When the vessel is securely moored, the pilot shall not cause movement 
of the propeller except in an emergency or unless directed by the 
lockmaster. Tying to lock ladders is strictly prohibited.
    (ii) Mooring of any vessel will not be permitted at or between the 
arrival points without permission of the lockmaster.
    (2) Outside of locks. (i) Vessels over 40 feet in length shall not 
land or anchor against revetted banks without written permission of the 
district engineer, except in case of emergency. When an emergency 
landing is necessary, adjacent locks shall be notified. In all

[[Page 58]]

cases, every precaution to avoid damage to the revetment works shall be 
exercised. The construction of log rafts along mattressed or paved banks 
or the tying up and landing of log rafts against such banks require the 
permission of the district engineer.
    (ii) Government mooring facilities at the junction of main stem and 
secondary channels are to provide temporary mooring for tows awaiting 
transfer of barges to or from ports, docks, or fleeting areas located on 
the secondary channels. These facilities shall not be used for storage 
of barges or fleeting activities. The maximum permissible time of 
mooring at the facilities shall be determined by the district engineer.
    (k) Locking signals. Vessels must approach the locks with caution 
and not enter or leave the locks until signaled to do so by the 
lockmaster.
    (1) Signal by radio. Requests for lockage by radio will be the 
primary signal for vessels equipped with VHF-FM radios operating in the 
FCC authorized Maritime Band. District engineers will advise all known 
interested parties of the channels available for use in communicating 
with the locks. Pilots of commercial tows should contact the locks at 
least one-half hour before arrival in order that they may be informed of 
current river and traffic conditions that may affect the safe passage of 
their tows.
    (2) Sound signals. In addition to radio communication, the following 
sound signals are prescribed for use during lockage. Sound signals given 
by vessels and locks shall be given by means of a horn. The term 
prolonged blast means a blast of from four to six second's duration. The 
term short blast means a blast of about one second's duration.
    (i) Vessels desiring a single lockage shall give notice to the 
lockmaster by one prolonged blast of the horn followed by one short 
blast. If a double lockage is required, vessels shall give one prolonged 
blast of the horn followed by two short blasts. These signals are not 
required from pleasure craft not equipped with horns. Locking procedures 
for pleasure craft are prescribed in paragraph (h).
    (ii) When the lock is ready for entrance, the lockmaster shall give 
one prolonged blast of the horn to signal permission to enter the lock 
chamber.
    (iii) The lockmaster shall give permission to leave the lock chamber 
by one short blast of the horn.
    (iv) Five or more short and rapid blasts of the lock horn will be 
used as a means of attracting attention, to indicate caution, or to 
signal danger. This signal will be used to attract the attention of the 
masters and crews of vessels using the lock or navigating in the lock 
area and to indicate that something unusual involving danger or 
requiring special caution is happening or is about to happen. When this 
signal is given by the lockmaster, the masters and crews of vessels in 
the vicinity shall immediately become alert to determine the reason for 
the signal and shall take the necessary steps to cope with the 
situation.
    (3) Visual signals. Signal lights are displayed outside each lock 
gate to supplement the radio and sound signals. Vessels will be governed 
as follows:
    (i) One flashing green light to indicate that the lock is open to 
approaching navigation.
    (ii) One flashing red light to indicate that the lock is not open to 
approaching navigation. Vessels shall stand clear.
    (iii) Flashing amber and green lights to indicate that one or both 
lock gates can not be fully recessed or other unusual conditions exist. 
Vessels can enter the lock with caution.
    (iv) In the absence of any of the above visual signals, pilots shall 
signal for lockage by radio or horn and wait for the lockmaster to 
acknowledge their signal.
    (l) Navigation lights on locks and dams. (1) The following 
navigation lights will be displayed at all locks except Norrell Lock and 
Lock No. 2 during hours of darkness and heavy fog.
    (i) Three green lights visible through an arc of 360 degrees 
arranged in a vertical line on the end of the upstream river wall.
    (ii) Two green lights visible through an arc of 360 degrees arranged 
in a vertical line on the end of the downstream river wall.

[[Page 59]]

    (iii) A single red light visible through an arc of 360 degrees on 
the ends of the upstream and downstream land walls.
    (2) The following navigation lights will be displayed at Lock No. 2 
during hours of darkness and heavy fog. They shall also be displayed at 
Norrell Lock during hours of darkness and heavy fog except when 
navigation is passing over the dam.
    (i) Three green lights visible through an arc of 360 degrees 
arranged in a vertical line on the end of the upstream river wall.
    (ii) Two green lights visible through an arc of 360 degrees arranged 
in a vertical line on the end of the downstream river wall.
    (iii) A single red light visible through an arc of 360 degrees on 
the dolphin located furthest upstream in line with the land wall and on 
the dolphin located furthest downstream in line with the land wall.
    (3) The following navigation lights will be displayed at Norrell 
Lock and Dam during hours of darkness and heavy fog when navigation is 
passing over the dam. During daylight hours a yellow and black disc will 
be displayed on each end (upstream and downstream) of the river wall to 
signal navigation over the dam.
    (i) Three red lights visible through an arc of 360 degrees arranged 
in a vertical line on the end of the upstream river wall.
    (ii) Two red lights visible through an arc of 360 degrees arranged 
in a vertical line on the end of the downstream river wall.
    (iii) A single red light visible through an arc of 360 degrees on 
the dolphin located furthest upstream in line with the land wall and on 
the dolphin located furthest downstream in line with the land wall.
    (iv) A single, flashing blue light visible through an arc of 360 
degrees located on the end of the dam opposite the lock.
    (m) Restricted areas at locks and dams. All waters immediately above 
and below each dam, as posted by the respective district engineers, are 
hereby designated as restricted areas. No vessel or other floating craft 
shall enter any such restricted area without permission of the 
lockmaster. The limits of the restricted areas at each dam will be 
determined by the responsible district engineer and marked by signs 
installed in conspicuous and appropriate locations.
    (n) Trespass on lock and dam property. (1) Trespass on locks or dams 
or other United States property pertaining to the locks or dams is 
strictly prohibited except in those areas specifically permitted by the 
lockmaster. Any person committing a willful injury to any United States 
property or personnel will be prosecuted.
    (2) No fishing will be permitted from the lock or dam structures.
    (3) No one but employees of the United States shall move any lock 
machinery unless directed by the lockmaster. Tampering or meddling with 
the machinery or other parts of the lock is strictly forbidden.
    (o) Repair and construction of navigation structures. To avoid 
damage to plant and structures connected with the construction or repair 
of locks and dams, vessels passing structures in the process of 
construction or repair shall reduce their speed and navigate with 
special caution while in the vicinity of such work.
    (p) Reporting the navigation incidents. In furtherance of 
maintaining navigation safety the following rules are prescribed for all 
navigation interests:
    (1) Any incident resulting in uncontrolled barges shall immediately 
be reported to the nearest lock and the appropriate U.S. Coast Guard 
Office. The report shall include information as to the number of loose 
barges, their cargo, and the time and location where they broke loose. 
The lockmaster shall be kept informed of the progress being made in 
bringing the barges under control so that he/she can initiate whatever 
actions may be warranted.
    (2) Masters, owners, or other persons using the waterways to which 
the regulations in this section apply shall report to the nearest 
lockmaster or the district engineer by the most expeditious means 
available all marine accidents; such as fire, collision, sinking, or 
grounding, where there is possible obstruction of the channel or 
interference with navigation; furnishing a clear statement as to the 
name, address, and ownership of the vessel or

[[Page 60]]

vessels involved; the time and place; and the action taken. In all 
cases, the owner of a sunken vessel shall take immediate steps to mark 
the wreck properly.
    (i) Sunken or sinking barges shall be reported to the nearest lock 
both downstream and upstream of the location in order that traffic 
passing those points may be advised of the hazards. The appropriate U.S. 
Coast Guard Office shall also be notified.
    (ii) Whenever it is necessary to report an incident involving 
uncontrolled, sunken or sinking barges, the cargo in the barges shall be 
precisely identified.
    (iii) The owners or masters of vessels sunk in the navigable waters 
of the United States shall provide the appropriate district engineer 
with a copy of the sunken vessel report furnished to the appropriate 
U.S. Coast Guard Marine Inspection Office.
    (q) [Reserved]
    (r) Liability for damage. This section shall not affect the 
liability of the owners and operators of vessels for any damage caused 
by their operations. Should any Government property be damaged as the 
result of the operation of a vessel, the master of the vessel shall 
report the accident to the nearest lockmaster or the appropriate 
district engineer.
    (s) Persistent violation of regulations. If the owner or operator of 
any vessel persistently violates the regulations of this section or any 
orders given in pursuance thereof, after due notice of same, lockage may 
be refused by the district engineer. The lockmaster may refuse lockage 
if deemed necessary to protect government property in the vicinity of 
the lock.
    (t) Vessels to carry regulations. A copy of these regulations shall 
be kept at all times on board each commercial vessel engaged in 
navigating the waterway. Copies may be obtained from any lock or 
district engineer's office on request. Masters of such vessels are also 
required to have on board current copies of the navigation charts and 
applicable Notices to Navigation Interest.

[51 FR 30639, Aug. 28, 1986, as amended at 56 FR 13765, Apr. 4, 1991]



Sec. 207.300  Ohio River, Mississippi River above Cairo, Ill., and 
their tributaries; use, administration, and navigation.

    (a) Authority of lockmasters--(1) Locks staffed with Government 
personnel. The provisions of this paragraph apply to all waterways in 
this section except for Cordell Hull Lock located at Mile 313.5 on the 
Cumberland River in Tennessee. The lockmaster shall be charged with the 
immediate control and management of the lock, and of the area set aside 
as the lock area, including the lock approach channels. He/she shall see 
that all laws, rules, and regulations for the use of the lock and lock 
area are duly complied with, to which end he/she is authorized to give 
all necessary orders and directions in accordance therewith, both to 
employees of the government and to any and every person within the 
limits of the lock and lock area, whether navigating the lock or not. No 
one shall cause any movement of any vessel, boat, or other floating 
thing in the lock or approaches except by or under the direction of the 
lockmaster or his/her assistants. In the event of an emergency, the 
lockmaster may depart from these regulations as he deems necessary. The 
lockmasters shall also be charged with the control and management of 
federally constructed mooring facilities.
    (2) Locks staffed with contract personnel. The provisions of this 
paragraph apply to Cordell Hull Lock located at Mile 313.5 on the 
Cumberland River in Tennessee. Contract personnel shall give all 
necessary orders and directions for operation of the lock. No one shall 
cause any movement of any vessel, boat or other floating thing in the 
locks or approaches except by or under the direction of the contract 
lock operator. All duties and responsibilities of the lockmaster set 
forth in this section shall be performed by the contract lock operator 
except that responsibility for enforcing all laws, rules, and 
regulations shall be vested in a government employee designated by the 
Nashville District Engineer. The district engineer will notify waterway 
users and the general public through appropriate notices and media 
concerning the location and identity of the designated government 
employee.

[[Page 61]]

    (b) Safety rules for vessels using navigation locks. The following 
safety rules are hereby prescribed for vessels in the locking process, 
including the act of approaching or departing a lock:
    (1) Tows with flammable or hazardous cargo barges, loaded or empty. 
(i) Stripping barges or transferring cargo is prohibited.
    (ii) All hatches on barges used to transport flammable or hazardous 
materials shall be closed and latched, except those barges carrying a 
gas-free certificate.
    (iii) Spark-proof protective rubbing fenders (``possums'') shall be 
used.
    (2) All vessels. (i) Leaking vessels may be excluded from locks 
until they have been repaired to the satisfaction of the lockmaster.
    (ii) Smoking, open flames, and chipping or other spark-producing 
activities are prohibited on deck during the locking cycle.
    (iii) Painting will not be permitted in the lock chamber during the 
locking cycle.
    (iv) Tow speeds shall be reduced to a rate of travel such that the 
tow can be stopped by checking should mechanical difficulties develop. 
Pilots should check with the individual lockmasters concerning 
prevailing conditions. It is also recommended that pilots check their 
ability to reverse their engines prior to beginning an approach. Engines 
shall not be turned off in the lock until the tow has stopped and been 
made fast.
    (v) U.S. Coast Guard regulations require all vessels to have on 
board life saving devices for prevention of drowning. All crew members 
of vessels required to carry work vests (life jackets) shall wear them 
during a lockage, except those persons in an area enclosed with a 
handrail or other device which would reasonably preclude the possibility 
of falling overboard. All deckhands handling lines during locking 
procedure shall wear a life jacket. Vessels not required by Coast Guard 
regulations to have work vests aboard shall have at least the prescribed 
life saving devices, located for ready access and use if needed. The 
lockmaster may refuse lockage to any vessel which fails to conform to 
the above.
    (c) Reporting of navigation incidents. In furtherance of increased 
safety on waterways the following safety rules are hereby prescribed for 
all navigation interests:
    (1) Any incident resulting in uncontrolled barges shall immediately 
be reported to the nearest lock. The report shall include information as 
to the number of loose barges, their cargo, and the time and location 
where they broke loose. The lockmaster or locks shall be kept informed 
of the progress being made in bringing the barges under control so that 
he can initiate whatever actions may be warranted.
    (2) Whenever barges are temporarily moored at other than commercial 
terminals or established fleeting areas, and their breaking away could 
endanger a lock, the nearest lock shall be so notified, preferably the 
downstream lock.
    (3) Sunken or sinking barges shall be reported to the nearest lock 
both downstream and upstream of the location in order that other traffic 
passing those points may be advised of the hazards.
    (4) In the event of an oil spill, notify the nearest lock 
downstream, specifying the time and location of the incident, type of 
oil, amount of spill, and what recovery or controlling measures are 
being employed.
    (5) Any other activity on the waterways that could conceivably 
endanger navigation or a navigation structure shall be reported to the 
nearest lock.
    (6) Whenever it is necessary to report an incident involving 
uncontrolled, sunken or sinking barges, the cargo in the barges shall be 
accurately identified.
    (d) Precedence at locks. (1) The vessel arriving first at a lock 
shall normally be first to lock through, but precedence shall be given 
to vessels belonging to the United States. Licensed commercial passenger 
vessels operating on a published schedule or regularly operating in the 
``for hire'' trade shall have precedence over cargo tows and like craft. 
Commercial cargo tows shall have precedence over recreational craft, 
except as described in paragraph (f) of this section.
    (2) Arrival posts or markers may be established ashore above and/or 
below

[[Page 62]]

the locks. Vessels arriving at or opposite such posts or markers will be 
considered as having arrived at the locks within the meaning of this 
paragraph. Precedence may be established visually or by radio 
communication. The lockmaster may prescribe such departure from the 
normal order of precedence as in his judgment is warranted to achieve 
best lock utilization.
    (e) Unnecessary delay at locks. Masters and pilots must use every 
precaution to prevent unnecessary delay in entering or leaving locks. 
Vessels failing to enter locks with reasonable promptness when signalled 
to do so shall lose their turn. Rearranging or switching of barges in 
the locks or in approaches is prohibited unless approved or directed by 
the lockmaster. This is not meant to curtail ``jackknifing'' or set-
overs where normally practiced.
    (f) Lockage of recreational craft. In order to fully utilize the 
capacity of the lock, the lockage of recreational craft shall be 
expedited by locking them through with commercial craft: Provided, That 
both parties agree to joint use of the chamber. When recreational craft 
are locked simultaneously with commercial tows, the lockmaster will 
direct, whenever practicable, that the recreational craft enter the lock 
and depart while the tow is secured in the lock. Recreational craft will 
not be locked through with vessels carrying volatile cargoes or other 
substances likely to emit toxic or explosive vapors. If the lockage of 
recreational craft cannot be accomplished within the time required for 
three other lockages, a separate lockage of recreational craft shall be 
made. Recreational craft operators are advised that many locks have a 
pull chain located at each end of the lock which signals the lockmaster 
that lockage is desired. Furthermore, many Mississippi River locks 
utilize a strobe light at the lock to signal recreational type vessels 
that the lock is ready for entry. Such lights are used exclusively to 
signal recreational craft.
    (g) Simultaneous lockage of tows with dangerous cargoes. 
Simultaneous lockage of other tows with tows carrying dangerous cargoes 
or containing flammable vapors normally will only be permitted when 
there is agreement between the lockmaster and both vessel masters that 
the simultaneous lockage can be executed safely. He shall make a 
separate decision each time such action seems safe and appropriate, 
provided:
    (1) The first vessel or tow in and the last vessel or tow out are 
secured before the other enters or leaves.
    (2) Any vessel or tow carrying dangerous cargoes is not leaking.
    (3) All masters involved have agreed to the joint use of the lock 
chamber.
    (h) Stations while awaiting a lockage. Vessels awaiting their turn 
to lock shall remain sufficiently clear of the structure to allow 
unobstructed departure for the vessel leaving the lock. However, to the 
extent practicable under the prevailing conditions, vessels and tows 
shall position themselves so as to minimize approach time when signaled 
to do so.
    (i) Stations while awaiting access through navigable pass. When 
navigable dams are up or are in the process of being raised or lowered, 
vessels desiring to use the pass shall wait outside the limits of the 
approach points unless authorized otherwise by the lockmaster.
    (j) Signals. Signals from vessels shall ordinarily be by whistle; 
signals from locks to vessels shall be by whistle, another sound device, 
or visual means. when a whistle is used, long blasts of the whistle 
shall not exceed 10 seconds and short blasts of the whistle shall not 
exceed 3 seconds. Where a lock is not provided with a sound or visual 
signal installation, the lockmaster will indicate by voice or by the 
wave of a hand when the vessel may enter or leave the lock. Vessels must 
approach the locks with caution and shall not enter nor leave the lock 
until signaled to do so by the lockmaster. The following lockage signals 
are prescribed:
    (1) Sound signals by means of a whistle. These signals apply at 
either a single lock or twin locks.
    (i) Vessels desiring lockage shall on approaching a lock give the 
following signals at a distance of not more than one mile from the lock;
    (a) If a single lockage only is required: One long blast of the 
whistle followed by one short blast.

[[Page 63]]

    (b) If a double lockage is required: One long blast of the whistle 
followed by two short blasts.
    (ii) When the lock is ready for entrance, the lock will give the 
following signals:
    (a) One long blast of the whistle indicates permission to enter the 
lock chamber in the case of a single lock or to enter the landward 
chamber in the case of twin locks.
    (b) Two long blasts of the whistle indicates permission to enter the 
riverward chamber in the case of twin locks.
    (iii) Permission to leave the locks will be indicated by the 
following signals given by the lock:
    (a) One short blast of the whistle indicates permission to leave the 
lock chamber in the case of a single lock or to leave the landward 
chamber in the case of twin locks.
    (b) Two short blasts of the whistle indicates permission to leave 
the riverward chamber in the case of twin locks.
    (iv) Four or more short blasts of the lock whistle delivered in 
rapid succession will be used as a means of attracting attention, to 
indicate caution, and to signal danger. This signal will be used to 
attract the attention of the captain and crews of vessels using or 
approaching the lock or navigating in its vicinity and to indicate that 
something unusual involving danger or requiring special caution is 
happening or is about to take place. When this signal is given by the 
lock, the captains and crews of vessels in the vicinity shall 
immediately become on the alert to determine the reason for the signal 
and shall take the necessary steps to cope with the situation.
    (2) Lock signal lights. At locks where density of traffic or other 
local conditions make it advisable, the sound signals from the lock will 
be supplemented by signal lights. Flashing lights (showing a one-second 
flash followed by a two-second eclipse) will be located on or near each 
end of the land wall to control use of a single lock or of the landward 
lock of double locks. In addition, at double locks, interrupted flashing 
lights (showing a one-second flash, a one-second eclipse and a one-
second flash, followed by a three-second eclipse) will be located on or 
near each end of the intermediate wall to control use of the riverward 
lock. Navigation will be governed as follows:
    (i) Red light. Lock cannot be made ready immediately. Vessel shall 
stand clear.
    (ii) Amber light. Lock is being made ready. Vessel may approach but 
under full control.
    (iii) Green light. Lock is ready for entrance.
    (iv) Green and amber. Lock is ready for entrance but gates cannot be 
recessed completely. Vessel may enter under full control and with 
extreme caution.
    (3) Radio communications. VHF-FM radios, operating in the FCC 
authorized Maritime Band, have been installed at all operational locks 
(except those on the Kentucky River and Lock 3, Green River). Radio 
contact may be made by any vessel desiring passage. Commercial tows are 
especially requested to make contact at least one half hour before 
arrival in order that the pilot may be informed of current river and 
traffic conditions that may affect the safe passage of his tow.
    (4) All locks monitor 156.8 MHz (Ch. 16) and 156.65 MHz (Ch. 13) and 
can work 156.65 MHz (Ch. 13) and 156.7 MHz (Ch. 14) Ch. 16 is the 
authorized call, reply and distress frequency, and locks are not 
permitted to work on this frequency except in an emergency involving the 
risk of immediate loss of life or property. Vessels may call and work 
Ch. 13, without switching, but are cautioned that vessel to lock traffic 
must not interrupt or delay Bridge to Bridge traffic which has priority 
at all times.
    (k) Rafts. Rafts to be locked through shall be moored in such manner 
as not to obstruct the entrance of the lock, and if to be locked in 
sections, shall be brought to the lock as directed by the lockmaster. 
After passing the lock the sections shall be reassembled at such 
distance beyond the lock as not to interfere with other vessels.
    (l) Entrance to and exit from locks. In case two or more boats or 
tows are to enter for the same lockage, their order of entry shall be 
determined by the lockmaster. Except as directed by the lockmaster, no 
boat shall pass another in the lock. In no case will boats be

[[Page 64]]

permitted to enter or leave the locks until directed to do so by the 
lockmaster. The sides of all craft passing through any lock shall be 
free from projections of any kind which might injure the lock walls. All 
vessels shall be provided with suitable fenders, and shall be used to 
protect the lock and guide walls until it has cleared the lock and guide 
walls.
    (m) Mooring--(1) At locks. (i) All vessels when in the locks shall 
be moored as directed by the lockmaster. Vessels shall be moored with 
bow and stern lines leading in opposite directions to prevent the vessel 
from ``running'' in the lock. All vessels will have one additional line 
available on the head of the tow for emergency use. The pilothouse shall 
be attended by qualified personnel during the entire locking procedure. 
When the vessel is securely moored, the pilot shall not cause movement 
of the propellers except in emergency or unless directed by the 
lockmaster. Tying to lock ladders is strictly prohibited.
    (ii) Mooring of unattended or nonpropelled vessels or small craft at 
the upper or lower channel approaches will not be permitted within 1200 
feet of the lock.
    (2) Outside of locks. (i) No vessel or other craft shall regularly 
or permanently moor in any reach of a navigation channel. The 
approximate centerline of such channels are marked as the sailing line 
on Corps of Engineers' navigation charts. Nor shall any floating craft, 
except in an emergency, moor in any narrow or hazardous section of the 
waterway. Furthermore, all vessels or other craft are prohibited from 
regularly or permanently mooring in any section of navigable waterways 
which are congested with commercial facilities or traffic unless it is 
moored at facilities approved by the Secretary of the Army or his 
authorized representative. The limits of the congested areas shall be 
marked on Corps of Engineers' navigation charts. However, the District 
Engineer may authorize in writing exceptions to any of the above if, in 
his judgment, such mooring would not adversely affect navigation and 
anchorage.
    (ii) No vessel or other craft shall be moored to railroad tracks, to 
riverbanks in the vicinity of railroad tracks when such mooring 
threatens the safety of equipment using such tracks, to telephone poles 
or power poles, or to bridges or similar structures used by the public.
    (iii) Except in case of great emergency, no vessel or craft shall 
anchor over revetted banks of the river, and no floating plant other 
than launches and similar small craft shall land against banks protected 
by revetment except at regular commercial landings. In all cases, every 
precaution to avoid damage to the revetment works shall be exercised. 
The construction of log rafts along mattressed or paved banks or the 
tying up and landing of log rafts against such banks shall be performed 
in such a manner as to cause no damage to the mattress work or bank 
paving. Generally, mattress work extends out into the river 600 feet 
from the low water line.
    (iv) Any vessel utilizing a federally constructed mooring facility 
(e.g., cells, buoys, anchor rings) at the points designated on the 
current issue of the Corps' navigation charts shall advise the 
lockmaster at the nearest lock from that point by the most expeditious 
means.
    (n) Draft of vessels. No vessel shall attempt to enter a lock unless 
its draft is at least three inches less than the least depth of water 
over the guard sills, or over the gate sills if there be no guard sills. 
Information concerning controlling depth over sills can be obtained from 
the lockmaster at each lock or by inquiry at the office of the district 
engineer of the district in which the lock is located.
    (o) Handling machinery. No one but employees of the United States 
shall move any lock machinery except as directed by the lockmaster. 
Tampering or meddling with the machinery or other parts of the lock is 
strictly forbidden.
    (p) Refuse in locks. Placing or discharging refuse of any 
description into the lock, on lock walls or esplanade, canal or canal 
bank is prohibited.
    (q) Damage to locks or other work. To avoid damage to plant and 
structures connected with the construction or repair of locks and dams, 
vessels passing

[[Page 65]]

structures in the process of construction or repair shall reduce their 
speed and navigate with special caution while in the vicinity of such 
work. The restrictions and admonitions contained in these regulations 
shall not affect the liability of the owners and operators of floating 
craft for any damage to locks or other structures caused by the 
operation of such craft.
    (r) Trespass of lock property. Trespass on locks or dams or other 
U.S. property pertaining to the locks or dams is strictly prohibited 
except in those areas specifically permitted. Parties committing any 
injury to the locks or dams or to any part thereof will be responsible 
therefor. Any person committing a willful injury to any U.S. property 
will be prosecuted. No fishing will be permitted from lock walls, guide 
walls, or guard walls of any lock or from any dam, except in areas 
designated and posted by the responsible District Engineer as fishing 
areas. Personnel from commercial and recreational craft will be allowed 
on the lock structure for legitimate business reasons; e.g., crew 
changes, emergency phone calls, etc.
    (s) Restricted areas at locks and dams. All waters immediately above 
and below each dam, as posted by the respective District Engineers, are 
hereby designated as restricted areas. No vessel or other floating craft 
shall enter any such restricted area at any time. The limits of the 
restricted areas at each dam will be determined by the responsible 
District Engineer and market by signs and/or flashing red lights 
installed in conspicuous and appropriate places.
    (t) [Reserved]
    (u) Operations during high water and floods in designated vulnerable 
areas. Vessels operating on these waters during periods when river 
stages exceed the level of ``ordinary high water,'' as designated on 
Corps of Engineers' navigation charts, shall exercise reasonable care to 
minimize the effects of their bow waves and propeller washes on river 
banks; submerged or partially submerged structures or habitations; 
terrestrial growth such as trees and bushes; and man-made amenities that 
may be present. Vessels shall operate carefully when passing close to 
levees and other flood protection works, and shall observe minimum 
distances from banks which may be prescribed from time to time in 
Notices to Navigation Interests. Pilots should exercise particular care 
not to direct propeller wash at river banks, levees, revetments, 
structures or other appurtenances subject to damage from wave action.
    (v) Navigation lights for use at all locks and dams except on the 
Kentucky River and Lock 3, Green River. (1) At locks at all fixed dams 
and at locks at all movable dams when the dams are up so that there is 
no navigable pass through the dam, the following navigation lights will 
be displayed during hours of darkness:
    (i) Three green lights visible through an arc of 360[deg] arranged 
in a vertical line on the upstream end of the river (guard) wall unless 
the intermediate wall extends farther upstream. In the latter case, the 
lights will be placed on the upstream end of the intermediate wall.
    (ii) Two green lights visible through an arc of 360[deg] arranged in 
a vertical line on the downstream end of the river (guard) wall unless 
the intermediate wall extends farther downstream. In the latter case, 
the lights will be placed on the downstream end of the intermediate 
wall.
    (iii) A single red light, visible through an arc of 360[deg] on each 
end (upstream and downstream) of the land (guide) wall.
    (2) At movable dams when the dam has been lowered or partly lowered 
so that there is an unobstructed navigable pass through the dam, the 
navigation lights indicated in the following paragraphs will be 
displayed during hours of darkness until lock walls and weir piers are 
awash.
    (i) Three red lights visible through an arc of 360[deg] arranged in 
a vertical line on the upstream end of the river (guard) wall.
    (ii) Two red lights visible through an arc of 360[deg] arranged in a 
vertical line on the downstream end of the river (guard) wall.
    (iii) A single red light visible through an arc of 360[deg] on each 
end (upstream and downstream) of the land (guide) wall.

[[Page 66]]

    (3) After lock walls and weir piers are awash they will be marked as 
prescribed in paragraph (x) of this section.
    (4) If one or more bear traps or weirs are open or partially open, 
and may cause a set in current conditions at the upper approach to the 
locks, this fact will be indicated by displaying a white circular disk 5 
feet in diameter, on or near the light support on the upstream end of 
the land (guide) wall during the hours of daylight, and will be 
indicated during hours of darkness by displaying a white (amber) light 
vertically under and 5 feet below the red light on the upstream end of 
the land (guide) wall.
    (5) At Locks No. 1 and 2, Green River, when the locks are not in 
operation because of high river stages, a single red light visible 
through an arc of 360[deg] will be displayed on each end (upstream and 
downstream) of the lock river (guard) will at which time the lights 
referred to above will not be visible.
    (w) Navigation lights for use at locks and dams on the Kentucky 
River and Lock 3, Green River. A single red light visible through an arc 
of 360[deg] shall be displayed during hours of darkness at each end of 
the river wall or extending guard structures until these structures are 
awash.
    (x) Buoys at movable dams. (1) Whenever the river (guard) wall of 
the lock and any portion of the dam are awash, and until covered by a 
depth of water equal to the project depth, the limits of the navigable 
pass through the dam will be marked by buoys located at the upstream and 
downstream ends of the river (guard) wall, and by a single buoy over the 
end or ends of the portion or portions of the dam adjacent to the 
navigable pass over which project depth is not available. A red nun-type 
buoy will be used for such structures located on the left-hand side 
(facing downstream) of the river and a black can-type buoy for such 
structures located on the right-hand side. Buoys will be lighted, if 
practicable.
    (2) Where powerhouses or other substantial structures projecting 
considerably above the level of the lock wall are located on the river 
(guard) wall, a single red light located on top of one of these 
structures may be used instead of river wall buoys prescribed above 
until these structures are awash, after which they will be marked by a 
buoy of appropriate type and color (red nun or black can buoy) until 
covered by a depth of water equal to the project depth. Buoys will be 
lighted, if practicable.
    (y) Vessels to carry regulations. A copy of these regulations shall 
be kept at all times on board each vessel regularly engaged in 
navigating the rivers to which these regulations apply. Copies may be 
obtained from any lock office or District Engineer's office on request. 
Masters of such vessels are encouraged to have on board copies of the 
current edition of appropriate navigation charts.

                                  Notes

    1. Muskingum River Lock & Dam 1 has been removed. Ohio River 
slackwater provides navigable channel for recreational craft to Lock 2 
near Devola, Ohio. Muskingum River Locks 2 thru 11 inclusive have been 
transferred to the State of Ohio and are operated during the 
recreational boating season by the Ohio Department of Natural Resources. 
Inquiries regarding Muskingum River channel conditions and lock 
availability should be directed to the aforementioned Department.
    2. Little Kanawha River Lock and Dam 1 has been removed, thus 
permitting recreational craft to navigate up to Lock 2 near Slate, W. 
Va. Operation of Locks 2 thru 5 on the Little Kanawha River has been 
discontinued.
    3. Big Sandy River: Lock 1 has been removed, thus permitting 
recreational craft to navigate to Lock 2, near Buchanan, Ky. Operation 
of Lock 2 and Lock 3 near Fort Gay, W. Va. has been discontinued. 
Operation of Lock and Dam 1 on Levisa Fork near Gallup, Ky., and Lock 
and Dam 1 on Tug Fork near Chapman, Ky. has been discontinued.
    4. Operation of the following Green River Locks has been 
discontinued: Lock 4 near Woodbury, Ky., Lock 5 near Glenmore, Ky., and 
Lock 6 near Brownsville, Ky.
    5. Operation of Barren River Lock and Dam No. 1 near Richardsville, 
Ky. has been discontinued.
    6. Operation of Rough River Lock and Dam No. 1 near Hartford, Ky. 
has been discontinued.
    7. Operation of Osage River Lock and Dam 1 near Osage City, Mo., has 
been discontinued.
    8. Operation of the 34 locks in the Illinois and Mississippi 
(Hennepin) Canal, including the feeder section, has been discontinued.

[[Page 67]]

    9. Operation of the Illinois and Michigan Canal has been 
discontinued.

[40 FR 32121, July 31, 1975, as amended at 50 FR 37580, Sept. 18, 1985; 
56 FR 13765, Apr. 4, 1991]



Sec. 207.306  Missouri River; administration and navigation.

    (a) [Reserved]
    (b) General. The regulations in this section shall implement those 
contained in paragraph(s) of Sec. 207.300.

[33 FR 17242, Nov. 21, 1968; 42 FR 57962, Nov. 7, 1977]



Sec. 207.310  Mississippi River at Keokuk, Iowa; operation of power dam 
by Mississippi River Power Co.

    (a) All previous regulations of the Secretary of War relating to the 
use of the Mississippi River for the generation of power by the 
Mississippi River Power Co., including the memorandum of March 24, 1908, 
approved by the Secretary of War, March 26, 1908, are rescinded, and the 
following regulations will govern the operation of the dam until further 
orders:
    (b) Excepting as specially provided in this section the normal flow 
of the river shall be discharged below the dam at all times of day and 
night.
    (c) The Mississippi River Power Co. shall not during the period of 
navigation raise the level of its pond behind the Keokuk Dam when the 
natural flow of the Mississippi River is falling or when such natural 
flow is less than approximately 64,000 cubic feet per second, which 
corresponds to a normal stage of 6 feet above low water at Keokuk, Iowa, 
except upon the written permission of the U.S. District Engineer in 
charge of this locality, such permit to state the period which such 
ponding may cover and the maximum variation in stage below the dam which 
may be caused by each ponding.
    (d) The granting of permits by the District Engineer shall be 
governed by the provision of the law authorizing the construction of the 
dam and its accessories, as follows:

    Sec. 2. That the withdrawal of water from the Mississippi River and 
the discharge of water into the said river, for the purpose of operating 
the said power stations and appurtenant works, shall be under the 
direction and control of the Secretary of War, and shall at no time be 
such as to impede or interfere with the safe and convenient navigation 
of the said river by means of steamboats or other vessels or by rafts or 
barges. * * * (33 Stat. 713)

    (e) The power company when proposing to raise or lower the pond, 
either under general authority or special permission, shall give due 
notice to the District Engineer or his authorized agent of its 
intention.
    (f) The power company shall hold all records relating to operations 
affecting the river discharge open to the inspection of the District 
Engineer or his authorized agent.
    (g) It shall be the duty of the district engineer or his authorized 
agent to observe closely and carefully the operations of the power 
company and to maintain in addition to such as may be maintained by the 
power company, such river and pool gages as may be advisable, and make 
from time to time such examinations as may be necessary for determining 
the effect of the operation of the power dam and accessories on the 
river channels.
    (h) The Department of the Army approves the method of regulating the 
flow below the Keokuk Dam by estimating the flow 24 hours in advance and 
maintenance of the stage corresponding to such flow as indicated by the 
river gage at U.S. Lock (the method employed during 1917). The general 
rules stated in paragraph (g) of this section are not intended to apply 
to unavoidable small compensating variations in pond level behind the 
dam inherent in such method of regulation.

[Regs., Jan. 12, 1918]



Sec. 207.320  Mississippi River, Twin City Locks and Dam, St. Paul and 
Minneapolis, Minn.; pool level.

    In accordance with the provisions of Article 8 of Federal Power 
Commission License of June 7, 1923 (Project No. 362-Minn., Ford Motor 
Co.), this section is prescribed for the control of the pool level 
created by the Twin City Locks and Dam, Minneapolis, in the interest of 
navigation, and supersedes rules and regulations made effective January 
1, 1928, by the Secretary of War:
    (a) The pool above the dam shall not be allowed to drop below 
elevation 744.5

[[Page 68]]

(Cairo datum), except after loss or lowering of flashboards and before 
replacement or raising of same, during the navigation season; nor below 
elevation 743.3 during the period when the river is closed to 
navigation. The variation of pool level shall not exceed 0.5 foot per 
day whenever the pool is below elevation 745.5, and in addition, during 
the period when the river is closed to navigation, the maximum rate of 
such variation shall not exceed 0.1 foot per hour; except that during 
the navigation season, increases in pool level at rates greater than 
that specified may be made to eliminate wasting of water during an 
increase in river flow.
    (b) Whenever, due to high flows, the pool above the dam is above 
elevation 746.5, all flashboards on the crest of the dam shall be 
removed or in the lowered position.
    (c) To protect navigation in cases of emergency, such as the 
stranding of a boat or the loss of a pool below the Twin City Dam, etc., 
the licensee shall temporarily discharge water at such rates, subject to 
the limitations of paragraph (a) of this section, as may be directed by 
the U.S. District Engineer in charge of the locality.
    (d) It shall be the duty of the U.S. District Engineer in charge of 
the locality to notify the licensee of the periods during which the 
river shall be considered open to navigation.
    (e) It shall be the further duty of the said District Engineer or 
his authorized agent, by frequent inspections, to determine whether 
paragraphs (a) to (d) of this section are being observed. In case of 
noncompliance he shall so notify the licensee and report the facts to 
the Chief of Engineers.

[Regs., Feb. 24, 1938]



Sec. 207.330  Mississippi River between Winnibigoshish and Pokegama 

dams, Leech River between outlet of Leech Lake and Mississippi River, 
and Pokegama reservoir; logging.

    (a) Parties engaged in the transportation of loose logs, timbers, 
and rafts of logs, poles, posts, ties, or pulpwood, on the waters 
described in this section, shall conduct their operations so as to 
interfere as little as possible with navigation by steamboats, launches, 
or other craft, or with the operations of other parties using the waters 
for purposes similar to their own, and, so far as may be possible, shall 
prevent the formation of log jams.
    (b) In case of the formation of a jam, the owner of the logs, poles, 
posts, ties, or pulpwood, causing the jam, or the representatives in 
charge of the drive or tow, shall cause the same to be broken with the 
least practicable delay.
    (c) Steamboats, launches, or other craft desiring to pass through a 
body of floating logs, poles, or ties shall be given all reasonable and 
necessary assistance in doing so by the representatives in charge of the 
logs, poles, posts, ties, or pulpwood causing the obstruction.
    (d) Any individual, firm, or corporation banking logs, poles, posts, 
ties, or pulpwood on the shores or within the banks of any of the waters 
covered by this section, which are to be transported during the 
navigation season, shall so place them as to maintain a clear navigable 
channel width of not less than 20 feet.
    (e) Parties using the river for rafted poles, posts, ties, or 
pulpwood shall not tie rafts up to the bank two or more abreast; shall 
not tie up where there will be less than 50 feet of clear waterway 
between their raft and the other bank or between their raft and another 
tied to the opposite bank; and shall not tie more than three rafts along 
any bank without leaving an opening for a landing.

[Regs., Mar. 5, 1915]



Sec. 207.340  Reservoirs at headwaters of the Mississippi River; use 
and administration.

    (a) Description. These reservoirs include Winnibigoshish, Leech 
Lake, Pokegama, Sandy Lake, Pine River and Gull Lake.
    (b) Penalties. The River and Harbor Act approved August 11, 1888 (25 
Stat. 419, 33 U.S.C. 601) includes the following provisions as to the 
administration of the headwater reservoirs:

    And it shall be the duty of the Secretary of War to prescribe such 
rules and regulations in respect to the use and administration of said 
reservoirs as, in his judgment, the public interest and necessity may 
require; which rules and regulations shall be posted in some

[[Page 69]]

conspicuous place or places for the information of the public. And any 
person knowingly and willfully violating such rules and regulations 
shall be liable to a fine not exceeding five hundred dollars, or 
imprisonment not exceeding six months, the same to be enforced by 
prosecution in any district court of the United States within whose 
territorial jurisdiction such offense may have been committed.

    (c) Previous regulations now revoked. In accordance with the above 
act, the Secretary of War prescribed regulations for the use and 
administration of the reservoirs at the headwaters of the Mississippi 
River under date of February 11, 1931, which together with all 
subsequent amendments are hereby revoked and the following substituted 
therefor.
    (d) Authority of officer in charge of the reservoirs. The 
accumulation of water in, and discharge of water from the reservoirs, 
including that from one reservoir to another, shall be under the 
direction of the U.S. District Engineer, St. Paul, Minnesota, and of his 
authorized agents subject to the following restrictions and 
considerations:
    (1) Notwithstanding any other provision of this section, the 
discharge from any reservoir may be varied at any time as required to 
permit inspection of, or repairs to, the dams, dikes or their 
appurtenances, or to prevent damage to lands or structures above or 
below the dams.
    (2) Except as provided in paragraph (d)(1) of this section the 
average annual discharge from the respective reservoirs shall not be 
reduced below the following values, as nearly as they can practically be 
maintained:

Winnibigoshish, 150 cubic feet per second.
Leech Lake, 70 cubic feet per second.
Pokegama, 200 cubic feet per second.
Sandy Lake, 80 cubic feet per second.
Pine River, 90 cubic feet per second.
Gull Lake, 30 cubic feet per second.

    (3) During the season of navigation on the upper Mississippi River, 
the volume of water discharged from the reservoirs shall be so regulated 
by the officer in charge as to maintain as nearly as practicable, until 
navigation closes, a sufficient stage of water in the navigable reaches 
of the upper Mississippi and in those of any tributary thereto that may 
be navigated and on which a reservoir is located.
    (4) Surplus waters in storage above the stages listed in paragraph 
(d)(7) of this section not required for use in the aid of navigation, as 
provided for in paragraph (d)(3) of this section, may be discharged at 
such time and at such rates as will result, in the judgment of the 
District Engineer, in the greatest general benefit or the minimum of 
injuries to all affected interests.
    (5) No discharge other than the minimum specified in paragraph 
(d)(2) of this section shall be permitted when a reservoir is at or 
below its minimum stage as set forth in paragraph (d)(7) of this section 
except such increases of discharge as may specifically be directed by 
the Chief of Engineers.
    (6) The surplus inflow over the minimum discharge set forth in 
paragraph (d)(2) of this section shall be stored until the limit of 
capacity or safety of the reservoir is reached, or until such time as 
water may be discharged in accordance with this section.
    (7) So far as practicable, under the requirements of this section, 
the officer in charge will cause the reservoirs to be maintained above 
the following minimum stages, referred to zeros of respective Government 
gauges:

Winnebigoshish...................................................    6.0
Leech Lake.......................................................    0.0
Pokegama.........................................................    6.0
Sandy Lake.......................................................    7.0
Pine River.......................................................    9.0
Gull Lake........................................................    5.0
 

    The range of fluctuations in levels in any reservoir in a single 
calendar year shall be held at a minimum consistent with the 
requirements of this section and with the inflow of that year. If, 
through necessity reservoirs are drawn below these stages, minimum 
stages will be restored at the first practicable opportunity.
    (e) Passage of logs and other floating bodies. Logs and other 
floating bodies may be sluiced or locked through the dams, but prior 
authority for the sluicing of logs must be obtained from the District 
Engineer when this operation necessitates a material change in 
discharge.
    (f) Obstructions to flow of water. No person shall place floating 
bodies in a stream or pond above or below a reservoir dam when, in the 
opinion of the

[[Page 70]]

officer in charge, such act would prevent the necessary flow of water to 
or from such dam, or in any way injure the dam and its appurtenances, 
its dikes and embankments; and should floating bodies lying above or 
below a dam constitute at any time an obstruction or menace as 
beforesaid, the owners of said floating bodies will be required to 
remove them immediately.
    (g) Trespass. No one shall trespass on any reservoir dam, dike, 
embankment or upon any property pertaining thereto.

[Regs., Feb. 4, 1936, as amended at 10 FR 414, Jan. 10, 1945]



Sec. 207.350  St. Croix River, Wis. and Minn.

    (a) Logging regulations for river above Lake St. Croix. (1) During 
the season of navigation from May 1 to September 30, the full natural 
run of water in the river shall be permitted to flow between 1 a.m. on 
Thursday and 4 p.m. on Sunday of each week, and during the time between 
1 p.m. on Wednesday and 4 p.m. on Sunday of each week no logs shall be 
sluiced into the river between St. Croix Falls, Wis., and Stillwater, 
Minn.
    (2) Except during the period above mentioned, the parties engaged in 
handling logs upon the river shall have the right to sluice, drive, and 
float loose logs and to regulate the flow of water in the river as may 
best suit their convenience, all reasonable caution being taken to avoid 
log jams.
    (3) This paragraph shall remain in force until modified or 
rescinded. (Act of May 9, 1900, 31 Stat. 172; 33 U.S.C. 410)
    (b) Power dam at Taylors Falls. (1) That between April 1 and October 
31, whenever the natural river flow exceeds 1,600 feet per second, the 
reduced flow shall be not less than 1,600 feet per second, and that 
whenever the natural flow be less than 1,600 feet per second, then the 
reduced flow shall not be less than such natural flow: Provided, That 
the District Engineer in charge of the locality may vary these 
requirements temporarily, as the interests of navigation, in his 
judgment, require, prompt report of his action in such instances to be 
made to the Chief of Engineers.
    (2) The Northern States Power Co. shall establish automatic water-
stage recorders of a type approved by the district engineer at the 
following localities:
    (i) On the Nevers Pond near the dam.
    (ii) On the St. Croix hydroplant pond near the dam.
    (iii) On the St. Croix hydroplant tailrace.
    (iv) On the St. Croix River near Osceola.
    (v) On the St. Croix River near Marine.
    (3) The gages are to be installed and maintained by the Northern 
States Power Co. in a manner satisfactory to the District Engineer, but 
their operation and inspection is to be under the sole direction of the 
District Engineer, who will retain the original records, furnishing the 
Northern States Power Co. with duplicates of the gage records.

[Regs., Apr. 20, 1907, Apr. 10, 1931, as amended at 25 FR 8908, Sept. 
16, 1960]



Sec. 207.360  Rainy River, Minn.; logging regulations for portions of 
river within jurisdiction of the United States.

    (a) During the season of navigation, parties engaged in handling 
logs upon such portion of the river shall have the right to sluice, 
drive, and float logs in such manner as may best suit their convenience: 
Provided, A sufficient channel for safe navigation by boats is 
maintained between 7:00 a.m. and 11:00 p.m. from the opening of 
navigation to September 15th; between 8:00 a.m. and 11:00 p.m. from 
September 16th to October 31st; and between 9:00 a.m. and 11:00 p.m. 
from November 1st to the close of navigation.
    (b) Owners of loose logs running in the river must maintain a 
sufficient force of men on the river to keep the logs in motion and to 
prevent the formation of log jams or accumulation of logs on the several 
rapids; and said log owners must also construct and maintain for the 
control and direction of floating logs, such guide booms on said rapids 
and at other points on said river, as may be considered necessary by the 
District Engineer in charge of the District.
    (c) Owners of sack and brail rafts must so handle the same as not to

[[Page 71]]

interfere with the general navigation of the river or with the 
approaches to regular boat landings.

[Regs., Nov. 6, 1935, as amended at 25 FR 8908, Sept. 16, 1960]



Sec. 207.370  Big Fork River, Minn.; logging.

    (a) During the season of navigation, parties engaged in handling 
logs upon the river shall have the right to sluice, drive, and float 
logs in such manner as may best suit their convenience: Provided, A 
sufficient channel is maintained at all times for the navigation of 
steamboats, flatboats, and other small craft.
    (b) A sufficient force of men must accompany each log drive to 
prevent the formation of log jams and to maintain an open channel for 
navigation.
    (c) This section shall remain in force until modified or rescinded.

[Regs., Feb. 24, 1905]



Sec. 207.380  Red Lake River, Minn.; logging regulations for portion 
of river above Thief River Falls.

    (a) Parties wishing to run logs on Red Lake River must provide 
storage booms near the head of the river to take care of said logs.
    (b) No one will be permitted to turn into the river at any time more 
logs than he can receive at his storage boom.
    (c) Tows arriving at the head of the river shall turn their logs 
into the river successively in the order of their arrival, and such logs 
shall be at once driven to the owner's storage boom.
    (d) Parties authorized to run logs on the river shall have the use 
of the river on successive days in rotation to run their logs from their 
storage boom down, but not more than 1,000,000 feet, board measure, 
shall be released from the storage booms on any one day. Said parties 
must provide a sufficient force of log drivers to keep their logs in 
motion throughout the section of river above mentioned, so as to avoid 
obstructing the general navigation of the river.
    (e) When a drive is made it shall be so conducted that not more than 
1,500,000 feet, board measure, of logs shall pass any point on the river 
in 24 hours. The decision of the agent appointed by the United States 
shall be final as to the quantity of logs running at any time.
    (f) This section shall remain in force until modified or rescinded.

[Regs., Feb. 24, 1905]



Sec. 207.390  [Reserved]



Sec. 207.420  Chicago River, Ill.; Sanitary District controlling works, 
and the use, administration, and navigation of the lock at the mouth of 
river, Chicago Harbor.

    (a) Controlling works. The controlling works shall be so operated 
that the water level in the Chicago River will be maintained at a level 
lower than that of the lake, except in times of excessive storm run-off 
into the river or when the level of the lake is below minus 2 feet, 
Chicago City Datum.
    (1) The elevation to be maintained in the Chicago River at the west 
end of the lock will be determined from time to time by the U.S. 
District Engineer, Chicago, Illinois. It shall at no time be higher than 
minus 0.5 foot, Chicago City Datum, and at no time lower than minus 2.0 
feet, Chicago City Datum, except as noted in the preceding paragraph.
    (b) Lock--(1) Operation. The lock shall be operated by the 
Metropolitan Sanitary District of Chicago under the general supervision 
of the U.S. District Engineer, Chicago, Illinois. The lock gates shall 
be kept in the closed position at all times except for the passage of 
navigation.
    (2) Description of lock.

------------------------------------------------------------------------
                                                                  Feet
------------------------------------------------------------------------
Clear length..................................................       600
Clear width...................................................        80
Depth over sills..............................................  \1\ 24.4
------------------------------------------------------------------------
\1\ This depth is below Chicago City Datum which is the zero of the
  gages mounted on the lock. The clear depth below Low Water Datum for
  Lake Michigan, which is the plane of reference for U. S. Lake Survey
  Charts, is 23.0 feet.


The east end of the northeast guide wall shall be marked by an 
intermittent red light, and by a traffic light showing a fixed red or 
fixed green light. The west end of the northwest gate block shall be 
marked by a traffic light showing a fixed red or fixed green light. The 
east end of the southeast guide wall and the west end of the southwest 
guide wall shall be marked by an intermittent white light.

[[Page 72]]

    (3) Authority of lockmasters. The lockmaster shall be charged with 
the immediate control and management of the lock, and of the area set 
aside as the lock area, including the lock approach channels. He shall 
see that all laws, rules and regulations for the use of the lock and 
lock area are duly complied with, to which end he is authorized to give 
all necessary orders and directions in accordance therewith, both to 
employees of the Government and to any and every person within the 
limits of the lock or lock area, whether navigating the lock or not. No 
one shall cause any movement of any vessel, boat, or other floating 
thing in the lock or approaches except by or under the direction of the 
lockmaster or his assistants.
    (4) Signals. (i) Signals from vessels for lockage shall be by 
whistle, horn or by idling or standing near the ends of the lock guide 
walls. Signals from the lockmaster shall be by the traffic light and 
horn and/or by voice with or without electrical amplification. In case 
of emergency, the lockmaster may signal the vessel by wave of hand or 
lantern, and the signals thus given shall have the same weight as though 
given by visual or sound devices at the lock. Vessels must approach the 
lock with caution and shall not enter or leave the lock until signaled 
to do so by the lockmaster. The following lockage signals and duration 
of sound signals are prescribed. A long blast shall be of 4 second 
duration; a short blast shall be of 1 second duration.
    (a) Vessel signals. Inbound vessels at a distance of not more than 
4,000 feet from the lock and outbound vessels immediately after crossing 
under the Lake Shore Drive bridge shall signal for lockage by 2 long and 
2 short blasts of a whistle or horn.
    (b) Lock signals. (1) When the lock is ready for entrance, the 
traffic light will show green, and vessels under 500 gross tons shall 
come ahead under caution and enter the lock; vessels of 500 gross tons 
or more shall come to a stop along the guide wall, as prescribed in 
paragraph (b)(5) of this section. Should the traffic light be out of 
order or be invisible due to thick weather, vessels shall upon 1 long 
blast of the lock horn approach and moor to the south guide wall or 
continue into the lock if so directed by the lockmaster.
    (2) When the lock is not ready for entrance, the traffic light will 
show red, and vessels shall not pass beyond the end of the south guide 
wall: Provided, however, That vessels may approach and moor to said wall 
if authorized by 1 long blast of the lock horn.
    (3) Permission to leave the lock shall be indicated by 1 short blast 
of the lock horn.
    (4) Caution or danger will be indicated by 4 or more flashes of the 
red traffic light or 4 or more short blasts of the lock horn delivered 
in rapid succession.
    (ii) When in the lock, vessels shall not blow whistle signals for 
tugs, bridges, landings, etc., without the lockmaster's permission.
    (iii) The master and chief engineer of each vessel of 500 gross tons 
or more shall be on duty at their respective stations when passing 
through the lock.
    (5) Stop before entering. All vessels or tows of 500 gross tons or 
more shall come to a full stop at the point indicated by the sign 
reading ``Stop'' on the south guide wall and shall not proceed into the 
lock until so directed by the lockmaster.
    (6) Maximum draft. Vessels drawing within 6 inches of the depth over 
the sills shall not be permitted lockage except under special permission 
from the lockmaster.
    (7) Precedence at locks. The vessel arriving first at a lock shall 
be first to lock through; but precedence shall be given to vessels 
belonging to the United States and to commercial vessels in the order 
named. Arrival posts or markers may be established ashore above or below 
the locks. Vessels arriving at or opposite such posts or markers will be 
considered as having arrived at the locks within the meaning of this 
paragraph.
    (8) Lockage of pleasure boats. The lockage of pleasure boats, house 
boats or like craft shall be expedited by locking them through with 
commercial craft (other than barges carrying petroleum products or 
highly hazardous materials) in order to utilize the capacity of the lock 
to its maximum. If,

[[Page 73]]

after the arrival of such craft, no separate or combined lockage can be 
accomplished within a reasonable time, not to exceed the time required 
for three other lockages, then separate lockage shall be made.
    (9) Speed of approach and departure. Vessels of 500 gross tons or 
more when approaching the lock shall navigate at a speed not exceeding 2 
miles per hour, and when leaving the lock shall navigate at a speed not 
exceeding 6 miles per hour. While entering or leaving the lock, the 
propellers of vessels of 500 gross tons or more shall be operated at 
slow speed so as not to undermine or injure the concrete paving on the 
bottom of the lock chamber. Tugs assisting vessels in lockage, and Coast 
Guard and fire vessels, may navigate at a higher speed when authorized 
by the lockmaster. Vessels of less than 500 gross tons shall operate at 
reasonable speed.
    (10) Mooring. (i) Vessels shall be moored in the lock or along its 
approach walls in such manner as may be directed by the lockmaster. 
Tying to lock ladders, lamp standards, or railings is strictly 
prohibited. Commercial vessels and tows of 500 gross tons or more shall, 
in general, have at least one line out when entering the lock and shall 
be moored in the lock with two bow and two stern lines, which shall lead 
forward and aft at each end of the vessel or tow. When the gates are 
closed, commercial vessels shall not be permitted to work their wheels. 
Said vessels shall have at least two seamen ashore to handle the mooring 
lines while they are in the lock.
    (ii) Mooring lines shall not be cast off until after the lock gates 
have been opened fully into their recesses, and the signal given to 
leave the lock. The lines leading aft shall be released first. The lines 
leading forward shall not be released until the vessel has started to 
move forward, so as to prevent the vessel from drifting back into the 
lock gates.
    (11) [Reserved]
    (12) Unnecessary delay at lock. Masters and pilots must use every 
precaution to prevent unnecessary delay in entering of leaving the lock. 
Vessels failing to enter lock with reasonable promptness, when signaled 
to do so, shall lose their turn. Vessels arriving at the lock with their 
tows in such shape so as to impede lockage, shall lose their turn.
    (13) Depositing refuse prohibited. The depositing of ashes or refuse 
matter of any kind in the lock; the passing of coal from barges or flats 
while in the lock; and the emission of dense smoke from any vessel while 
passing through the lock, is forbidden.
    (14) Vessels denied lockage. The lockmaster may deny the privilege 
of passage through the lock to any vessel with sharp or rough projecting 
surfaces of any kind, or overhanging rigging, or any vessel which is 
badly leaking or in a sinking condition.
    (15) Fenders. All barges and oil tankers must be provided with 
suitable nonmetallic fenders so as to eliminate damage to the lock or 
approach walls and reduce fire hazard. Said fenders shall be used as may 
be directed by the lockmaster.
    (16) Operating machinery. Lock employees only shall be permitted to 
operate the lock gates, valves, signals or other appliances. Tampering 
or meddling with machinery or other parts of the lock is strictly 
forbidden.
    (17) [Reserved]
    (18) Vessels to carry regulations. A copy of the regulations in this 
section shall be kept at all times on board each vessel regularly 
engaged in navigating this lock. Copies may be obtained without charge 
from the lockmaster.
    (19) Failure to comply with regulations. Any vessel failing to 
comply with this section or any orders given in pursuance thereof, may 
in the discretion of the lockmaster be denied the privilege of passage 
through or other use of the lock or appurtenant structures.

[3 FR 2139, Sept. 1, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 26 
FR 354, Jan. 18, 1961; 44 FR 67657, Nov. 27, 1979; 56 FR 13765, Apr. 4, 
1991]



Sec. 207.425  Calumet River, Ill.; Thomas J. O'Brien Lock and 
Controlling Works and the use, administration and navigation of 
the lock.

    (a) Controlling Works. (1) The controlling works shall be so 
operated that the water level at the downstream end of the lock will be 
maintained at a level lower than that of Lake Michigan, except in times 
of excessive storm

[[Page 74]]

run-off into the Illinois Waterway, or when the lake level is below 
minus 2 feet, Chicago City Datum.
    (2) The elevation to be maintained at the downstream end of the lock 
shall at no time be higher than minus 0.5 feet, Chicago City Datum, and 
at no time lower than minus 2.0 feet, Chicago City Datum, except as 
noted in paragraph (a)(1) of this section.
    (b) Lock--(1) Operation. The Thomas J. O'Brien Lock and Dam is part 
of the Illinois Waterway which is a tributary of the Mississippi River. 
All rules and regulations defined in Sec. 207.300, Ohio River, 
Mississippi River above Cairo, Illinois, and their tributaries; use, 
administration and navigation shall apply.

[40 FR 57358, Dec. 9, 1975]



Sec. 207.440  St. Marys Falls Canal and Locks, Mich.; use, 
administration, and navigation.

    (a) The use, administration, and navigation of the canal and canal 
grounds shall be under the direction of the District Engineer, Engineer 
Department at Large, in charge of the locality, and his authorized 
agents. The term ``canal'' shall include all of the natural waters of 
the St. Marys River on the U.S. side of the International Boundary and 
all of the canalized waterway and the locks therein between the western 
or upstream limit, which is a north and south line tangent to the west 
end of the Northwest Pier, and the eastern or downstream limit, which is 
a north and south line tangent to the northeast corner of the old Fort 
Brady Reservation, the distance between limits being 1.9 miles. The term 
``canal grounds'' shall include all of the United States part and other 
lands, piers, buildings, water level regulation works, hydroelectric 
power plant, and other appurtenances acquired or constructed for the 
channel improvement and use of the waterway.
    Note: Rules and regulations governing the movements of vessels and 
rafts in St. Marys River from Point Iroquois, on Lake Superior, to Point 
Detour, on Lake Huron, prescribed by the U.S. Coast Guard pursuant to 33 
U.S.C. 475, are contained in part 92 of this title.
    (b) Masters of all registered vessels approaching and desiring to 
use the locks shall, upon arriving at Sailors Encampment, Little Rapids 
Cut, and Brush Point, report the name of the vessel and its draft to the 
Coast Guard Lookout Stations at those points.
    (c) Approach requirements. Upon approaching the canal, vessel 
masters shall request lock dispatch by radiotelephone to the Corps of 
Engineers Chief Lockmaster at St. Marys Falls Canal dispatch tower 
(Radio Call WUE-21). Every up bound vessel requiring lock transit shall 
request lock dispatch immediately before initiating the turn at Mission 
Point at the intersection of Course 1, Bayfield Channel, and Course 2, 
Little Rapids Cut. Every down bound vessel shall call when approximately 
one-half mile downstream from Big Point.
    (d) When in the locks, vessels shall not blow whistle signals for 
tugs, supply vessels, or persons unless authorized to do so by the 
District Engineer or his authorized agents.
    (e)(1) Manning requirements. On all vessels of 400 gross tons or 
over navigating the canal under their own power, the following ship's 
personnel shall be on duty. In the pilot house, on the bridge, the 
master. One mate and one able seaman shall be on watch and available to 
assist; in the engine room, the engineering watch officer. The chief 
engineer shall be available to assist. During transit of the locks, all 
vessels of 400 gross tons or over equipped with power operated mooring 
deck winches shall have, in addition to the winch operators, mates or 
signalman at the forward and after ends of the vessel to direct 
operations from points providing maximum vision of both the winch 
operators and canal linesmen.
    (2) Linehandlers--(i) Cargo vessels equipped with bow thrusters and 
friction winches. Two line handlers from the vessel are required on the 
piers under normal weather conditions. Lockmasters can ask for three 
persons under severe weather conditions. If a vessel is experiencing 
mechanical problems or in extreme severe weather situations, the 
lockmaster may require four vessel-supplied line handlers on the pier.
    (ii) Vessels with non-friction winches or lack of both bow and stern 
thrusters.

[[Page 75]]

Four vessel-supplied line handlers are required on the pier at all 
times.
    (f) Vessel restrictions--(1) Speed limits. Within the limits of the 
canal, vessels approaching the locks shall not navigate at a speed 
greater than 2\1/2\ miles per hour, and vessels leaving the locks shall 
not navigate at a speed greater than 6 miles per hour. Tugs assisting 
vessels in passing through the locks may be authorized by the District 
Engineer or his authorized agents to navigate at a higher speed when 
considered necessary to expedite canal operations.
    (2) Use of bow/stern thrusters. Bow and/or stern thruster use shall 
be kept to a minimum while transiting the Soo Locks. Thrusters shall not 
be used while the thrusters are opposite lock gates. They may be used 
sparingly for short durations within the lock to maintain the ship 
position near the mooring wall or in an emergency. Thrusters shall be at 
zero thrust during the period the ship is stopped and moored to the wall 
with all lines out, and during raising and lowering of pool levels 
within the chamber.
    (g) For passage through the canal, vessels or boats owned or 
operated by the U.S. Government may be given precedence over all others.
    (h) Vessel lockage order--(1) Arrival. All registered vessels will 
be passed through the locks in the order of their arrival at the 
dispatch point unless otherwise directed by the District Engineer or his 
authorized agents. When a vessel that has stopped on its own business is 
ready to proceed, it is not entitled to precedence over other vessels 
already dispatched.
    (2) Departure. The following order of departure procedure will apply 
to vessels leaving the MacArthur Lock and Poe Lock simultaneously or at 
approximately the same time:
    (i) The first vessel to leave will be the vessel in the lock which 
is ready for vessel release first. The vessel in the other lock will be 
restrained by the gates remaining closed and the wire rope fender 
remaining in the down position.
    (A) On down bound passages, the vessel retained shall not leave the 
lock until such time as the bow of the vessel leaving first reaches the 
end of the East Center pier.
    (B) On up bound passages, the vessel retained shall not leave the 
lock until such time as the bow of the vessel leaving first reaches the 
railroad bridge.
    (ii) When a 1,000 foot vessel is ready to depart the Poe Lock and a 
vessel has left the MacArthur Lock already, the 1,000 foot vessel may 
start to leave once the bow of the other vessel reaches the end of the 
respective nose pier.
    (iii) Vessels will remain in radio contact with each other and with 
the Chief Lockmaster at all times until clear of the lock area.
    (iv) The need for a deviation from the procedures set forth in 
paragraph (h)(2)(i) of this section will be determined on a case by case 
basis by the Chief Lockmaster. If two vessels masters agree to a 
different departure scheme, they both shall notify the Chief Lockmaster 
and request a change.
    (i) Unless otherwise directed, all vessels or boats approaching the 
locks shall stop at the points indicated by signs placed on the canal 
piers until ordered by the District Engineer or his authorized agents to 
proceed into the lock.
    (j) Vessels and boats shall not proceed to enter or leave a lock 
until the lock gates are fully in their recesses and the lockmaster has 
given directions for starting.
    (k) Upon each passage through the canal, the master or clerk of the 
vessel or craft shall report to the canal office, upon the prescribed 
form, a statement of passengers, freight, and registered tonnage, and 
such other statistical information as may be required by the blank forms 
provided for the purpose.
    (l) No business, trading, or loading or landing of freight, baggage, 
or passengers will be allowed on or over the canal piers or lock walls, 
or over the other piers within the limits of the canal grounds, except 
by prior authority of the District Engineer or his authorized agents.
    (m) No person shall throw material of any kind into the canal, or 
litter the grounds with any refuse.
    (n) The releasing of vessel steam, water, or waste from side 
discharge openings upon the piers or lock walls, the cleaning of boiler 
flues in the locks

[[Page 76]]

or canal, or the emission of dense smoke from the stack of any vessel 
while passing through the locks, is forbidden.
    (o) No person shall enter or navigate the canal with a boat or other 
craft which, when entering or while navigating the canal, shall have an 
iron or irons projecting from it or a rough surface or surfaces on it 
which would be liable to damage the lock walls or canal piers.
    (p) No person shall cause or permit any vessel or boat of which he 
is in charge or on which he is employed to in any way obstruct the canal 
or delay in passing through it, except upon prior authority of the 
District Engineer or his authorized agents.
    (q) No person shall enter upon any part of the canal grounds except 
as permitted, either generally or in specific instances, by the District 
Engineer or his authorized agents. No person shall willfully or 
carelessly injure, tamper with, or damage the canal or any of the 
Government buildings, works or structures, trees or shrubbery, or other 
public property pertaining to the canal or canal grounds.
    (r) Tug assist procedure--(1) Self-powered vessels. Mariners are 
advised that often times adverse local weather conditions, i.e., high 
winds, current conditions and/or inclement weather, exists as vessels 
approach, enter and/or depart the Soo Locks. These conditions combined 
with close quarters slow speed maneuvering, particularly with large 
vessels not equipped with bow or stern thrusters, may cause control 
difficulties for certain classes of vessels. Therefore, any vessel 
requesting lockage which in the opinion of the vessel master in 
consultation with the pilot on board, where applicable may experience 
severe control problems due to the above conditions, must request 
assistance by one or more tugs to ensure full control over the vessel at 
all times. Vessel masters and pilots must consult with the lockmaster 
concerning local conditions well in advance of arrival at the lock to 
allow tug assistance to be arranged if necessary. These guidelines apply 
to all vessels.
    (2) Non self-powered vessels. All barges or other vessels navigating 
within the canal and not operating under their own power, whether 
approaching or leaving the locks, are required to be assisted by one or 
more tugs of sufficient power to ensure full control at all times.
    (s) Smoking and open flames are prohibited on the canal grounds 
within 50 feet of any tanker transiting the canal and locks, and on 
board the tanker transiting the locks except in such places as may be 
designated in the ship's regulations.
    (t) All oil tankers, barges, and other vessels which are used for 
transporting inflammable liquids, either with or without cargo, shall, 
if not equipped with fixed timber fenders, be prevented from contacting 
any unfendered pier, lock wall, or other structure by an adequate number 
of suitable fenders of timber, rubber, or rope placed between the vessel 
and such unfendered structure.
    (u) The locks will be opened and closed to navigation each year as 
provided in paragraphs (u) (1) and (2) of this section except as may be 
authorized by the Division Engineer. Consideration will be given to 
change in these dates in an emergency involving disaster to a vessel or 
other extraordinary circumstances.
    (1) Opening date. At least one lock will be placed in operation for 
the passage of vessels on March 25. Thereafter, additional locks will be 
placed in operation as traffic density demands.
    (2) Closing date. The locks will be maintained in operation only for 
the passage of down bound vessels departing from a Lake Superior port 
before midnight (2400 hours) of January 14, and of upbound vessels 
passing Detour before midnight (2400 hours) of January 15. Vessel owners 
are requested to report in advance to the Engineer in charge at Sault 
Ste. Marie, the name of vessel and time of departure from a Lake 
Superior port on January 14 before midnight, and of vessels passing 
Detour on January 15 before midnight, which may necessitate the 
continued operation of a lock to permit passage of vessel.
    (v) The maximum overall dimensions of vessels that will be permitted 
to transit MacArthur Lock are 730 feet in length and 75 feet in width, 
except as

[[Page 77]]

provided in paragraph (v)(1) of this section. Further, any vessel of 
greater length than 600 feet must be equipped with deck winches adequate 
to safely control the vessel in the lock under all conditions including 
that of power failure.
    (1) Whenever the Poe Lock is out of service for a period exceeding 
24 hours the District Engineer may allow vessels greater than 730 feet 
in length, but not exceeding 767 feet in length to navigate the 
MacArthur Lock. Masters of vessels exceeding 730 feet in length shall be 
required to adhere to special handling procedures as prescribed by the 
District Engineer.
    (w) The maximum overall dimensions of vessels that will be permitted 
to transit the New Poe Lock without special restrictions are 100 feet in 
width, including fendering, and 1,000 feet in length, including steering 
poles or other projections. Vessels having overall widths of over 100 
feet and not over 105 feet including fendering, and overall lengths of 
not more than 1,100 feet, including projections, will be permitted to 
transit the New Poe Lock at such times as determined by the District 
Engineer or his authorized representative that they will not unduly 
delay the transit of vessels of lesser dimensions, or endanger the lock 
structure because of wind, ice, or other adverse conditions. These 
vessels also will be subject to such special handling requirements as 
may be found necessary by the Area Engineer at time of transit. Vessels 
over 1,000 feet in length will be required to be equipped with six 
mooring cables and winches ready for use to assist in safe transit of 
the lock.
    (x) Masters or other persons refusing to comply with the regulations 
in this section or any orders given in pursuance thereof, or using 
profane, indecent, or abusive language, may, in the discretion of the 
District Engineer or his authorized agents, be denied the privileges of 
the locks and canal grounds.

[10 FR 14451, Nov. 27, 1945, as amended at 21 FR 8285, Oct. 30, 1956; 22 
FR 401, Jan. 19, 1957; 22 FR 864, Feb. 12, 1957; 31 FR 4346, Mar. 12, 
1966; 34 FR 18458, Nov. 20, 1969; 40 FR 8347, Feb. 27, 1975; 40 FR 
20818, May 13, 1975; 42 FR 6582, Feb. 3, 1977; 42 FR 12172, Mar. 3, 
1977; 57 FR 10245, Mar. 24, 1992; 61 FR 55572, Oct. 28, 1996; 64 FR 
69403, Dec. 13, 1999]



Sec. 207.441  St. Marys Falls Canal and Locks, Mich.; security.

    (a) Purpose and scope of the regulations. The regulations in this 
section are prescribed as protective measures. They supplement the 
general regulations contained in Sec. 207.440 the provisions of which 
shall remain in full force and effect except as modified by this 
section.
    (b) Restrictions on transit of vessels. The following classes of 
vessels will not be permitted to transit the U.S. locks or enter any of 
the United States approach canals:
    (1)-(3) [Reserved]
    (4) Tanker vessels--(i) Hazardous material. Cleaning and gas freeing 
of tanks on all hazardous material cargo vessels (as defined in 49 CFR 
part 171) shall not take place in a lock or any part of the Soo Locks 
approach canals from the outer end of the east center pier to the outer 
end of the southwest pier.
    (ii) Approaching. Whenever a tank vessel is approaching the Soo 
Locks and within the limits of the lock piers (outer ends of the 
southwest and east center piers) either above or below the locks, no 
other vessel will be released from the locks in the direction of the 
approaching tank vessel, unless the tank vessel is certified gas free or 
is carrying non-combustible products, until the tank vessel is within 
the lock chamber or securely moored to the approach pier. Whenever a 
tank vessel is within a Soo Lock Chamber, the tank vessel, unless 
certified gas free or is carrying non-combustible products, will not be 
released from the lock until the channel within the limits of the lock 
piers either above or below the lock, in the direction of the tank 
vessel, is clear of vessels or vessels therein are securely moored to 
the approach pier. This limits movement to a single vessel whenever a 
tank vessel is within the limits of the lock piers either above or below 
the locks, unless the tank vessel is certified gas free or is carrying 
non-combustible products. Tank vessels to which this paragraph 
(b)(4)(ii) applies include those vessels carrying fuel oil, gasoline, 
crude oil or other flammable liquids in bulk, including vessels that are 
not certified gas free where the previous cargo was one of these 
liquids.

[[Page 78]]

    (iii) Locks park. Except as provided in paragraph (b)(5) of this 
section, tankers with any type cargo will be permitted to transit the 
MacArthur Lock when the locks park is closed. The exact dates and times 
that the park is closed varies, but generally these periods are from 
midnight to 6 a.m. June through September with one or two hour closure 
extensions in the early and late seasons. Tankers carrying non-
combustible products that will not react hazardously with water or 
tankers that have been purged of gas or hazardous fumes and certified 
gas free will be allowed to transit the MacArthur Lock when the park is 
open.
    (5) Carrying explosives. All vessels, except U.S. vessels of war and 
public vessels as defined in 46 U.S.C. 2101, carrying explosives are 
prohibited from transiting the U.S. Locks.
    (c) Personnel restrictions. Masters of vessels are responsible for 
the conduct of crew and passengers while transiting St. Marys Falls 
Canal and Locks and for strict compliance with the regulations. The 
following procedures are established for the control of persons 
embarking or debarking from vessels while transiting the locks:
    (1) The master or mate and not more than three deckhands will be 
permitted to go ashore from transiting vessels and then only for normal 
operations and business incident to the transit. A maximum of four men 
will be permitted ashore at any one time from any one ship.
    (2) Personnel--(i) Embarking. Personnel, including technicians, 
repairmen, and company officials will be permitted to embark at the 
locks if they are in possession of a letter addressed to the Area 
Engineer, St. Marys Falls Canal, Sault Ste. Marie, Michigan, from the 
vessel's master, the operators of the vessel, or the Lake Carriers' 
Association, requesting that the individual named therein be permitted 
to embark on a particular vessel. United States vessel personnel must 
also be in possession of a specially validated seaman's document issued 
by the U.S. Coast Guard. Their papers will be presented to the civilian 
guard on duty at the main gate on Portage Avenue who will arrange escort 
from the gate to the vessel. Luggage will be subject to inspection.
    (ii) Debarking. The vessel master will furnish prior notification to 
the Chief Lockmaster at St. Marys Falls Canal Tower (Radio Call WUD-31) 
that he has vessel personnel, technicians, repairmen or company 
officials aboard for whom he requests authority to debark. If authority 
to debark is granted such personnel will be furnished a letter by the 
vessel master, addressed to the Area Engineer, St. Marys Falls Canal, 
Sault Ste. Marie, Michigan, giving the name and position of the 
individual concerned. Personnel will not debark until they have been 
properly identified by a licensed officer of the vessel and the letter 
furnished to the escort provided from the civilian guard detail who will 
escort personnel to the gate. In the event a person debarking for 
medical attention is a litter case, notification will be given 
sufficiently in advance to permit the Chief Lockmaster to route the 
vessel to the MacArthur Lock in order that the long carry over the lock 
gates may be avoided. The Area Engineer will make the necessary 
arrangements for clearance of ambulances and medical personnel into the 
lock area.
    (3) No passengers or guest passengers will be permitted to embark or 
debark at St. Marys Falls Canal except in emergency when medical 
attention is required.
    (4) Letters cited in paragraph (c)(2) of this section are valid only 
for a single passage through the lock area. In the event frequent access 
to the area is required a request for extended access with reasons 
therefor will be submitted to the Area Engineer, St. Marys Falls Canal, 
Sault Ste. Marie, Michigan, who may arrange for the necessary clearance.
    (5) Emergency needs to embark or debark which develop with 
insufficient time to follow the procedure outlined in this paragraph 
will be approved or disapproved by the Area Engineer, St. Marys Falls 
Canal, Sault Ste. Marie, Michigan, according to the circumstances of the 
individual case, and

[[Page 79]]

requests therefor should be promptly directed to him.

[19 FR 1275, Mar. 6, 1954, as amended at 21 FR 10253, Dec. 20, 1956; 23 
FR 2300, Apr. 9, 1958; 24 FR 4562, June 4, 1959; 32 FR 10652, July 20, 
1967; 35 FR 7512, May 14, 1970; 37 FR 4194, Feb. 2, 1972; 41 FR 3291, 
Jan. 22, 1976; 66 FR 30063, June 5, 2001; 66 FR 31277, June 11, 2001]



Sec. 207.460  Fox River, Wis.

    (a) Use, administration and navigation of the locks and canals--(1) 
Navigation. The Fox River and Wolf River navigation seasons will 
commence and close as determined by the district engineer, Corps of 
Engineers, in charge of the locality, depending on conditions and need 
for lock service. Days and hours of lock operation will also be 
determined by the district engineer. Public notices will be issued 
announcing or revising the opening and closing dates and operating 
schedules at least 10 days in advance of such dates.
    (2) Authority of lockmaster. The movement of all boats, vessels, 
tows, rafts and floating things, both powered and nonpowered, in the 
canals and locks, approaches to the canals, and at or near the dams, 
shall be subject to the direction of the lockmaster or his duly 
authorized representatives in charge at the locks.
    (3) Signals. All boats approaching the locks shall signal for 
lockage by four distinct whistles of short duration. Locks will not be 
opened on such audible signal during the period when advance notice is 
required if the services of the lock tender are required elsewhere to 
meet prior requests for lockages.
    (4) Mooring in locks. All craft being locked shall be secured to the 
mooring posts on the lock walls. Large craft shall use one head line and 
at least one spring line. Lines shall remain fastened until the signal 
is given by the lock tender for the craft to leave the lock.
    (5) Delays in canals. No boat, barge, raft or other floating craft 
shall tie up or in any way obstruct the canals or approaches, or delay 
entering or leaving the locks, except by permission from proper 
authority. Boats wishing to tie up for some hours or days in the canals 
must notify the Project Engineer directly or through a lock tender, and 
proper orders on the case will be given. Boats so using the canals must 
be securely moored in the places assigned, and if not removed promptly 
on due notice, will be removed, as directed by the Project Engineer at 
the owner's expense. Boats desiring to tie up in the canals for the 
purpose of unloading cargoes over the canal banks must, in each case, 
obtain permission in advance from the District Engineer. Request for 
such permission shall be submitted through the Project Engineer.
    (6) Provisions for lockage service. (i) Commercial vessels, barges, 
rafts and tows engaged in commerce will be provided lockages during the 
same period as provided for pleasure boats (see paragraph (a)(6)(iv) of 
this section).
    (ii) Pleasure boats, powered and non-powered, houseboats and similar 
craft will be provided with not more than one lockage each way through 
the same lock in a 24-hour period.
    (iii) All small vessels or craft, such as skiffs, sculls, sailing 
boats, etc., shall be passed through locks in groups of not less than 
six at one lockage, or may be granted separate lockage if the traffic 
load at the time permits.
    (iv) Lockage may be provided during certain hours other than 
announced at the intermediate locks provided prior requests are made to 
the Corps of Engineers, Fox River Project Office. Requests may be made 
either in writing, by telephone or in person to U.S. Army Corps of 
Engineers, Fox River Project Office, 1008 Augustine Street, Kaukauna, 
Wisconsin 54130, telephone: 414-766-3531.
    (7) Injury to locks or fixtures. Vessel operators shall use great 
care not to strike any part of the locks or sluice walls, or any gate or 
appurtenance thereto, or machinery for operating the gates, or the walls 
protecting the banks of the canals. All boats using the canals shall be 
free from projecting irons or rough surfaces that would be liable to 
damage the locks or any part of the canals, and they must be provided 
with fenders to be used in guarding the lock walls, etc., from injury. 
Boats will not be permitted to enter or leave the locks until the lock 
gates are fully in the gate recesses, and the lock tender has directed 
the boat to proceed. No vessel shall be raced or crowded alongside 
another vessel, or be

[[Page 80]]

moved at such speed as will cause excessive swells or wash. Speed shall 
be kept at a minimum consistent with safe navigation.
    (8) Handling gates. No one, unless authorized by the lock tender, 
shall open or close any gate, or valve, or in any way interfere with the 
employees in the discharge of their duties. The lock tender may call for 
assistance from the master of any boat using the lock should such aid be 
needed.
    (9) Draft of boats. No boat shall enter a canal or lock whose actual 
draft exceeds the least depth of water in the channel of the canal as 
given by the Project Engineer.
    (10) Right-of-way. Boats going downstream shall have the right-of-
way over boats going upstream. Ordinarily, the boats or tows arriving 
first at any of the locks shall have precedence in passage except that 
those vessels which have given advance notice, when such notice is 
required, shall have precedence over other vessels when such notifying 
vessel is ready for passage. In all cases boats and barges belonging to 
the United States, or employed upon public works, shall have precedence 
over all others, and commercial passenger boats shall have precedence 
over tows. All boats not taking advantage of the first lawful 
opportunity to pass shall lose their turn. When lockage has started on 
tows requiring multiple lockages, all units of the tow will be locked 
ahead of other vessels traveling in the same direction. In the case of 
tows requiring two lockages, any craft awaiting lockage in the opposite 
direction will have priority over the second lockage of the tow.
    (11) Boats and rafts without power. No boat or raft without power 
except small boats controlled by sails or oars shall be brought through 
the canal unless accompanied by a power operated boat.
    (12) Dumping of refuse in waterway. No refuse or other material 
shall be thrown or dumped from vessels into the natural river, improved 
channels, canals and locks or placed on any bank of the river or berm of 
the canals so that it is liable to be thrown or washed into the 
waterway. (Sec. 13 of the River and Harbor Act of Mar. 3, 1899 (30 Stat. 
1152; 33 U.S.C. 407), prohibits the depositing of any refuse matter in 
any navigable water or along the banks thereof where the same shall be 
liable to be washed into such navigable water.)
    (13) Drawing off water. No water shall be drawn by any party or 
parties from any portion of the Fox River canals, or of the Fox River, 
including its lakes, improved channels and unimproved channels, to such 
extent as to lower the water surface below the crest of that dam next 
below the place where such draft of water is affected.
    (14) Obstructing navigation. Anyone who shall willfully or through 
carelessness in any way obstruct the free navigation of the waterway, or 
by violation of any of the laws or regulations governing the waterway 
and those using it, delay or inconvenience any boat having the right to 
use the waterway, shall be responsible for all damages and delays, and 
for all expenses for removing the obstructions. (Sec. 20 of the River 
and Harbor Act of Mar. 3, 1899 (30 Stat. 1154; 33 U.S.C. 415), 
authorizes the immediate removal or destruction of any sunken vessel, 
craft or similar obstruction, which impedes or endangers navigation.)
    (15) [Reserved]
    (16) Trespass on U.S. property. Trespass on waterway property or 
injury to the banks, locks, dams, canals, piers, fences, trees, 
buildings or any other property of the United States pertaining to the 
waterway is strictly prohibited. No business, trading or landing of 
freight or baggage will be allowed on or over Government property, 
unless a permit or lease approved by the Secretary of the Army has been 
secured.
    (17) Neenah dam outlet works. (i) During periods of high water, when 
determined to be necessary by the District Engineer, U.S. Army Engineer 
District, Chicago, to reduce the threat of flooding, it shall be the 
duty of the person owning, operating, or controlling the dam across the 
Neenah Channel of the Fox River at Neenah, Wis., acting as agent of the 
United States, to open or close, or cause to be opened or closed, 
pursuant to paragraph (a)(17)(ii) of this section, the outlet works of 
said dam to regulate the passage of water through said outlet works.
    (ii) The outlet works of said dam shall be opened when and to the 
extent

[[Page 81]]

directed by the District Engineer or his authorized field 
representatives, and said outlet works shall thereafter be closed when 
and to the extent directed by the said District Engineer or his 
authorized field representative.
    (b) Use of the United States drydock on Fox River at Kaukauna, Wis. 
(1) The drydock being a part of the Fox River improvement, its use will 
be governed by the general regulations for the use, administration, and 
navigation of that river, so far as they may be applicable.
    (2) The drydock at Kaukauna, when not required for repairs or 
construction by the United States, may be used by private parties or 
corporations under certain restrictions and under the supervision and 
direction of the U.S. District Engineer in charge of the locality or his 
authorized agent.
    (3) The drydock will be loaned to private parties only when no 
private drydock is available at the time and for the purpose desired. 
Applicants will be required to establish over their signature the fact 
that due effort has been made to secure the use of a private drydock and 
none can be had.
    (4) Private parties desiring to use the Kaukauna drydock will give 
notice to the U.S. Assistant Engineer in local charge at Appleton, Wis., 
as long in advance as practicable, stating when use of the dock is 
wanted, nature of repairs required, and the dimensions and character of 
boat. No boat will enter the dock until the permission of the U.S. 
District Engineer or the Assistant Engineer above referred to has been 
obtained.
    (5) All private parties or corporations using the Kaukauna drydock 
will furnish all material and labor, including blocking, when necessary, 
required for prompt execution of their work, and will also furnish all 
labor for properly operating, under the immediate personal supervision 
of an authorized canal employee, gates, and sluices of the drydock. No 
gate or sluice of the drydock will be operated, or in any way meddled 
with, except by permission of and under the personal supervision of such 
authorized canal employee.
    (6) No boat will be allowed to occupy the Kaukauna drydock for a 
longer period than 2 days when other boats are waiting to use the dock, 
except in cases when, in the opinion of the U.S. District Engineer or 
his authorized agent, circumstances necessitate and justify a longer use 
than 2 days. The U.S. District Engineer or his authorized agent is 
authorized to remove from the drydock any boat using or occupying such 
dock without his authority, and the expense of such removal will be paid 
by the party or parties owning such boat.
    (7) The wages of all mechanics and laborers, due from private 
parties for repairs carried on in the Kaukauna drydock, must be paid 
before the boat leaves the dock.
    (8) Repair shop, timber shed, tools, etc., owned by the Government 
at and near the drydock shall not be used by parties allowed to occupy 
the drydock.
    (9) Lumber and all material needed by parties allowed to use the 
drydock may be deposited in the drydock yards at such places as may be 
directed, but only for such time as repairs are being made, and residue 
must be entirely removed when the boat leaves the dock; general storage 
will not be permitted.
    (10) All refuse and old material taken from boats under repairs must 
be removed or disposed of, as may be directed, by the owner of the boat 
or his employees without expense to the Government, and before the boat 
leaves the dock, and to the satisfaction of the agent in charge of the 
dock.
    (11) The Government charges for the authorized and necessary use and 
occupancy of the Kaukauna drydock by private boats shall be, until 
further orders, as follows:
    (i) Docking charges (including lay time for the calendar day on 
which vessel is docked): Tugs, motor boats, and dredges, 75 cents per 
linear foot; $25 minimum charge. Barges, dump scows, and derrick boats, 
65 cents per linear foot; $20 minimum charge.
    (ii) Lay-day charges (excluding Sundays and national holidays, 
unless repairs are made on such Sundays and holidays): For all vessels, 
20 cents per linear foot per calendar day or part thereof; $7 per 
calendar day or part thereof, minimum charge.
    (12) The charges for all use or occupancy of the Kaukauna drydock by 
a boat or private parties, after repairs on such boat have, in the 
opinion of the U.S. District Engineer or authorized

[[Page 82]]

agent, been so far completed as to permit safe removal from the dock, or 
after such removal has been ordered by the U.S. District Engineer or his 
authorized agent, shall be $50 per day or part of a day, in addition to 
any penalties incurred for violation of any of the regulations 
prescribed by law for the government of the dock and those using it.
    (13) The dock will be considered in use by a boat from the time the 
dock is placed at its disposal until the boat is out of the dock.
    (14) The length of all vessels shall be the over-all length measured 
on the main deck from stem to stern.
    (15) The charges for the use of the drydock shall be paid within 10 
days from date of bill, which will be submitted to the owner by the 
District Engineer as promptly as possible after the vessel leaves the 
dock. If charges are not so paid, the vessel shall be liable to the 
amount of the charges and the cost of collection in the manner 
prescribed by law, and the owner of the vessel shall be denied the use 
of the drydock until all charges and the cost of collection have been 
paid to the United States.
    (16) This section supersedes the regulations for the use of this 
drydock approved April 10, 1906, which regulations are hereby revoked.

[Regs., Oct. 2, 1926, as amended at 33 FR 11544, Aug. 14, 1968; 36 FR 
1253, Jan. 27, 1971; 43 FR 26570, June 21, 1978; 48 FR 13985, Apr. 1, 
1983; 56 FR 13765, Apr. 4, 1991]



Sec. 207.470  Sturgeon Bay and Lake Michigan Ship Canal, Wis.; use 
and navigation.

    (a) Authority of canal officers. The movement of all boats and 
floating things in the canal and in the approaches thereto shall be 
under the direction of the superintendent or his authorized assistants, 
and their orders and instructions must be obeyed.
    (b) Signals. On entering the canal at either entrance, steamers or 
tugs must blow their whistles for 1 minute in order to warn craft 
approaching from opposite direction and give them time to guard against 
collisions, by tying up if necessary. All steamers approaching others 
going in the opposite direction shall slacken speed so as to pass in 
safety. Compliance is required with rule V of the rules and regulations 
for the government of pilots, adopted by the U.S. Coast Guard.

    Rule V. Whenever a steamer is nearing a short bend or curve in the 
channel where, from the height of the banks or other cause, a steamer 
approaching from the opposite direction cannot be seen for a distance of 
half a mile, the pilot of such steamer, when he shall have arrived 
within half a mile of such curve or bend, shall give a signal by one 
long blast of the steam whistle, which signal shall be answered by a 
similar blast by the pilot of any approaching steamer that may be within 
hearing. Should such signal be so answered by a steamer upon the farther 
side of such bend, then the usual signals for the meeting and passing 
shall immediately be given and answered; but if the first alarm signal 
of such pilot be not answered, he is to consider the channel clear and 
govern himself accordingly.

    (c) Speed. The rate of speed while passing through the canal shall 
not exceed 5 miles per hour.
    (d) Keeping in the center. The center must be kept all the way 
through, except in passing other craft. In case of grounding, the rapid 
or strong working of boat's engines is strictly forbidden.
    (e)-(g) [Reserved]
    (h) Rafts. (1) The passage of bag or sack rafts, or of loose logs, 
into or through the canal is prohibited.
    (2) Rafts shall be made up with logs parallel to each other, in the 
direction of raft lengths, secured and held closely together by frequent 
cross-sticks, chains, or cables.
    (3) Rafts shall not be of greater dimensions, either way, than 50 
feet wide by 600 feet long, and if longer than 300 feet shall be handled 
by two tugs.
    (4) No raft shall pass through the canal, unless by special 
permission of the superintendent or his authorized assistants, who will 
direct a time for passing that will least interfere with other 
navigation.
    (5) Masters of tugs and other persons in charge of rafts are 
required to avoid damaging the canal revetments, and displacing buoys, 
spars, or the pedestal of any range light aiding navigation through the 
canal. They shall keep careful watch when passing aids to navigation, 
and should any be accidentally displaced, shall report the fact at

[[Page 83]]

the earliest possible moment to the superintendent or his authorized 
assistants.
    (i)-(l) [Reserved]
    (m) Refuse in canal. No person shall roll or throw any stones, 
ashes, cinders, or other material into the canal or the approaches 
thereto, or place any such material on any bank or berm of the canal so 
that it is liable to be thrown or roll in.
    (n)-(o) [Reserved]

[Regs., Feb. 15, 1895, as amended Apr. 14, 1908; 42 FR 57962, Nov. 7, 
1977; 56 FR 13765, Apr. 4, 1991]



Sec. 207.476  The Inland Route--lock in Crooked River, Alanson, Mich.; 
use, administration, and navigation.

    (a) General. The use, administration, and navigation of the lock 
shall be under the direction and supervision of the District Engineer, 
U.S. Army Engineer District, Detroit, Mich., and his authorized agents.
    (b) Authority of lockmaster. The lockmaster shall be charged with 
the immediate control and management of the lock, and of the area set 
aside as the lock area, including the lock approach channels. He shall 
see that all laws, rules, and regulations for the use of the lock and 
lock area are duly complied with, to which end he is authorized to give 
all necessary orders and directions in accordance therewith, both to the 
employees of the Government and to any and every person within the 
limits of the lock area, whether navigating the lock or not. No one 
shall cause any movement of any boat, craft or other floating object in 
the lock or approaches except by or under the direction of the 
lockmaster or his assistants.
    (c) Operation. The lock operating season will commence and close as 
determined by the district engineers, Corps of Engineers in charge of 
the locality, depending on conditions and the need for lockage services. 
Public notices will be issued announcing the opening and closing dates 
at least 15 days in advance of such dates.
    (d) Maximum allowable dimensions of craft. (1) Overall length--60 
feet.
    (2) Overall width--16 feet.
    (3) Height above water--15 feet when upper pool is at low water 
datum.
    (4) Draft--6 feet when lower pool is at low water datum.
    (e) Signals. (1) Craft desiring lockage in either direction shall 
give notice to the lock tenders, when not farther than 200 yards from 
the lock, by one long blast (of 10 seconds duration) followed by one 
short blast (of 3 seconds duration) of whistle, horn, or siren.
    (2) Craft not equipped with whistle, horn, or siren may signal for 
lockage by use of the signal provided for this purpose located near the 
extreme end of the guide wall to the starboard side of the craft, both 
upbound and downbound.
    (f) The procedures for transit of lock. (1) Stand clear of the lock 
while the red signal light shows.
    (2) When the green signal light shows and the lock horn sounds three 
blasts, approach and enter the lock.
    (3) Full control of the craft must be maintained while entering the 
lock.
    (4) After entrance to the lock is complete, the craft shall be 
securely moored to the cleats and bitts situated on the lock wall.
    (5) While moored in the lock, the operator of the craft shall 
maintain constant attention to the mooring lines, to provide slack or 
retain tautness as needed.
    (6) The craft shall remain securely moored until the exit lock gate 
is fully open and the lock horn sounds one blast.
    (7) When the exit lock gate is fully open and the lock horn has 
sounded one blast, the craft shall immediately leave the lock under full 
control of its operator.
    (g) Precedence at lock. The craft arriving first at the lock shall 
be first to lock through; but precedence will be given to craft 
belonging to the United States or other local government entities, such 
as state, county, or municipality. Arrival posts may be established 
above and below the lock. Craft arriving at or opposite such posts or 
markers will be considered as having arrived at the locks within the 
meaning of this paragraph.

[32 FR 9068, June 27, 1967, as amended at 48 FR 6707, Feb. 15, 1983]

[[Page 84]]



Sec. 207.480  Lake Huron, Mich.; Harbor of refuge, Harbor Beach; use 
and navigation.

    (a) All boats, barges, and vessels entering the harbor will be 
required to take such positions as may be assigned them by the officer 
in charge, who will direct their movements, either from the breakwater 
or from the Government tug on the harbor.
    (b) In the absence of any directions as to position, boats, barges, 
and vessels entering the harbor will observe the following rule: The 
first steam vessel, or the first steam vessel with consort in tow, on 
entering the harbor for shelter, will proceed to the upper end of the 
breakwater. All steam vessels, and all steam vessels with consorts in 
tow, entering later, will place themselves in a compact position close 
to those preceding them. Sailing craft will so locate themselves that 
they will not lie in the way of other vessels entering the harbor. All 
vessels of every description will in no way place themselves so as to 
interfere with the work of reconstruction of piers, or repairs, that may 
be in progress at the time.
    (c) The use of chains in making fast to the breakwater will not be 
permitted. Lines must be attached to the snubbing posts only, and 
outboard anchors taken in.
    (d) Steam craft with barges or vessels in tow will, if practicable, 
at once place them compactly alongside the breakwater, either taking in 
the towlines entirely or passing them on the breakwater so as not to 
interfere in any way with the landing or departure of boats or vessels 
between them. If impracticable to place them alongside the breakwater, 
they will each drop anchor and at once take in all towlines extending 
from one to the other.
    (e) Passenger boats will, in general, have the preference as to 
location and attention by the officer in charge. Rafts will give way to 
all documented craft.
    (f) All classes of boats, barges, vessels, or other floating 
property making fast to the breakwater must at once place such fenders 
between themselves and the breakwater as may be thought necessary by the 
officer in charge to prevent chafing or other damage.
    (g) The unloading of wood, coal, ballast, stone, or freight of any 
class upon the breakwater is expressly prohibited, except in certain 
cases allowed by special permission from the officer in charge.
    (h) Each and every piece of floating property made fast to the 
breakwater, or anchored in the harbor, must keep outboard from sunset to 
sunrise a conspicuous white light, and must have upon it and in 
immediate charge of it a watchman during the entire time such floating 
property is in the harbor. All colored lights must be at once taken in, 
or covered, on dropping anchor or making fast to the breakwater.

[Regs., Apr. 3, 1906]



Sec. 207.560  Sandusky Harbor, Ohio; use, administration, and navigation.

    (a)-(c) [Reserved]
    (d) No vessel shall moor or anchor to any structure of the United 
States without the consent of the District Engineer, U.S. Army, in 
charge of the locality, or his authorized agent.
    (e) No vessel shall moor or anchor in or along any improved channel 
or basin in such manner as to interfere with improvement or maintenance 
operations therein. Whenever in the opinion of the District Engineer any 
vessel is so moored or anchored, the owner thereof shall cause said 
vessel to be moved upon notification from and within the time specified 
by said District Engineer.

[Regs., May 6, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 42 FR 
57962, Nov. 7, 1977]



Sec. 207.565  Vermilion Harbor, Ohio; use, administration, and 
navigation.

    (a)-(b) [Reserved]
    (c) No vessel or other craft shall moor or anchor to any structure 
of the United States without the consent of the District Engineer, Corps 
of Engineers.
    (d) No vessel or other craft shall moor or anchor in or along any 
improved channel or basin in such a manner as to interfere with the 
improvement or maintenance operations therein. Whenever in the opinion 
of the District Engineer any vessel or craft is so moored or anchored, 
the owner thereof shall cause such vessel or craft to be

[[Page 85]]

moved upon notification from, and within the time specified by, the 
District Engineer.

[13 FR 9564, Dec. 31, 1948, as amended at 42 FR 51773, Sept. 29, 1977; 
42 FR 57962, Nov. 7, 1977]



Sec. 207.570  Harbors of Huron, Lorain, Cleveland, Fairport, Ashtabula, 
Conneaut, Ohio; use, administration, and navigation.

    (a)-(b) [Reserved]
    (c) No vessel shall moor or anchor to any structure of the United 
States without the consent of the District Engineer, U.S. Army, in 
charge of the locality, or his authorized agent.
    (d) No vessel shall moor or anchor in or along any improved channel 
or basin in such manner as to interfere with improvement or maintenance 
operations therein. Whenever in the opinion of the District Engineer any 
vessel is so moored or anchored, the owner thereof shall cause said 
vessel to be moved upon notification from and within the time specified 
by said District Engineer.

[Regs., May 5, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 42 FR 
57962, Nov. 7, 1977]



Sec. 207.580  Buffalo Harbor, N.Y.; use, administration, and navigation.

    (a)-(b) [Reserved]
    (c) No vessel shall moor or anchor to any structure of the United 
States without the consent of the District Engineer, U.S. Army, in 
charge of the locality, or his authorized agent.
    (d) No vessel shall moor or anchor in or along any improved channel 
or basin in such manner as to interfere with improvement or maintenance 
operations therein. Whenever in the opinion of the District Engineer any 
vessel is so moored or anchored, the owner thereof shall cause said 
vessel to be moved upon notification from and within the time specified 
by said District Engineer.

[Regs., May 5, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 42 FR 
57962, Nov. 7, 1977]



Sec. 207.590  Black Rock Canal and Lock at Buffalo, N.Y.; use, 
administration, and navigation.

    (a) The term ``canal'' when used in this section will mean all of 
the Black Rock Waterway, including Black Rock Lock, and all of the 
lands, piers, buildings, and other appurtenances acquired by letters 
patent from the State of New York, or constructed for the use of the 
waterway; the southerly limit thereof being at the southerly end of Bird 
Island Pier, and the northerly limit being at the downstream end of the 
guide pier, Black Rock Lock, a length of 3.7 miles.
    (b) The canal and all of its appurtenances and the use, 
administration and navigation thereof shall be in charge of the District 
Engineer, U.S. Army Engineer District, in charge of the locality, or his 
authorized agents.
    (c) The movement of all vessels, boats, or other floating things in 
the canal shall be under the direction of the authorized agents of the 
District Engineer in charge, and their orders and instructions must be 
obeyed.
    (d) For passage through the canal, vessels or boats belonging to the 
U.S. Government shall have precedence over all others.
    (e) All registered vessels or boats must pass through the canal in 
order of their arrival at the canal limits, unless otherwise directed in 
accordance with this section.
    (f) [Reserved]
    (g) No vessel shall pass or approach within \1/4\-mile of a vessel 
bound in the same direction in the Black Rock Canal south of the Ferry 
Street Bridge. Tugs without tows, tugs towing a single barge under 150 
feet in length, and single vessels under 150 feet in length are exempt 
from this paragraph.
    (h) No vessel or boat shall anchor in or moor along the canal except 
at localities specially designated by the District Engineer or his 
agent; and no business, trading, or landing of freight or baggage, 
except such articles as may be readily carried in the hand, will be 
allowed on or over the canal lands or structures, without the permission 
of the District Engineer or his agent.
    (i) No person or operator of a vessel in the Black Rock Canal, lock 
or approaching channels shall throw or discharge or permit to be thrown 
or discharged any solid material of any kind or any petroleum product of 
any kind into the canal, lock or appurtenant waters.

[[Page 86]]

    (j) All vessels and tows shall be navigated with care so as not to 
strike or disturb the channel buoys or channel markers. If a buoy or 
other channel marker is accidentally struck, damaged or displaced, the 
fact shall be reported immediately to the Black Rock Lock, foot of 
Bridge Street, Buffalo, N.Y., telephone 876-5454.
    (k) Ferry Street Bridge: The clearheadroom under the bridge at low 
water datum is 17.3 feet for a width of 86 feet from the pivot pier, 
thence decreasing to 12.3 feet at the left (westerly) abutment.
    (1) All vessels and boats which cannot pass under the bridge shall, 
on approaching the bridge, reduce speed sufficiently to enable them to 
come to a dead stop, without touching the bridge, in case the movable 
span cannot be lifted. If the wind is dangerously strong, passage of the 
bridge shall not be attempted by large vessels without the aid of a tug 
or tugs.
    (2) Vessels and boats bound north shall have the right-of-way and 
priority for passage through the bridge over those bound south.
    (3) All vessels and boats desiring passage through the bridge shall 
signal therefor by one long and two short whistle blasts.
    (4) Upon receiving the opening signal, the bridge operator shall 
answer by giving the same signal on the bridge whistle and he shall then 
proceed at once to lift the bridge.
    (5) In case the bridge cannot be lifted, for any cause, the bridge 
operator shall answer a vessel signal by giving five short whistle 
blasts; and the vessel shall then be stopped until the bridge is ready 
to be lifted, when the bridge operator shall give the whistle signal for 
passage and the vessel may proceed.
    (6) In case the bridge is disabled so that it cannot be lifted for 
one-half hour or more pending repairs, red flags will be displayed on 
the bridge in daytime and two red lantern lights, one above the other, 
at night; and when such signals are displayed no vessel or boat shall 
signal for or attempt passage through the bridge.
    (l) Radio control of vessel movement in Black Rock Canal. (1) The 
movement of vessels in the Black Rock Canal will be controlled by radio 
communication between the Black Rock Lock and the vessels desiring to 
use the canal. Vessels will not be permitted to meet or pass in the 
channel of restricted width between the southerly end of Bird Island 
(approximately 3,500 feet northerly along the canal from the North 
Breakwater South End Light) and the International Railway Bridge near 
the southerly entrance to the Black Rock Lock. Vessels less than 150 
feet in length and tugs towing a single barge under 150 feet in length 
are not to be included in this special condition. In addition to the 
control of vessel movements in the restricted section of the canal, 
radio communications will also be utilized to facilitiate the passage of 
vessels through the entire canal and the Black Rock Lock.
    (2) Radio communication will be the only means of control of vessel 
traffic in the canal in order to prevent a meeting or passing of vessels 
in the restricted area, and therefore it is mandatory that all vessels 
over 150 feet in length and tugs towing a barge or barges over 150 feet 
in combined length of tow be equipped with radio communication equipment 
operating on designated frequencies. Any vessel lacking such equipment 
will not be permitted to enter the canal unless arrangements are made 
with the Black Rock Lock by land telephone to 876-5454 or marine ship-
to-shore facilities immediately before entering the canal.
    (3) The Black Rock Lock radio communication equipment operates on 
VHF(FM) frequencies as follows: VHF--156.8 Mcs--Channel 16--Safety and 
Calling, VHF--156.7 Mcs--Channel 14--Working; VHF--156.6 Mcs--Channel 12 
Working. A listening watch is maintained on VHF Channel 16.
    (4) In order that positive control may be maintained it is mandatory 
that the following procedures be followed in communicating by radio with 
the Black Rock Lock:
    (i) Vessels desiring to enter the Black Rock Canal from either the 
Buffalo Outer Harbor or the Buffalo River shall call the Black Rock Lock 
on VHF Channel 16 or by land telephone approximately 15 minutes before 
the estimated time of arrival at Buffalo Harbor Traffic Lighted Bell 
Buoy 1 located at latitude N. 42[deg]50.1[min] and longitude W.

[[Page 87]]

78[deg]55.4[min]. Information to be furnished the Black Rock Lock 
Operator should include the name of the vessel, position, destination, 
length, draft (forward and aft) and the type of cargo. A second call 
shall be made to the lock when the vessel is abreast of the Buffalo 
Harbor Light on the southerly end of the detached West Breakwater. 
Information furnished the vessel by the Lock Operator will assure the 
vessel operator of the proper time to enter the Black Rock Canal with a 
view to safety and minimum delay.
    (ii) Vessels desiring to enter the Black Rock Canal from either the 
Buffalo Outer Harbor or the Buffalo River shall call the Black Rock Lock 
on VHF Channel 16 or by land telephone to 876-5454 immediately before 
departing a dock and again when abreast of the North Breakwater South 
End Light on the southerly end of the North Breakwater.
    (iii) In any radio communication from a vessel to the Black Rock 
Lock, and VHF(FM) frequencies will be utilized.
    (iv) In any radio communication from a vessel to the Black Rock 
Lock, the VHF (FM) frequencies will be utilized if available in 
preference to the MF (AM) frequencies.
    (v) When an initial radio contact has been made with the Black Rock 
Lock the vessel entering the canal shall maintain a standby watch at the 
radio until the passage through the canal and lock is completed.
    (vi) Failure to comply with the foregoing procedures could result in 
considerable delay to a vessel and possibly in a collision between 
vessels in the restricted section of the canal.
    (m) Black Rock Lock. All vessels and boats desiring to use the lock 
shall signal by two long and two short whistle blasts.
    (1) Northbound vessels and boats shall not be brought to within less 
than 300 feet of the upper lock gates, nor shall southbound vessels be 
brought to within less than 200 feet of the lower lock gates, until the 
lock is made ready and the lockmaster in charge signals the vessel to 
enter the lock.
    (2) Vessels and boats shall not moor to the approach walls of the 
lock at either end, for any other purpose than waiting for lockage, 
except by direction or permission of the lockmaster.
    (3) Commercial vessels will receive perference in passage through 
the locks. Small vessels such as row, sail, and motor boats, bent on 
pleasure only, will be passed through the lock in company with 
commercial vessels when small vessels can be safely accomodated or in 
the absence of commercial vessels may be passed through the lock 
individually or together in one lockage on the hour if northbound and on 
the half hour if southbound. However, commercial vessels will receive 
preference which could delay the passage of pleasure craft. Pleasure 
craft will not be permitted to pass through the lock with vessels 
carrying inflammable cargo. Vessels and other large boats when in the 
lock shall fasten one head line and one spring line to the snubbing 
posts on the lock walls, and the lines shall not be cast off until the 
signal is given by the lockmaster for the boats to leave the lock.
    (4) Vessels and boats will be passed through the lock in order of 
their arrival except that the lockmaster may order a small vessel to 
lock through in company with another vessel, irrespective of the 
former's order of arrival.
    (5) All vessels and boats shall be maneuvered with great care so as 
not to strike any part of the lock walls, or any gate or appurtenance 
thereto, or machinery for operating the gates, or the walls protecting 
the lock approaches.
    (6) Vessels and boats shall not enter or leave until the lock gates 
are fully in their recesses, and the lockmaster has given direction for 
starting.
    (7) [Reserved]
    (8) Trespass on lock property is strictly prohibited. However, in 
that portion of the Black Rock Canal lying between the International 
Railway Bridge and the northerly end of the westerly lower guide pier, 
the following conditions shall apply to the embarking or disembarking of 
crew members or passengers of a vessel transiting the lock:
    (i) Only the master or mate and two or three linesmen will be 
permitted to go ashore from transiting vessels and then only for normal 
operations and business incident to the transit. A

[[Page 88]]

maximum of only four (4) men will be permitted to go ashore from any one 
ship.
    (ii) No crew members will be permitted to board a ship at the locks 
unless previously requested in writing by the master or owners, and 
approved by canal authorities.
    (iii) No crew member may leave a ship while it is in transit in the 
lock or canal unless certified in advance as an emergency by the vessel 
master and approved by canal authorities.
    (iv) No guest passengers will be permitted to either board or 
disembark at the canal or locks.
    (9) Schedule of Seasonal Operation:
    (i) March 23 through June 14--6 a.m. to 11 p.m., daily.
    (ii) June 15 through September 6-24 hours, daily.
    (iii) September 7 through November 30--6 a.m. to 11 p.m., daily.
    (iv) December 1 through March 22--8 a.m. to 4:30 p.m., daily. During 
the navigation season the hours may be extended by the district 
engineer, depending on conditions and the need for lockage service. 
Public notices will be issued announcing the opening and closing dates 
at least 10 days in advance of such dates.
    (10) Non-Operational Hours Lockings. In addition to the above 
schedule of operating hours, commercial vessels may be locked through 
during non-operational hours with prior arrangements made through the 
U.S. Army Engineer District, Buffalo. Requests for non-operational hours 
lockings shall be made at lease 24 hours in advance by calling (716) 
876-5454, extension 2284 or by radio as described in paragraph (l) of 
this section, Monday through Friday, 9 a.m. to 4 p.m., except holidays. 
Requests shall include the approximate time of arrival and the name and 
call letters of the vessel or, if the vessel is not equipped to receive 
radio messages, a telephone number at which messages may be received for 
the vessel. If a requested lockage must be delayed, prompt notification 
shall be given by telephone or radio.

[30 FR 3382, Mar. 13, 1965; 30 FR 3881, Mar. 25, 1965, as amended at 41 
FR 34035, Aug. 12, 1976; 42 FR 57962, Nov. 7, 1977; 45 FR 51555, Aug. 4, 
1980; 56 FR 13765, Apr. 4, 1991]



Sec. 207.600  Rochester (Charlotte) Harbor, N.Y.; use, administration, 
and navigation.

    (a)-(b) [Reserved]
    (c) No vessel shall moor or anchor to any structure of the United 
States without the consent of the District Engineer, U.S. Army, in 
charge of the locality, or his authorized agent.
    (d) No vessel shall moor or anchor in or along any improved channel 
or basin in such manner as to interfere with improvement or maintenance 
operations therein. Whenever in the opinion of the District Engineer any 
vessel is so moored or anchored, the owner thereof shall cause said 
vessel to be moved upon notification from and within the time specified 
by said District Engineer.

[Regs., May 5, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 42 FR 
57962, Nov. 7, 1977]



Sec. 207.610  St. Lawrence River, Cape Vincent Harbor, N.Y.; use, 
administration, and navigation of the harbor and U.S. breakwater.

    (a)-(c) [Reserved]
    (d) Vessels shall observe the following rule in mooring to the 
breakwater: The first self-propelled vessel stopping at the harbor for 
shelter will proceed to the upstream end of the breakwater and moor 
along either side of it. All similar vessels entering later will place 
themselves in a compact position close to those preceding them. 
Passenger vessels will, in general, have preference as to location of 
moorage. Sailing craft will so locate themselves that they will not lie 
in the way of other vessels entering the harbor. All vessels of every 
description will place themselves so as not to interfere with any work 
of reconstruction or repair that may be in progress at the time.
    (e) The use of chains in making fast to the breakwater is 
prohibited. Lines must be attached to the snubbing posts only, and 
outboard anchors taken in.
    (f) Vessels with other craft in tow will, if practicable, at once, 
moor them compactly along the breakwater, either taking in the towlines 
or placing the slack in them upon the breakwater in such a manner as not 
to interfere with other vessels. If necessary to moor alongside of other 
vessels moored to the breakwater, the towlines shall

[[Page 89]]

be taken in or disposed of in such a manner as not to interfere with the 
departure of vessels moored between them and the breakwater.
    (g) Vessels of every description mooring to the breakwater, must 
place suitable fenders between themselves and the breakwater to protect 
the timber walings on the breakwater from damage.
    (h) The unloading of freight of any class upon the breakwater is 
expressly prohibited, except in accordance with special permission from 
the said District Engineer or his representative.
    (i) Each and every vessel made fast to the breakwater, or anchored 
in the harbor without a line made fast to the shore or shore dock, must 
have at least one experienced person upon it during the entire time said 
vessel is thus moored in the harbor.

[Regs., May 6, 1938, as amended at 25 FR 8908, Sept. 16, 1960; 42 FR 
57962, Nov. 7, 1977]



Sec. 207.640  Sacramento Deep Water Ship Channel Barge Lock and 
Approach Canals; use, administration, and navigation.

    (a) Sacramento Deep Water Ship Channel Barge Lock and Approach 
Canals; use, administration and navigation--(1) General. The lock, its 
approach channels and all its appurtenances, including the highway and 
railroad bridge, shall be under the jurisdiction of the District 
Engineer, U.S. Army Engineer District, Sacramento, Federal and Courts 
Building, 650 Capitol Avenue, Sacramento, California. His designated 
representative at the locality shall be the lockmaster, who will be in 
immediate charge of movement and position of all water traffic while at 
or near the locks and in the barge canals.
    (2) Immediate control. The lockmaster shall be charged with the 
immediate control and management of the lock, bridge, and of the area 
set aside as the lock area, including the entrance channels. He shall 
see that all laws, rules and regulations for the use of the lock, bridge 
and the lock area are duly complied with, to which end he is authorized 
to give all necessary orders and directions in accordance therewith, 
both to employees of the Government and to any and every person within 
the Government lock area. Crews shall render such assistance in the 
lockage of their craft as may be required by the lockmaster.
    (3) Signals--(i) Sound. All craft desiring lockage shall signal by 
two long blasts followed by two short blasts of the whistle, delivered 
at a distance of one-half mile from the lock. When the lock is ready for 
entrance, notice will be given by one long blast from the control house. 
Permission to leave the lock will be one short blast given by the 
lockmaster.
    (ii) Visual lock traffic signals. Visual signals are located outside 
of each lock gate on the north guide wall, and will be used in 
conjunction with sound signals. When the red light is flashing, lock 
cannot be made ready for entrance immediately, vessel must stand clear. 
When the amber light is flashing, lock is being made ready, prepare for 
lockage. When the green light is flashing, lock is ready for entrance, 
the vessel may proceed with caution into the lock.
    (iii) Visual river traffic signals. Visual signals are located on 
the south bank of the barge canal at the confluence with the Sacramento 
River and also 1,950 feet upstream on the west bank of the Sacramento 
River. When the red light is on, a river-bound vessel of a size making 
passing in the canal hazardous is in the lock or canal. Approaching 
vessel shall stand clear of canal to permit out-going vessel to pass. 
When the amber light is on, a river-bound vessel of a size to permit 
passing is in the lock or canal. Vessel may enter canal with caution. 
When the green light is on, vessel may enter canal and proceed under 
full control.
    (iv) Radio. The lock is equipped with two-way radio operating on a 
frequency of 156.60 mc. The frequency is monitored by the lock 
personnel. Vessels equipped with two-way radio may communicate with the 
crew operating the lock but communications or signals so received will 
only augment and not replace the sound and visual signals.
    (4) Permissible dimensions of vessels and tows. The lock chamber has 
a maximum usable width of 86 feet and length of 600 feet. The sill at 
the harbor end and the bottom of the lock chamber are -13.0 feet 
elevation, CofE

[[Page 90]]

datum, and usually provides a depth of water ranging from 14.0 feet at 
LLW to 19.4 feet at HHW, with greater depths during large floods in the 
delta. The sill at the river end is at -10.0 feet elevation, CofE datum, 
and usually provides a depth of water ranging from 14.6 feet at LLW to 
16.8 feet at HHW, with greater depths when the river is high. The depth 
of water at any time is indicated by staff gages located on the south 
wall of the lock, riverward and harborward of each lock gate and at the 
center of the lock. A vessel must not attempt to enter the lock if its 
beam or length is greater than indicated above, or if its draft exceeds 
the depth of water indicated by the gages, with due allowance for 
clearance.
    (5) Precedence at lock. Ordinarily, craft will be locked through in 
order of arrival; however, depending upon whether the lock is full or 
empty, this precedence may be modified at the discretion of the 
lockmaster if boats are approaching from the opposite direction and are 
within reasonable distance of the lock at the time of the approach by 
the first boat. When several craft are to pass, precedence shall be 
given as follows:

First: Government owned or controlled craft.
Second: Commercial craft.
Third: Passenger boats.
Fourth: Small vessels and pleasure boats.

    (6) Loss of turn. Boats that fail to enter the lock with reasonable 
promptness, after being authorized to do so, shall lose their turn.
    (7) Multiple lockage. The lockmaster shall decide whether one or 
more vessels may be locked through at the same time.
    (8) Speed. Vessels shall not be raced or crowded alongside another 
in the barge canals. When entering the barge canals and lock, speed 
shall be reduced to a minimum consistent with safe navigation. As a 
general rule, when a number of vessels are entering the lock, the 
following vessel shall remain at least 200 feet astern of the vessel 
ahead. No overtaking, except when directed by lockmaster, will be 
permitted.
    (9) Lockage of small boats--(i) General. The lockage of pleasure 
boats, skiffs, fishing boats and other small craft will be coordinated 
with the lockage of commercial craft. If no commercial craft are 
scheduled to be locked through within a reasonable time, not to exceed 
one hour after the arrival of the small craft at the lock, separate 
lockage will be made for such small craft.
    (ii) Signals. Small boats desiring to use the lock will sound two 
long blasts followed by two short blasts of the horn. When the lock is 
ready for entrance, the lockmaster will notify the small boat by one 
long blast of the horn; or through the public address system. Permission 
to leave the lock will be given by the lockmaster by one short blast of 
the horn.
    (10) Mooring in lock. All boats, when in the lock, shall be moored 
to the fastenings provided for that purpose, by bow and stern lines and 
other spring lines as may be necessary, and the lines shall not be let 
go until the signal is given by the lockmaster for the craft to leave 
the lock.
    (11) Waiting for lockage. The mooring or anchoring of boats or other 
craft in the approaches to the lock, where such mooring will interfere 
with navigation of the lock is prohibited. All boats, barge tows and 
other craft to be passed through the lock shall lie in designated 
waiting areas in such manner as not to interfere with the navigation of 
the lock or its approaches, and, if a barge tow is to be divided into 
sections for locking, the sections shall be brought into the lock as 
directed by the lockmaster. After passing through the lock, the sections 
shall be reassembled at such a distance from the entrance as not to 
obstruct or interfere with navigation of the lock or its approaches.
    (12) Delay in lock. Boats or barges must not obstruct navigation by 
unnecessary delays in entering or leaving the lock.
    (13) Damage to lock or other structures. The regulations contained 
in this paragraph shall not relieve the owners and operators of vessels 
from liability for any damage by their operations to the lock or other 
structures. They must use great care not to strike any part of the lock, 
any gate or appurtenance thereto, or machinery for operating the gates, 
or the walls protecting the banks of the approach canals. All boats with 
metal nosings or projecting irons,

[[Page 91]]

or rough surfaces that would be liable to damage the gates or lock 
walls, will not be permitted to enter the lock unless provided with 
suitable buffers and fenders.
    (14) Tows. Tows shall be made up outside the canal entrance. All 
vessels engaged in towing other vessels not equipped with a rudder shall 
use two tow lines or a bridge and one tow line. If the vessel in tow is 
equipped with a rudder, one tow line may be used. All tow lines or 
hawsers must be hauled as short as practicable for safe handling of 
tows.
    (15) Crew to move craft. The pilots in charge of tows and persons in 
charge of other craft must provide a sufficient number of men to handle 
lines in mooring craft and to move barges and other craft into and out 
of the lock easily and promptly.
    (16) Handling valves, gates, bridges and machinery. No person, 
unless authorized by the lockmaster shall open or close any bridge, 
gate, valve or operate any machinery in connection with the lock; but 
the lockmaster may, under emergency conditions, call for assistance from 
the master of any boat using the lock, should such aid be necessary, and 
when rendering such assistance, the man so employed shall be strictly 
under the orders of the lockmaster.
    (17) Landing of freight. No one shall land freight or baggage on or 
over the walls of the lock so as in any way to delay or interfere with 
navigation or the operation of the lock.
    (18) Refuse in lock. No material of any kind shall be thrown or 
discharged into the lock, and no material of any kind shall be deposited 
into the lock area.
    (19) [Reserved]
    (20) Persistent violation of regulations. If the owner or pilot of 
any boat persistently violates the regulations of this paragraph after 
due notice of the same, lockage may be refused by the lockmaster at the 
time of the violation or subsequent thereto, as required in the interest 
of public safety or protection of Government property.
    (21) Other laws and regulations. In all other respects, the existing 
Federal laws, rules and regulations affecting navigable waters of the 
United States will govern in the use, administration and navigation of 
the ship channel, lock and its approaches.

[26 FR 11201, Nov. 28, 1961, as amended at 27 FR 4737, May 18, 1962; 27 
FR 10484, Oct. 27, 1962; 28 FR 8461, Aug. 17, 1963; 31 FR 6590, May 3, 
1966; 33 FR 14166, Sept. 19, 1968; 42 FR 17120, Mar. 31, 1977; 42 FR 
57962, Nov. 7, 1977; 48 FR 6708, Feb. 15, 1983; 50 FR 42696, Oct. 22, 
1985; 51 FR 25198, July 11, 1986; 56 FR 13765, Apr. 4, 1991]



Sec. 207.680  Willamette River, Oreg.; use, administration, and 
navigation of canal and locks at Willamette Falls, Oreg.

    (a) Administration--(1) Administrative jurisdiction. The canal and 
locks and all appurtenances shall be in the charge of the District 
Engineer, Portland District, Corps of Engineers, Department of the Army, 
319 S.W. Pine Street, Portland, Oregon 97208. The representative of the 
District Engineer at the locality shall be the lockmaster, who shall 
receive his orders and instructions from the district engineer. In case 
of emergency, however, the lockmaster shall have authority to take such 
steps as may be immediately necessary without waiting for instruction 
from the district engineer.
    (2) Operational jurisdiction. The lock master shall be charged with 
the immediate control and management of the canal and locks and the 
grounds and public property pertaining thereto. He shall see that all 
laws, rules and regulations, for the use of the canal and grounds are 
duly complied with, to which end he is authorized to give all necessary 
orders and directions in accordance therewith, both to employees of the 
Government and to any and every person within the limits of the canal 
and locks or grounds pertaining thereto, whether navigating the canal or 
not. In case of the absence or disability of the lock master, his duty 
shall be performed by an assistant or other employee to be designated by 
the District Engineer.
    (b) Use and navigation--(1) Authority of lock master. The lock 
master or his assistants shall direct the movement, operation, and 
moorage of all vessels, boats, rafts, barges, or other floating things 
using the locks, while they are in the locks, the canal basin, or in 
either the upstream or downstream lock approaches. Crews of vessels, 
boats,

[[Page 92]]

rafts, barges, or other floating things seeking lockage shall render 
such assistance as the lock master or his assistants may require.
    (2) Signals. All vessels desiring lockage shall signal the same by 
one long and one short blast of the whistle, delivered at a distance of 
approximately 1,000 feet from the locks. Requests for lockage may also 
be made by contacting the lockmaster on VHF-FM radio on channel 14, at 
WUJ 363, Willamette Falls Locks or by telephone or otherwise notifying 
the lockmaster's office. Notice to vessels desiring lockage will be 
given by red and green traffic lights. Vessels may enter locks on green 
lights, but must await green signal when lights are red. Permission to 
leave the lock will be given in the same manner. In the event a failure 
occurs and the referenced lights cannot be operated, the lockmaster will 
indicate by voice or by hand or lantern signals when vessels may enter 
or leave the locks.
    (3) Controlling dimensions. For lockage purposes the maximum length 
of space available is 175 feet and the maximum clear width available is 
37 feet. All vessels, boats, rafts, barges, or other floating things of 
less size than the foregoing dimensions can pass through the locks. The 
controlling water depth over the intermediate miter sills throughout the 
locks is 6.5 feet. However, the depth on the sill of the upstream gate 
at low water is 7.5 feet and over the downstream sill is 8.4 feet. The 
elevation of the upstream sill is 43.7 feet and of the downstream sill 
is -6.4 feet, corresponding to the elevations shown on the gages 
provided at both the downstream and upstream approaches to the locks. 
All vessels, boats, rafts, barges, and other floating things of which 
the dimensions or draft are greater than will permit clearing any of the 
above indicated elevations shall be prohibited from entering the locks. 
All vessels, boats, rafts, barges or other floating things entering the 
locks in violation of the above shall be responsible for all resulting 
damages.
    (4) Precedence at locks. Ordinarily the vessel, boat, raft, barge, 
or other floating thing arriving first at the lock will be locked 
through first. In the event of a simultaneous approach from opposite 
directions ascending craft will ordinarily be locked through first. When 
several boats are to be passed through the locks, the order of 
precedence shall be as follows:
    (i) To boats owned by the United States or employed upon river and 
harbor improvement work.
    (ii) To passenger boats.
    (iii) To freight and tow boats.
    (iv) To rafts.
    (v) To small vessels and pleasure craft.

The lock master shall have authority to digress from the above 
precedence in order to eliminate reversing the flow of traffic through 
the locks when both upbound and downbound lockages are in waiting.
    (5) Entrance to locks. The lock master shall decide whether one or 
more vessels may be locked through at the same time. No one shall 
attempt to enter the locks with a vessel or attempt to cause a vessel to 
enter the locks until he is authorized by the lock master to do so. No 
one shall take a vessel, or cause a vessel to be taken, within the 
limits of 500 feet above the upper gate and 300 feet below the lower 
gate, except for the purpose of entering the locks; and not for this 
purpose until it has been indicated to him by a proper person by signal 
that the lock is ready to receive the vessel. All vessels within the 
foregoing limits must be operated under ``slow bell'' and be kept 
constantly under control.
    (6) Lockage of small boats. Pleasure boats, skiffs, fishing boats, 
and other small craft may be passed through the locks singularly, in 
groups, or as part of a lockage of other than pleasure craft. A 
continual flow of traffic in one direction will not be interrupted or 
reversed to accommodate these small pleasure boats. However, any such 
small boat will be accommodated at such time as the lock master upon 
receipt of a request for lockage deems such action will not interfere 
with other traffic. The decision of the lock master shall be final as to 
whether craft requesting lockage is defined as a pleasure boat.
    (7) Use of canal locks. No person, unless authorized by the 
lockmaster or his assistants, shall open or close any

[[Page 93]]

bridge, lock gate, wicket gate, or operate any lock machinery, or in any 
way interfere with any mechanism or appliance connected with the 
operation of the locks, nor shall anyone interfere with the employees in 
the discharge of their duties. The lockmaster or his assistants may call 
for aid from the persons in charge of any craft, vessel, or raft using 
the lock should such aid be necessary. Persons rendering such assistance 
shall be strictly under the orders of the lockmaster. The Government 
reserves the right to refuse lockage to any vessel, craft or raft when 
the persons in charge thereof refuse to give such assistance when it is 
requested. The persons in charge of vessels with tows or rafts, barges 
and other craft must provide sufficient personnel, lines and towing 
equipment of sufficient power to insure at all times full control of 
such tows, rafts, barges and other craft while moving into and through 
the locks, unless otherwise prearranged with the lockmaster. A copy of 
these regulations shall be kept on board each vessel regularly engaged 
in navigating the locks. Copies may be obtained without charge from the 
lockmaster or from the District Engineer, Corps of Engineers, Department 
of the Army, 319 S.W. Pine Street, Post Office Box 2946, Portland, 
Oregon 97208.
    (8) Petroleum vessels. All tankers, barges, and other floating 
equipment, used for transporting inflammable liquids, either with or 
without cargo, shall be equipped with fixed timber fenders and, if not 
so equipped, shall have aboard an adequate number of suitable fenders of 
timber, rubber, or rope which are to be placed between the vessel and 
unfendered lock structures. All such barges or other vessels navigating 
without power within the canal or locks must be assisted by one or more 
tugs of sufficient power to insure full control at all times whether 
passing upstream or downstream through the locks with or without cargo.
    (9) Mooring in locks. All boats, barges, rafts, and other craft when 
in the locks shall be moored by head and spring lines and such other 
lines as may be necessary to the fastenings provided for that purpose; 
and the lines shall not be unloosed until the signal is given for the 
vessel to leave the lock.
    (10) Mooring while waiting for lockage. The mooring of boats, tows 
or other craft in the approaches to the locks where such mooring will 
interfere with navigation or other vessels to or from the locks is 
prohibited.
    (11) Delays. Boats, barges, rafts, or other craft must not obstruct 
navigation by unnecessary delay in entering or leaving the locks. 
Vessels failing to enter the locks with reasonable promptness, when 
signaled to do so, and vessels arriving at the locks with their tows in 
such shape so as to impede lockage shall forfeit their turn.
    (12) Landing of freight. No freight or baggage shall be unloaded on 
or over the walls of the canal or locks. Freight and baggage consigned 
to the Willamette Falls locks shall be unloaded only at such places as 
may be provided for this purpose or as directed by the lock master.
    (13) Refuse in canal or locks. No refuse or other material shall be 
thrown or dumped from vessels into the canal and locks, or deposited in 
the lock area, or placed on the berm of the canal so that it is liable 
to be thrown or washed into the waterway. Violations of this paragraph 
(b)(13) shall be subject to sections 13 and 16 of the River and Harbor 
Act of March 3, 1899 (33 U.S.C. 407, 411).
    (14) Damage to locks or other structures. The regulations contained 
in this section shall not affect the liability of the owners and 
operators of vessels for any damage caused by their operations to the 
locks or other structures. Persons in charge of vessels and log rafts 
passing through the locks must use great care to prevent the vessels or 
log rafts from striking any gate or appurtenance thereto. All boats or 
barges with metal nosings, or projecting irons, or rough surfaces, and 
log rafts with dragging cables that may damage any part of the lock 
structures will not be permitted to enter the locks unless said craft 
are provided with suitable protective buffers and fenders and log rafts 
are free of loose, dragging cables.
    (c) [Reserved]
    (d) Trespass. No one shall trespass on the grounds or buildings, and 
everyone shall be deemed guilty of trespass within the meaning of this 
paragraph who

[[Page 94]]

shall willfully or carelessly damage or disfigure the canal and locks or 
any part thereof, or any building or appliance on the grounds, or who 
shall carry on business or trading of any sort, or shall build any 
fishing stand or lead, or set any fish net within the limits of the 
reservation, or do any act to or on the grounds or buildings which would 
be recognized by law as a trespass.
    (e) Definitions. Except as otherwise provided in paragraph (b)(6) of 
this section, whenever such a word as ``vessel'', ``boat'', ``barge'', 
``raft'', or the like is used in this section, it shall include all 
types of floating things which may be subject to lockage. Failure to 
refer specifically to a type of floating thing by its name shall not 
mean exclusion thereof from applicability of this section.

[19 FR 5816, Sept. 9, 1954, as amended at 35 FR 14988, Sept. 26, 1970; 
48 FR 10062, Mar. 10, 1983; 56 FR 13765, Apr. 4, 1991]



Sec. 207.718  Navigation locks and approach channels, Columbia and 
Snake Rivers, Oreg. and Wash.

    (a) General. All locks, approach channels, and all lock 
appurtenances, shall be under the jurisdiction of the District Engineer, 
Corps of Engineers, U.S. Army, in charge of the locality. The district 
engineer may, after issuing a public notice and providing a 30-day 
opportunity for public comment, set (issue) a schedule for the daily 
lockage of recreational vessels. Recreational vessels are pleasure boats 
such a row, sail, or motor boats used for recreational purposes. 
Commercial vessels include licensed commercial passenger vessels 
operating on a published schedule or regularly operating in the ``for 
hire'' trade. Any recreational schedule shall provide for a minimum of 
one scheduled recreation lockage upstream and downstream (two lockages) 
each day. At the discretion of the district engineer, additional 
lockages may be scheduled. Each schedule and any changes to the schedule 
will be issued at least 30 days prior to implementation. Prior to 
issuing any schedule or any change to the schedule, the district 
engineer will consider all public comments and will evaluate the 
expected energy situation, water supply, and recreation use of the lock 
to determine the seasonal need for the schedule or change in schedule. 
The district engineer's representative at the locks shall be the project 
engineer, who shall issue orders and instructions to the lockmaster in 
charge of the lock. Hereinafter, the term ``lockmaster'' shall be used 
to designate the person in immediate charge of the lock at any given 
time. In case of emergency and on all routine work in connection with 
the operation of the lock, the lockmaster shall have authority to take 
action without waiting for instructions from the project engineer.
    (b) Lockage control. The Lock Master shall be charged with immediate 
control and management of the lock, and of the area set aside as the 
lock area, including the lock approach channels. Upstream and downstream 
approach channels extend to the end of the wing or the guide wall, 
whichever is longer. At Bonneville lock the upstream approach channel 
extends to the mooring tie offs at Fort Rains and the downstream 
approach channel extends to the downstream tip of Robins Island. The 
Lock Master shall demand compliance with all laws, rules and regulations 
for the use of the lock and lock area and is authorized to issue 
necessary orders and directions, both to employees of the Government or 
to other persons within the limits of the lock or lock area, whether 
navigating the lock or not. Use of lock facilities is contingent upon 
compliance with regulations, Lock Master instructions and the safety of 
people and property.
    (c) Authority of Lock Master. No one shall initiate any movement of 
any vessel in the lock or approaches except by or under the direction of 
the Lock Master. (``Vessel'' as used herein includes all connected 
units, tugs, barges, tows, boats or other floating objects.)
    (d) Signals--(1) Radio. All locks are equipped with two-way FM radio 
operating on channel 14, frequency of 156.700 MHz, for both the calling 
channel and the working channel. Vessels equipped with two-way radio 
desiring a lockage shall call WUJ 33 Bonneville, WUJ 34 The Dalles, WUJ 
35 John Day, WUJ 41 McNary, WUJ 42 Ice Harbor, WUJ 43 Lower Monumental, 
WUJ 44 Little Goose, or WUJ 45 Lower Granite,

[[Page 95]]

at least one-half hour in advance of arrival since the Lock Master is 
not in constant attendance of the locks. Channel 14 shall be monitored 
constantly in the vessel pilot house from the time the vessel enters the 
approach channel until its completion of exit. Prior to entering the 
lock chamber, the commercial freight or log-tow vessel operator shall 
report the nature of any cargo, the maximum length, width and draft of 
the vessel and whether the vessel is in any way hazardous because of its 
condition or the cargo it carries or has carried.
    (2) Pull-cord signal stations. Pull-cord signal stations marked by 
large instructional signs and located near the end of the upstream and 
downstream lock entrance walls may be used in place of radios to signal 
the Lock Master for a lockage.
    (3) Entering and exit signals. Signal lights are located outside 
each lock gate. When the green (go) light is on, all vessels will enter 
in the sequence prescribed by the Lock Master. When the red (stop) light 
is on, the lock is not ready for entrance and vessels shall stand clear. 
In addition to the above visual signals, the Lock Master will signal 
that the lock is ready for entrance by sounding one long blast on the 
lock air horn. The Lock Master will signal that the lock is ready for 
exit by lighting the green exit light and sounding one short blast on 
the air horn.
    (4) Craft lockage-readiness signal. Upon query from Lock Master, a 
vessel operator will signal when he is properly moored and ready for the 
lockage to begin.
    (e) Permissible dimensions of vessels. Nominal overall dimensions of 
vessels allowed in the lock chamber are 84 feet wide and 650 feet long. 
Depth of water in the lock depends upon river levels which may vary from 
day to day. Staff gauges showing the minimum water level depth over gate 
sills are located inside the lock chamber near each lock gate and 
outside the lock chamber near the end of both upstream and downstream 
guide walls, except at Bonneville where the staff gauges show water 
levels in feet above MSL and are located on the southern guide walls at 
the upstream and downstream miter gates. Bonneville's upstream sill 
elevation is 51 feet MSL and the downstream sill elevation is -12 feet 
MSL. Depth over sill at Bonneville is determined by subtracting the sill 
elevation from the gauge reading. Vessels shall not enter the navigation 
lock unless the vessel draft is at least one foot less than the water 
depth over the sill. Information concerning allowable draft for vessel 
passage through the locks may be obtained from the Lock Master. Minimum 
lock chamber water level depth is 15 feet except at Ice Harbor where it 
is 14 feet and at Bonneville where it is 19 feet. When the river flow at 
Lower Granite exceeds 330,000 cubic feet per second the normal minimum 
15-foot depth may be decreased to as little as eight feet.
    (f) Precedence at lock. Subject to the order of precedence, the 
vessel or tow arriving first; at the lock will be locked through first, 
however, this precedence may be modified at the discretion of the 
lockmaster. If immediate passage is required, lockage of vessels owned 
or operated by the United States shall take precedence. The precedence 
of all other vessels shall be as follows:
    (1) When a recreational vessel lockage schedule is in effect, at the 
appointed time for lockage of recreation craft, recreation craft shall 
take precedence; however, commercial vessels may be locked through with 
recreation craft if safety and space permit. At other than the appointed 
time, the lockage of commercial and tow vessels shall take precedence 
and recreational craft may (only) lock through with commercial vessels 
only as provided in paragraph (h) of this section.
    (2) If a recreational vessel lockage schedule is not in effect, 
commercial and tow vessels shall take precedence. Recreational craft may 
be locked through with commercial craft. If no commercial vessels are 
scheduled to be locked through within a reasonable time, not to exceed 
one hour after the arrival of the recreational vessels at the lock, the 
recreational vessel may be locked through separately. If a combined 
lockage cannot be arranged, the recreational craft shall be locked 
through after waiting three commercial lockages.

[[Page 96]]

    (g) Loss of turn. Vessels that fail to enter the lock with 
reasonable promptness, after being authorized to do so, shall lose their 
turn.
    (h) Lockage--(1) Multiple lockage. The Lock Master shall decide 
whether one or more vessels or tows may be locked through at the same 
time. Vessels with flammable or highly hazardous cargo will be passed 
separately from all other vessels. Hazardous materials are described in 
part 171, title 49, Code of Federal Regulations. Flammable materials are 
defined in the National Fire Code of the National Fire Protection 
Association.
    (2) Recreational craft. By mutual agreement of (all parties,) the 
lockmaster and the captains of the vessels involved, recreational 
vessels may be locked through with commercial vessels. Under the 
recreational vessel schedule, separate lockage will not be made by 
recreational vessels except in accordance with the recreational lockage 
schedule or when circumstances warrant, such as in an emergency. When 
recreational craft are locked simultaneously with commercial vessels, 
the recreational vessel will enter the lock chamber after the commercial 
vessel is secured in the chamber and when practicable will depart while 
the commercial vessel remains secured.
    (3) Special schedules. Recreational boating groups may request 
special schedules by contacting the district engineer. The schedule for 
the daily lockage of recreational vessels will indicate the number of 
boats required for a special schedule and how many days' notice is 
required in order to arrange a special schedule.
    (i) Mooring in approaches prohibited. Mooring or anchoring in the 
approaches to the lock is prohibited where such mooring will interfere 
with navigation.
    (j) Waiting for lockage. Vessels waiting for lockage shall wait in 
the clear outside of the lock approach channel, or contingent upon 
permission by the Lock Master, may at their own risk, lie inside the 
approach channel at a place specified by the Lock Master. At Bonneville, 
vessels may at their own risk, lay-to at the downstream moorage facility 
on the north shore downstream from the north guide wall provided a 100-
foot-wide open channel is maintained.
    (k) Mooring in lock. All vessels must be moored within the lock 
chamber so that no portion of any vessel extends beyond the lines 
painted on the lock walls. Moorage within the lock chamber will be to 
floating mooring bits only and will be accomplished in a proper no-slip 
manner. Small vessels will not be locked with a large vessel unless the 
large vessel is so moored (two mooring bits) that no lateral movement is 
possible. The vessel operator will constantly monitor the position of 
his vessel and his mooring bit ties to assure that there is no fore or 
aft movement of his vessel and lateral movement is minimized. Propulsion 
by vessels within the lock chamber will not be permitted during closure 
operation of a lock chamber gate or as otherwise directed by the Lock 
Master.
    (l) Crew to move craft. During the entire lockage, the vessel 
operator shall constantly attend the wheelhouse, be aware of the 
vessel's position, and monitor radio channel 14 on frequency 156.700 
MHz, or otherwise be constantly able to communicate with the Lock 
Master. At a minimum, vessels shall be as vigilantly manned as if 
underway.
    (m) Speed. Vessels shall be adequately powered to maintain a safe 
speed and be under control at all times. Vessels shall not be raced or 
crowded alongside another in the approach channels. When entering the 
lock, speed shall be reduced to a minimum consistent with safe 
navigation. As a general rule, when a number of vessels are entering the 
lock, the following vessel shall remain at least 200 feet astern of the 
vessel ahead.
    (n) Delay in lock. Vessels shall not unnecessarily delay any 
operation of the locks.
    (o) Landing of freight. No freight, baggage, personnel, or 
passengers shall be landed on or over the walls of the lock, except by 
permission and direction of the Lock Master.
    (p) Damage to lock or other structures. The regulations in this 
section shall not relieve owners and/or operators of vessels from 
liability for any damage to the lock or other structures or for

[[Page 97]]

the immediate removal of any obstruction. No vessel in less than stable 
floating condition or having unusual sinking potential shall enter the 
locks or its approaches. Vessels must use great care not to strike any 
part of the lock, any gate or appurtenance thereto, or machinery for 
operating the gates, or the walls protecting the banks of the approach 
channels. All vessels with projecting irons, or rough surfaces which may 
damage the gates or lock walls, shall not enter the lock unless provided 
with suitable buffers and fenders. Vessels having chains, lines, or 
drags either hanging over the sides or ends or dragging on the bottom 
for steering or other purposes will not be permitted to pass.
    (q) Tows. Prior to a lockage, the person in charge of a vessel 
towing a second vessel by lines shall, at a safe distance outside of the 
incoming approach channel, secure the second vessel to the towing vessel 
and keep it secured during the entire course of a lockage and until 
safely clear of the outgoing approach channel.
    (r) Violation of regulations. Any violation of these regulations may 
subject the owner or master of any vessel to any or all of the 
following: (1) Penalties prescribed by law of the U.S. Government (33 
U.S.C. part 1); (2) Report of violation to the titled owner of the 
vessel; (3) Report of violation to the U.S. Coast Guard; (4) Refusal of 
lockage at the time of violation.
    (s) Refuse in locks. No material of any kind shall be thrown or 
discharged into the lock, or be deposited in the lock area. Vessels 
leaking or spilling cargo will be refused lockage and suitable reports 
will be made to the U.S. Coast Guard. Deck cargo will be so positioned 
so as not to be subject to falling overboard.
    (t) Handling valves, gates, bridges, and machinery. No person, 
unless authorized by the Lock Master, shall open or close any bridge, 
gate, valve, or operate any machinery in connection with the lock. 
However, the Lock Master may call for assistance from the master of any 
vessel using the lock, should such aid be necessary; and when rendering 
such assistance, the person so employed shall be directly under the 
orders of the Lock Master. Masters of vessels refusing to provide such 
assistance when it is requested of them may be denied the use of the 
lock by the Lock Master.
    (u)-(v) [Reserved]
    (w) Restricted areas. No vessel shall enter or remain in any 
restricted area at any time without first obtaining permission from the 
District Engineer, Corps of Engineers, U.S. Army, or his duly authorized 
representative.
    (1) At Bonneville Lock and Dam. The water restricted to all vessels, 
except Government vessels, are described as all waters of the Columbia 
River and Bradford Slough within 1,000 feet above the first powerhouse, 
spillway, and second powerhouse (excluding the new navigation lock 
channel) and all waters below the first powerhouse, spillway, second 
powerhouse, and old navigation lock. This is bounded by a line 
commencing from the westernmost tip of Robins Island on the Oregon side 
of the river and running in a South 65 degrees West direction a distance 
of approximately 2,100 feet to a point 50 feet upstream of the Hamilton 
Island Boat Ramp on the Washington shore. Signs designate the restricted 
areas. The approach channel to the new navigation lock is outside the 
restricted area.
    (2) At the Dalles Dam. The waters restricted to only Government 
vessels are described as all downstream waters other than those of the 
navigation lock downstream approach channel which lie between the Wasco 
County Bridge and the project axis including those waters between the 
powerhouse and the Oregon shore and all upstream waters other than those 
of the navigation lock upstream approach channel which lie between the 
project axis and a line projected from the upstream end of the 
navigation lock guide wall to the junction of the concrete structure 
with the earth fill section of the dam near the upstream end of the 
powerhouse.
    (3) At the John Day Dam. The waters restricted to only Government 
vessels are described as all of the waters within a distance of about 
1,000 yards above the dam lying south of the navigation channel leading 
to the lock and bounded by a line commencing at the upstream end of the 
guide wall, and running in a direction 54[deg]01[min]37[sec] true for a 
distance of 771 yards, thence 144[deg]01[min]37[sec] true across the 
river to the south

[[Page 98]]

shoreline. The downstream limit is marked by orange and white striped 
monuments on the north and south shores.
    (4) At McNary Lock and Dam. The waters restricted to all vessels, 
except to Government vessels, are described as all waters commencing at 
the upstream end of the Oregon fish ladder thence running in the 
direction of 39[deg]28[min] true for a distance of 540 yards; thence 
7[deg]49[min] true for a distance of 1,078 yards; thence 277[deg]10[min] 
for a distance of 468 yards to the upstream end of the navigation lock 
guidewall. The downstream limits commence at the downstream end of the 
navigation lock guidewall thence to the south (Oregon) shore at right 
angles and parallel to the axis of the dam. Signs designate the 
restricted areas.
    (5) At Ice Harbor Lock and Dam. The waters restricted to all 
vessels, except Government vessels, are described as all waters within a 
distance of about 800 yards upstream of the dam lying south of the 
navigation lock and bound by the line commencing at the upstream end of 
the guidewall, and running a direction of 91[deg]10[min] true for a 
distance of 575 yards; thence 162[deg]45[min] to the south shore, a 
distance of about 385 yards. The downstream limits commencing at the 
downstream end of the guidewall; thence to the south shore, at right 
angles and parallel to the axis of the dam. Signs designate the 
restricted areas.
    (6) At Lower Monumental Lock and Dam. The waters restricted to all 
vessels, except Government vessels, are described as all waters 
commencing at the upstream of the navigation lock guidewall and running 
in a direction of 46[deg]25[min] true for a distance of 344 yards; 
thence 326[deg]19[min] true for a distance of 362 yards; thence 
243[deg]19[min] true for a distance of 218 yards; thence 275[deg]59[min] 
true to the north shore a distance of about 290 yards. The downstream 
limits commence at the downstream end of the navigation lock guidewall; 
thence to the north shore, at right angles and parallel to the axis of 
the dam. Signs designate the restricted areas.
    (7) At Little Goose Lock and Dam. The waters restricted to all 
vessels, except Government vessels, are described as all waters 
commencing at the upstream of the navigation lock guidewall and running 
in a direction of 60[deg]37[min] true for a distance of 676 yards; 
thence 345[deg]26[min] true for a distance of 494 yards; thence 
262[deg]37[min]47[sec] true to the dam embankment shoreline. The 
downstream limits commence 512 yards downstream and at right angles to 
the axis of the dam on the south shore; thence parallel to the axis of 
the dam to the north shore. Signs designate the restricted areas.
    (8) At Lower Granite Lock and Dam. The waters restricted to all 
vessels, except Government vessels, are described as all waters 
commencing at the upstream of the navigation lock guidewall thence 
running in the direction of 131[deg]31[min] true for a distance of 608 
yards; thence 210[deg]46[min] true to the south shore, a distance of 
about 259 yards. The downstream limits commence at the downstream end of 
navigation lock guidewall; thence to the south shore, at right angles 
and parallel to the axis of the dam. Signs designate the restricted 
areas.

[43 FR 3115, Jan. 23, 1978, as amended at 52 FR 22310, June 11, 1987; 56 
FR 13765, Apr. 4, 1991; 65 FR 4125, Jan. 26, 2000; 71 FR 25503, May 1, 
2006]



Sec. 207.750  Puget Sound Area, Wash.

    (a) Waterway connecting Port Townsend and Oak Bay; use, 
administration and navigation--(1) Works to which the regulations apply. 
The ``canal grounds'' when used in this paragraph shall mean that area 
between the south end of the jetties in Oak Bay and the northern end of 
the dredge channel approximately 400 yards northwest of Port Townsend 
Canal Light. The ``canal'' is the water lying between these limits and 
the banks containing the same.
    (2) [Reserved]
    (3) Trading, landing, etc. No business, loading, or landing of 
freight or baggage will be allowed on or over the canal piers or 
bulkheads.
    (4) Refuse. No person shall throw material of any kind into the 
canal.
    (5) [Reserved]
    (6) Obstructions. On the canal's being obstructed by a vessel, raft, 
or other craft, by sinking, grounding, or otherwise, the District 
Engineer, Seattle, shall be notified by telephone or telegraph as soon 
as possible by the person

[[Page 99]]

in charge of the obstructing vessel, raft, or craft.
    (b) Lake Washington Ship Canal; use, administration and navigation--
(1) Definitions. The term ``canal'' as used in the regulations in this 
paragraph shall include the water area in the locks and the channel and 
adjacent waters from a point 5,500 feet northwest of the Burlington 
Northern, Inc. railway bridge to the east end of the channel opposite 
Webster Point, Lake Washington. The term ``canal grounds'' shall include 
all grounds set aside for the use of the canal or occupied in its 
construction.
    (2) Supervision. The canal and all its appurtenances shall be under 
the supervision of the District Engineer, Corps of Engineers, Seattle. 
The District Engineer will detail as many assistants as may be necessary 
for the efficient operation of the canal and the enforcement of the 
regulations in this paragraph. The movement of all vessels and other 
floating things in the canal and approaches thereto shall be under the 
direction of the District Engineer and his authorized assistants. All 
orders given under the regulations to any master or person in charge of 
any vessel, raft, or other watercraft by the District Engineer or his 
authorized assistants, either in person or through any canal operative, 
shall be acknowledged and obeyed. Failure to see, understand, or comply 
with signals or instructions shall constitute a violation of the 
regulations. Any person refusing to comply with the regulations or any 
orders given in pursuance thereof may be denied the privileges of the 
canal or canal grounds.
    (3) Speed. To avoid damage to other vessels and to property along 
the shores, all vessels shall proceed at reduced speed in the canal as 
follows:
    (i) From the west entrance of the Lake Washington Ship Canal to the 
western end of the west guide pier of the Hiram M. Chittenden Locks, and 
from the east end of the easternmost guide pier of said Locks to the 
white flashing dolphin located south of Webster Point on Lake 
Washington, including all of Salmon Bay, Lake Union, Portage Bay, and 
Union Bay, it shall be unlawful for any person to operate any watercraft 
or vessel at a speed in excess of 7 nautical miles per hour within 200 
feet of any shoreline, pier, restricted area or shore installation.
    (ii) From the western end of the aforesaid west guide pier to the 
eastern end of the aforesaid east guide pier at said Locks, it shall be 
unlawful for any person to operate any watercraft or vessel at a speed 
in excess of 4 nautical miles per hour.
    Note: Signs are located along the canal to indicate permissible 
speeds.
    (4) Traffic signal lights. In addition to the lock signal lights 
described in paragraph (g)(5)(ii) of this section, a red light, and a 
green light are installed on the west side of the Ballard Bridge, on the 
east side of the Fremont Bridge, 1,000 feet west of the Montlake Bridge, 
and 1,000 feet east of the Montlake Bridge, for the guidance of vessels 
approaching the sections of the canal between Salmon Bay and Lake Union 
and between Lake Union and Lake Washington, respectively. Vessels of 300 
gross tons and over and all vessels with tows, except as hereinafter 
provided, shall not pass the red lights. The green lights will indicate 
that vessels may proceed. Vessels of less than 300 gross tons without 
tows may disregard these signals, but they shall travel at very slow 
speed when passing other vessels. Vessels of 300 gross tons and over and 
vessels with tows, except logs, whose destination is easterly between 
the Ballard Bridge and a point 2,500 feet east of the Ballard Bridge, 
may pass the red signals on the Ballard Bridge, provided, such passage 
will not interfere with approaching traffic.
    (5) Approaching and passing through locks--(i) Signals for locks. 
Vessels with tows desiring to use the locks shall so indicate by two 
long and three short blasts of a whistle, horn, or megaphone. All other 
vessels desiring to use the locks shall so indicate by two long and two 
short blasts.
    Note: The term ``long blasts'' means blasts of four seconds 
duration, and the term ``short blasts'' means blasts of one second 
duration. Signals for the opening of drawbridges are prescribed in Sec. 
117.795 of chapter I.
    (ii) Lock signal lights. Red and green signal lights are installed 
on the guide pier west of the Burlington Northern, Inc. railway bridge 
below the locks. The green light will indicate to vessels bound for the 
large lock that the lock

[[Page 100]]

has been made ready. If the red light is burning, vessels bound for the 
large lock shall moor at the pier. Vessels bound for the small lock 
shall be guided into the small lock by traffic signals thereon. The 
masters of all vessels approaching the locks from Puget Sound shall be 
alert to receive and shall immediately comply with instructions by voice 
or signal from the employee on the west pier.
    (iii) Precedence at locks. All vessels approaching the locks shall 
stop at the points indicated by signs placed on the canal piers or as 
directed by a lockman until ordered to proceed into the lock. Unless 
otherwise directed by the District Engineer or his authorized 
assistants, vessels owned or operated by the United States or the City 
of Seattle and passenger vessels operating on a regular schedule shall 
have precedence over all others in passing through the locks. Registered 
merchant vessels shall have precedence over pleasure craft, which shall 
pass through in the order of their arrival at the locks, and both shall 
have precedence over vessels towing floated timber or logs. Tows of 
floated timber and logs may be denied the use of the locks during 
certain hours when both locks are busy passing other traffic. However, 
advance notice will be given towboat companies as to the periods when 
log tows will be denied lockage.
    (iv) Entering locks. Masters of vessels shall exercise the greatest 
care when entering either lock. The forward movement of vessels while 
taking position in the locks shall be very slow, and boats entering the 
small lock shall reduce their speed to not more than two and one-half 
miles per hour when within 200 feet of the outer gate and come to 
practically a full stop before entering the lock so that in case the 
engine mechanism fails to operate properly the momentum of the boat may 
be stopped easily by its lines. The masters of vessels entering either 
lock from either direction shall be alert to receive and shall 
immediately comply with instructions by voice or signal from the lock 
attendants.
    (v) Mooring in locks. Vessels entering the locks shall be equipped 
with adequate lines, at least 50 feet in length being required fore and 
aft. While in the large lock vessels and rafts will be moored at the top 
of the lock wall. While in the small lock vessels shall be moored to the 
floating mooring wall. Lines shall not be released until the signal has 
been given by the lock force to leave the lock, after which there shall 
be no delay in leaving. All vessels not equipped to handle tie-up lines 
with power winches shall be equipped with suitable mooring lines of 
manila, or other suitable fiber, of sufficient size and strength to hold 
the vessel against the currents to be met within the lock chamber. The 
use of wire rope for tie-up by vessels not equipped to handle such lines 
with power winches is prohibited. Vessels may be denied the use of the 
locks if their lines are not in good condition, or if the mooring bits 
on barges are not accessible or are not equipped to prevent lines from 
slipping off when the water is lowered in the lock. All vessels entering 
the locks should have, in addition to the master, at least one person on 
deck to handle lines. Mates and deckhands, when preparing to moor within 
the lock chambers, should not throw heavy mooring lines at the lockmen 
on the walls, but should wait for a heaving lie to be passed to them 
unless otherwise directed. All towboat crews, while locking or moving a 
tow out of the lock chamber, should station themselves so as to preclude 
the possibility of being injured by the parting of cable or lines under 
strain. Persons attempting to take vessels through the locks without 
assistance on deck may be required to wait until the lock is clear of 
other traffic before passing through. All operators of vessels are 
especially cautioned to use extreme care while crowded in the locks to 
avoid accident or fire on their boats. Under no circumstances will small 
craft, such as rowboats, launches and houseboats, or any other type of 
pleasure boats, be locked through with barges used for carrying any type 
of petroleum product or other hazardous material. At the discretion of 
the lockmaster, small craft as described above may be locked through 
with barge tows containing other than dangerous material. Operators of 
small vessels and larger vessels operating in the proximity of each

[[Page 101]]

other shall be alert to the danger arising from the limited 
maneuverability of the larger vessels, and shall exercise all 
precautions to prevent accident.
    (6) Damage to locks or other structures. (i) The regulations in this 
paragraph shall not affect the liability of the owners and operators of 
vessels for any damage caused by their operations to the locks or other 
structures. The sides and corners of all vessels and rafts passing 
through the locks should be free from spikes or projections of any kind 
which might damage the locks or other structures. Vessels with 
appurtenances or projections which might damage the locks or other 
structures shall be fitted with adequate fenders. Lockage of leaking 
vessels or vessels with overhanging loads may be refused. Such barge or 
craft shall be moored in a location outside of the channel approach to 
the lock so as to not interfere with passing navigation. Vessels of 
unusual dimensions, or other characteristics which, in the opinion of 
the lockmaster, pose a threat to the integrity or safety of the locks or 
canal will be refused passage until written permission to pass is 
provided by the District Engineer. Sufficient written data and drawings 
shall be provided the District Engineer that an engineering 
determination can be made as to the safety of the vessel. The District 
Engineer shall have the right to inspect any such vessels prior to 
passage. The operators of all vessels shall use care to avoid striking 
the guide walls or other structures pertaining to the canal.
    (ii) In the interest of safety and fire prevention, all woven rope 
fenders used with barges carrying flammable cargo should be water-soaked 
or otherwise fireproofed prior to entering the lock approaches.
    (iii) Burning fenders should be dropped overboard immediately rather 
than being placed on the deck of a barge or towboat.
    (iv) A minimum of one man with a portable fender shall be stationed 
at the head end of every tow of hazardous cargo and at the aft if the 
lockmaster so directs so as to protect the lock and guide walls from 
damage while entering or departing the lock structures.
    (v) All cylinder or containers holding gases under pressure, or any 
other chemical or substance, shall be securely fastened to the hull of 
the vessel to prevent their rolling overboard into the lock chamber and 
becoming a hazard.
    (vi) All containers holding paint, gasoline or other volatile 
materials shall be securely fastened with tight-fitting covers. To 
preclude a concentration of potentially explosive vapors, no paint will 
be allowed to be applied to the exterior of vessel hulls, houses, 
machinery, or other equipment while the vessels are in the lock chamber.
    (vii) All hatches of tank barges must be closed prior to entering 
lock. Tank barges with open hatch or hatches will be denied lockage.
    (viii) No smoking will be permitted aboard vessels with cargoes of 
fuel or explosives.
    (ix) All vessels carrying hazardous cargoes shall so be identified 
with the lockmaster. They shall be in compliance with Department of 
Transportation (U.S. Coast Guard) regulations (CFR title 46, parts 30 
thru 40, parts 146 thru 154, and 49 CFR parts 171 thru 179 and shall 
accordingly carry required markings. All DOT safety regulations for 
transit of hazardous cargoes shall be adhered to, whether or not 
specifically cited or duplicated herein.
    (7) [Reserved]
    (8) Rafts. (i) No log raft exceeding 700 feet in length or 76 feet 
in width shall pass through the canal. Boom sticks shall be smooth, with 
rounded ends, and securely tied together with cables, chains, or log 
swifters to prevent the raft from spreading while in the lock. Rafts 
containing logs that do not float above water for their entire length, 
or are in danger of being submerged when they enter fresh water, shall 
not be towed in the canal until such logs are securely fastened so as to 
prevent their escape from the raft.
    (ii) Whenever required, log rafts passing in through the lock will 
be given a number that shall be fastened on one of the logs in the raft. 
This number will identify the raft and shall not be removed until the 
logs are used.
    (iii) Two floats are maintained in Shilshole Bay near the entrance 
of the canal channel to facilitate the handling of logs in the canal. 
Rafts bound for the canal may be moored at one of

[[Page 102]]

these floats, only the portion of the raft that is to be taken through 
at a single lockage being brought into the canal. The remainder of the 
raft may be left at the float until the first portion has been towed to 
its destination above the lock.
    (9) Tows. All vessels engaged in towing shall use tow lines of the 
least practicable length and shall have full control of their tows at 
all times. Towing more than one craft abreast is forbidden if the total 
width of the tow, including the towboat, exceeds 70 feet.
    (10) Obstructing navigation. (i) All vessels and tows passing 
through the canal shall be kept as close as practicable to the center 
or, when safer, to the right side of the waterway, except when passing 
other craft or preparing to moor at a pier or wharf. Slowly moving log 
rafts, tows, or vessels shall, whenever practicable, pull out of the way 
when meeting other vessels or when other traffic proceeding in the same 
direction desires to pass. Vessels are forbidden to obstruct the canal 
in any way or to delay by slow passage through the canal the progress of 
other vessels. Small and readily maneuverable vessels operating in the 
vicinity of larger, less maneuverable vessels shall, in all cases, keep 
clear and operate with caution in order that the larger vessels may 
maintain safe steerage way and that hazards to all vessels may be 
reduced. All vessels shall operate with extreme caution and movements 
shall be made only when adequate precautions for the safety of other 
vessels and property are being effectively employed.
    (ii) The placing of logs, vessels, or other floating objects within 
the limits of the dredged channels or anywhere in the canal where they 
may interfere with navigation to or from piers or industrial plants is 
prohibited.
    (11) Turning. Vessels exceeding 100 feet in length shall not turn 
around, or attempt to turn around, in the concrete revetted portions of 
the canal at the Fremont Cut or Portage Cut sections of the canal.
    (12) Excessive working of propellers or engines. Excessive working 
of the propellers of a vessel for purposes of testing or for other 
purposes when this creates objectionable or dangerous currents in the 
canal is forbidden. In case of grounding, the rapid or strong working of 
the vessel's engines is forbidden.
    (13) Landing or mooring. No business, trading, or landing of 
passengers, freight, or baggage will be allowed on or over the canal 
piers or lock walls, or over the piers or grounds forming a part of the 
canal or its appurtenances. All persons in charge of or employed on any 
boat are prohibited from landing or mooring such boat at any of the 
canal piers, unless in transit through the canal or specially permitted 
to do so by the District Engineer or his authorized assistants.
    (14) Deposit of refuse. The deposit, either from watercraft or from 
the shore, of any oil or refuse matter in the canal or upon the canal 
grounds is prohibited, nor shall water discharged from the side of a 
vessel be allowed to spill on the lock wall.
    (15) Aids to navigation. Persons in charge of log rafts or other 
tows, and the masters of vessels and boats using the canal, shall keep a 
careful watch when passing buoys or other aids to navigation and 
promptly report to the District Engineering or his authorized assistants 
any displacement or damage to such aids.
    Note: Aids to navigation and other related data are shown on 
Nautical Chart No. 18447 published by the National Ocean Survey.
    (16) Operation of salt water barrier in the large lock of the Hiram 
M. Chittenden Locks. (i) A salt water barrier is installed across the 
east end of the large lock. This barrier, while in the depressed 
position, reduces the depth of the water available at the east end of 
this chamber from 36 feet to 33.75 feet at low lake elevation (20 feet 
above MLLW). In the raised position, the depth of water will be reduced 
to 16 feet. In comparison, the depth of water available for navigation 
at the west end of the large lock chamber is 29 feet at mean lower low 
water. The purpose of this barrier is to reduce salt water intrusion 
into Lake Washington through normal operations of the locks.
    (ii) The least depth of water available over the barrier when raised 
will be shown on signs placed near the ends of the guide piers to the 
large lock. A yellow light mounted on these signs will

[[Page 103]]

be lighted only while the barrier is in a raised position.
    (iii) Vessels transiting the lock from east to west having draft 
requirements that exceed the water depth available over the barrier will 
advise the lockmaster by sounding one long and two short blasts of a 
horn or whistle. When the yellow light is extinguished on the signboard, 
the operator of the vessel may assume the barrier has been lowered.
    (iv) Vessels transiting the lock from west to east having draft 
requirements that exceed the depth available over the intrusion barrier 
will advise the lockmaster by sounding one long and two short blasts of 
a horn or whistle. A yellow light mounted on a standard on the south 
lock wall and opposite the intrusion barrier will be lighted only when 
the barrier is in the raised position.
    (v) It shall be the responsibility of the vessel operator to satisfy 
himself of the position of this barrier prior to passing over it.
    (c) West Waterway, Seattle Harbor; navigation. (1) The movement of 
vessels of 250 gross tons or over and all vessels with tows of any kind 
through the narrow section of West Waterway between the bend at Fisher's 
Flour Mill dock and the bend at the junction of East Waterway with 
Duwamish Waterway, and through the draws of the City of Seattle and 
Northern Pacific Railway Company bridges crossing this narrow section, 
shall be governed by red and green traffic signal lights mounted on the 
north and south sides of the west tower of the City Light power crossing 
at West Spokane Street.
    (2) Two green lights, one vertically above the other, displayed 
ahead of a vessel, shall indicate that the waterway is clear. Two red 
lights, one vertically above the other, displayed ahead of a vessel, 
shall indicate that the waterway is not clear.
    (3) A vessel approaching the narrow section and drawbridges from 
either end of the waterway shall give one long blast of a whistle and 
shall not enter the narrow section until green lights are displayed.
    (4) One vessel may follow another vessel in either direction, but 
the channel shall not be kept open in the same direction for an 
unreasonable time if a vessel is waiting at the other end.
    (5) Tugs, launches, and small craft shall keep close to one side of 
the channel when vessels or boats with tows are passing.
    (6) All craft shall proceed with caution. The display of a green 
light is not a guarantee that the channel is clear of traffic, and 
neither the United States nor the City of Seattle will be responsible 
for any damage to vessels or other property which may be chargeable to 
mistakes in the operation of the signal lights or to their failure to 
operate.

[26 FR 11203, Nov. 28, 1961]

    Editorial Note: For Federal Register citations affecting Sec. 
207.750, see List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and on GPO Access.



Sec. 207.800  Collection of navigation statistics.

    (a) Definitions. For the purpose of this regulation the following 
terms are defined:
    (1) Navigable waters of the United States means those waters of the 
United States that are subject to the ebb and flow of the tide shoreward 
to the mean high water mark, and/or are presently used, or have been 
used in the past, or may be susceptible to use to transport interstate 
or foreign commerce. (See 33 CFR part 329 for a more complete definition 
of this term.)
    (2) Offenses and Violations mean:
    (i) Failure to submit a required report.
    (ii) Failure to provide a timely, accurate, and complete report.
    (iii) Failure to submit monthly listings of idle vessels or vessels 
in transit.
    (iv) Failure to submit a report required by the lockmaster or canal 
operator.
    (3) Leased or chartered vessel means a vessel that is leased or 
chartered when the owner relinquishes control of the vessel through a 
contractual agreement with a second party for a specified period of time 
and/or for a specified remuneration from the lessee. Commercial 
movements on an affreightment basis are not considered a lease or 
charter of a particular vessel.

[[Page 104]]

    (4) Person or entity means an individual, corporation, partnership, 
or company.
    (5) Timely means vessel and commodity movement data must be received 
by the Waterborne Commerce Statistics Center within 30 days after the 
close of the month in which the vessel movement or nonmovement takes 
place.
    (6) Commercial vessel means a vessel used in transporting by water, 
either merchandise or passengers for compensation or hire, or in the 
course of business of the owner, lessee, or operator of the vessel.
    (7) Reporting situation means a vessel movement by an operator that 
is required to be reported. Typical examples are listed in the 
instructions on the various ENG Forms. Five typical movements that are 
required to be reported by vessel operating companies include the 
following examples:

Company A is the barge owner, and the barge transports corn from 
Minneapolis, MN to New Orleans, LA, with fleeting at Cairo, IL.
    (i) Lease/Charter: If Company A leases or charters the barge to 
Company B, then Company B is responsible for reporting the movements of 
the barge until the lease/charter expires.
    (ii) Interline movement: A barge is towed from Minneapolis to Cairo 
by Company A, and from Cairo to New Orleans by Company B. Since Company 
A is the barge owner, and the barge is not leased. Company A reports the 
entire movement of the barge with an origin of Minneapolis and a 
destination of New Orleans.
    (iii) Vessel swap/trade: Company A swaps barge with Company B to 
allow Company B to meet a delivery commitment to New Orleans. Since 
Company A has not leased/chartered the barge, Company A is responsible 
for filing the report. Company B is responsible for filing the report on 
the barge which is traded to Company A. The swap or trade will not 
affect the primary responsibility for reporting the individual vessel 
movements.
    (iv) Re-Consignment: Barge is reconsigned to Mobile, AL. Company A 
reports the movements as originating in Minneapolis and terminating in 
Mobile. The point from which barge is reconsigned is not reported, only 
points of loading and unloading.
    (v) Fleeting: Barge is deposited at a New Orleans fleeting area by 
Company A and towed by Company B from fleeting area to New Orleans area 
dock for unloading. Company A, as barge owner, reports entire movements 
from Minneapolis to the unloading dock in New Orleans. Company B does 
not report any barge movement.
    (b) Implementation of the waterborne commerce statistics provisions 
of the River and Harbor Act of 1922, as amended by the Water Resources 
Development Act of 1986 (Pub. L. 99-662), mandates the following.
    (1) Filing requirements. Except as provided in paragraph (b)(2) of 
this section, the person or entity receiving remuneration for the 
movement of vessels or for the transportation of goods or passengers on 
the navigable waters is responsible for assuring that the activity 
report of commercial vessels is timely filed.
    (i) For vessels under lease/charter agreements, the lessee or 
charterer of any commercial vessel engaged in commercial transportation 
will be responsible for the filing of said reports until the lease/
charter expires.
    (ii) The vessel owner, or his designated agent, is always the 
responsible party for ensuring that all commercial activity of the 
vessel is timely reported.
    (2) The following Vessel Information Reports are to be filed with 
the Army Corps of Engineers, at the address specified on the ENG Form, 
and are to include:
    (i) Monthly reports. These reports shall be made on ENG Forms 
furnished upon written request of the vessel operating companies to the 
Army Corps of Engineers. The forms are available at the following 
address: U.S. Army Corps of Engineers, Waterborne Commerce Statistics 
Center, Post Office Box 61280, New Orleans, Louisiana 70161-1280.
    (A) All movements of domestic waterborne commercial vessels shall be 
reported, including but not limited to: Dry cargo ship and tanker moves, 
loaded and empty barge moves, towboat moves, with or without barges in 
tow, fishing vessels, movements of crew

[[Page 105]]

boats and supply boats to offshore locations, tugboat moves and 
movements of newly constructed vessels from the shipyard to the point of 
delivery.
    (B) Vessels idle during the month must also be reported.
    (C) Notwithstanding the above requirements, the following waterborne 
vessel movements need not be reported:
    (1) Movements of recreational vessels.
    (2) Movements of fire, police, and patrol vessels.
    (3) Movements of vessels exclusively engaged in construction (e.g., 
piledrivers and crane barges). Note: however, that movements of 
supplies, materials, and crews to or from the construction site must be 
timely reported.
    (4) Movements of dredges to or from the dredging site. However, 
vessel movements of dredged material from the dredging site to the 
disposal site must be reported.
    (5) Specific movements granted exemption in writing by the 
Waterborne Commerce Statistics Center.
    (D) ENG Forms 3925 and 3925b shall be completed and filed by vessel 
operating companies each month for all voyages or vessel movements 
completed during the month. Vessels that did not complete a move during 
the month shall be reported as idle or in transit.
    (E) The vessel operating company may request a waiver from the Army 
Corps of Engineers, and upon written approval by the Waterborne Commerce 
Center, the company may be allowed to provide the requisite information 
of the above paragraph (D), on computer printouts, magnetic tape, 
diskettes, or alternate medium approved by the Center.
    (F) Harbor Maintenance Tax information is required on ENG Form 3925 
for cargo movements into or out of ports that are subject to the 
provisions of section 1402 of the Water Resources Development Act of 
1986 (Pub. L. 99-662).
    (1) The name of the shipper of the commodity, and the shipper's 
Internal Revenue Service number or Social Security number, must be 
reported on the form.
    (2) If a specific exemption applies to the shipper, the shipper 
should list the appropriate exemption code. The specific exemption codes 
are listed in the directions for ENG Form 3925.
    (3) Refer to 19 CFR part 24 for detailed information on exemptions 
and ports subject to the Harbor Maintenance Tax.
    (ii) Annual reports. Annually an inventory of vessels available for 
commercial carriage of domestic commerce and vessel characteristics must 
be filed on ENG Forms 3931 and 3932.
    (iii) Transaction reports. The sale, charter, or lease of vessels to 
other companies must also be reported to assure that proper decisions 
are made regarding each company's duty for reporting vessel movements 
during the year. In the absence of notification of the transaction, the 
former company of record remains responsible until proper notice is 
received by the Corps.
    (iv) Reports to lockmasters and canal operators. Masters of self-
propelled non-recreational vessels which pass through locks and canals 
operated by the Army Corps of Engineers will provide the data specified 
on ENG Forms 3102b, 3102c, and/or 3102d to the lockmaster, canal 
operator, or his designated representative in the manner and detail 
dictated.
    (c) Penalties for noncompliance. The following penalties for 
noncompliance can be assessed for offenses and violations.
    (1) Criminal penalties. Every person or persons violating the 
provisions of this regulation shall, for each and every offenses, be 
liable to a fine of not more than $5,000, or imprisonment not exceeding 
two months, to be enforced in any district court in the United States 
within whose territorial jurisdiction such offense may have been 
committed.
    (2) Civil penalties. In addition, any person or entity that fails to 
provide timely, accurate, and complete statements or reports required to 
be submitted by this regulation may also be assessed a civil penalty of 
up to $2,500 per violation under 33 U.S.C. 555, as amended.
    (3) Denial of passage. In addition to these fines, penalties, and 
imprisonments, the lockmaster or canal operator can refuse to allow 
vessel passage.

[[Page 106]]

    (d) Enforcement policy. Every means at the disposal of the Army 
Corps of Engineers will be utilized to monitor and enforce these 
regulations.
    (1) To identify vessel operating companies that should be reporting 
waterborne commerce data, The Corps will make use of, but is not limited 
to, the following sources.
    (i) Data on purchase and sale of vessels.
    (ii) U.S. Coast Guard vessel documentation and reports.
    (iii) Data collected at Locks, Canals, and other facilities operated 
by the Corps.
    (iv) Data provided by terminals on ENG Form 3926.
    (v) Data provided by the other Federal agencies including the 
Internal Revenue Service, Customs Service, Maritime Administration, 
Department of Transportation, and Department of Commerce.
    (vi) Data provided by ports, local facilities, and State or local 
governments.
    (vii) Data from trade journals and publications.
    (viii) Site visits and inspections.
    (2) Notice of violation. Once a reporting violation is determined to 
have occurred, the Chief of the Waterborne Commerce Statistics Center 
will notify the responsible party and allow 30 days for the reports to 
be filed after the fact. If the reports are not filed within this 30-day 
notice period, then appropriate civil or criminal actions will be 
undertaken by the Army Corps of Engineers, including the proposal of 
civil or criminal penalties for noncompliance. Typical cases for 
criminal or civil action include, but are not limited to, those 
violations which are willful, repeated, or have a substantial impact in 
the opinion of the Chief of the Waterborne Commerce Statistics Center.
    (3) Administrative assessment of civil penalties. Civil penalties 
may be assessed in the following manner.
    (i) Authorization. If the Chief of the Waterborne Commerce 
Statistics Center finds that a person or entity has failed to comply 
with any of the provisions specified herein, he is authorized to assess 
a civil penalty in accordance with the Class I penalty provisions of 33 
CFR part 326. Provided, however, that the procedures in 33 CFR part 326 
specifically implementing the Clean Water Act (33 U.S.C. 1319(g)(4)), 
public notice, comment period, and state coordination, shall not apply.
    (ii) Initiation. The Chief of the Waterborne Commerce Statistics 
Center will prepare and process a proposed civil penalty order which 
shall state the amount of the penalty to be assessed, describe by 
reasonable specificity the nature of the violation, and indicate the 
applicable provisions of 33 CFR part 326.
    (iii) Hearing requests. Recipients of a proposed civil penalty order 
may file a written request for a hearing or other proceeding. This 
request shall be as specified in 33 CFR part 326 and shall be addressed 
to the Director of the Water Resources Support Center, Casey Building, 
Fort Belvoir, Virginia 22060-5586, who will provide the requesting 
person or entity with a reasonable opportunity to present evidence 
regarding the issuance, modification, or revocation of the proposed 
order. Thereafter, the Director of the Water Resources Center shall 
issue a final order.
    (4) Additional remedies. Appropriate cases may also be referred to 
the local U.S. Attorney for prosecution, penalty collection, injunctive, 
and other relief by the Chief of the Waterborne Commerce Statistics 
Center.

[56 FR 13765, Apr. 4, 1991]



PART 208_FLOOD CONTROL REGULATIONS--Table of Contents




Sec.
208.10 Local flood protection works; maintenance and operation of 
          structures and facilities.
208.11 Regulations for use of storage allocated for flood control or 
          navigation and/or project operation at reservoirs subject to 
          prescription of rules and regulations by the Secretary of the 
          Army in the interest of flood control and navigation.
208.19 Marshall Ford Dam and Reservoir (Mansfield Dam and Lake Travis), 
          Colorado River, Tex.
208.22 Twin Buttes Dam and Reservoir, Middle and South Concho Rivers, 
          Tex.
208.25 Pensacola Dam and Reservoir, Grand (Neosho) River, Okla.
208.26 Altus Dam and Reservoir, North Fork Red River, Okla.
208.27 Fort Cobb Dam and Reservoir, Pond (Cobb) Creek, Oklahoma.

[[Page 107]]

208.28 Foss Dam and Reservoir, Washita River, Oklahoma.
208.29 Arbuckle Dam and Lake of the Arbuckles, Rock Creek, Okla.
208.32 Sanford Dam and Lake Meredith, Canadian River, Tex.
208.33 Cheney Dam and Reservoir, North Fork of Ninnescah River, Kans.
208.34 Norman Dam and Lake Thunderbird, Little River, Okla.
208.82 Hetch Hetchy, Cherry Valley, and Don Pedro Dams and Reservoirs.

    Authority: Sec. 7, 58 Stat. 890; 33 U.S.C. 709.



Sec. 208.10  Local flood protection works; maintenance and operation 
of structures and facilities.

    (a) General. (1) The structures and facilities constructed by the 
United States for local flood protection shall be continuously 
maintained in such a manner and operated at such times and for such 
periods as may be necessary to obtain the maximum benefits.
    (2) The State, political subdivision thereof, or other responsible 
local agency, which furnished assurance that it will maintain and 
operate flood control works in accordance with regulations prescribed by 
the Secretary of the Army, as required by law, shall appoint a permanent 
committee consisting of or headed by an official hereinafter called the 
``Superintendent,'' who shall be responsible for the development and 
maintenance of, and directly in charge of, an organization responsible 
for the efficient operation and maintenance of all of the structures and 
facilities during flood periods and for continuous inspection and 
maintenance of the project works during periods of low water, all 
without cost to the United States.
    (3) A reserve supply of materials needed during a flood emergency 
shall be kept on hand at all times.
    (4) No encroachment or trespass which will adversely affect the 
efficient operation or maintenance of the project works shall be 
permitted upon the rights-of-way for the protective facilities.
    (5) No improvement shall be passed over, under, or through the 
walls, levees, improved channels or floodways, nor shall any excavation 
or construction be permitted within the limits of the project right-of-
way, nor shall any change be made in any feature of the works without 
prior determination by the District Engineer of the Department of the 
Army or his authorized representative that such improvement, excavation, 
construction, or alteration will not adversely affect the functioning of 
the protective facilities. Such improvements or alterations as may be 
found to be desirable and permissible under the above determination 
shall be constructed in accordance with standard engineering practice. 
Advice regarding the effect of proposed improvements or alterations on 
the functioning of the project and information concerning methods of 
construction acceptable under standard engineering practice shall be 
obtained from the District Engineer or, if otherwise obtained, shall be 
submitted for his approval. Drawings or prints showing such improvements 
or alterations as finally constructed shall be furnished the District 
Engineer after completion of the work.
    (6) It shall be the duty of the superintendent to submit a 
semiannual report to the District Engineer covering inspection, 
maintenance, and operation of the protective works.
    (7) The District Engineer or his authorized representatives shall 
have access at all times to all portions of the protective works.
    (8) Maintenance measures or repairs which the District Engineer 
deems necessary shall be promptly taken or made.
    (9) Appropriate measures shall be taken by local authorities to 
insure that the activities of all local organizations operating public 
or private facilities connected with the protective works are 
coordinated with those of the Superintendent's organization during flood 
periods.
    (10) The Department of the Army will furnish local interests with an 
Operation and Maintenance Manual for each completed project, or separate 
useful part thereof, to assist them in carrying out their obligations 
under this part.
    (b) Levees--(1) Maintenance. The Superintendent shall provide at all 
times such maintenance as may be required to insure serviceability of 
the structures in time of flood. Measures shall be taken to promote the 
growth of sod,

[[Page 108]]

exterminate burrowing animals, and to provide for routine mowing of the 
grass and weeds, removal of wild growth and drift deposits, and repair 
of damage caused by erosion or other forces. Where practicable, measures 
shall be taken to retard bank erosion by planting of willows or other 
suitable growth on areas riverward of the levees. Periodic inspections 
shall be made by the Superintendent to insure that the above maintenance 
measures are being effectively carried out and, further, to be certain 
that:
    (i) No unusual settlement, sloughing, or material loss of grade or 
levee cross section has taken place;
    (ii) No caving has occurred on either the land side or the river 
side of the levee which might affect the stability of the levee section;
    (iii) No seepage, saturated areas, or sand boils are occurring;
    (iv) Toe drainage systems and pressure relief wells are in good 
working condition, and that such facilities are not becoming clogged;
    (v) Drains through the levees and gates on said drains are in good 
working condition;
    (vi) No revetment work or riprap has been displaced, washed out, or 
removed;
    (vii) No action is being taken, such as burning grass and weeds 
during inappropriate seasons, which will retard or destroy the growth of 
sod;
    (viii) Access roads to and on the levee are being properly 
maintained;
    (ix) Cattle guards and gates are in good condition;
    (x) Crown of levee is shaped so as to drain readily, and roadway 
thereon, if any, is well shaped and maintained;
    (xi) There is no unauthorized grazing or vehicular traffic on the 
levees;
    (xii) Encroachments are not being made on the levee right-of-way 
which might endanger the structure or hinder its proper and efficient 
functioning during times of emergency.

Such inspections shall be made immediately prior to the beginning of the 
flood season; immediately following each major high water period, and 
otherwise at intervals not exceeding 90 days, and such intermediate 
times as may be necessary to insure the best possible care of the levee. 
Immediate steps will be taken to correct dangerous conditions disclosed 
by such inspections. Regular maintenance repair measures shall be 
accomplished during the appropriate season as scheduled by the 
Superintendent.
    (2) Operation. During flood periods the levee shall be patrolled 
continuously to locate possible sand boils or unusual wetness of the 
landward slope and to be certain that:
    (i) There are no indications of slides or sloughs developing;
    (ii) Wave wash or scouring action is not occurring;
    (iii) No low reaches of leave exist which may be overtopped;
    (iv) No other conditions exist which might endanger the structure.

Appropriate advance measures will be taken to insure the availability of 
adequate labor and materials to meet all contingencies. Immediate steps 
will be taken to control any condition which endangers the levee and to 
repair the damaged section.
    (c) Flood walls--(1) Maintenance. Periodic inspections shall be made 
by the Superintendent to be certain that:
    (i) No seepage, saturated areas, or sand boils are occurring;
    (ii) No undue settlement has occurred which affects the stability of 
the wall or its water tightness;
    (iii) No trees exist, the roots of which might extend under the wall 
and offer accelerated seepage paths;
    (iv) The concrete has not undergone cracking, chipping, or breaking 
to an extent which might affect the stability of the wall or its water 
tightness;
    (v) There are no encroachments upon the right-of-way which might 
endanger the structure or hinder its functioning in time of flood;
    (vi) Care is being exercised to prevent accumulation of trash and 
debris adjacent to walls, and to insure that no fires are being built 
near them;
    (vii) No bank caving conditions exist riverward of the wall which 
might endanger its stability;
    (viii) Toe drainage systems and pressure relief wells are in good 
working condition, and that such facilities are not becoming clogged.

Such inspections shall be made immediately prior to the beginning of the 
flood season, immediately following

[[Page 109]]

each major high water period, and otherwise at intervals not exceeding 
90 days. Measures to eliminate encroachments and effect repairs found 
necessary by such inspections shall be undertaken immediately. All 
repairs shall be accomplished by methods acceptable in standard 
engineering practice.
    (2) Operation. Continuous patrol of the wall shall be maintained 
during flood periods to locate possible leakage at monolith joints or 
seepage underneath the wall. Floating plant or boats will not be allowed 
to lie against or tie up to the wall. Should it become necessary during 
a flood emergency to pass anchor cables over the wall, adequate measures 
shall be taken to protect the concrete and construction joints. 
Immediate steps shall be taken to correct any condition which endangers 
the stability of the wall.
    (d) Drainage structures--(1) Maintenance. Adequate measures shall be 
taken to insure that inlet and outlet channels are kept open and that 
trash, drift, or debris is not allowed to accumulate near drainage 
structures. Flap gates and manually operated gates and valves on 
drainage structures shall be examined, oiled, and trial operated at 
least once every 90 days. Where drainage structures are provided with 
stop log or other emergency closures, the condition of the equipment and 
its housing shall be inspected regularly and a trial installation of the 
emergency closure shall be made at least once each year. Periodic 
inspections shall be made by the Superintendent to be certain that:
    (i) Pipes, gates, operating mechanism, riprap, and headwalls are in 
good condition;
    (ii) Inlet and outlet channels are open;
    (iii) Care is being exercised to prevent the accumulation of trash 
and debris near the structures and that no fires are being built near 
bituminous coated pipes;
    (iv) Erosion is not occurring adjacent to the structure which might 
endanger its water tightness or stability.

Immediate steps will be taken to repair damage, replace missing or 
broken parts, or remedy adverse conditions disclosed by such 
inspections.
    (2) Operation. Whenever high water conditions impend, all gates will 
be inspected a short time before water reaches the invert of the pipe 
and any object which might prevent closure of the gate shall be removed. 
Automatic gates shall be closely observed until it has been ascertained 
that they are securely closed. Manually operated gates and valves shall 
be closed as necessary to prevent inflow of flood water. All drainage 
structures in levees shall be inspected frequently during floods to 
ascertain whether seepage is taking place along the lines of their 
contact with the embankment. Immediate steps shall be taken to correct 
any adverse condition.
    (e) Closure structures--(1) Maintenance. Closure structures for 
traffic openings shall be inspected by the Superintendent every 90 days 
to be certain that:
    (i) No parts are missing;
    (ii) Metal parts are adequately covered with paint;
    (iii) All movable parts are in satisfactory working order;
    (iv) Proper closure can be made promptly when necessary;
    (v) Sufficient materials are on hand for the erection of sand bag 
closures and that the location of such materials will be readily 
accessible in times of emergency.

Tools and parts shall not be removed for other use. Trial erections of 
one or more closure structures shall be made once each year, alternating 
the structures chosen so that each gate will be erected at least once in 
each 3-year period. Trial erection of all closure structures shall be 
made whenever a change is made in key operating personnel. Where 
railroad operation makes trial erection of a closure structure 
infeasible, rigorous inspection and drill of operating personnel may be 
substituted therefor. Trial erection of sand bag closures is not 
required. Closure materials will be carefully checked prior to and 
following flood periods, and damaged or missing parts shall be repaired 
or replaced immediately.
    (2) Operation. Erection of each movable closure shall be started in 
sufficient time to permit completion before flood waters reach the top 
of the structure sill. Information regarding the

[[Page 110]]

proper method of erecting each individual closure structure, together 
with an estimate of the time required by an experienced crew to complete 
its erection will be given in the Operation and Maintenance Manual which 
will be furnished local interests upon completion of the project. 
Closure structures will be inspected frequently during flood periods to 
ascertain that no undue leakage is occurring and that drains provided to 
care for ordinary leakage are functioning properly. Boats or floating 
plant shall not be allowed to tie up to closure structures or to 
discharge passengers or cargo over them.
    (f) Pumping plants--(1) Maintenance. Pumping plants shall be 
inspected by the Superintendent at intervals not to exceed 30 days 
during flood seasons and 90 days during off-flood seasons to insure that 
all equipment is in order for instant use. At regular intervals, proper 
measures shall be taken to provide for cleaning plant, buildings, and 
equipment, repainting as necessary, and lubricating all machinery. 
Adequate supplies of lubricants for all types of machines, fuel for 
gasoline or diesel powered equipment, and flash lights or lanterns for 
emergency lighting shall be kept on hand at all times. Telephone service 
shall be maintained at pumping plants. All equipment, including switch 
gear, transformers, motors, pumps, valves, and gates shall be trial 
operated and checked at least once every 90 days. Megger tests of all 
insulation shall be made whenever wiring has been subjected to undue 
dampness and otherwise at intervals not to exceed one year. A record 
shall be kept showing the results of such tests. Wiring disclosed to be 
in an unsatisfactory condition by such tests shall be brought to a 
satisfactory condition or shall be promptly replaced. Diesel and 
gasoline engines shall be started at such intervals and allowed to run 
for such length of time as may be necessary to insure their 
serviceability in times of emergency. Only skilled electricians and 
mechanics shall be employed on tests and repairs. Operating personnel 
for the plant shall be present during tests. Any equipment removed from 
the station for repair or replacement shall be returned or replaced as 
soon as practicable and shall be trial operated after reinstallation. 
Repairs requiring removal of equipment from the plant shall be made 
during off-flood seasons insofar as practicable.
    (2) Operation. Competent operators shall be on duty at pumping 
plants whenever it appears that necessity for pump operation is 
imminent. The operator shall thoroughly inspect, trial operate, and 
place in readiness all plant equipment. The operator shall be familiar 
with the equipment manufacturers' instructions and drawings and with the 
``Operating Instructions'' for each station. The equipment shall be 
operated in accordance with the above-mentioned ``Operating 
Instructions'' and care shall be exercised that proper lubrication is 
being supplied all equipment, and that no overheating, undue vibration 
or noise is occurring. Immediately upon final recession of flood waters, 
the pumping station shall be thoroughly cleaned, pump house sumps 
flushed, and equipment thoroughly inspected, oiled and greased. A record 
or log of pumping plant operation shall be kept for each station, a copy 
of which shall be furnished the District Engineer following each flood.
    (g) Channels and floodways--(1) Maintenance. Periodic inspections of 
improved channels and floodways shall be made by the Superintendent to 
be certain that:
    (i) The channel or floodway is clear of debris, weeds, and wild 
growth;
    (ii) The channel or floodway is not being restricted by the 
depositing of waste materials, building of unauthorized structures or 
other encroachments;
    (iii) The capacity of the channel or floodway is not being reduced 
by the formation of shoals;
    (iv) Banks are not being damaged by rain or wave wash, and that no 
sloughing of banks has occurred;
    (v) Riprap sections and deflection dikes and walls are in good 
condition;
    (vi) Approach and egress channels adjacent to the improved channel 
or floodway are sufficiently clear of obstructions and debris to permit 
proper functioning of the project works.

Such inspections shall be made prior to the beginning of the flood 
season and otherwise at intervals not to exceed 90 days. Immediate steps 
will be taken to

[[Page 111]]

remedy any adverse conditions disclosed by such inspections. Measures 
will be taken by the Superintendent to promote the growth of grass on 
bank slopes and earth deflection dikes. The Superintendent shall provide 
for periodic repair and cleaning of debris basins, check dams, and 
related structures as may be necessary.
    (2) Operation. Both banks of the channel shall be patrolled during 
periods of high water, and measures shall be taken to protect those 
reaches being attacked by the current or by wave wash. Appropriate 
measures shall be taken to prevent the formation of jams of ice or 
debris. Large objects which become lodged against the bank shall be 
removed. The improved channel or floodway shall be thoroughly inspected 
immediately following each major high water period. As soon as 
practicable thereafter, all snags and other debris shall be removed and 
all damage to banks, riprap, deflection dikes and walls, drainage 
outlets, or other flood control structures repaired.
    (h) Miscellaneous facilities--(1) Maintenance. Miscellaneous 
structures and facilities constructed as a part of the protective works 
and other structures and facilities which function as a part of, or 
affect the efficient functioning of the protective works, shall be 
periodically inspected by the Superintendent and appropriate maintenance 
measures taken. Damaged or unserviceable parts shall be repaired or 
replaced without delay. Areas used for ponding in connection with 
pumping plants or for temporary storage of interior run-off during flood 
periods shall not be allowed to become filled with silt, debris, or 
dumped material. The Superintendent shall take proper steps to prevent 
restriction of bridge openings and, where practicable, shall provide for 
temporary raising during floods of bridges which restrict channel 
capacities during high flows.
    (2) Operation. Miscellaneous facilities shall be operated to prevent 
or reduce flooding during periods of high water. Those facilities 
constructed as a part of the protective works shall not be used for 
purposes other than flood protection without approval of the District 
Engineer unless designed therefor.

(Sec. 3, 49 Stat. 1571, as amended; 33 U.S.C. 701c)

[9 FR 9999, Aug. 17, 1944; 9 FR 10203, Aug. 22, 1944]



Sec. 208.11  Regulations for use of storage allocated for flood 

control or navigation and/or project operation at reservoirs subject 
to prescription of rules and regulations by the Secretary of the Army 
in the interest of flood control and navigation.

    (a) Purpose. This regulation prescribes the responsibilities and 
general procedures for regulating reservoir projects capable of 
regulation for flood control or navigation and the use of storage 
allocated for such purposes and provided on the basis of flood control 
and navigation, except projects owned and operated by the Corps of 
Engineers; the International Boundary and Water Commission, United 
States and Mexico; and those under the jurisdiction of the International 
Joint Commission, United States, and Canada, and the Columbia River 
Treaty. The intent of this regulation is to establish an understanding 
between project owners, operating agencies, and the Corps of Engineers.
    (b) Responsibilities. The basic responsibilities of the Corps of 
Engineers regarding project operation are set out in the cited authority 
and described in the following paragraphs:
    (1) Section 7 of the Flood Control Act of 1944 (58 Stat. 890, 33 
U.S.C. 709) directs the Secretary of the Army to prescribe regulations 
for flood control and navigation in the following manner:

    Hereafter, it shall be the duty of the Secretary of War to prescribe 
regulations for the use of storage allocated for flood control or 
navigation at all reservoirs constructed wholly or in part with Federal 
funds provided on the basis of such purposes, and the operation of any 
such project shall be in accordance with such regulations: Provided, 
That this section shall not apply to the Tennessee Valley Authority, 
except that in case of danger from floods on the lower Ohio and 
Mississippi Rivers the Tennessee Valley Authority is directed to 
regulate the release of water from the Tennessee River into the Ohio 
River in accordance with such instructions as may be issued by the War 
Department.


[[Page 112]]


    (2) Section 9 of Public Law 436-83d Congress (68 Stat. 303) provides 
for the development of the Coosa River, Alabama and Georgia, and directs 
the Secretary of the Army to prescribe rules and regulations for project 
operation in the interest of flood control and navigation as follows:

    The operation and maintenance of the dams shall be subject to 
reasonable rules and regulations of the Secretary of the Army in the 
interest of flood control and navigation.
    Note: This Regulation will also be applicable to dam and reservoir 
projects operated under provisions of future legislative acts wherein 
the Secretary of the Army is directed to prescribe rules and regulations 
in the interest of flood control and navigation. The Chief of Engineers, 
U.S. Army Corps of Engineers, is designated the duly authorized 
representative of the Secretary of the Army to exercise the authority 
set out in the Congressional Acts. This Regulation will normally be 
implemented by letters of understanding between the Corps of Engineers 
and project owner and will incorporate the provisions of such letters of 
understanding prior to the time construction renders the project capable 
of significant impoundment of water. A water control agreement signed by 
both parties will follow when deliberate impoundment first begins or at 
such time as the responsibilities of any Corps-owned projects may be 
transferred to another entity. Promulgation of this Regulation for a 
given project will occur at such time as the name of the project appears 
in the Federal Register in accordance with the requirements of paragraph 
6k. When agreement on a water control plan cannot be reached between the 
Corps and the project owner after coordination with all interested 
parties, the project name will be entered in the Federal Register and 
the Corps of Engineers plan will be the official water control plan 
until such time as differences can be resolved.

    (3) Federal Energy Regulatory Commission (FERC), formerly Federal 
Power Commission (FPC), Licenses.
    (i) Responsibilities of the Secretary of the Army and/or the Chief 
of Engineers in FERC licensing actions are set forth in reference 3c 
above and pertinent sections are cited herein. The Commission may 
further stipulate as a licensing condition, that a licensee enter into 
an agreement with the Department of the Army providing for operation of 
the project during flood times, in accordance with rules and regulations 
prescribed by the Secretary of the Army.
    (A) Section 4(e) of the Federal Power Act requires approval by the 
Chief of Engineers and the Secretary of the Army of plans of dams or 
other structures affecting the navigable capacity of any navigable 
waters of the United States, prior to issuance of a license by the 
Commission as follows:

    The Commission is hereby authorized and empowered to issue licenses 
to citizens * * * for the purpose of constructing, operating and 
maintaining dams, water conduits, reservoirs, powerhouses, transmission 
lines, or other project works necessary or convenient for the 
development and improvement of navigation and for the development, 
transmission, and utilization of power across, along, from or in any of 
the streams or other bodies of water over which Congress has 
jurisdiction * * * Provided further, That no license affecting the 
navigable capacity of any navigable waters of the United States shall be 
issued until the plans of the dam or other structures affecting 
navigation have been approved by the Chief of Engineers and the 
Secretary of the Army.

    (B) Sections 10(a) and 10(c) of the Federal Power Act specify 
conditions of project licenses including the following:
    (1) Section 10(a). ``That the project adopted * * * shall be such as 
in the judgment of the Commission will be best adapted to a 
comprehensive plan for improving or developing a waterway or waterways 
for the use or benefit of interstate or foreign commerce, for the 
improvement and utilization of waterpower development, and for other 
beneficial public uses * * *.''
    (2) Section 10(c). ``That the licensee shall * * * so maintain and 
operate said works as not to impair navigation, and shall conform to 
such rules and regulations as the Commission may from time to time 
prescribe for the protection of life, health, and property * * *.''
    (C) Section 18 of the Federal Power Act directs the operation of any 
navigation facilities built under the provision of that Act, be 
controlled by rules and regulations prescribed by the Secretary of the 
Army as follows:

    The operation of any navigation facilities which may be constructed 
as part of or in connection with any dam or diversion structure built 
under the provisions of this Act, whether at the expense of a licensee 
hereunder or of the United States, shall at all

[[Page 113]]

times be controlled by such reasonable rules and regulations in the 
interest of navigation; including the control of the pool caused by such 
dam or diversion structure as may be made from time to time by the 
Secretary of the Army, * * *.

    (ii) Federal Power Commission Order No. 540 issued October 31, 1975, 
and published November 7, 1975 (40 FR 51998), amending Sec. 2.9 of the 
Commission's General Policy and Interpretations prescribed Standardized 
Conditions (Forms) for Inclusion in Preliminary Permits and Licenses 
Issued Under part I of the Federal Power Act. As an example, Article 12 
of Standard Form L-3, titled: ``Terms and Conditions of License for 
Constructed Major Projects Affecting Navigable Waters of the United 
States,'' sets forth the Commission's interpretation of appropriate 
sections of the Act, which deal with navigation aspects, and attendant 
responsibilities of the Secretary of the Army in licensing actions as 
follows:

    The United States specifically retains and safeguards the right to 
use water in such amount, to be determined by the Secretary of the Army, 
as may be necessary for the purposes of navigation on the navigable 
waterway affected; and the operations of the Licensee, so far as they 
affect the use, storage and discharge from storage of waters affected by 
the license, shall at all times be controlled by such reasonable rules 
and regulations as the Secretary of the Army may prescribe in the 
interest of navigation, and as the Commission may prescribe for the 
protection of life, health, and property, * * * and the Licensee shall 
release water from the project reservoir at such rate * * * as the 
Secretary of the Army may prescribe in the interest of navigation, or as 
the Commission may prescribe for the other purposes hereinbefore 
mentioned.

    (c) Scope and terminology. This regulation applies to Federal 
authorized flood control and/or navigation storage projects, and to non-
Federal projects which require the Secretary of the Army to prescribe 
regulations as a condition of the license, permit or legislation, during 
the planning, design and construction phases, and throughout the life of 
the project. In compliance with the authority cited above, this 
regulation defines certain activities and responsibilities concerning 
water control management throughout the Nation in the interest of flood 
control and navigation. In carrying out the conditions of this 
regulation, the owner and/or operating agency will comply with 
applicable provisions of Pub. L. 85-624, the Fish and Wildlife 
Coordination Act of 1958, and Pub. L. 92-500, the Federal Water 
Pollution Control Act Amendments of 1972. This regulation does not apply 
to local flood protection works governed by Sec. 208.10, or to 
navigation facilities and associated structures which are otherwise 
covered by part 207 (Navigation Regulations) of title 33 of the code. 
Small reservoirs, containing less than 12,500 acre-feet of flood control 
or navigation storage, may be excluded from this regulation and covered 
under Sec. 208.10, unless specifically required by law or conditions of 
the license or permit.
    (1) The terms reservoir and project as used herein include all water 
resource impoundment projects constructed or modified, including natural 
lakes, that are subject to this regulation.
    (2) The term project owner refers to the entity responsible for 
maintenance, physical operation, and safety of the project, and for 
carrying out the water control plan in the interest of flood control 
and/or navigation as prescribed by the Corps of Engineers. Special 
arrangements may be made by the project owner for ``operating agencies'' 
to perform these tasks.
    (3) The term letter of understanding as used herein includes 
statements which consummate this regulation for any given project and 
define the general provisions or conditions of the local sponsor, or 
owner, cooperation agreed to in the authorizing legislative document, 
and the requirements for compliance with section 7 of the 1944 Flood 
Control Act, the Federal Power Act or other special congressional act. 
This information will be specified in the water control plan and manual. 
The letter of understanding will be signed by a duly authorized 
representative of the Chief of Engineers and the project owner. A 
``field working agreement'' may be substituted for a letter of 
understanding, provided that the specified minimum requirements of the 
latter, as stated above, are met.
    (4) The term water control agreement refers to a compliation of 
water control criteria, guidelines, diagrams, release

[[Page 114]]

schedules, rule curves and specifications that basically govern the use 
of reservoir storage space allocated for flood control or navigation 
and/or release functions of a water control project for these purposes. 
In general, they indicate controlling or limiting rates of discharge and 
storage space required for flood control and/or navigation, based on the 
runoff potential during various seasons of the year.
    (5) For the purpose of this regulation, the term water control plan 
is limited to the plan of regulation for a water resources project in 
the interest of flood control and/or navigation. The water control plan 
must conform with proposed allocations of storage capacity and 
downstream conditions or other requirements to meet all functional 
objectives of the particular project, acting separately or in 
combination with other projects in a system.
    (6) The term real-time denotes the processing of current information 
or data in a sufficiently timely manner to influence a physicial 
response in the system being monitored and controlled. As used herein 
the term connotes * * * the analyses for and execution of water control 
decisions for both minor and major flood events and for navigation, 
based on prevailing hydrometeorological and other conditions and 
constraints, to achieve efficient management of water resource systems.
    (d) Procedures--(1) Conditions during project formulation. During 
the planning and design phases, the project owner should consult with 
the Corps of Engineers regarding the quantity and value of space to 
reserve in the reservoir for flood control and/or navigation purposes, 
and for utilization of the space, and other requirements of the license, 
permit or conditions of the law. Relevant matters that bear upon flood 
control and navigation accomplishment include: Runoff potential, 
reservoir discharge capability, downstream channel characteristics, 
hydrometeorological data collection, flood hazard, flood damage 
characteristics, real estate acquisition for flowage requirements (fee 
and easement), and resources required to carry out the water control 
plan. Advice may also be sought on determination of and regulation for 
the probable maximum or other design flood under consideration by the 
project owner to establish the quantity of surcharge storage space, and 
freeboard elevation of top of dam or embankment for safety of the 
project.
    (2) Corps of Engineers involvement. If the project owner is 
responsible for real-time implemenetation of the water control plan, 
consultation and assistance will be provided by the Corps of Engineers 
when appropriate and to the extent possible. During any emergency that 
affects flood control and/or navigation, the Corps of Engineers may 
temporarily prescribe regulation of flood control or navigation storage 
space on a day-to-day (real-time) basis without request of the project 
owner. Appropriate consideration will be given for other authorized 
project functions. Upon refusal of the project owner to comply with 
regulations prescribed by the Corps of Engineers, a letter will be sent 
to the project owner by the Chief of Engineers or his duly authorized 
representative describing the reason for the regulations prescribed, 
events that have transpired, and notification that the project owner is 
in violation of the Code of Federal Regulations. Should an impasse 
arise, in that the project owner or the designated operating entity 
persists in noncompliance with regulations prescribed by the Corps of 
Engineers, measures may be taken to assure compliance.
    (3) Corps of Engineers implementation of real-time water control 
decisions. The Corps of Engineers may prescribe the continuing 
regulation of flood control storage space for any project subject to 
this regulation on a day-to-day (real-time) basis. When this is the 
case, consultation and assistance from the project owner to the extent 
possible will be expected. Special requests by the project owner, or 
appropriate operating entity, are preferred before the Corps of 
Engineers offers advice on real-time regulation during surcharge storage 
utilization.
    (4) Water control plan and manual. Prior to project completion, 
water control managers from the Corps of Engineers will visit the 
project and the area

[[Page 115]]

served by the project to become familiar with the water control 
facilities, and to insure sound formulation of the water control plan. 
The formal plan of regulation for flood control and/or navigation, 
referred to herein as the water control plan, will be developed and 
documented in a water control manual prepared by the Corps of Engineers. 
Development of the manual will be coordinated with the project owner to 
obtain the necessary pertinent information, and to insure compatibility 
with other project purposes and with surcharge regulation. Major topics 
in the manual will include: Authorization and description of the 
project, hydrometeorology, data collection and communication networks, 
hydrologic forecasting, the water control plan, and water resource 
management functions, including responsibilities and coordination for 
water control decisionmaking. Special instructions to the dam tender or 
reservoir manager on data collection, reporting to higher Federal 
authority, and on procedures to be followed in the event of a 
communication outage under emergency conditions, will be prepared as an 
exhibit in the manual. Other exhibits will include copies of this 
regulation, letters of understanding consummating this regulation, and 
the water control agreements. After approval by the Chief of Engineers 
or his duly authorized representative, the manual will be furnished the 
project owner.
    (5) Water control agreement. (i) A water control diagram (graphical) 
will be prepared by the Corps of Engineers for each project having 
variable space reservation for flood control and/or navigation during 
the year; e.g., variable seasonal storage, joint-use space, or other 
rule curve designation. Reservoir inflow parameters will be included on 
the diagrams when appropriate. Concise notes will be included on the 
diagrams prescribing the use of storage space in terms of release 
schedules, runoff, nondamaging or other controlling flow rates 
downstream of the damsite, and other major factors as appropriate. A 
water control release schedule will be prepared in tabular form for 
projects that do not have variable space reservation for flood control 
and/or navigation. The water control diagram or release schedule will be 
signed by a duly authorized representative of the Chief of Engineers, 
the project owner, and the designated operating agency, and will be used 
as the basis for carrying out this regulation. Each diagram or schedule 
will contain a reference to this regulation.
    (ii) When deemed necessary by the Corps of Engineers, information 
given on the water control diagram or release schedule will be 
supplemented by appropriate text to assure mutual understanding on 
certain details or other important aspects of the water control plan not 
covered in this regulation, on the water control diagram or in the 
release schedule. This material will include clarification of any 
aspects that might otherwise result in unsatisfactory project 
performance in the interest of flood contol and/or navigation. 
Supplementation of the agreement will be necessary for each project 
where the Corps of Engineers exercises the discretionary authority to 
prescribe the flood control regulation on a day-to-day (real-time) 
basis. The agreement will include delegation of the responsibility. The 
document should also cite, as appropriate, section 7 of the 1944 Flood 
Control Act, the Federal Power Act and/or other congressional 
legislation authorizing construction an/or directing operation of the 
project.
    (iii) All flood control regulations published in the Federal 
Register under this section (part 208) of the code prior to the date of 
this publication which are listed in Sec. 208.11(e) are hereby 
superseded.
    (iv) Nothing in this regulation prohibits the promulgation of 
specific regulations for a project in compliance with the authorizing 
acts, when agreement on acceptable regulations cannot be reached between 
the Corps of Engineers and the owner.
    (6) Hydrometeorological instrumentation. The project owner will 
provide instrumentation in the vicinity of the damsite and will provide 
communication equipment necessary to record and transmit 
hydrometeorological and reservoir data to all appropriate Federal 
authorities on a real-time basis unless there are extenuating 
circumstances or are otherwise provided for as a condition of the 
license or permit. For those

[[Page 116]]

projects where the owner retains responsibility for real-time 
implementation of the water control plan, the owner will also provide or 
arrange for the measurement and reporting of hydrometeorological 
parameters required within and adjacent to the watershed and downstream 
of the damsite, sufficient to regulate the project for flood control 
and/or navigation in an efficient manner. When data collection stations 
outside the immediate vicinity of the damsite are required, and funds 
for installation, observation, and maintenance are not available from 
other sources, the Corps of Engineers may agree to share the costs for 
such stations with the project owner. Availability of funds and urgency 
of data needs are factors which will be considered in reaching decisions 
on cost sharing.
    (7) Project safety. The project owner is responsible for the safety 
of the dam and appurtenant facilities and for regulation of the project 
during surcharge storage utilization. Emphasis upon the safety of the 
dam is especially important in the event surcharge storage is utilized, 
which results when the total storage space reserved for flood control is 
exceeded. Any assistance provided by the Corps of Engineers concerning 
surcharge regulation is to be utilized at the discretion of the project 
owner, and does not relieve the owner of the responsibility for safety 
of the project.
    (8) Notification of the general public. The Corps of Engineers and 
other interested Federal and State agencies, and the project owner will 
jointly sponsor public involvement activities, as appropriate, to fully 
apprise the general public of the water control plan. Public meetings or 
other effective means of notification and involvement will be held, with 
the initial meeting being conducted as early as practicable but not 
later than the time the project first becomes operational. Notice of the 
initial public meeting shall be published once a week for 3 consecutive 
weeks in one or more newspapers of general circulation published in each 
county covered by the water control plan. Such notice shall also be used 
when appropriate to inform the public of modifications in the water 
control plan. If no newspaper is published in a county, the notice shall 
be published in one or more newspapers of general circulation within 
that county. For the purposes of this section a newspaper is one 
qualified to publish public notices under applicable State law. Notice 
shall be given in the event significant problems are anticipated or 
experienced that will prevent carrying out the approved water control 
plan or in the event that an extreme water condition is expected that 
could produce severe damage to property or loss of life. The means for 
conveying this information shall be commensurate with the urgency of the 
situation. The water control manual will be made available for 
examination by the general public upon request at the appropriate office 
of the Corps of Engineers, project owner or designated operating agency.
    (9) Other generalized requirements for flood control and navigation. 
(i) Storage space in the reservoirs allocated for flood control and 
navigation purposes shall be kept available for those purposes in 
accordance with the water control agreement, and the plan of regulation 
in the water control manual.
    (ii) Any water impounded in the flood control space defined by the 
water control agreement shall be evacuated as rapidly as can be safely 
accomplished without causing downstream flows to exceed the controlling 
rates; i.e., releases from reservoirs shall be restricted insofar as 
practicable to quantities which, in conjunction with uncontrolled runoff 
downstream of the dam, will not cause water levels to exceed the 
controlling stages currently in force. Although conflicts may arise with 
other purposes, such as hydropower, the plan or regulation may require 
releases to be completely curtailed in the interest of flood control or 
safety of the project.
    (iii) Nothing in the plan of regulation for flood control shall be 
construed to require or allow dangerously rapid changes in magnitudes of 
releases. Releases will be made in a manner consistent with requirements 
for protecting the dam and reservoir from major damage during passage of 
the maximum design flood for the project.
    (iv) The project owner shall monitor current reservoir and hydro- 
meteorological conditions in and adjacent to

[[Page 117]]

the watershed and downstream of the damsite, as necessary. This and any 
other pertinent information shall be reported to the Corps of Engineers 
on a timely basis, in accordance with standing instructions to the 
damtender or other means requested by the Corps of Engineers.
    (v) In all cases where the project owner retains responsibility for 
real-time implementation of the water control plan, he shall make 
current determinations of: Reservoir inflow, flood control storage 
utilized, and scheduled releases. He shall also determine storage space 
and releases required to comply with the water control plan prescribed 
by the Corps of Engineers. The owner shall report this information on a 
timely basis as requested by the Corps of Engineers.
    (vi) The water control plan is subject to temporary modification by 
the Corps of Engineers if found necessary in time of emergency. Requests 
for and action on such modifications may be made by the fastest means of 
communication available. The action taken shall be confirmed in writing 
the same day to the project owner and shall include justification for 
the action.
    (vii) The project owner may temporarily deviate from the water 
control plan in the event an immediate short-term departure is deemed 
necessary for emergency reasons to protect the safety of the dam, or to 
avoid other serious hazards. Such actions shall be immediately reported 
by the fastest means of communication available. Actions shall be 
confirmed in writing the same day to the Corps of Engineers and shall 
include justification for the action. Continuation of the deviation will 
require the express approval of the Chief of Engineers, or his duly 
authorized representative.
    (viii) Advance approval of the Chief of Engineers, or his duly 
authorized representative, is required prior to any deviation from the 
plan of regulation prescribed or approved by the Corps of Engineers in 
the interest of flood control and/or navigation, except in emergency 
situations provided for in paragraph (d)(9)(vii) of this section. When 
conditions appear to warrant a prolonged deviation from the approved 
plan, the project owner and the Corps of Engineers will jointly 
investigate and evaluate the proposed deviation to insure that the 
overall integrity of the plan would not be unduly compromised. Approval 
of prolonged deviations will not be granted unless such investigations 
and evaluations have been conducted to the extent deemed necessary by 
the Chief of Engineers, or his designated representatives, to fully 
substantiate the deviation.
    (10) Revisions. The water control plan and all associated documents 
will be revised by the Corps of Engineers as necessary, to reflect 
changed conditions that come to bear upon flood control and navigation, 
e.g., reallocation of reservoir storage space due to sedimentation or 
transfer of storage space to a neighboring project. Revision of the 
water control plan, water control agreement, water control diagram, or 
release schedule requires approval of the Chief of Engineers or his duly 
authorized representative. Each such revision shall be effective upon 
the date specified in the approval. The original (signed document) water 
control agreement shall be kept on file in the respective Office the 
Division Engineer, Corps of Engineers, Department of the Army, located 
at division offices throughout the continental USA. Copies of these 
agreements may be obtained from the office of the project owner, or from 
the office of the appropriate Division Engineer, Corps of Engineers.
    (11) Federal Register. The following information for each project 
subject to section 7 of the 1944 Flood Control Act and other applicable 
congressional acts shall be published in the Federal Register prior to 
the time the projects becomes operational and prior to any significant 
impoundment before project completion or * * * at such time as the 
responsibility for physical operation and maintenance of the Corps of 
Engineers owned projects is transferred to another entity:
    (i) Reservoir, dam, and lake names,
    (ii) Stream, county, and State corresponding to the damsite 
location,
    (iii) The maximum current storage space in acre-feet to be reserved 
exclusively for flood control and/or navigation purposes, or any 
multiple-use

[[Page 118]]

space (intermingled) when flood control or navigation is one of the 
purposes, with corresponding elevations in feet above mean sea level, 
and area in acres, at the upper and lower limits of said space,
    (iv) The name of the project owner, and
    (v) Congressional legislation authorizing the project for Federal 
participation.
    (e) List of projects. The following tables, ``Pertinent Project 
Data--Section 208.11 Regulation,'' show the pertinent data for projects 
which are subject to this regulation.

[[Page 119]]



                                                                                        List of Projects
                                                                     [Non-Corps projects with Corps Regulation Requirements]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                  Elev limits feet      Area in acres
                                                                                           Project      Storage        M.S.L.       --------------------
         Project name \1\          State          County               Stream \1\        purpose \2\    1000 AF --------------------                     Authorizing legis. \3\  Proj. owner \4\
                                                                                                                   Upper     Lower     Upper     Lower
Col. No. 1                            2   3....................  4....................  5............         6         7         8         9        10  11....................  12
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Agency Valley Dam & Res..........    OR   Malheur..............  N Fork Malheur R.....  FICR.........      60.0    3340.0    3263.0      1900         0  PL 68-292.............  USBR.
Alpine Dam.......................    IL   Winnebago............  Keith Cr.............  F............       0.6     796.0     760.0        52         0  PWA Proj..............  Rkfd, IL.
Altus Dam & Res..................    OK   Jackson..............  N Fork Red R.........  F............      19.6    1562.0    1559.0      6800      6260  PL 761................  USBR.
                                                                                        IMR..........     132.6    1559.0   1517.5P      6260       735
Anderson Ranch Dam & Res.........    ID   Elmore...............  S Fk Boise R.........  FEI..........     423.2    4196.0    4039.6      4740      1150  Act of 1939 53 Stat     USBR.
                                                                                                                                                          1187.
Arbuckle Dam & Res...............    OK   Murray...............  Rock Cr..............  F............      36.4     885.3     872.0      3130      2350  PL 594................  USBR.
                                                                                        MRC..........      62.5     872.0     827.0      2350       606
Arrowrock Dam & Res..............    ID   Elmore...............  Boise R..............  FI...........     286.6    3216.0    2974.0      3100       200  Act of 1902 32 Stat     USBR.
                                                                                                                                                          388.
Bear Cr Dam......................    MO   Marion Ralls.........  Bear Cr..............  F............       8.7     546.5     520.0       540         0  PL 83-780.............  Hnbl, MO.
Bear Swamp Fife Brook (Lo).......    MA   Franklin.............  Deerfield R..........  E............       6.9     870.0     830.0       152       115  FERC 2669.............  NEPC.
Bear Swamp PS (Upper)............    MA   Franklin.............  Deerfield R Trib.....  E............       8.9    1600.0    1550.0       118       102  Fed Pwr Act...........  NEPC.
Bellows Falls Dam & Lk...........    VT   Cheshire.............  Connecticut R........  E............       7.5     291.6     273.6      2804       836  FERC 1885.............  NEPC.
Big Dry Creek and Div............    CA   Fresno...............  Big Dry Cr & Dog Cr..  F............      16.2     425.0     393.0      1530         0  PL 77-228.............  Rclm, B CA.
Blue Mesa Dam & Res..............    CO   Gunnison.............  Gunnison R...........  FER..........     748.5    7519.4    7393.0      9180      2790  PL 84-485.............  USBR
Boca Dam & Res...................    CA   Nevada...............  Little Truckee R.....  I............      32.8    5596.5    5521.0       873        52  PL 61-289.............  USBR.
                                                                                        FI...........       8.0    5605.0    5596.0       980       873  PL 68-292.............
Bonny Dam & Res..................    CO   Yuma.................  S Fork Republic R....  F............     128.2    3710.0    3672.0      5036      2042  PL 78-534.............  USBR.
                                                                                        ICR..........      39.2    3672.0    3638.0      2042       331  PL 79-732.............
Boysen Dam & Res.................    WY   Fremont..............  Wild R...............  F............     150.4    4732.2    4725.0     22170     19560  PL 78-534.............  USBR.
                                                                                        FEIQ.........     146.1    4725.0    4717.0     19560     16960
                                                                                        EIQ..........     403.8    4717.0    4685.0     16960      9280
Brantley Dam & Res...............    NM   Eddy.................  Pecos R..............  FIRQ.........     348.5    3283.0    3210.7     21294        38  PL 92-515.............  USBR.
Brownlee Dam & Res...............    OR   Baker................  Snake R..............  FE...........     975.3    2077.0    1976.0     13840      6650  FERC No 1971-C........  ID Pwr.
                                     ID   Washington...........
Bully Cr Dam & Res...............    OR   Malheur..............  Bully Cr.............  FI...........      31.6    2516.0    2456.8      1082       140  PL 86-248.............  USBR.
Camanche Dam & Res...............    CA   San Joaquin..........  Mokelumne R..........  FRIE.........     200.0     235.5     205.1      7600      5507  PL 86-645.............  EB-MUD.
                                                                                        RIE..........     230.9     205.1      92.0      5507         0
Canyon Ferry Dam & Lk............    MT   Lewis Clark..........  Missouri R...........  F............      99.5    3800.0    3797.0     33535     32800  PL 78-534.............  USBR.
                                                                                        FEI..........     795.1    3797.0    3770.0     32800     24125
                                                                                        EI...........     711.5    3770.0    3728.0     24125     11480
Cedar Bluff Dam & Res............    KS   Trego................  Smoky Hill R.........  F............     191.9    2166.0    2144.0     10790      6869  PL 78-534.............  USBR.
                                                                                        IMCR.........     149.8    2144.0    2107.8      6869      2086
Cheney Dam & Res.................    KS   Sedgwick.............  N Fork Ninnescah R...  F............      80.9    1429.9    1421.6     12420      9540  PL 86-787.............  USBR.
                                                                                        MC...........     151.8    1421.6    1392.9      9540      1970
                                                                                                            0.0       0.0       0.0         0         0

[[Page 120]]

 
Clark Canyon Dam & Res...........    MT   Beaverhead...........  Beaverhead R.........  F............      79.1    5560.4    5546.1      5900      5160  PL 78-534.............  USBR.
                                                                                        FI...........      50.4    5546.1    5535.7      5160      4495
                                                                                        I............     126.1    5535.7    5470.6      4495       220
Del Valle Dam & Res..............    CA   Alameda..............  Alameda Cr...........  F............      37.0     745.0     703.1      1060       710  PL 87-874.............  DWR.
                                                                                        FIM..........       1.0     703.1     702.2       710       700                          CA.
                                                                                        IMR..........      29.0     702.2     635.0       700       275
Don Pedro Dam & Lk...............    CA   Tuolumne.............  Tuolumne R...........  FIER.........     340.0     830.0     802.0     12900     11260  PL 78-534.............  M&T.
                                                                                        EIR..........    1381.0     802.0     600.0     11260      3520                          Irr.
                                                                                                          308.0     600.0     342.0      3520        29
East Canyon Dam & Res............    UT   Morgan...............  East Canyon Cr.......  FEIM.........      48.0    5705.5    5578.0       684       130  PL 81-273.............  USBR.
Echo Dam & Res...................    UT   Summit...............  Weber R..............  FEIM.........      74.0    5560.0    5450.0      1455         0  PL 81-83..............  USBR.
Emigrant Dam & Res...............    OR   Jackson..............  Emigrant Cr..........  FIR..........      39.0    2241.0    2131.5       801        80  PL 83-606.............  USBR.
Enders Dam & Res.................    NE   Chase................  Frenchman Cr.........  F............      30.0    3127.0    3112.3      2405      1707  PL 78-534.............  USBR.
                                                                                        ICR..........      34.5    3112.3    3082.4      1707       658  PL 84-505.............
Folsom Dam & Lk..................    CA   Sacramento...........  American R...........  FEIM.........     400.0     466.0     427.0     11450      9040  ......................  USBR.
                                                                                        EIM..........     610.0     427.0     210.0      9040         0
Fort Cobb Dam & Res..............    OK   Caddo................  Pond (Cobb) Cr.......  F............      63.7    1354.8    1342.0      5980      4100  PL 419................  USBR.
                                                                                        IMCR.........      78.3    1342.0    1300.0      4100       337
Foss Dam & Res...................    OK   Custer...............  Washita R............  F............     180.6    1668.6    1652.0     13140      8800  PL 419................  USBR.
                                                                                        IMRC.........     243.8    1652.0    1597.2      8800      1360
Friant Dam & Millerton Lk........    CA   Fresno...............  San Joaquin R........  FEIM.........     390.5     578.0     466.3      4850      2101  PL 75-392.............  USBR.
                                                                                                                                                         PL 76-868.............
Galesville Dam...................    OR   Douglas..............  Cow Cr...............  FEMCR........      42.2    1881.5    1780.0       760       150  FERC No. 71...........  Dgls, CO.
                                                                                                                                                         61001.................
Gaston Dam & Res.................    NC   Halifax..............  Roanoke R............  FE...........      63.0     203.0     200.0     22500     20300  Fed Pwr Act...........  VA Pwr.
                                          Northampton..........
Glen Elder Dam & Waconda Lk......    KS   Mitchel..............  Solomon R............  F............     722.3    1488.3    1455.6     33682     12602  PL 78-534.............  USBR.
                                                                                        IM...........     204.8    1455.6    1428.0     12602      3341  PL 79-526.............
Glendo Dam & Res.................    WY   Platte...............  N Platte R...........  F............     271.9    4653.0    4635.0     17990     12370  PL 78-534.............  USBR.
                                                                                        EIM..........     454.3    4635.0    4570.0     12370      3130
Grand Coulee Dam & FDR Lk........    WA   Okanogan Grant.......  Columbia R...........  FEI..........    5185.5    1290.0    1208.0     82280     45592  PL 89-561.............  USBR.
H Neely Henry Dam & Res..........    AL   Calhoun St. Clair....  Coosa R..............  FE...........      49.7     508.0     502.5     11235      7632  PL 83-436.............  AL Pwr.
Harris Dam & Res.................    AL   Randolph.............  Tallapoosa R.........  FE...........     215.0     793.0     785.0     10661      9012  PL 89-789.............  AL Pwr.
Heart Butte Dm & Lk Tschida......    ND   Grant................  Heart R..............  F............     147.9    2094.5    2064.5      6580      3400  PL 78-534.............  USBR.
                                                                                        IQ...........      69.0    2064.5    2030.0      3400       810
Hells Canyon Dam & Res...........    OR   Wallowa..............  Snake R..............  EN...........      11.7    1688.0    1683.0      2380      2280  FERC No 1971-A........  ID Pwr.
                                     ID   Adams................
Hoover Dam & Lk Mead.............    NV   Clark Mohave.........  Colorado R...........  F............    1500.0    1229.0    1219.6    162700    156500  PL 70-642.............  USBR.
                                     AZ                                                 FEIMCAR......      15.8    1219.6    1083.0    156500     83500
Hungry Horse Dam & Res...........    MT   Flathead.............  S Fork Flathead R....  FEI..........    2982.0    3560.0    3336.0     23800      5400  PL 78-329.............  USBR.

[[Page 121]]

 
Indian Valley Dam & Res..........    CA   Lake.................  N Fork Cache Cr......  FIMR.........      40.0    1485.0    1474.0      3975      3734  PL 84-984.............  Yolo FC&W.
                                                                                        IMR..........     260.0    1474.0    1334.0      3734       308
Jamestown Dam & Res..............    ND   Stutsman.............  James R..............  F............     185.4    1454.0    1429.8     13210      2090  PL 78-534.............  USBR.
                                                                                        IQ...........      28.1    1429.8    1400.0      2090       160
Jocassee Dam & Res...............    SC   Pickens..............  Keowee R.............  PRFC.........    1160.0    1110.0    1080.0      7565      6815  FERC 2503.............  USBR Pwr.
Keowee Dam & Lk..................    SC   Pickens..............  Keowee R.............  FPMCAR.......     392.0     800.0     775.0     18372     13072  FERC 2503.............  Duke Pwr.
Kerr Dam Flathead Lk.............    MT   Lake.................  Flathead R...........  FER..........    1219.0    2893.0    2883.0    125560    120000  FERC No 5.............  MT Pwr.
Kerr Dam & Lk Hudson (Markham        OK   Mayes................  Grand Neosho R.......  F............     244.2     636.0     619.0     18800     10900  PL 76-476.............  GRD Auth.
 Ferry Project).                                                                        E............      48.6     619.0     599.0     10900      4500
Keyhole Dam & Res................    WY   Crook................  Belle Fourche R......  F............     140.5    4111.5    4099.3     13730      9410  PL 78-534.............  USBR.
                                                                                        IQ...........     185.8    4099.3    4051.0      9410       820
Kirwin Dam & Res.................    KS   Phillips.............  N Fork Solomon R.....  F............     215.1    1757.3    1729.3     10640      5080  PL 78-534.............  USBR.
                                                                                        ICR..........      89.6    1729.2    1697.0      5080      1010  PL 79-732; PL 79-526..
Lake Kemp Dam & Res..............    TX   Wichita..............  Wichita R............  F............     234.9    1156.0    1144.0     23830     15590  SD 144................  WF&C.
                                                                                        MI...........     268.0    1144.0    1114.0     15590      3350  ......................  WID2.
Leesville Dam & Res..............    VA   Campbell Pttsylvnia..  Roanoke R............  EQ...........      37.8     613.0     600.0      3235      2400  Fed Pwr Act...........  Appl Pwr.
Lemon Dam & Res..................    CO   La Plata.............  Florida R............  FIM..........      39.0    8148.0    8023.0       622        62  PL 84-485.............  USBR.
Lewis M Smith Dam & Res..........    AL   Walker Culman........  Sipsey Fork; Black     F............     280.6     522.0     510.0     25700     21200  Fed Pwr Act...........  AL Pwr.
                                                                  Warrior R.            E............     394.3     510.0     488.0     21200     15097
Little Wood......................    ID   Blain................  Little Wood R........  FI...........      30.0    5237.3    5127.4       572         0  PL 84-993.............  USBR.
Logan Martin Dam & Res...........    AL   Talladega............  Cossa R..............  F............     245.3     477.0     465.0     26310     15260  PL 83-436.............  AL Pwr.
                                                                                        E............      67.0     465.0     460.0     15263     11887
Los Banos Dam & Detention........    CA   Merced...............  Los Banos Cr.........  R............      20.6     327.8     231.2       467         0  ......................  USBR.
Los Banos Dam & Detention Res....    CA   Merced...............  Los Banos Cr.........  F............      14.0     353.5     327.8       619       467  PL 86-488.............  USBR.
Lost Creek Dam & Res.............    UT   Morgan...............  Lost Cr..............  FEIM.........      20.0    6005.0    5912.0       365        93  PL 81-273.............  USBR.
Lovewell Dam & Res...............    KS   Jewell...............  White Rock Cr........  F............      50.5    1595.3    1582.6      5025      2986  PL 78-534.............  USBR.
                                                                                        ICR..........      24.9    1582.6    1571.7      2986      1704  PL 79-732.............
Marshall Ford Dam & Res..........    TX   Travis...............  Colorado R...........  F............     779.8     714.0     681.0     29060     18955  PL 73-392.............  USBR.
                                                                                        NEIM.........     810.5     681.0     618.0     18955      8050  PL 78-534.............
Mayfield Dam & Res...............    WA   Lewis................  Cowlitz R............  FER..........      21.4     425.0     415.0      2250      2030  FPC No 2016-A.........  Tac WN.
McGee Creek Dam & Res............    OK   Atoka................  McGee Cr.............  F............      85.3     595.5     577.1      5540      3810  PL 94-423.............  USBR.
                                                                                        MCR..........     108.0     577.7     515.1      3810       370
Medicine Cr Dam Harry Strunk Lk..    NE   Frontier.............  Medicine Cr..........  F............      52.7    2386.2    2366.1      3483      1840  PL 78-534.............  USBR.
                                                                                        ICR..........      26.8    2366.1    2343.0      1840       701  PL 84-505.............
Mossyrock Dam Davisson Lk........    WA   Lewis................  Cowlitz R............  FER..........    1397.0     778.5     600.0     11830      4250  FERC No 2016-B........  Tac, WN
Mt Park Dam Tom Steed Res........    OK   Kiowa................  W Otter Cr...........  F............      20.3    1414.0    1411.0      7130      6400  PL 90-503.............  USBR.
                                                                                        MRC..........      89.0    1411.0    1386.3      6400      1270
Navajo Dam & Res.................    NM   San Juan.............  San Juan R...........  FEIRQ........    1036.1    6085.0    5990.0     15610      7400  PL 84-485.............  USBR.
                                          Rio Arriba...........
New Bullards Bar Dam & Res.......    CA   Yuba.................  Yuba R...............  FEIMR........     170.0    1956.0    1918.3      4809      4225  PL 89-298.............  YCWA.
                                                                                        EIMR.........     790.9    1918.3    1447.5      4225       129
New Exchequer Dam & Lk...........    CA   Tuolumne.............  Merced R.............  FEIR.........     400.0     867.0     799.7      7110      4849  PL 86-645.............  Mrcd, Irr.
                                                                                        EIR..........     451.6     799.7     660.0      4849      1900
                                                                                        IR...........     171.0     660.0     467.0      1900       150
New Melones Dam & Lk.............    CA   Tuolumne.............  Stanislaus R.........  FEIMR........     450.0    1088.0    1049.5     12500     10900  PL 87-874.............  USBR.
                                          Calaveras............                         EIMR.........    1670.0    1049.5     808.0     10900      3500
                                                                                        IMR..........     300.0     808.0     540.0      3500         0

[[Page 122]]

 
Northfield Mt (Up) PS............    MA   Franklin.............  Connecticut..........  E............      14.0     965.0     938.0       196       134  FERC 1889.............  WMEC.
Norton Dam & Kieth Sebelius Lk...    KS   Norton...............  Prairie Dog Cr.......  F............      98.8    2331.4    2304.3      5316      2181  PL 78-534.............  USBR.
                                                                                        IMRC.........      30.7    2304.3    2280.4      2181       587  PL 79-526.............
                                                                                                                                                         PL 79-732.............
Ochoco Dam & Res.................    OR   Crook................  Ochoco Cr............  FICR.........      52.5    3136.2       0.0      1130       130  PL 84-992.............  USBR.
Oroville Dam & Lk................    CA   Butte................  Feather R............  FEIMAR.......     750.0     900.0     848.5     15800     13346  PL 85-500.............  CA.
                                                                                        EIMAR........    2788.0     848.5     210.0     13346         0
Pactola Dam & Res................    SD   Pennington...........  Rapid Cr.............  F............      43.1    4621.5    4580.2      1230       860  PL 78-534.............  USBR.
                                                                                        IM...........      55.0    4580.2    4456.1       860       100
Palisades Dam & Res..............    ID   Bonneville...........  Snake R..............  FIE..........    1202.0    5620.0    5452.0     16100      2170  PL 81-864.............  USBR.
Paonia Dam & Res.................    CO   Gunnision............  Muddy Cr.............  FIR..........      17.0    6447.5    6373.0       334       120  PL 80-177.............  USBR.
                                                                                                                                                         PL 84-485.............
Pensacola Dam Grand Lake O' the      OK   Mayes................  Grand (Neosho) R.....  F............     525.0     755.0     745.0     59200     46500  PL 77-228.............  Grd, Auth.
 Cherokees.                                                                             E............    1192.0     745.0     705.0     46500     17000
Pineview Dam & Res...............    UT   Weber................  Odgen R..............  FEIM.........     110.0    4900.0    4818.0      2874         0  PL 81-273.............  USBR.
Platoro Dam & Res................    CO   Conejos..............  Conejos R............  F............       6.0   10034.0   10027.5       947       920  PL 76-640.............  USBR.
                                                                                        IR...........      54.0   10027.5    9911.0       920         0
Priest Rapids Dam & Res..........    WA   Grant................  Columbia R...........  FER..........      44.0     488.0     481.5      7600      6500  FERC No 2114-A........  Grnt, PUD.
Prineville Dam & Res.............    OR   Crook................  Crooked R............  FIRC.........     233.0    3257.9    3114.0      3997       140  PL-84-992.............  USBR.
Prosser Cr Dam & Res.............    CA   Nevada...............  Prosser Cr...........  C............       8.6    5703.7    5661.0       334        86  PL 84-858.............  USBR.
                                                                                        FC...........      20.0    5761.0    5703.7       745       334  PL 85-706.............
Pueblo Dam & Res.................    CO   Pueblo...............  Arkansas R...........  F............      93.0    4898.7    4880.5      5671      4640  PL 87-590.............  USBR.
                                                                                        IR...........     261.4    4880.5    4764.0      4640       421
Red Willow Dam Hugh Butler Lk....    NE   Frontier.............  Red Willow Cr........  F............      48.9    2604.9    2581.8      2682      1629  PL 78-534.............  USBR.
                                                                                        IRC..........      27.3    2581.8    2558.0      1629       787  PL 85-783.............
                                                                                                                                                         PL 84-505.............
Ririe Dam & Res..................    ID   Bonneville...........  Willow Cr............  FIRC.........      99.0    5119.0    5023.0       150       360  PL 87-874.............  USBR.
Roanoke Rapids Dam & Res.........    NC   Halifax..............  Roanoke R............  EC...........      16.8     132.0     128.0      4600      4100  FPC 2009..............  VA, Pwr.
Rocky Reach Dam Lk Entiat........    WA   Chelan...............  Columbia R...........  FER..........      36.0     707.0     703.0      9920      9490  FERC No 2145..........  Chln PUD.
Rocky River PS Lk Candlewood.....    CT   Litchfield...........  Housatonic R.........  E............     142.5     430.0     418.0      5608      4692  FERC 2576.............  CLPC.
Ross Dam & Res...................    WA   Whatcom..............  Skagit R.............  E............    1052.0    1602.5    1475.0     11700      4450  FERC 553..............  Sttl.
Sanford Dam & Lk Meredith........    TX   Hutchison............  Canadian R...........  F............     462.1    2965.0    2941.3     21640     17320  PL 81-898.............  USBR.
                                                                                        IMCRQ........     761.3    2941.3    2860.0     17320      4500
Savage River Dam & Res...........    MD   Garrett..............  Savage R.............  FMA..........      20.0    1468.5    1317.0       366         0  PL 78-534.............  Ptmc Comm.
Scoggins Dam Henry Hagg Lk.......  .....  .....................  Scoggins Cr..........  FIR..........      56.3     305.8     235.3       116         4  PL 89-596.............  USBR.
Shadehill Dam & Res..............    SD   Perkins..............  Grand R..............  F............     218.3    2302.0    2271.9      9900      4800  PL 78-534.............  USBR.
                                                                                        IQ...........      80.9    2271.9    2250.8      4800      2800
Shasta Dam Lk....................    CA   Shasta...............  Sacramento R.........  FEIA.........    1300.0    1067.0    1018.6     29570     23894  PL 75-392.............  USBR.
                                                                                        EIA..........    3241.0    1018.6     735.8     23894      2200
Shepaug Dam & Lk.................    CT   Litchfield...........  Housatonic R.........  E............       5.0     200.0     172.0      1882      1125  FERC 2576.............  CLPC.

[[Page 123]]

 
Smith Mtn Dam & Res..............    VA   Bedford..............  Roanoke R............  E............      40.8     795.0     793.0     20600     20200  Fed Pwr Act...........  Appl Pwr.
                                          Franklin.............
                                          Roanoke..............
                                          Pttsylvnia...........
Stampede Dam & Res...............    CA   Sierra...............  Little Truckee R.....  FEM..........      22.0    5949.0    5942.1      3430      3230  PL 84-858.............  USBR.
                                                                                        EM...........     199.4    5942.0    5798.0      3230       210
Starvation Dam and Res...........    UT   Duchesne.............  Strawberry R.........  FIM..........     165.3    5712.0    5595.0      3310       689  PL 84-485.............  USBR.
Stevens Creek Dam & Res..........    GA   Columbia.............  Savannah River.......  P............      10.5     187.5     183.0      4300         0  FERC 2535.............  SC E&G.
Stevenson Dam Lk Zoar............    CT   Litchfield...........  Housatonic R.........  E............       5.0     108.0      80.0      1148       516  FERC 2576.............  CLPC.
Summer Dam & Lk..................    NM   De Baca..............  Pecos R..............  FI...........      51.4    4261.0    4200.0      2835         0  PL 83-780.............  USBR.
Tat Momolikot Dam & Lake.........    AZ   Pinal................  Santa Rosa Wash......  FIC..........     198.5    1539.0    1480.0     11790         0  PL 89-298.............  BIA.
Tiber Dam & Res..................    MT   Libert Toole.........  Marias R.............  F............     400.9    3012.5    2993.0     23150     17890  PL 78-534.............  USBR.
                                                                                        FIQ..........     268.0    2993.0    2976.0     17890     13790
                                                                                        IQ...........     121.7    2976.0    2966.4     13790     11710
Trenton Dam & Res................    NB   Hitchcock............  Republican R.........  F............     134.1    2773.0    2752.0      7940      4922  PL 78-534.............  USBR.
                                                                                        IRC..........      99.8    2752.0    2720.0      4922      1572  PL 84-505.............
Turners Falls (Low) Dam & Lk.....    MA   Franklin.............  Connecticut R........  E............       8.7     185.0     176.0      2110      1880  FERC 1889.............  WMEC
Twin Buttes Dam & Lake...........    TX   Tom Green............  Concho R.............  F............     454.4    1969.1    1940.2     23510     23510  PL 85-152.............  USBR
                                                                                        IM...........     150.0    1940.2    1885.0      9080       670  PL 78-534.............
Twitchell Dam & Res..............    CA   Santa Barbara........  Cuyama R.............  F............      89.8     651.5     623.0      3671      2556  PL 83-774.............  USBR
                                                                                        IM...........     135.6     623.0     504.0      2556         0
Upper Baker Dam Baker Lk.........    WA   Whatcom..............  Baker R..............  FE...........     184.6     724.0     674.0      4985      2375  PL 89-298.............  Pgt
                                                                                                                                                         FERC 2150B............  P&L
Vallecito Dam & Res..............    CO   La Plata.............  Los Pinos R..........  FEI..........     125.4    7665.0    7582.5      2720       350  PL 61-288.............  USBR
                                                                                                                                                         PL 68-292.............
Vernon Dam & Lk..................    VT   Windham..............  Connecticut R........  E............      18.3     220.1     212.1      2550      1980  FERC 1904.............  NEPC
Wanapum Dam & Res................    WA   Grant................  Columbia R...........  FER..........     151.6     571.5     560.0     14300     13350  FERC No 2114-B........  Grnt
                                                                                                                                                                                 PUD
Wanship Dam & Rockport...........    UT   Summit...............  Weber R..............  FEIM.........      61.0    6037.0    5930.0      1077       121  PL 81-273.............  USBR
Warm Springs Dam & Res...........    OR   Malheur..............  Middle Fork Malheur R  FICR.........     191.0    3406.0    3327.0       460        90  PL 78-534.............  Vale
                                                                                                                                                                                 USBR
Waterbury Dam & Res..............    VT   Washington...........  Little R.............  FP...........      27.7     617.5     592.0      1330       890  PL 78-534.............  VT
Webster Dam & Res................    KS   Rocks................  S Fork Solomon R.....  F............     183.4    1923.7    1892.5      8480      3772  PL 78-534.............  USBR
                                                                                        IRC..........      72.1    1892.5    1860.0      3772       906  PL 79-526.............
                                                                                                                                                         PL 79-732.............
Weiss Dam & Res..................    AL   Cherokee.............  Coosa R..............  F............     397.0     574.0     564.0     50000     30200  PL 83-436.............  AL Pwr
                                                                                        E............     148.4     564.0     558.0     30200     19545
Wells Dam L Pateros..............    WA   Douglas..............  Columbia R...........  FER..........      74.0     781.0     771.0     10000      8000  FERC No 2149..........  Dgls
                                                                                                                                                                                 PUD
Wilder Dam & Lk..................    VT   Windsor..............  Connecticut R........  E............      13.3     385.0     380.0      3100      2240  FERC 1893.............  NEPC
Yellowtail Dam & Bighorn Lk......    MT   Big Horn.............  Bighorn R............  F............     258.3    3657.0    3640.0     17280     12600  PL 78-534.............  USBR
                                                                                        FEIQ.........     240.3    3640.0    3614.0     12600      6915                          PUD
                                                                                        EIQ..........     336.1    3614.0    3547.0      6915      4150
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Cr--Creek; CS--Control Structure; Div--Diversion; DS--Drainage Structure; FG--Floodgate; Fk--Fork; GIWW--Gulf Intercoastal Waterway; Lk--Lake; L&D--Lock & Dam; PS--Pump Station; R--River;
  Res--Reservoir
\2\ F--Flood Control; N--Navigation; P--Corps Hydropower; E--Non Corps Hydropower; I--Irrigation; M--Municipal and/or Industrial Water Supply; C--Fish and Wildlife Conservation; A--Low Flow
  Augmentation or Pollution Abatement; R--Recreation; Q--Water Quality or Silt Control
\3\ FCA--Flood Control Act; FERC--Federal Energy Regulatory Comm; HD--House Document; PL--Public Law; PW--Public Works; RHA--River & Harbor Act; SD--Senate Document; WSA--Water Supply Act

[[Page 124]]

 
\4\ Appl Pwr--Appalachian Power; Chln PUD--Chelan Cnty PUD 1; CLPC--CT Light & Power Co; Dgls PUD--Douglas Cnty PUD 1; DWR--Department of Water Resources; EB-MUD--East Bay Municipal Utility
  Dist; GRD--Grand River Dam Auth; Grnt PUD--Grant Cnty PUD 2; Hnbl--city of Hannibal; M&T Irr--Modesto & Turlock Irr; Mrcd Irr--Merced Irr; NEPC--New England Power Co; Pgnt P&L--Pugent Sound
  Power & Light; Ptmc Comm--Upper Potomac R Comm; Rclm B--Reclamation Board; Rkfd--city of Rockford; Sttl--city of Seattle; Tac--City of Tacoma; Vale USBR--50% Vale Irr 50% USBR; WF&CWID--City
  of Wichita Falls and Wichita Cnty Water Improvement District No. 2; WMEC--Western MA Electric Co; YCWA--Yuba City Water Auth; Yolo FC&W--Yolo Flood Control & Water Conserv Dist


(Sec. 7, Pub. L. 78-534, 58 Stat. 890 (33 U.S.C. 709); the Federal Power 
Act, 41 Stat. 1063 (16 U.S.C. 791(A)); and sec. 9, Pub. L. 83-436, 68 
Stat. 303)

[43 FR 47184, Oct. 13, 1978, as amended at 46 FR 58075, Nov. 30, 1981; 
55 FR 21508, May 24, 1990]

[[Page 125]]



Sec. 208.19  Marshall Ford Dam and Reservoir (Mansfield Dam and Lake 
Travis), Colorado River, Tex.

    The Secretary of the Interior, through his agent, the Lower Colorado 
River Authority (LCRA) shall operate the Marshall Ford Dam and Reservoir 
in the interest of flood control as follows:
    (a) Water Control Plan--(1) General objectives. The objectives of 
the Marshall Ford Reservoir (Lake Travis) are the improvement of 
navigation, flood control, stream regulation, generation of power, 
irrigation, water supply, and recreation uses.
    (2) Overall plan for water control. Within the Colorado River Basin, 
four Federal projects provide flood control protection: Twin Buttes, O. 
C. Fisher, Hords Creek, Marshall Ford Reservoir. The considerable 
distance (328 river miles) and large intervening area (19,990 square 
miles) separating Marshall Ford Reservoir and the three upper basin 
flood-control projects prevent realizing any significant benefits from 
coordinating releases to control the inflow into Marshall Ford. Marshall 
Ford Reservoir is the fifth project in a tandem of six lakes operated 
and controlled by the Lower Colorado River Authority for the generation 
of hydroelectric power. These six projects in downstream order are: Lake 
Buchanan, Lake Inks, Lake Lyndon B. Johnson (Alvin Wirtz Dam), Lake 
Marble Falls (Max Starcke Dam), Marshall Ford Reservoir (Lake Travis and 
Mansfield Dam) and Lake Austin (Tom Miller Dam). The releases from each 
of the six projects are closely coordinated by the LCRA System Operation 
Control Center. Three of the projects (Lake Inks, Lake Marble Falls, and 
Lake Austin) are run-of-the-river projects. The capabiity of the four 
upstream lakes to control the inflow of flood water into Marshall Ford 
depends on their antecedent lake elevations. The majority of inflows to 
Marshall Ford are comprised of the mainstream flows of the Colorado 
River, the tributary flows of the Llano River (entering the Colorado 
River between Lakes Inks and Lyndon B. Johnson) and the unregulated 
tributary flows of the Pedernales River (entering between Lake Marble 
Falls and Marshall Ford Reservoir). During flood conditions, the 
following upstream U.S. Geological Survey gaging stations are used as 
indicators of the magnitude of the inflows to Marshall Ford Reservoir:
    (i) Colorado River near San Saba (08147000).
    (ii) Pedernales River near Johnson City (08153500).
    (iii) Llano River at Llano (08151500).
    (3) Standing instructions to dam tender. During normal conditions, 
the dam tender will regulate the project in accordance with instructions 
received from the LCRA System Operator. During flood conditions, when 
the Marshall Ford Reservoir level is within the flood control zone, the 
LCRA System Operator will regulate the project in accordance with 
instructions received from the Corps of Engineers. In the event of a 
communication outage, the LCRA System Operator will rely on the 
Emergency Release Schedule, to make changes in the rate of releases from 
the lake.
    (4) Flood control regulation--(i) General. At all times, releases 
shall be coordinated such that the Colorado River, Texas, will be 
controlled when possible, to remain below control stages at downstream 
official U.S. Geological Survey (USGS) gaging stations; except that no 
curtailment of normal hydroelectric turbine releases shall result 
thereby at any time. The USGS river stations and their control stages 
are as follows:

                      Key Downstream Control Points
------------------------------------------------------------------------
                                                              Equivalent
                                                    Control   cubic feet
                     Station                         stage    per second
                                                    (feet)     (c.f.s.)
------------------------------------------------------------------------
Austin (08158000)...............................        20.5      30,000
                                                    \1\ 24.8  \1\ 50,000
Bastrop (08159200)..............................        25.1      45,000
                                                    \1\ 26.7  \1\ 50,000
Columbus (08161000).............................        25.5      50,000
------------------------------------------------------------------------
\1\ Control stage when elevation 710 is forecast to be exceeded.


Forecasted reservoir inflows and the upstream USGS gaging stations 
Pedernales River near Johnson City (08153500), Llano River at Llano 
(08151500), and Colorado River near San Saba (08147000) will be 
considered when scheduling flood releases.
    (ii) Flood control release schedule. Marshall Ford will be regulated 
to reduce

[[Page 126]]

flooding on the Colorado River below the dam. This plan of regulation 
will govern flood control releases from Marshall Ford Dam as follows:
    (A) Elevation 681-683. If the reservoir level is forecast to rise 
above elevation 681 feet, m.s.l. (top of conservation pool) but not to 
exceed elevation 683 feet, m.s.l., the releases shall be increased to 
3,000 c.f.s. and maintained until the reservoir level recedes to 
elevation 681 feet, m.s.l. These release rates may need to be reduced 
due to excessive downstream runoff to prevent exceeding the control 
stages specified in paragraph (a)(4)(i) of this section.
    (B) Elevation 683-685. If the reservoir elevation is forecast to 
rise above elevation 683 feet, m.s.l. but not to exceed elevation 685 
the releases shall be increased to 5,000 c.f.s. and maintained until the 
reservoir level recedes below 683 feet, m.s.l. These release rates may 
need to be reduced due to excessive downstream runoff to prevent 
exceeding the control stages specified in paragraph (a)(4)(i) of this 
section.
    (C) Elevation 685-691. Seasonal. (1) During the months of January 
through April, July through August, and November through December: If 
the reservoir elevation is forecast to rise above elevation 685 feet, 
m.s.l. but not to exceed elevation 691, the releases shall be increased 
to 5,000 c.f.s. and maintained until the reservoir level recedes below 
683 feet, m.s.l. These release rates may need to be reduced due to 
excessive downstream runoff to prevent exceeding the control stages 
specified in paragraph (a)(4)(i) of this section.
    (2) During the months of May, June, September, and October: Should 
the reservoir elevation be forecast to exceed 685 feet, m.s.l. but not 
to exceed elevation 691 feet, m.s.l: Releases will be made at 30,000 
c.f.s. from the project or at a rate such that, when combined with local 
inflows below the dam, will equal but not exceed downstream control 
stages on the Colorado River as specified in paragraph (a)(4)(i) of this 
section. These release rates will be maintained until the reservoir 
level falls below elevation 685 feet, m.s.l.
    (D) Elevation 691-710. Should the reservoir elevation be forecast to 
exceed 691 feet, m.s.l. (the top of the joint use pool) but not to 
exceed elevation 710 feet, m.s.l: Releases will be made at 30,000 c.f.s. 
from the project or at a rate such that, when combined with local 
inflows below the dam, will equal but not exceed downstream control 
stages on the Colorado River as specified in paragraph (a)(4)(i) of this 
section. These release rates will be so controlled until the reservoir 
level falls below elevation 691 feet, m.s.l.
    (E) Elevation 710-714. If the reservoir level is forecast to exceed 
710 feet, m.s.l. but not to exceed elevation 714 feet, m.s.l: Releases 
will be made at 50,000 c.f.s. from the project or at a rate such that, 
when combined with local inflows below the dam, will equal but not 
exceed the downstream control stages on the Colorado River as specified 
in paragraph (a)(4)(i) of this section. These release rates will be 
maintained until the reservoir level falls below elevation 710 feet, 
m.s.l.
    (F) Elevation 714-722. If the reservoir level is forecast to exceed 
714 feet, m.s.l. but not to exceed 722 feet, m.s.l: Releases will be 
made at 90,000 c.f.s. from the project. Releases shall not exceed the 
associated peak flood reservoir inflow.
    (G) Elevation 722 and above. If the reservoir level is forecast to 
exceed elevation 722 feet, m.s.l., the Bureau of Reclamation will 
schedule releases as required for the safety of the structure.
    (iii) Normal flood control regulation schedule. The following table, 
Flood Control Regulation Schedule, summarizes the flood control releases 
schedule for given reservoir levels and river conditions:

                    Marshall Ford Dam and Reservoir Normal Flood Control Regulation Schedule
----------------------------------------------------------------------------------------------------------------
      Condition           Reservoir level       Flood control release                Control points
----------------------------------------------------------------------------------------------------------------
Pool Rising..........  Forecast: 681-683 \1\  3,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  Forecast: 683-685....  5,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.

[[Page 127]]

 
 Do..................  Forecast: 685-691:...
                       (a) During January,    5,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                        February, March,
                        April, July, August,
                        November, December.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
                       (b) During May, June,  30,000 c.f.s............  30,000 c.f.s. (20.5 ft.) at Austin.
                        September, October.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  Forecast: 691-710....  30,000 c.f.s............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  Forecast: 710-714....  50,000 c.f.s............  50,000 c.f.s. (24.8 ft.) at Austin.
                                                                        50,000 c.f.s. (26.7 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  Forecast: 714-722 \2\  90,000 c.f.s............  No controls.
 Do..................  Forecast: above 722..  The Bureau of
                                               Reclamation will
                                               specify the releases
                                               for safety of the
                                               structure.
Pool Falling.........  Above 722............  ......do................
 Do..................  722-714 \2\..........  90,000 c.f.s............  No controls.
 Do..................  714-710..............  50,000 c.f.s............  50,000 c.f.s. (24.8 ft.) at Austin.
                                                                        50,000 c.f.s. (26.7 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  710-691..............  30,000 c.f.s............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  691-685:.............  30,000 c.f.s............  30,000 c.f.s. (20.5 ft.) at Austin.
                       (a) During May, June,
                        September, October.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
                       (b) During January,    5,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                        February, March,
                        April, July, August,
                        November, December.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  685-683..............  5,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
 Do..................  683-681..............  3,000 c.f.s.............  30,000 c.f.s. (20.5 ft.) at Austin.
                                                                        45,000 c.f.s. (25.1 ft.) at Bastrop.
                                                                        50,000 c.f.s. (25.5 ft.) at Columbus.
----------------------------------------------------------------------------------------------------------------
\1\ During flood conditions, when the reservoir level is below elevation 681 ft., m.s.l., the Corps of Engineers
  will provide recommendations to the Lower Colorado River Authority on flood control releases.
\2\ Releases shall not exceed the associated peak flood reservoir inflow.
 
Note: No curtailment of normal hydroelectric turbine releases shall be required due to flood control operations.

    (5) Deviation from normal regulation. (i) There are occasions when 
it is necessary or desirable to deviate from the water control plan for 
short periods of time as indicated in the following paragraphs:
    (A) The water control plan is subject to temporary modification by 
the Corps of Engineers, if found necessary in time of emergency. 
Requests for and action on such modifications may be made by the fastest 
means of communication available. The action taken shall be confirmed in 
writing the same day to the project owner and shall include 
justification for the action.
    (B) The project owner may temporarily deviate from the water control 
plan in the event an immediate short-term departure is deemed necessary 
for emergency reasons to protect the safety of the dam, or to avoid 
serious hazards. Such actions shall be immediately reported by the 
fastest means of communication available. Actions shall be confirmed in 
writing the same

[[Page 128]]

day to the Corps of Engineers and shall include justification for the 
action. Continuation of the deviation will require the express approval 
of the Chief of Engineers, or his duly authorized representative.
    (C) Advance approval of the Chief of Engineers, or this duly 
authorized representative, is required prior to any deviation from the 
plan of regulation prescribed or approved by the Corps of Engineers in 
the interest of flood control and/or navigation, except in emergency 
situations provided for in paragraph (a)(5)(i)(B) of this section. When 
conditions appear to warrant a prolonged deviation from the approved 
plan, the project owner and the Corps of Engineers will jointly 
investigate and evaluate the proposed deviation to insure that the 
overall intergrity of the plan would not be unduly compromised. Approval 
of prolonged deviations will not be granted unless such investigations 
and evaluations have been conducted to the extent deemed necessary by 
the Chief of Engineers, or his designated representative, to fully 
substantiate the deviations.
    (ii) The Fort Worth District Corps of Engineers will serve as the 
LCRA contact point for any deviation from or modification of the water 
control plan. The communication network will be described in the Water 
Control Manual. The Fort Worth District will notify the Division 
Engineer, Southwestern Division, Corps of Engineers of any deviations or 
modifications of the water control plan and request his approval. The 
Division Engineer has been designated as the authorized representative 
of the Chief of Engineers in matters relating to projects within the 
Southwestern Division which are subject to provisions of Section 7 of 
the 1944 Flood Control Act.
    (b) Reports to the Corps of Engineers. (1) The Authority shall 
furnish the District Engineer, Fort Worth District, U.S. Army Corps of 
Engineers, by 0900 hours daily, with the following:
    (i) Project information.
    (A) Lake elevations at midnight and 0800 hours.
    (B) Uncontrolled spillway, flood-control conduits, and turbine 
releases: Cubic feet per second at 0800 hours, and day-second-feet 
average for the previous 24 hours, ending at midnight.
    (C) Computed average inflow, in day-second-feet for the previous 24 
hours, ending at midnight.
    (D) Total precipitation in inches for the previous 24 hours at the 
dam, ending at 0800 hours.
    (E) Summary of streamflow and channel conditions at gages named in 
paragraphs (a)(2) and (a)(4)(i) of this section.
    (ii) Lake Buchanan Pool elevation at 0800 hours.
    (2) Whenever flood conditions are imminent, or stages of 16 feet 
(20,000 c.f.s.) or more at the Austin gage have been reached, the 
Authority shall report at once to the District Engineer by the fastest 
means of communications available. Data listed in paragraph (b)(1) of 
this section shall be reported to, and at intervals prescribed by the 
District Engineer for the duration of flood surveillance and control 
operations.

(Sec. 7, Pub. L. 78-534, 58 Stat. 890 (33 U.S.C. 709))

[44 FR 24552, Apr. 26, 1979; 44 FR 29050, May 18, 1979]



Sec. 208.22  Twin Buttes Dam and Reservoir, Middle and South Concho 
Rivers, Tex.

    The Bureau of Reclamation, or its designated agent, shall operate 
the Twin Buttes Dam and Reservoir in the interest of flood control as 
follows:
    (a) Whenever the Twin Buttes Reservoir level is between elevations 
1,940.2 (top of conservation pool) and elevation 1,969.1 (top of flood 
control pool) the flood control discharge facilities shall be operated 
under the direction of the District Engineer, Corps of Engineers, 
Department of the Army, in charge of the locality, so as to reduce as 
much as practicable the flood damage below the reservoir. All flood 
control releases shall be made in amounts which, when combined with 
releases from San Angelo Reservoir on the North Concho River and local 
inflow below the dam, will not produce flows in excess of bankful 
capacities on the South Concho and Concho Rivers downstream of the 
reservoir. In order to accomplish this purpose, flows shall not exceed a 
22.5-foot stage (25,000 c.f.s.) on

[[Page 129]]

the USGS gage on the Concho River near San Angelo, Tex. (river mile 
60.9); or a 22.8-foot stage (25,000 c.f.s.) on the USGS gage near Paint 
Rock, Tex. (river mile 19.6).
    (b) When the Twin Buttes Reservoir level exceeds elevation 1,969.1 
(top of flood control pool), releases shall be made at the maximum rate 
possible and continued until the pool elevation recedes to elevation 
1,969.1 when releases shall be made to equal inflow or the maximum 
release permissible under paragraph (a) of this section, whichever is 
greater.
    (c) The representative of the Bureau of Reclamation in immediate 
charge of operation of the Twin Buttes Dam shall furnish daily to the 
District Engineer, Corps of Engineers, Department of the Army, in charge 
of the locality, a report, on forms provided by the District Engineer 
for this purpose, showing (1) for Twin Buttes Reservoir, the elevation 
of the reservoir level; number of river outlet works gates in operation 
with their respective openings and releases; uncontrolled spillway 
releases; storage; reservoir inflow; available evaporation data; and 
precipitation in inches; and (2) for Nasworthy Reservoir, the elevation 
of the reservoir level; irrigation outlet works and controlled spillway 
releases; storage; tailwater elevation; and reservoir inflow. Normally, 
one reading at 8 a.m. shall be shown for each day. Readings of all items 
except evaporation shall be shown for at least three observations a day 
when the Twin Buttes Reservoir level is above elevation 1,940.2. 
Whenever the Twin Buttes Reservoir level rises to elevation 1,940.2 and 
releases for flood regulation are necessary or appear imminent, the 
Bureau representative shall report at once to the District Engineer by 
telephone or telegraph and, unless otherwise instructed, shall report 
once daily thereafter in that manner until the reservoir level recedes 
to elevation 1,940.2. These latter reports shall reach the District 
Engineer by 9 a.m. each day.
    (d) The regulations of this section insofar as they govern use of 
the flood control storage capacity in Twin Buttes Reservoir above 
elevation 1,940.2 are subject to temporary modification in time of flood 
by the District Engineer, if found desirable on the basis of conditions 
at the time. Such desired modifications shall be communicated to the 
representative of the Bureau of Reclamation in immediate charge of 
operations of the Twin Buttes Dam by any available means of 
communication and shall be confirmed in writing under date of the same 
day to the Regional Director in charge of the locality, with a copy to 
the representative in charge of the Twin Buttes Dam.
    (e) Flood control operation shall not restrict releases necessary 
for municipal, industrial, and irrigation uses.
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the Twin Buttes Dam and Reservoir from major damage or 
inconsistent with safe routing of the inflow design flood (spillway 
design flood).
    (g) The discharge characteristics of the river outlet works (capable 
of discharging approximately 32,470 c.f.s. with the reservoir level at 
elevation 1,969.1) shall be maintained in accordance with the 
construction plans (Bureau of Reclamation Specifications No. DC-5274 as 
modified by revised drawings and criteria in Designers' Operating 
Criteria, Twin Buttes Dam, dated February 1963).
    (h) All elevations stated in this section are at Twin Buttes Dam and 
are referred to the datum in use at that location.

[31 FR 12521, Sept. 22, 1966]



Sec. 208.25  Pensacola Dam and Reservoir, Grand (Neosho) River, Okla.

    The representative of the agency charged with the operation of the 
Pensacola Dam, referred to in this section as the Representative shall 
operate the dam and reservoir in the interest of flood control as 
follows:
    (a) Whenever the pool stage exceeds elevation 745 at the dam, the 
discharge facilities shall be operated under the direction of the 
District Engineer, Engineer Department at Large, in charge of the 
locality, so as to reduce as much as practicable the flood damage below

[[Page 130]]

the reservoir and to limit the pool stage to elevation 755 at the dam.
    (b) The District Engineer will advise the Representative when inflow 
rates are anticipated which will raise the pool above elevation 745 at 
the dam. The District Engineer will also advise the Representative of 
essential increase in the flood control storage capacity of the 
reservoir which should be provided by drawing the pool down below 
elevation 745 at the dam in order to obtain maximum flood control 
benefits, with the provision that the suggested reduction in power 
storage shall at no time exceed the replacement volume of flow then in 
sight in the streams above the reservoir.
    (c) The Representative shall furnish the District Engineer, daily, a 
report showing the elevation of the reservoir pool and the tailwater, 
number of gates in operation, spillway and turbine releases, 
evaporation, storage, reservoir inflow, and precipitation in inches as 
shown by Agency gages. One reading shall be shown for each day with 
additional readings of releases for all changes in spillway gate 
operation, and with readings of all items except evaporation three times 
daily when the District Engineer advises the Representative that flood 
conditions are imminent. By agreement between the Representative and the 
District Engineer, any of the foregoing information may be furnished by 
telephone and may, if agreed upon, be omitted from the report. Whenever 
the pool is above elevation 745 at the dam the Representative shall 
submit additional reports by telegraph or telephone as directed by the 
District Engineer, with a report to be furnished immediately whenever 
the pool rises above elevation 745 at the dam.
    (d) The District Engineer will furnish the Representative with all 
available information and detailed instructions for operation of the 
reservoir in the interest of flood control during an emergency condition 
when communications between the dam and the District Office are broken. 
In the event that the District Engineer or his authorized representative 
cannot be reached by telephone, telegraph or by other means during a 
flood emergency, these instructions will govern. The provisions of 
paragraphs (a), (b), and (c) of this section will govern at all times 
except during such an emergency.
    (e) Elevations stated in this section are referred to Pensacola 
datum which is 1.07 feet below mean sea level.

[10 FR 15044, Dec. 14, 1945]



Sec. 208.26  Altus Dam and Reservoir, North Fork Red River, Okla.

    The Bureau of Reclamation, or its designated agent, shall operate 
the Altus Dam and Reservoir in the interest of flood control as follows:
    (a) Flood control storage in the reservoir between elevation 1559 
(top of conservation pool) and elevation 1562 (top of flood control 
pool) amounts to 21,448 acre-feet (based on 1953 sedimentation survey). 
Whenever the reservoir level is within this elevation range, the flood 
control discharge facilities shall be operated under the direction of 
the District Engineer, Corps of Engineers, Department of the Army, in 
charge of the locality, so as to reduce as much as practicable the flood 
damage below the dam, and to limit the reservoir level to elevation 1562 
when possible.
    (b) When the reservoir level is below elevation 1559 and the 
predicted volume of runoff from the area above the dam exceeds the 
volume of water necessary to raise the reservoir level above elevation 
1559, the reservoir will be operated to obtain maximum overall benefits 
which may consist of preflood releases: Provided, That all preflood 
releases will have prior concurrence of the Bureau of Reclamation or its 
designated agent. The preflood releases shall not result in a reservoir 
level below elevation 1559 at the end of the flood.
    (c) When the reservoir level exceeds elevation 1559, releases will 
be made equal to inflow or 2,000 c.f.s., whichever is smaller, except 
that when the reservoir elevation forecast indicates that this operation 
will result in a reservoir level exceeding elevation 1562, releases will 
be increased in order to provide maximum overall benefits and prevent 
the reservoir level from exceeding elevation 1562, insofar as possible. 
The flood control pool will be emptied by continuing the peak discharge 
rate

[[Page 131]]

until the reservoir level recedes to elevation 1559, at which time 
releases will be made equal to inflow.
    (d) If the reservoir level exceeds elevation 1562 (top of flood 
control pool) releases shall be made at the maximum rate possible 
through the spillway gates, conduit, and the uncontrolled spillway and 
continued until the reservoir level recedes to elevation 1559, at which 
time releases will be made equal to inflow.
    (e) Whenever the reservoir level is above elevation 1559 and 
communication with the Bureau of Reclamation Regional Office and the 
Corps of Engineers District Office is unobtainable, releases shall be 
made equal to inflow until all gates are fully open. The maximum release 
thus obtained shall be maintained until the pool recedes to elevation 
1559 at which time releases shall be made to equal inflow.
    (f) The representative of the Bureau of Reclamation, or its 
designated agent, in immediate charge of the operation of Altus Dam will 
furnish daily to the District Engineer, Corps of Engineers, Department 
of the Army, in charge of the locality, a report on forms provided by 
the District for this purpose, showing the reservoir pool elevation; the 
number of spillway gates in operation with their respective opening and 
releases; the uncontrolled spillway release; conduit, canal outlet 
wasteway, and irrigation releases; storage; reservoir inflow; available 
evaporation data; and precipitation in inches. A reading at 8 a.m., 
noon, 4 p.m., and midnight, shall be shown for each day. Whenever the 
reservoir level rises to elevation 1559 and releases for flood control 
regulation are necessary or appear imminent, the representative of the 
Bureau of Reclamation or its designated agent, shall report at once to 
the District Engineer by telephone or telegraph and, unless otherwise 
instructed, shall report at 8 a.m., noon, and 3 p.m. thereafter, in that 
manner, until the reservoir level recedes to elevation 1559. These 
latter reports shall reach the District Engineer by 9 a.m., 1 p.m., and 
4 p.m. each day.
    (g) The regulations of this section, insofar as they govern use of 
the flood control storage capacity above elevation 1559 are subject to 
temporary modification by the District Engineer in time of flood, if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be coordinated with and approved by the Bureau of 
Reclamation.
    (h) Flood control operation shall not restrict releases necessary 
for irrigation, municipal, and industrial uses.
    (i) Releases made in accordance with the regulations of this section 
are subject to the conditions that releases shall not be made at rates 
or in a manner that would be inconsistent with emergency requirements 
for protecting the dam and reservoir from major damage.
    (j) Any time that the Bureau of Reclamation determines that 
operation in accordance with the regulations of this section will 
jeopardize the safety of Altus Dam, they will so advise the District 
Engineer and will assume operational responsibility and take action 
necessary to assure the safety of the dam.
    (k) The discharge characteristics of the controlled and the 
uncontrolled spillways (capable of discharging approximately 42,800 
c.f.s. and 2,000 c.f.s., respectively, with the reservoir level at 
elevation 1562) shall be maintained in accordance with the construction 
plans (Bureau of Reclamation Drawing No. 258-D-69).
    (l) All elevations stated in this section are at Altus Dam and are 
referred to the datum in use at that location.

[33 FR 12733, Sept. 7, 1968]



Sec. 208.27  Fort Cobb Dam and Reservoir, Pond (Cobb) Creek, Oklahoma.

    The Bureau of Reclamation shall operate the Fort Cobb Dam and 
Reservoir in the interest of flood control as follows:
    (a) Whenever the reservoir level is between elevation 1342.0, top of 
the conservation pool, and elevation 1354.8, top of flood control pool, 
the flood control discharge facilities shall be operated under the 
direction of the District Engineer, Corps of Engineers, Department of 
the Army, in charge of the locality, so as to reduce as much as 
practicable the flood damage below the reservoir. All flood control 
releases shall be made in amounts which, when combined with local inflow 
below the dam,

[[Page 132]]

will not produce flows in excess of bankfull on Pond (Cobb) Creek 
downstream of the reservoir and on the Washita River downstream of their 
confluence. In order to accomplish this purpose, flows shall not exceed 
a 13.0-foot stage (1,300 cfs) on the USGS gage on Pond (Cobb) Creek near 
Fort Cobb, Oklahoma, river mile 5.0; a 19.0-foot stage (6,000 cfs) on 
the USGS gage on the Washita River near Anadarko, Oklahoma, river mile 
305.0; or a 19.0-foot stage on the USGS gage near Bradley, Oklahoma, 
river mile 210.6.
    (b) When the reservoir level exceeds elevation 1354.8, top of flood 
control pool, releases shall be made at the maximum rate possible and 
continued until the pool elevation recedes to elevation 1354.8 when 
releases shall be made to equal inflow or the maximum release 
permissible under paragraph (a) of this section, whichever is greater.
    (c) The representative of the Bureau of Reclamation in immediate 
charge of operation of the Fort Cobb Dam shall furnish daily to the 
District Engineer, Corps of Engineers, Department of the Army, in charge 
of the locality, a report, on forms provided by the District Engineer 
showing the elevation of the reservoir level; number of river outlet 
works gates in operation with their respective openings and releases; 
uncontrolled spillway and municipal outlet works release; storage; 
tailwater elevation; reservoir inflow; available evaporation data; and 
precipitation in inches. Normally, one reading at 8:00 a.m., shall be 
shown for each day. Readings of all items except evaporation shall be 
shown for at least three observations a day when the reservoir level is 
above elevation 1342.0. Whenever the reservoir level rises to elevation 
1342.0 and releases for flood regulation are necessary or appear 
imminent, the Bureau representative shall report at once to the District 
Engineer by telephone or telegraph and, unless otherwise instructed, 
shall report once daily thereafter in that manner until the reservoir 
level recedes to elevation 1342.0. These latter reports shall reach the 
District Engineer by 9:00 a.m., each day.
    (d) The regulations of this section insofar as they govern use of 
the flood control storage capacity above elevation 1342.0 are subject to 
temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation in immediate charge of operations of the Fort Cobb Dam by 
any available means of communication and shall be confirmed in writing 
under date of the same day to the Regional Director in charge of the 
locality, with a copy to the representative in charge of the Fort Cobb 
Dam.
    (e) Flood control operation shall not restrict releases necessary 
for municipal-industrial and irrigation uses:
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and reservoir from major damage or inconsistent with 
safe routing of the inflow design flood.
    (g) All elevations stated in this section are at Fort Cobb Dam and 
are referred to the datum in use at that location.

[26 FR 3190, Apr. 14, 1961]



Sec. 208.28  Foss Dam and Reservoir, Washita River, Oklahoma.

    The Bureau of Reclamation shall operate the Foss Dam and Reservoir 
in the interest of flood control as follows:
    (a) Whenever the reservoir level is between elevation 1652.0, top of 
conservation pool, and elevation 1668.6, top of flood control pool, the 
flood control discharge facilities shall be operated under the direction 
of the District Engineer, Corps of Engineers, Department of the Army, in 
charge of the locality, so as to reduce as much as practicable the flood 
damage below the reservoir. All flood control releases shall be made in 
amounts which, when combined with local inflow below the dam, will not 
produce flows in excess of bankfull on the Washita River downstream of 
the reservoir. In order to accomplish this purpose, flows shall not 
exceed an 18.0 foot stage (3,000 c.f.s.) on the USGS gage on the Washita 
River near Clinton, Oklahoma, river mile 447.4, or an 18.0 foot stage 
(6,000 c.f.s.) on the USGS

[[Page 133]]

gage on the Washita River near Carnegie, Oklahoma, river mile 353.9.
    (b) When the reservoir level exceeds elevation 1668.6, top of flood 
control pool, releases shall be made at the maximum rate possible 
through the river outlet works and uncontrolled spillway and continued 
until the pool elevation recedes to elevation 1668.6 when releases shall 
be made to equal inflow or the maximum release permissible under 
paragraph (a) of this section, whichever is greater.
    (c) The representative of the Bureau of Reclamation in immediate 
charge of operation of the Foss Dam shall furnish daily to the District 
Engineer, Corps of Engineers, Department of the Army, in charge of the 
locality, on forms provided by the District Engineer for this purpose, a 
report, showing the elevation of the reservoir level; number of river 
outlet works gates in operation with their respective openings and 
releases; canal outlet works, municipal outlet works and uncontrolled 
spillway releases; storage; tailwater elevation; reservoir inflow; 
available evaporation data; and precipitation in inches. Normally, one 
reading at 8:00 a.m. shall be shown for each day. Readings of all items 
except evaporation shall be shown for at least three observations a day 
when the reservoir level is above elevation 1652.0. Whenever the 
reservoir level rises to elevation 1652.0 and releases for flood 
regulation are necessary or appear imminent, the Bureau representative 
shall report at once to the District Engineer by telephone or telegraph 
and, unless otherwise instructed, shall report once daily thereafter in 
that manner until the reservoir level recedes to elevation 1652.0. These 
latter reports shall reach the District Engineer by 9:00 a.m., each day.
    (d) The regulations of this section insofar as they govern use of 
the flood control storage capacity above elevation 1652.0 are subject to 
temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation in immediate charge of operations of the Foss Dam by any 
available means of communication and shall be confirmed in writing under 
date of the same day to the Regional Director in charge of the locality, 
with a copy to the representative in charge of the Foss Dam.
    (e) Flood control operations shall not restrict releases necessary 
for municipal-industrial and irrigation uses.
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and reservoir from major damage or inconsistent with 
safe routing of the inflow design flood.
    (g) All elevations stated in this section are at Foss Dam and are 
referred to the datum in use at that location.

[26 FR 6982, Aug. 3, 1961]



Sec. 208.29  Arbuckle Dam and Lake of the Arbuckles, Rock Creek, Okla.

    The Bureau of Reclamation, or its designated agent, shall operate 
the Arbuckle Dam and Lake of the Arbuckles in the interest of flood 
control as follows:
    (a) Flood control storage in Lake of the Arbuckles between elevation 
872 (top of conservation pool) and elevation 885.3 (top of flood control 
pool) initially amounts to 36,400 acre-feet. Whenever the lake level is 
within this elevation range the flood control discharge facilities shall 
be operated under the direction of the District Engineer, Corps of 
Engineers, Department of the Army, in charge of the locality, so as to 
reduce as much as practicable of the flood damage below the lake. In 
order to accomplish this purpose, flood control releases shall be 
limited to amounts, which when combined with local inflows below the dam 
will not produce flows in excess of bankfull on Rock Creek downstream of 
the lake and on the Washita River, from the confluence of Rock Creek to 
Durwood, Okla. Operating stages and corresponding flows are as follows: 
An 11-foot stage (15,000 c.f.s.) on the U.S.G.S. gage on Rock Creek near 
Dougherty, Okla., river mile 1; and a 20-foot stage (15,000 c.f.s.) on 
the U.S.G.S. gage on the Washita River near Durwood, Okla., river mile 
63.4.

[[Page 134]]

    (b) When the level in Lake of the Arbuckles exceeds elevation 885.3 
(top of flood control pool), releases shall be made at the maximum rate 
possible through the river outlet works and the uncontrolled spillway 
and continued until the lake level recedes to elevation 885.3 when 
releases shall be made to equal inflow or the maximum release 
permissible under paragraph (a) of this section, whichever is greater.
    (c) The representative of the Bureau of Reclamation or its 
designated agent in immediate charge of operation of the Arbuckle Dam 
shall furnish daily to the District Engineer, Corps of Engineers, 
Department of the Army, in charge of the locality, a report, on forms 
provided by the District Engineer for this purpose, showing the lake 
elevation; the number of river outlet works gates in operation with 
their respective openings and releases; uncontrolled spillway release; 
municipal pumping rate; tailwater elevation; available evaporation data; 
and precipitation in inches. Normally, a reading at 8 a.m., noon, 4 
p.m., and midnight shall be shown for each day. Whenever the lake level 
rises to elevation 872 and releases for flood regulation are necessary 
or appear imminent, the representative of the Bureau of Reclamation or 
its designated agent, shall report at once to the District Engineer by 
telephone or telegraph and unless otherwise instructed shall report once 
daily thereafter in that manner until the lake level recedes to 
elevation 872. These latter reports shall reach the District Engineer by 
9 a.m. each day.
    (d) The regulations of this section, insofar as they govern use of 
flood control storage capacity above elevation 872, are subject to 
temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation and its designated agent in immediate charge of operation 
of the Arbuckle Dam by any available means of communication, and shall 
be confirmed in writing under date of the same day to the Regional 
Director in charge of the locality, and his designated agent, with a 
copy to the representative in charge of the Arbuckle Dam.
    (e) Flood control operation shall not restrict pumping necessary for 
municipal and industrial uses and releases necessary for downstream 
users.
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and lake from major damage or inconsistent with the 
safe routing of the inflow design flood (spillway design flood).
    (g) The discharge characteristics of the river outlet works (capable 
of discharging approximately 1,880 c.f.s. when the lake level is at 872) 
shall be maintained in accordance with the construction plans (Bureau of 
Reclamation Specifications No. 6099 as modified by the ``as built'' 
drawings).
    (h) All elevations stated in this section are at Arbuckle Dam and 
are referred to the datum in use at that location.

[33 FR 263, Jan. 9, 1968]



Sec. 208.32  Sanford Dam and Lake Meredith, Canadian River, Tex.

    The Bureau of Reclamation, or its designated agent, shall operate 
the Sanford Dam and Lake Meredith in the interest of flood control as 
follows:
    (a) Flood control storage in the reservoir, Lake Meredith, between 
elevation 2941.3 (top of conservation pool) and elevation 2965.0 (top of 
flood control pool) initially amounts to 462,100 acre-feet. Whenever the 
reservoir level is within this elevation range, the flood control 
discharge facilities shall be operated under the direction of the 
District Engineer, Corps of Engineers, Department of the Army, in charge 
of the locality, so as to reduce as much as practicable the flood damage 
below the reservoir. All flood control releases shall be made in amounts 
which, when combined with local inflow below the dam, will not produce 
flows in excess of bankfull on the Canadian River downstream of the 
reservoir. In order to accomplish this purpose, flows shall not exceed 
25,000 c.f.s. at the Sanford Dam site or an 8.0-foot stage (75,000 
c.f.s.) on the U.S.G.S. gage on the Canadian

[[Page 135]]

River near Canadian, Tex., river mile 433.9.
    (b) When the reservoir level exceeds elevation 2965.0 (top of flood 
control pool) releases shall be made at the maximum rate possible 
through the flood control outlet works, the river outlet works and the 
uncontrolled spillway and continue until the pool level recedes to 
elevation 2965.0 when releases will be made to equal inflow or the 
maximum release permissible under paragraph (a) of this section, 
whichever is greater.
    (c) The representative of the Bureau of Reclamation, or its 
designated agent in immediate charge of operation of the Sanford Dam 
will furnish daily to the District Engineer, Corps of Engineers, 
Department of the Army, in charge of the locality, a report, on forms 
provided by the District Engineer for this purpose showing the pool 
elevation; the number of flood control outlet works gates in operation 
with their respective openings and releases; the uncontrolled spillway 
release; and the municipal outlet works release; storage; tailwater 
elevation; reservoir inflow; available evaporation data; and 
precipitation in inches. Normally a reading at 8 a.m., noon, 4 p.m., and 
midnight, shall be shown for each day. Readings of all items except 
evaporation shall be shown for at least four observations a day when the 
reservoir level is at or above elevation 2941.3. Whenever the reservoir 
level rises to elevation 2941.3 and releases for flood regulation are 
necessary or appear imminent, the representative of the Bureau of 
Reclamation, or its designated agent, shall report at once to the 
District Engineer by telephone or telegraph and, unless otherwise 
instructed, will report once daily thereafter in that manner until the 
reservoir level recedes to elevation 2941.3. These latter reports shall 
reach the District Engineer by 9 a.m. each day.
    (d) The regulations of this section, insofar as they govern use of 
the flood control storage capacity above elevation 2941.3, are subject 
to temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation and its designated agent in immediate charge of operation 
of the Sanford Dam by the best available means of communication, and 
shall be confirmed in writing under date of the same day to the Regional 
Director in charge of the locality, and his designated agent, with a 
copy to the representative in charge of the Sanford Dam.
    (e) Flood control operation shall not restrict pumping necessary for 
municipal and industrial uses and releases necessary for downstream 
users.
    (f) Release made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and reservoir from major damage or inconsistent with 
the safe routing of the inflow design flood (spillway design flood).
    (g) The discharge characteristics of the flood control outlet works 
(capable of discharging approximately 22,000 c.f.s. with the reservoir 
level at elevation 2941.3) shall be maintained in accordance with the 
construction plans (Bureau of Reclamation Specifications No. DC-5725 as 
modified by revised drawings and criteria in Designers' Operating 
Criteria, Sanford Dam, dated October 1965).
    (h) All elevations stated in this section are at Sanford Dam and are 
referred to the datum in use at that location.

[31 FR 7751, June 1, 1966]



Sec. 208.33  Cheney Dam and Reservoir, North Fork of Ninnescah River, 
Kans.

    The Bureau of Reclamation, or its designated agent, shall operate 
the Cheney Dam and Reservoir in the interest of flood control as 
follows:
    (a) Flood control storage in the reservoir is the capacity between 
elevation 1421.6 (top of the conservation pool) and elevation 1429.0 
(top of the flood control pool), and initially amounts to 80,860 acre-
feet. Whenever the reservoir level is within this range the flood 
control discharge facilities shall be operated under the direction of 
the District Engineer, Corps of Engineers, Department of the Army, in

[[Page 136]]

charge of the locality, so as to reduce as much as practicable the flood 
damage below the reservoir. All flood control releases shall be made in 
amounts which, when combined with local inflow below the dam, will not 
produce flows in excess of bankfull on the North Fork of Ninnescah and 
Ninnescah River downstream of the reservoir and on the Arkansas River to 
Arkansas City, Kans. In order to accomplish this, flows shall not exceed 
a 90-foot stage (2,500 c.f.s.) on the U.S.G.S. gage on North Fork of 
Ninnescah River near Cheney, Kans., river mile 8.8; a 12-foot stage 
(7,000 c.f.s.) on the U.S.G.S. gage on Ninnescah River near Peck, Kans., 
river mile 31.6; and a 16-foot stage (18,000 c.f.s.) on the U.S.W.B. 
gage on Arkansas River at Arkansas City, Kans., river mile 701.4.
    (b) When the reservoir level exceeds elevation 1429.0 (top of flood 
control pool), releases shall be made at the maximum rate possible 
through the river outlet works and the uncontrolled spillway and 
continued until the pool recedes to elevation 1429.0 when releases shall 
be made to equal inflow or the maximum release permissible under 
paragraph (a) of this section, whichever is greater.
    (c) The representative of the Bureau of Reclamation or its 
designated agent in immediate charge of operation of the Cheney Dam 
shall furnish daily to the District Engineer, Corps of Engineers, 
Department of the Army, in charge of the locality, a report, on forms 
provided by the District Engineer for this purpose, showing the pool 
elevation; the number of river outlet works gates in operation with 
their respective openings and releases; uncontrolled spillway release; 
municipal pumping rate; storage; tailwater elevation; reservoir inflow; 
available evaporation data; and precipitation in inches. Normally, a 
reading at 8 a.m., noon, 4 p.m., and midnight, shall be shown for each 
day. Whenever the reservoir pool rises to elevation 1421.6 and releases 
for flood regulation are necessary or appear imminent, the 
representative of the Bureau of Reclamation or its designated agent, 
shall report at once to the District Engineer by telephone or telegraph, 
and, unless otherwise instructed, shall report once daily thereafter in 
that manner until the reservoir pool recedes to elevation 1421.6. These 
latter reports shall reach the District Engineer by 9 a.m. each day.
    (d) The regulations of this section, insofar as they govern use of 
flood control storage capacity above elevation 1421.6, are subject to 
temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation and its designated agent in immediate charge of 
operations of the Cheney Dam by any available means of communication, 
and shall be confirmed in writing under date of the same day to the 
Regional Director in charge of the locality, and his designated agent, 
with a copy to the representative in charge of the Cheney Dam.
    (e) Flood control operation shall not restrict pumping necessary for 
municipal and industrial uses and releases necessary for downstream 
users.
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and reservoir from major damage or inconsistent with 
the safe routing of the inflow design flood (spillway design flood).
    (g) The discharge characteristics of the river outlet works (capable 
of discharging approximately 3,590 c.f.s. with the reservoir level at 
elevation 1421.6) shall be maintained in accordance with the 
construction plans (Bureau of Reclamation Specifications No. DC-5744 as 
modified by revised drawings and criteria in Designers' Operating 
Criteria, Cheney Dam, dated November 1964).
    (h) All elevations stated in this section are at Cheney Dam and are 
referred to the datum in use at that location.

[31 FR 7751, June 1, 1966]

[[Page 137]]



Sec. 208.34  Norman Dam and Lake Thunderbird, Little River, Okla.

    The Bureau of Reclamation, or its designated agent, shall operate 
Norman Dam and Lake Thunderbird in the interest of flood control as 
follows:
    (a) Flood control storage in Lake Thunderbird between elevation 1039 
(top of the conservation pool) and elevation 1049.4 (top of flood 
control pool) initially amounts to 76,600 acre-feet. Whenever the 
reservoir level is within this elevation range the flood control 
discharge facilities at Norman Dam shall be operated under the direction 
of the District Engineer, Corps of Engineers, Department of the Army, in 
charge of the locality, so as to reduce as much as practicable the flood 
damage below the reservoir. In order to accomplish this purpose, flood 
control releases shall be limited to amounts which, when combined with 
local inflows below the dam, will not produce flows in excess of 
bankfull on the Little River downstream of the reservoir. Controlling 
bankfull stages and corresponding flows, as presently estimated, are as 
follows: A 7.5-foot stage (1,800 c.f.s.) on the U.S.G.S. gage on Little 
River near Tecumseh, Okla., river mile 77.2 and a 17-foot stage (6,500 
c.f.s.) on the U.S.G.S. gage on Little River near Sasakwa, Okla., river 
mile 24.1.
    (b) When the reservoir level in Lake Thunderbird exceeds elevation 
1049.4 (top of flood control pool), releases shall be made at the 
maximum rate possible through the river outlet works and the 
uncontrolled spillway and continued until the pool recedes to elevation 
1049.4 when releases shall be made to equal inflow or the maximum 
release permissible under paragraph (a) of this section, whichever is 
greater.
    (c) The representative of the Bureau of Reclamation or its 
designated agent in immediate charge of operation of the Norman Dam 
shall furnish daily to the District Engineer, Corps of Engineers, 
Department of the Army, in charge of the locality, a report, on forms 
provided by the District Engineer showing the pool elevation; the number 
of river outlet works gates in operation with their respective openings 
and releases; uncontrolled spillway release; municipal pumping rate; 
storage; tail water elevation; reservoir inflow; available evaporation 
data; and precipitation in inches. Normally, a reading at 8 a.m., noon, 
4 p.m. and midnight, shall be shown for each day. Whenever the reservoir 
level rises to elevation 1039 and releases for flood regulation are 
necessary or appear imminent, the representative of the Bureau of 
Reclamation or its designated agent, shall report at once to the 
District Engineer by telephone or telegraph and, unless otherwise 
instructed, shall report once daily thereafter in that manner until the 
reservoir level recedes to elevation 1039. These latter reports shall 
reach the District Engineer by 9 a.m. each day.
    (d) The regulations of this section, insofar as they govern use of 
flood control storage capacity above elevation 1039.0, are subject to 
temporary modification in time of flood by the District Engineer if 
found desirable on the basis of conditions at the time. Such desired 
modifications shall be communicated to the representative of the Bureau 
of Reclamation and its designated agent in immediate charge of 
operations of the Norman Dam by any available means of communication, 
and shall be confirmed in writing under date of the same day to the 
Regional Director in charge of the locality, and his designated agent, 
with a copy to the representative in charge of the Norman Dam.
    (e) Flood control operation shall not restrict pumping necessary for 
municipal and industrial uses and releases necessary for downstream 
users.
    (f) Releases made in accordance with the regulations of this section 
are subject to the condition that releases shall not be made at rates or 
in a manner that would be inconsistent with emergency requirements for 
protecting the dam and reservoir from major damage or inconsistent with 
the safe routing of the inflow design flood (spillway design flood).
    (g) The discharge characteristics of the river outlet works (capable 
of discharging approximately 5,400 c.f.s. with the reservoir level at 
elevation 1039.0) shall be maintained in accordance with the 
construction plans (Bureau of Reclamation Specifications No. DC-5793 as 
revised by the ``as built drawings'').

[[Page 138]]

    (h) All elevations stated in this section are at Norman Dam and are 
referred to the datum in use at that location.

[34 FR 4967, Mar. 7, 1969]



Sec. 208.82  Hetch Hetchy, Cherry Valley, and Don Pedro Dams and 
Reservoirs.

    The Turlock Irrigation District and Modesto Irrigation District, 
acting jointly, hereinafter called the Districts, shall operate Don 
Pedro Dam and Reservoir in the interest of flood control, and the City 
and County of San Francisco, hereinafter called the City, shall operate 
Hetch Hetchy Dam and Reservoir and Cherry Valley Dam and Reservoir in 
the interest of flood control all as follows:
    (a) Storage space in Don Pedro Reservoir shall be kept available for 
flood-control purposes in accordance with the Flood-Control Storage 
Reservation Diagram currently in force for that reservoir, except when 
storage of floodwater is necessary as prescribed in paragraph (d) of 
this section. The Flood-Control Storage Reservation Diagram in force as 
of the promulgation of this section is that dated 4 April 1956, File No. 
TU-1-26-7, and is on file in the Office of the Chief of Engineers, 
Department of the Army, Washington, D.C., in the office of the Turlock 
Irrigation District, Turlock, California, and in the office of the 
Modesto Irrigation District, Modesto, California. Revisions of the 
Flood-Control Storage Reservation Diagram may be developed from time to 
time as necessary by the Corps of Engineers and the Districts. Each such 
revision shall be effective upon the date specified in the approval 
thereof by the Chief of Engineers and by the presidents of the Districts 
and from that date until replaced shall be the Flood-Control Storage 
Reservation Diagram currently in force for the purpose of this section. 
Copies of the Flood-Control Storage Reservation Diagram currently in 
force shall be kept on file in and may be obtained from the office of 
the District Engineer, Corps of Engineers, in charge of the locality, 
the office of the Turlock Irrigation District, Turlock, California, and 
the office of the Modesto Irrigation District, Modesto, California.
    (b) Storage space in Hetch Hetchy Reservoir shall be kept available 
for flood-control purposes in accordance with the Flood-Control Storage 
Reservation Diagram for that reservoir currently in force, except when 
storage of floodwater is necessary as prescribed in paragraph (e) of 
this section. The Flood-Control Storage Reservation Diagram in force as 
of the promulgation of this section is that dated April 4, 1956, File 
No. TU-3-26-1, and is on file in the Office. Chief of Engineers, 
Department of the Army, Washington, D.C., and in the office of the 
Public Utilities Commission of the City and County of San Francisco, 
California. Revisions of the Flood-Control Storage Reservation Diagram 
may be developed from time to time as necessary by the Corps of 
Engineers and the City. Each such revision shall be effective upon the 
date specified in the approval thereof by the Chief of Engineers and by 
the Public Utilities Commission of the City and County of San Francisco, 
California, and from that date until replaced shall be the Flood-Control 
Storage Reservation Diagram currently in force for the purpose of this 
section. Copies of the Flood-Control Storage Reservation Diagram 
currently in force shall be kept on file in and may be obtained from the 
office of the District Engineer, Corps of Engineers, in charge of the 
locality, and the office of the Public Utilities Commission of the City 
and County of San Francisco, California.
    (c) Storage space in Cherry Valley Reservoir shall be kept available 
for flood-control purposes in accordance with the Flood-Control 
Reservation Diagram currently in force for that reservoir except when 
storage of floodwater is necessary as prescribed in paragraph (e) of 
this section. The Flood-Control Storage Reservoir Diagram in force as of 
the promulgation of this section is that dated April 4, 1956, File No. 
TU-2-26-6, and is on file in the Office, Chief of Engineers, Corps of 
Engineers, Department of the Army, Washington, D.C., and in the office 
of the Public Utilities Commission of the City and County of San 
Francisco,

[[Page 139]]

California. Revisions of the Flood-Control Storage Reservation Diagram 
may be developed from time to time as necessary by the Corps of 
Engineers and the City. Each such revision shall be effective upon the 
date specified in the approval thereof by the Chief of Engineers and by 
the Public Utilities Commission of the City and County of San Francisco, 
California, and from that date until replaced shall be the Flood-Control 
Storage Reservation Diagram currently in force for the purpose of this 
section. Copies of the Flood-Control Storage Reservation Diagram 
currently in force shall be kept on file in and may be obtained from the 
office of the District Engineer, Corps of Engineers, in charge of the 
locality, and the office of the Public Utilities Commission of the City 
and County of San Francisco, California.
    (d) Any water temporarily stored in the flood-control space 
indicated by the Flood-Control Storage Reservation Diagram currently in 
force for Don Pedro Reservoir shall be released as rapidly as can be 
accomplished without causing flows in Tuolumne River below LaGrange Dam 
to exceed 7,000 c.f.s. during rain floods or to exceed 9,000 c.f.s. at 
all other times.
    (e) Any water temporarily stored in the flood-control space 
indicated by the Flood-Control Storage Reservation Diagrams currently in 
force for Hetch Hetchy and Cherry Valley Reservoirs shall be released as 
rapidly as can be accomplished without exceeding the respective safe 
channel capacities, and without materially contributing to major 
encroachment into the flood-control space at Don Pedro Reservoir. Such 
releases shall be proportioned between Hetch Hetchy and Cherry Valley 
Reservoirs in such manner as to assure that the percentage of 
encroachment into the flood-control space at the two reservoirs will 
tend toward equality insofar as possible. Whenever the storage space in 
Don Pedro Reservoir is less than 90 percent of that indicated by the 
Flood-Control Storage Reservation Diagram currently in force for that 
reservoir, releases from Hetch Hetchy and Cherry Valley Reservoirs shall 
be restricted to those required in connection with the generation of 
hydroelectric power in the power system of the City and in connection 
with diversion into the water supply system of the City.
    (f) In the event that the water level in Don Pedro Reservoir rises 
above elevation 605.55 at the dam (top of spillway gates), subsequent 
operation of the dam shall be such as to cause downstream flows to 
exceed as little as possible the criteria prescribed in paragraph (d) of 
this section, and in no event to cause the maximum subsequent release 
from the reservoir to exceed the estimated maximum subsequent inflow to 
the reservoir.
    (g) In the event that the water level in Hetch Hetchy Reservoir 
rises above elevation 3806 at the dam (top of spillway gates), 
subsequent operation of the dam shall be such as to cause downstream 
flows to exceed as little as possible the criteria prescribed in 
paragraph (e) of this section, and in no event to cause the maximum 
subsequent release from the reservoir to exceed the estimated maximum 
subsequent inflow to the reservoir.
    (h) In the event that the water level in Cherry Valley Reservoir 
rises above elevation 4700 at the dam (spillway crest), subsequent 
operation of the dam shall be such as to cause downstream flows to 
exceed as little as possible the criteria prescribed in paragraph (e) of 
this section, and in no event to cause the maximum subsequent release 
from the reservoir to exceed the estimated maximum subsequent inflow to 
the reservoir.
    (i) Nothing in the regulations of this section shall be construed to 
require dangerously rapid changes in magnitudes of releases from any of 
the reservoirs.
    (j) The Districts shall procure such current basic hydrologic data, 
make such current determinations of required flood-control storage 
reservation in Don Pedro Reservoir, and current calculations of 
permissible releases from Don Pedro Reservoir as are required to 
accomplish the flood-control objectives of the regulations of this 
section.
    (k) The City shall procure such current basic hydrologic data, and 
make such current calculations of permissible releases from Hetch Hetchy 
and

[[Page 140]]

Cherry Valley Reservoirs as are required to accomplish the flood-control 
objectives of the regulations of this section.
    (l) The City shall keep the District Engineer, Corps of Engineers, 
in charge of the locality, and the Districts currently advised of 
reservoir releases, reservoir storages, basic operating criteria which 
affect the schedule of operations, and such other operating data as the 
District Engineer, Corps of Engineers, may request for Hetch Hetchy, 
Eleanor, and Cherry Valley Reservoirs.
    (m) The Districts shall keep the District Engineer, Corps of 
Engineers, in charge of the locality, and the City currently advised of 
reservoir releases, reservoir storages, basic operating criteria which 
affect the schedule of operations, and such other operating data as the 
District Engineer, Corps of Engineers, may request for Don Pedro 
Reservoir.
    (n) The flood-control regulations of this section are subject to 
temporary modification by the District Engineer, Corps of Engineers, if 
found necessary in time of flood emergency. Request for and action on 
such modifications may be made by any available means of communication, 
and such action shall be confirmed in writing under date of same day to 
the operating agency for the reservoir affected.

[21 FR 2682, Apr. 26, 1956]



PART 209_ADMINISTRATIVE PROCEDURE--Table of Contents




Sec.
209.50 Mississippi River Commission: Public observation of Commission 
          meetings.
209.138a Authorization for exploratory drilling in the Gulf of Santa 
          Catalina, Calif.
209.140 Operations of the Corps of Engineers under the Federal Power 
          Act.
209.141 Coordination of hydroelectric power operations with power 
          marketing agencies.
209.155 Expenditure of Federal funds for work shoreward of harbor lines.
209.160 The California Debris Commission.
209.170 Violations of laws protecting navigable waters.
209.180 Temporary closure of waterway to navigation.
209.190 [Reserved]
209.200 Regulations governing navigable waters.
209.220 Flood control regulations.
209.230 Use of reservoir areas for recreation.
209.300 Flood control regulations.
209.310 Representation of submarine cables and pipelines on nautical 
          charts.
209.315 Public access to navigation works.
209.320 Policy on release of commercial statistics.
209.325 Navigation lights, aids to navigation, navigation charts, and 
          related data policy, practices and procedure.
209.335 Publication.
209.340 Laboratory investigations and materials testing.
209.345 Water resource policies and authorities.

Appendix A to Part 209--Public Law 90-483, 90th Congress, S. 3710, 
          August 13, 1968

    Authority: 5 U.S.C. 301; 33 U.S.C. 1; 10 U.S.C. 3012.

    Source: 33 FR 18670, Dec. 18, 1968, unless otherwise noted.



Sec. 209.50  Mississippi River Commission: Public observation of 
Commission meetings.

    (a) Purpose. (1) The purpose of this regulation is to afford to the 
public, to the fullest possible extent, information regarding the 
decisionmaking processes of the Mississippi River Commission and to open 
all meetings of the Mississippi River Commission to public observation 
except in instances where a portion or portions of a meeting may be 
closed to the public in accordance with this regulation in order to 
protect the rights of individuals and/or in order to permit the 
Mississippi River Commission to carry out its statutory and assigned 
functions and responsibilities. This regulation is issued in accordance 
with section (g) of the Government in the Sunshine Act and implements 
sections (b) through (f) of said Act (5 U.S.C. 552b (b) through (f)).
    (2) Public observation of Mississippi River Commission meetings 
includes public participation in the deliberations of the Commission 
only to the extent specifically provide in public notices of such 
meetings.
    (b) Definitions. The following definitions apply to the regulation 
in this section.
    (1) Commission means The Mississippi River Commission.
    (2) President means the duly appointed President and Executive 
Officer of the Commission.
    (3) Commissioner means a duly appointed member of the Commission.

[[Page 141]]

    (4) Secretary means the Secretary of the Commission.
    (5) Chief Legal Officer means the Division Counsel or the acting 
Division Counsel of the Lower Mississippi Valley Division, Corps of 
Engineers.
    (6) Meeting means the deliberations of at least a majority of the 
Commissioners where such deliberations determine or result in the joint 
conduct or disposition of official Commission business, but does not 
include:
    (i) Deliberations of the Commission in determining whether or not to 
close a portion or portions of a meeting in accordance with paragraphs 
(e)(4) and (e)(5) of this section.
    (ii) Deliberations of the Commission in determining whether or not 
to withhold from disclosure information pertaining to a portion or 
portions of a meeting as provided in paragraphs (e)(4) and (e)(5) of 
this section.
    (iii) Deliberations of the Commission pertaining to changes in the 
subject matter of a meeting or changes in the determination to open or 
close a portion or portions of a meeting to the public following the 
public announcement of such meeting in accordance with paragraph (d)(4) 
of this section.
    (iv) Deliberations of the Commission in determining whether to waive 
the one-week public notice requirement in accordance with paragraph 
(d)(2) of this section.
    (c) Time, place, and agenda of meetings. (1) The meetings of the 
Commission, except those held on Government boats during inspection 
trips of the Commission, shall be held at Vicksburg, Mississippi. The 
time of such meetings shall be fixed by the President of the Commission, 
who shall cause due notice of such meetings to be given members of the 
Commission and the public.


(33 U.S.C. 646)

    (2) The President shall, after consultation with the Commissioners, 
prepare a detailed agenda for planned Commission meetings at the 
earliest practicable time. Suggestions from the public of proposed 
agenda items are invited.
    (d) Public notices and Federal Register publication. (1) At least 
one week before each Commission meeting the Secretary shall issue a 
public announcement which (i) States the time and place of the meeting,
    (ii) Lists the agenda items or subjects to be discussed at the 
meeting,
    (iii) States whether the meeting or portions of the meeting are to 
be closed or open to public observation,
    (iv) States whether or not public participation in the meeting will 
be permitted, and
    (v) States the name and business phone number of the official who 
will respond to requests for information about the meeting. Public 
announcements of Commission meetings shall include releases to the news 
media in the Lower Mississippi River Valley and mailing notices of such 
meetings to all persons and agencies known to have an interest in the 
Commission's work and to others who request such announcements.
    (2) The one-week period for public notice required by paragraph 
(d)(1) of this section shall not be applicable when a majority of the 
entire membership of the Commission determines by a recorded vote that 
Commission business requires that a meeting be called at an earlier 
date. The Secretary shall, however, issue the public notice required by 
paragraph (d)(1) of this section at the earliest practicable time.
    (3) When due to unforeseen circumstances it is necessary to change 
the time or place of a meeting following the public announcement 
required by paragraph (d)(1) of this section, the Secretary will 
publicly announce such change at the earliest practicable time.
    (4) The subject matter of a meeting, or the determination of the 
Commission to open or close a portion or portions of a meeting to the 
public, may be changed following the public announcement required by 
paragraph (d)(1) of this section only if: (i) A majority of the entire 
membership of the Commission determines by a recorded vote that 
Commission business so requires and that no earlier announcement of the 
change was possible, and (ii) the Secretary publicly announces such 
change and the vote of each member on such change at the earliest 
practicable time.
    (5) Immediately following each public announcement required by this 
section,

[[Page 142]]

notice of the time, place, and subject matter of a meeting, whether a 
portion or portions of the meetings are open or closed to public 
observation, any change in one of the preceding, and the name and 
business telephone number of the official of the Commission who will 
respond to requests for information about the meeting, shall be 
submitted for publication in the Federal Register.
    (e) Closing a portion or portions of a meeting. (1) All Commission 
meetings shall be open to the public except when the Commission 
determines that public disclosure of information to be discussed in a 
portion or portions of a meeting is likely to:
    (i) Disclose matters that are (A) specifically authorized under 
criteria established by Executive order to be kept secret in the 
interests of national defense or foreign policy and (B) in fact properly 
classified pursuant to such Executive order;
    (ii) Relate solely to the internal personnel rules and practices of 
the Commission;
    (iii) Disclose matters specifically exempted from disclosure by 
statute [other than the Freedom of Information Act (5 U.S.C. 552), 
provided that such statute: (A) Requires that the matters be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (B) establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (iv) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (v) Involve accusing any person of a crime, or formally censuring 
any person;
    (vi) Disclose information of a personal nature when disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (vii) Disclose investigatory records compiled for law-enforcement 
purposes, or information which, if written, would be contained in such 
records. But only to the extent that the production of such records or 
information would: (A) Interfere with enforcement proceedings, (B) 
deprive a person of a right to a fair trial or to an impartial 
adjudication, (C) constitute an unwarranted invasion of personal 
privacy, or (D) disclose the identity of a confidential source, and, in 
the case of a record compiled by a criminal law-enforcement authority in 
the course of a criminal investigation or by an agency conducting a 
lawful national-security intelligence investigation, confidential 
information furnished only by the confidential source:
    (viii) Disclose information the premature disclosure of which would 
be likely to significantly frustrate implementation of a proposed 
Commission action except: (A) When the Commission has already disclosed 
to the public the content or nature of its proposed action or (B) when 
the Commission is required by law to make such disclosure on its own 
initiative prior to taking final Commission action on such proposal;
    (ix) Specifically concerns the Commission's participation in a civil 
action or proceeding.
    (2) In each instance where the Commission determines that a portion 
or portions of a meeting may be closed to the public, or determines that 
information may be withheld from the public for one or more of the 
exemptions listed in paragraph (e)(1) of this section, the Commission 
shall consider and determine whether or not the public interest requires 
that the portion or portions of the meeting be open to the public and 
whether or not the public interest requires that the information be 
released to the public.
    (3) Whenever any person whose interest may be directly affected by a 
portion of a meeting requests that the Commission close such portion to 
the public for any of the reasons referred to in paragraph (e)(1) (v), 
(vi) or (vii) of this section, the Commission, upon the request of any 
one of its members, shall vote by recorded vote whether to close such 
meeting.
    (4) Action to close a portion or portions of a meeting for one or 
more of the reasons listed in paragraphs (e)(1) (i) through (ix) of this 
section, or to withhold information from the public for one or more of 
the reasons listed in paragraphs (e)(1) (i) through (ix) of this

[[Page 143]]

section shall be taken only when a majority of the entire membership of 
the Commission votes to take such action.
    (5) A separate recorded vote of the Commission shall be taken with 
respect to each meeting a portion or portions of which the Commission 
proposes to close to the public, and a separate vote of the members of 
the Commission shall be taken to determine whether to withhold 
information from the public. The vote of each Commissioner participating 
in such vote shall be recorded and no proxies shall be allowed.
    (6) Within one day of any vote taken pursuant to paragraphs (e)(4) 
and (e)(5) of this section, the Commission shall make publicly available 
a written copy of such vote reflecting the vote of each member on the 
question. If a portion or portions of a meeting are to be closed to the 
public, the Commission shall within one day of the vote taken pursuant 
to paragraphs (e)(4) and (e)(5) of this section make publicly available 
a written explanation of its action in closing a portion or portions of 
the meeting together with a list of all persons expected to attend the 
meeting and their affiliations.
    (7) For every portion or portions of a meeting closed pursuant to 
paragraphs (e)(1) (i) through (ix) of this section, the Chief Legal 
Officer of the Commission shall publicly certify that, in his or her 
opinion, the meeting may be closed to the public and shall state each 
relevant exemptive provision. A copy of such certification, together 
with a statement from the presiding officer of the meeting setting forth 
the time and place of the meeting, and the persons present, shall be 
retained in the Commission files.
    (f) Records. (1) The Secretary shall maintain in the official files:
    (i) A complete transcript or electronic recording (disclosing the 
identity of each speaker) adequate to record fully the proceedings of 
the Commission at a portion or portions of a meeting closed to the 
public for the reasons specified in paragraphs (e)(1) (i) through (ix) 
of this section.
    (ii) The statement of the presiding officer of each Commission 
meeting, a portion or portions of which were closed to the public, as 
required by paragraph (e)(7) of this section.
    (iii) The certification of the Chief Legal Officer, as required by 
paragraph (e)(7) of this section, for each Commission meeting, a portion 
or portions of which were closed to the public.
    (2) The records required by paragraph (f)(1) of this section shall 
be retained for at least two years following any meeting or not less 
than one year following conclusion of Commission action with respect to 
any matter discussed at such meeting, whichever occurs later.
    (g) Public access to records. (1) All records required to be 
maintained in accordance with the provisions of (f)(1) of this section 
shall promptly be made available to the public by the Secretary except 
for information which the Commission has determined may be withheld from 
the public for the reasons stated in paragraphs (e)(1) (i) through (ix) 
of this section.
    (2) Public inspection of such records shall take place at the 
headquarters of the Mississippi River Commission, 1400 Walnut Street, 
Vicksburg, Mississippi 39180.
    (3) The Secretary shall provide (subject to withholding of 
information for the reasons stated in paragraphs (e)(1) (i) through (ix) 
of this section) upon request of any person, copies of the records 
required by the provisions of (f)(1) of this section, including 
transcriptions of electronic recordings at the actual cost of 
transcription or duplication.

(5 U.S.C. 552b)

[42 FR 13286, Mar. 10, 1977]



Sec. 209.138a  Authorization for exploratory drilling in the Gulf of 
Santa Catalina, Calif.

    (a) Department of the Army authorization is required pursuant to 
section 4(f) of the Outer Continental Shelf Lands Act of 1953 (67 Stat. 
462; 43 U.S.C. 1333(f)) in coastal waters and the water covering the 
Outer Continental Shelf. The determination whether or not to issue a 
Department of the Army authorization for structures on the Outer 
Continental Shelf related to exploration of minerals is based upon the 
proposed activities' effect on navigation and national security. All 
other

[[Page 144]]

matters concerning offshore drilling, including environmental 
considerations, are the responsibility of the Department of the 
Interior.
    (b) The following rules have been developed jointly by the Los 
Angeles district engineer and the 11th Coast Guard District, in 
consultation with the Bureau of Land Management and the U.S. Geological 
Survey for drilling in the Gulf of Santa Catalina:
    (1) All drilling with a single tract will be covered by a single 
application.
    (2) Where practicable, applications shall be submitted at least 120 
days in advance of drilling for tracts where drilling is expected to be 
accomplished within the traffic separation scheme, the precautionary 
zone or within 2 nautical miles of a traffic lane.
    (3) Applications shall include the location of any known proposed 
drilling site and the estimated start and completion dates for each. 
Updated information on the plan shall be furnished as soon as available. 
One individual (and alternate) shall be designated by the applicant as 
responsible for maintaining close liaison with all involved agencies.
    (4) Where it is not feasible to perform exploratory work from 
outside the traffic lanes or \1/4\ mile buffer zones, or precautionary 
zone, authorizations will include the following conditions:
    (i) Exploratory vessels within a traffic lane will, to the degree 
practicable, be sited near traffic lane boundaries.
    (ii) Exploratory vessels within one traffic lane, or in the 
precautionary zone, shall be separated by at least 8 nautical miles in 
the direction of the lane axis.
    (iii) Exploratory vessels located within the traffic lanes, or the 
precautionary zone, shall not have their pendant buoys within 3,000 
yards from the pendant buoys of any other vessel.
    (iv) Exploratory rigs and vessels engaged in offshore development 
may have no cables, anchors, buoys, or other associated equipment within 
the traffic lanes, \1/4\ mile buffer zones, or the precautionary zone, 
at a depth of less than 100 feet, unless such equipment is marked with 
class I private aids to navigation in accordance with current Federal 
regulations.

(67 Stat. 462 (43 U.S.C. 1333(f))

[43 FR 28475, June 30, 1978]



Sec. 209.140  Operations of the Corps of Engineers under the Federal 
Power Act.

    (a) General. This section outlines policies and procedures 
applicable to those operations in which the Corps of Engineers may be 
called upon to participate under the Federal Power Act. Such operations 
include: Investigations and reports on applications for permits and 
licenses for development of power affecting navigable waters; 
supervision of investigations, construction, and operation of projects 
under such permits and licenses; preparation of special reports as 
required by the Federal Power Commission; and review of plans of dams or 
other structures affecting navigation. The foregoing functions are 
performed by the Corps of Engineers only upon request of the Federal 
Power Commission.
    (b) Authority of Division and District Engineers. Section 2 of the 
revised Federal Power Act provides that the Federal Power Commission may 
request the President to detail an officer or officers from the Corps of 
Engineers, or other branches of the United States Army, to serve the 
Commission as Engineer officer or officers, or in any other capacity, in 
field work outside the seat of government, their duties to be prescribed 
by the Commission. By authority of the Secretary of the Army, and in 
accordance with the instructions issued by the President in a letter to 
the Secretary of the Army dated May 18, 1931, Division Engineers will be 
detailed to serve the Commission as engineer officers in field work 
outside the seat of government, their duties to be prescribed by the 
Commission, and to be performed under the supervision of the Chief of 
Engineers. District Engineers will be designated to carry out the field 
inspections and investigations under supervision of the Division 
Engineer. When a Division Engineer is detailed by the Chief of Engineers 
to assist the Commission in either the investigation or supervision of

[[Page 145]]

a project he will be the accredited representative of the Commission. 
The actual field work will be done by the designated District Engineer 
who will make a report to the Division Engineer. All reports and such 
correspondence as would normally be forwarded to the Commission will be 
addressed to the Chief of Engineers.
    (c) Procedure for investigations and report on applications for 
permits and licenses. (1) Upon request by the Federal Power Commission, 
the Chief of Engineers will assign the investigation of an application 
for permit or license under the Federal Power Act to a Division 
Engineer, who will submit a report on the investigation as provided 
herein. The date that the report is to be submitted will be specified. 
The Division Engineer, upon assignment of an investigation involving 
extensive studies, will when requested by the Chief of Engineers submit 
an estimate of the cost of the investigation, listing the probable 
expenditures for salaries separate from the estimated costs of non-
personal services.
    (2) If in the investigation of an application or a declaration of 
intention filed under the Federal Power Act the Division Engineer 
considers a public hearing desirable in the interests of navigation or 
flood control, the Chief of Engineers will be notified whereupon the 
matter will be brought to the attention of the Commission. No public 
hearing will be held unless specifically authorized by the Commission or 
by the Chief of Engineers. If a hearing is authorized it will be limited 
strictly to consideration of the purpose for which approval is granted.
    (3) The report will describe and discuss material facts having a 
definite bearing on the interests of navigation and flood control and 
the general effect the project would have on a comprehensive plan of 
developing the water resources of the basin. Specific reference will be 
made to pertinent published documents containing the results of studies 
and/or resolutions directing studies to be made. In the case of an 
application for permit or license for an unconstructed project the 
report will include a recommendation as to whether development should be 
undertaken by the United States rather than by a licensee. A 
recommendation for Federal development will be supported by a showing as 
to how this would serve the Corps of Engineers programs and policies. In 
the case of an application for permit or license for a constructed 
project the report should contain appropriate comments concerning 
possible redevelopment to improve the usefulness of the project in 
relation to the objectives of the Corps program in the basin.
    (4) The report on an application for license will contain 
recommendations of the Division Engineer concerning the inclusion in the 
license of any terms and conditions that are considered to be necessary 
or desirable in the public interest from the standpoint of Corps of 
Engineers responsibilities.
    (5) The report on an application for permit will contain such 
recommendations as required to insure coordination of the applicant's 
studies with the Division or District Engineer in cases where interests 
of the Corps of Engineers are involved. In all cases, the report will 
contain, in lieu of specific recommendations, a discussion of interests 
which should be protected by articles in a license issued subsequent to 
the permit period.
    (6) If the project is on a Federal reservation or contemplates the 
use of a dam, either of which is under the jurisdiction of the 
Department of the Army, the report should state, giving reasons:
    (i) Whether the project will interfere or be inconsistent with the 
purpose for which such reservation was created or acquired and what 
conditions, if any, should be imposed for the adequate protection and 
utilization of the reservation.
    (ii) Whether the dam may be advantageously used by the United States 
for public purposes in addition to authorized purposes and whether it 
should be reserved for such use.
    (iii) Whether the development should be undertaken by the United 
States.
    (7) The reports will not be released or made public except by 
specific authority of the Chief of Engineers, nor will copies of a 
report, its findings, or recommendations be furnished to the applicant, 
to interested parties, or to the Commission until released by the Chief 
of Engineers.

[[Page 146]]

    (d) Procedure for supervision of operations under permits and 
licenses. (1) When supervision of the operations of an applicant under a 
permit or a license is requested by the Federal Power Commission, the 
Chief of Engineers will assign responsibility for supervision to the 
Division Engineer. The operations to be supervised, such as 
investigations being conducted by a permittee, construction of a project 
under a license or operation of completed projects, will be as specified 
by the Commission.
    (2) Projects will be classified as major, minor, minor part or 
transmission line projects as indicated in the Federal Power Act and as 
specified in the instructions from the Commission.
    (3) Inspection during the construction of a major project will be 
made monthly, or as often as may be necessary for the Division Engineer 
to assure himself that the terms of the license are being complied with 
and the work is of acceptable quality and in accordance with the 
approved plans. The frequency of inspections of minor, minor part, and 
transmission line projects is left to the discretion of the Division 
Engineer.
    (4) After a project has been completed and placed in operation and 
is under the supervision of the Division Engineer, annual inspection 
will be made of major and minor projects but inspection of transmission 
line projects will not be made unless specifically requested by the 
Commission.
    (5) Reports on supervision and inspections of operations under 
Federal Power Commission permits and licenses will be submitted in 
accordance with instructions in paragraph (e) of this section.
    (e) Reports on supervision and inspection of operations under 
Federal Power Commission permits licenses. Periodic reports, as 
appropriate to assigned responsibilities and as described in paragraphs 
(e) (1) through (3), inclusive, of this section will be submitted for 
each Federal Power Commission permit or license for which a Division 
Engineer has been assigned responsibility for supervision of operations 
under provisions of the Federal Power Act. All of the described reports 
will be submitted in triplicate to the Chief of Engineers for 
transmittal to the Federal Power Commission. Unless otherwise stated 
transmittal letters will not be required and the reports will be mailed 
so as to reach the Chief of Engineers not later than the 15th of the 
month following the end of the report period.
    (1) Reports on supervision of construction under a FPC License. When 
a Division Engineer is assigned responsibility for supervision and 
inspection of construction of a licensed project, the requirements for 
submission of reports will be specified.
    (2) Annual Report on operation of project under supervision of the 
Division Engineer. Reports on the operation and maintenance of each 
major and minor licensed project for which supervision of operations has 
been assigned to a Division Engineer will be submitted annually after 
the initial installation covered by the license has been completed. Such 
reports will be made on Federal Power Commission Form 10, ``Operation 
Report'' and, pursuant to paragraph 39u of AR 335-15, do not require a 
reports control symbol. A special report will be made in case of severe 
flood or interruption in operation due to failure of material or 
accident. Reports on operation and maintenance of transmission line 
projects are not required unless requested by the Commission.
    (3) Annual Report on operation of projects with licenses containing 
conditions prescribed in the interest of navigation. When the Federal 
Power Commission notifies the Chief of Engineers that it will assume the 
supervision of operation of a licensed project, the Division Engineer 
will not be required to make detailed inspections and reports. However, 
the Division Engineer will continue to be responsible for the project 
insofar as it affects the interest of navigation. The inspection of 
projects in this class is left to the discretion of the Division 
Engineer but annual reports will be submitted in triplicate, through the 
Chief of Engineers, on Federal Power Commission Form 10, ``Operation 
Report'', omitting the items under ``Supervision expense for period'', 
but including the following information only under ``Memorandum 
Report''.

[[Page 147]]

    (i) Whether the operation of the project has been satisfactory 
insofar as the interests of navigation are concerned.
    (ii) Whether any infraction by the licensee of the conditions in the 
interest of navigation has come to the attention of the Division 
Engineer.
    (f) Delegation of authority for approval of structural plans for 
non-Federal hydroelectric projects affecting navigation. The authority 
vested in the Secretary of the Army by section 4(e) of the Federal Power 
Act is hereby delegated to the Chief of the Engineers for promulgation 
with regard to approval of plans of structures filed with the Federal 
Power Commission in connection with licensing of non-Federal 
hydroelectric projects.

(Sec. 4(e), 49 Stat. 840; 16 U.S.C. 797(e); Secretary of the Army 
memorandum for the Chief of Engineers, dated March 11, 1975)

[33 FR 18670, Dec. 18, 1968, as amended at 40 FR 17023, Apr. 16, 1975]

    Cross Reference: For regulations of the Federal Energy Regulatory 
Commission, see 18 CFR chapter I.



Sec. 209.141  Coordination of hydroelectric power operations with 
power marketing agencies.

    (a) Purpose. This regulation establishes policies and procedures for 
coordinating the operation of the Corps of Engineers' hydroelectric 
generating facilities with the power marketing agencies.
    (b) Applicability. This regulation applies to all civil works field 
operating agencies (FOA) having generating facilities producing 
marketable electric power.
    (c) References. (1) Section 5, Pub. L. 534, 78th Congress, Flood 
Control Act of 1944, December 22, 1944 (58 Stat. 889).
    (2) Section 302, Pub. L. 95-91, 95th Congress, Department of Energy 
Organization Act, August 4, 1977 (91 Stat. 565).
    (d) Background. Section 5 of the Act of December 22, 1944 (Pub. L. 
534, 78th Congress), provides that electric power and energy generated 
at reservoir projects under the control of the Department of the Army 
and in the opinion of the Secretary of Army not required in the 
operation of such projects shall be delivered to the Secretary of 
Interior for transmittal and disposal in a manner to encourage the most 
widespread use thereof at the lowest possible rates to consumers 
consistent with sound business principles. Section 302 of the Department 
of Energy Organization Act (Pub. L. 95-91) transfers all functions of 
the Secretary of Interior under section 5 of the 1944 Act to the 
Secretary of Energy together with all other functions of the Secretary 
of Interior, and officers and components of the Department of the 
Interior, with respect to the Southeastern Power Administration; the 
Southwestern Power Administration; the Alaska Power Administration; the 
Bonneville Power Administration; and the power marketing functions of 
the Bureau of Reclamation.
    (e) Policies. (1) The Corps is responsible for operating the 
hydroelectric power projects and providing information affecting cost 
and availability of power to the power marketing agencies. Marketing the 
generated power declared excess to the needs of the projects and 
recovering Federal investment are the responsibilities of the power 
marketing agencies.
    (2) All FOA Commanders will develop, in coordination with their 
respective power marketing agency, a system for exchanging operating 
information. The system will include general operating information and 
information on conditions that could substantially affect costs or power 
availability.
    (f) Delegation. Responsibility for coordinating the exchange of 
information may be delegated to the District Engineer at the discretion 
of the Division Engineer.
    (g) Procedures--(1) Specific requirements--(i) Continuing. Prompt 
written notification will be provided to the appropriate power marketing 
agency each time a change in power operations or conditions which could 
substantially affect costs or power availability is anticipated.
    (ii) Annual. Annually, when no changes in power operations or costs 
are expected for the succeeding 12-month period, the marketing agency 
will be notified of that fact in writing.
    (2) FOA responsibility. The FOA directly responsible for 
communicating

[[Page 148]]

with the marketing agency will develop appropriate reporting procedures 
in coordination with that agency.

[43 FR 8258, Mar. 1, 1978]



Sec. 209.155  Expenditure of Federal funds for work shoreward of harbor 
lines.

    (a) Section 5 of the River and Harbor Act of July 13, 1892 (27 Stat. 
111; 33 U.S.C. 628), prohibits the expenditure of money appropriated for 
the improvement of rivers and harbors for dredging inside of harbor 
lines duly established.
    (b) It is not the policy of the Department to expend Federal funds 
for the removal of wrecks or other obstructions shoreward of established 
harbor lines.



Sec. 209.160  The California Debris Commission.

    Section 1 of the Act of Congress of March 1, 1893 (27 Stat. 507; 33 
U.S.C. 661), created the California Debris Commission, consisting of 
three officers of the Corps of Engineers, to regulate under the 
supervision of the Chief of Engineers and direction of the Secretary of 
the Army, hydraulic mining in the territory drained by the Sacramento 
and San Joaquin River systems, California. Under section 9 of the act 
(27 Stat. 508; 33 U.S.C. 669), the individual proprietor or proprietors, 
or in case of a corporation, its manager or agent appointed for that 
purpose, owning mining ground in this territory which it is desired to 
work by the hydraulic process, must file with the Commission a verified 
petition, setting forth such facts as will comply with law and the rules 
prescribed by the Commission. The law contains detailed instructions 
with regard to facts required to be shown by the petitioner and the 
procedure to be followed by the Commission in issuing an order directing 
the methods and specifying the manner in which operations shall proceed. 
Full information on law and procedure can be obtained from the 
Secretary, California Debris Commission, 650 Capitol Mall, Sacramento, 
California 95814.



Sec. 209.170  Violations of laws protecting navigable waters.

    (a) [Reserved]
    (b) Injuries to Government works. Section 14 of the River and Harbor 
Act of March 3, 1899 (30 Stat. 1152; 33 U.S.C. 408), makes it unlawful 
for any person or persons to take possession of or make use of for any 
purpose, or build upon, alter, deface, destroy, move, injure, obstruct 
by fastening vessels thereto or otherwise, or in any manner whatever 
impair the usefulness of any sea wall, bulkhead, jetty, dike, levee, 
wharf, pier, or other work built by the United States, or any piece of 
plant, floating or otherwise, used in the construction of such work 
under the control of the United States, in whole or in part, for the 
preservation and improvement of any of its navigable waters or to 
prevent floods, or as boundary marks, tide gauges, surveying stations, 
buoys, or other established marks, nor remove for ballast or other 
purposes any stone or other material composing such works. (The 
Secretary of the Army may, on the recommendation of the Chief of 
Engineers, grant permission for the temporary occupation or use of any 
of the aforementioned public works when in his judgment such occupation 
or use will not be injurious to the public interest).
    (c) Injurious deposits. (1) Section 13 of the River and Harbor Act 
of March 3, 1899 (30 Stat. 1152; 33 U.S.C. 407), makes it unlawful to 
throw, discharge, or deposit, or cause, suffer, or procure to be thrown, 
discharged, or deposited either from or out of any ship, barge, or other 
floating craft, or from the shore, wharf, manufacturing establishment, 
or mill, any refuse matter of any kind or description whatever other 
than that flowing from streets and sewers and passing therefrom in a 
liquid state, into any navigable water of the United States, or into any 
tributary of any navigable water from which the same shall float or be 
washed into such navigable water, or to deposit or cause, suffer, or 
procure to be deposited material of any kind in any place on the bank of 
any navigable water or on the bank of any tributary of any navigable 
water, where the same shall be liable to be washed into such navigable 
water, either by ordinary or high tides, or by storms or floods, or 
otherwise, whereby navigation shall or may be impeded or obstructed. 
Section 13 does not apply

[[Page 149]]

to the operations in connection with the improvement of navigable waters 
or construction of public works considered necessary and proper by the 
United States officers supervising such improvement or public work.
    (2) An Act of Congress approved June 29, 1888 (25 Stat. 209; 33 
U.S.C. 441-451), as amended on August 28, 1958 (72 Stat. 970-971; 33 
U.S.C. 441-451b) forbids the placing, discharging, or depositing of 
refuse, dirt, ashes, cinders, mud, sand, dredgings, sludge, acid, or any 
other matter of any kind, other than that flowing from streets, sewers, 
and passing therefrom in a liquid state, in the tidal waters of the 
harbors of New York, Hampton Roads, and Baltimore or its adjacent or 
tributary waters, within the limits which shall be prescribed by the 
Supervisor of the Harbor. The provisions of this act are enforced by the 
Supervisor under the direction of the Secretary of the Army.
    (d) Penalties for violations. (1) Section 12 of the River and Harbor 
Act of March 3, 1899 (30 Stat. 1151; 33 U.S.C. 406), as amended, 
provides that every person and every corporation that shall violate any 
of the provisions of sections 9 and 10 shall be deemed guilty of a 
misdemeanor, and on conviction thereof shall be punished by fine, 
imprisonment, or both, in the discretion of the court. The removal of 
any structures or parts of structures erected in violation of the 
provisions of the said sections may be enforced by the injunction of any 
district court exercising jurisdiction in any district in which such 
structures may exist, and proper proceedings to this end may be 
instituted under the direction of the Attorney General.
    (2) Section 16 of the River and Harbor Act of March 3, 1899 (30 
Stat. 1153; 33 U.S.C. 412), provides that every person and every 
corporation that shall violate, or that shall knowingly aid, abet, 
authorize or instigate a violation of the provisions of sections 13, 14 
and 15, shall be guilty of a misdemeanor. On conviction thereof 
violators shall be punished by a fine, imprisonment, or both, in the 
discretion of the court. Any master, pilot, and engineer, or person or 
persons acting in such capacity, respectively, on board of any boat or 
vessel who shall knowingly engage in towing any scow, boat, or vessel 
loaded with any material specified in section 13 to any point or place 
of deposit or discharge in any harbor or navigable water, elsewhere than 
within the limits defined and permitted by the Secretary of the Army, or 
who shall willfully injure or destroy any work of the United States 
contemplated in section 14, or who shall willfully obstruct the channel 
of any waterway in the manner contemplated in section 15, shall be 
deemed guilty of a violation of the Act. Upon conviction he shall be 
punished as provided in this section, and shall also have his license 
revoked or suspended for a term to be fixed by the judge before whom 
tried and convicted. Any boat, vessel, scow, raft, or other craft used 
or employed in violating any of the provisions of sections 13, 14, and 
15 shall be liable for the pecuniary penalties specified in this 
section, and in addition for the amount of the damages done by said 
boat, vessel, scow, raft, or other craft. The latter sum shall be placed 
to the credit of the appropriation for the improvement of the harbor or 
waterway in which the damage occurred, and said boat, vessel, scow, 
raft, or other craft may be proceeded against summarily by way of libel 
in any district court of the United States having jurisdiction thereof.
    (e) Enforcement. (1) Section 17 of the River and Harbor Act of March 
3, 1899 (30 Stat. 1153; 33 U.S.C. 413) provides that the Department of 
Justice shall conduct the legal proceedings necessary to enforce the 
provisions of sections 9 to 16, inclusive, of the Act. It shall be the 
duty of district attorneys of the United States to prosecute vigorously 
all offenders against the same whenever requested to do so by the 
Secretary of the Army or by any of his designated representatives.
    (2) Under the provisions of section 17, District Engineers and the 
United States collectors of customs and other revenue officers, have 
power and authority to swear out process and to arrest and take into 
custody, with or without process, any person or persons who may commit 
any of the acts or offenses prohibited by sections 9 to 16, inclusive, 
or who may violate any of the provisions of the same. No person shall

[[Page 150]]

be arrested without process for any offense not committed in the 
presence of some one of the aforesaid officials. Whenever any arrest is 
made under the provisions of the Act, the person so arrested shall be 
brought forthwith before a commissioner, judge, or court of the United 
States for examination of the offenses alleged against him. Such 
commissioner, judge, or court shall proceed as authorized by law in case 
of crimes against the United States.
    (3) It is the duty of each District Engineer to take notice of any 
violations of the laws for the protection of the navigable waters and 
the works of improvement therein that may occur in his district and to 
take the necessary steps to secure enforcement of the law. Whenever any 
violation of any of these provisions of law comes to his attention he 
will investigate carefully the circumstances of the case and will 
determine the amount of the damage for which the parties committing the 
violation are responsible under section 16 of the River and Harbor Act 
of March 3, 1899. He will advise the responsible parties to remove the 
illegal structure or deposit or to repair the damage at their own 
expense within a time specified by him. When there is reasonable doubt 
as to legal liability or the facts do not appear to warrant legal 
action, the District Engineer will report the case to the Chief of 
Engineers for decision before communicating with the responsible 
parties. When the damage must be repaired within a reasonable time, if 
the responsible parties so request in writing and if, when considered 
advisable by the District Engineer to protect the interests of the 
United States, they furnish a satisfactory bond or other guaranty, he 
may cause the repairs to be made by employees of the United States and 
then call upon the responsible parties to pay over to him the cost of 
the damages when finally ascertained. Where the damage is not to be 
repaired within a reasonable time, the District Engineer will make final 
settlement with the responsible parties as promptly as possible by 
collecting the estimated amount of the damages. All sums so received 
will be deposited promptly to the credit of the Treasurer of the United 
States for recredit to the appropriation affected and will be accounted 
for in the District Engineer's money accounts by proper vouchers. With 
reference to the method of ascertaining the amount of the damages under 
section 16 of the Act, a distinction should be made between cases 
involving property that should be repaired and those involving property 
that should be abandoned. In the former cases the amount of the damages 
should be the total cost of repairs, less any salvage value and any 
enhanced value. In the latter cases, the amount of the damages should be 
the fair value of the property, less any salvage value. Whether or not 
there has been any enhanced value (i.e., whether the fair value of the 
structure immediately after the repairs is greater than its fair value 
immediately before the damage occurred) is a matter to be determined 
from an actual survey of the structure and knowledge of its age and 
condition. Where maintenance has equalled depreciation there probably 
would be no enhanced value.
    (4) If the parties deny their responsibility, or if they refuse or 
neglect to remove any unlawful structure or deposit or to repair the 
damages within the time specified by the District Engineer, the matter 
will be reported to the Chief of Engineers with such evidence as the 
District Engineer may be able to obtain and his recommended action under 
section 17 of the Act of March 3, 1899. In a situation requiring 
immediate action, the District Engineer may report the case directly to 
the U.S. attorney for the district. The Chief of Engineers will be 
advised of such action by a written report. Although the Corps of 
Engineers has certain police powers under this Act it has been the long 
standing policy to secure compliance with its provisions short of legal 
proceedings. Accordingly every effort will be made to accomplish 
corrective measures prior to initiation of action leading to such 
proceedings. As a general rule, while minor and unintentional or 
accidental violations of the provisions of the Act need not be reported 
to the Chief of Engineers, all willful or intentional violations and all 
cases in which the parties responsible refuse or neglect to remove the 
unlawful structure or deposit or to make

[[Page 151]]

good the damages suffered should be reported promptly to the Chief of 
Engineers in accordance with the above. It is the policy not to 
recommend prosecution when the violation of law is trivial, apparently 
unpremeditated, and results in no material public injury. Each report 
recommending prosecution should be accompanied by a full statement of 
the case and copies of correspondence relating thereto.
    (5) The procedure in cases involving injurious deposits is similar 
to that described for other violations of law except that as the damage 
caused thereby cannot be repaired readily there will be no reason for 
serving any notice on the parties responsible for the violations further 
than to bring to their attention the consequences thereof.
    (6) Section 6 of the river and Harbor Act approved March 3, 1905 (33 
Stat. 1148; 33 U.S.C. 417) provides that expenses incurred by the Corps 
of Engineers in all investigations, inspections, hearings, reports, 
service of notice, or other action incidental to examinations into 
alleged violations of laws for protection and preservation of navigable 
waters shall be payble from any funds which may be available for the 
improvement, maintenance, operation, or care of the waterways or harbors 
affected. If such funds are not available in sums judged by the Chief of 
Engineers to be adequate, they shall be payable from any funds available 
for examinations, surveys, and contingencies of rivers and harbors.

[33 FR 18670, Dec. 18, 1968, as amended at 36 FR 17855, Sept. 4, 1971; 
51 FR 45765, Dec. 22, 1986; 53 FR 27512, July 21, 1988]



Sec. 209.180  Temporary closure of waterway to navigation.

    (a) When an application is received for the temporary closure of a 
waterway for the construction of a structure or the performance of other 
work in the waterway, the District Engineer will assure himself of the 
necessity for the closure and arrange after informal communication with 
any important navigation interests concerned the time and duration of 
the closure which will enable the operations to be completed with the 
least interference with navigation. If there is no question as to the 
necessity and propriety of the closure, the District Engineer is 
authorized to inform the applicant as follows: ``The Department of the 
Army will interpose no objection to the closure for a stated period 
beginning at a specified date: Provided, That prior thereto the 
applicant will notify navigation interests by an advertisement in the 
press or otherwise as the District Engineer may approve and on the 
understanding that the waiver of objection does not affect the liability 
of the applicant for any damages that may arise by reason of the 
closure.'' The letter to the applicant will be signed ``By Authority of 
the Secretary of the Army'' and distribution made as prescribed for 
permits.
    (b) District Engineers will give careful consideration to the effect 
of any closure on through navigation. Should coordination with other 
districts be necessary the case will be forwarded to the Division 
Engineer for such coordination.
    (c) Cases not falling within the authority above conferred will be 
forwarded to the Chief of Engineers with the recommendations of the 
Division and District Engineers.



Sec. 209.190  [Reserved]



Sec. 209.200  Regulations governing navigable waters.

    (a) Publication of regulations. (1) Regulations prescribed by or 
under the direction of the Secretary of the Army to govern navigation 
and navigable waters, are contained in the Code of Federal Regulations, 
title 33, Navigation and Navigable Waters, Chapter II.
    (2) District engineers (or division engineers if considered 
preferable by the latter to avoid duplication in cases where the 
regulations involved apply to more than one district) will distribute 
copies of departmental regulations to all known interested parties as 
soon as their publication has been noted in the Federal Register. In the 
case of regulations applicable to more than one division, distribution 
will be handled as agreed upon by the division engineers concerned. 
Under the Administrative Procedure Act (5 U.S.C. 551-553), publication 
in the Federal Register shall be not less than 30 days prior to the 
effective date except as

[[Page 152]]

otherwise provided upon good cause found and published with the 
regulations.
    (b) Navigation regulations. (1) Section 7 of the River and Harbor 
Act approved August 8, 1917 (40 Stat. 266; 33 U.S.C. 1) authorizes the 
Secretary of the Army to prescribe such regulations for the use, 
administration, and navigation of the navigable waters of the United 
States as public necessity may require for the protection of life and 
property, or for operations of the United States in channel improvement, 
covering all matters not specifically delegated by law to some other 
executive department. The statute provides for the posting of 
regulations and punishment for violations.
    (2) Section 6 of the River and Harbor Act approved June 13, 1902 (32 
Stat. 374; 33 U.S.C. 499) provides that regulations prescribed by the 
Secretary of the Army may be enforced as provided in section 17 of the 
River and Harbor Act approved March 3, 1899 (30 Stat. 1153; 33 U.S.C. 
413).
    (3) District Engineers will take action with respect to regulations 
prescribed for waterways under their jurisdiction:
    (i) To insure that the regulations are brought to the attention of 
the public.
    (ii) To insure that the regulations are properly and fairly 
administered.
    (iii) To recommend any revisions necessary to permit full use of the 
waterway by the public.
    (c) Danger zones. (1) The Secretary of the Army has authority to 
prescribe regulations for the use and navigation of any area of the 
navigable waters of the United States or waters under the jurisdiction 
of the United States likely to be endangered by Department of Defense 
operations. This authority is pursuant to the provisions of Chapter XIX 
of the Army Act of July 9, 1918, or of section 7 of the River and Harbor 
Act of August 8, 1917.
    (2) On receipt of a request from any element of the Department of 
Defense or other agency for approval by the Secretary of the Army of 
regulations establishing danger zones under authority of either Act, the 
District Engineer will, prior to issuing any public notice, make certain 
that the applicant: (i) Has coordinated its proposed operations with any 
operations being conducted or contemplated by other agencies in the same 
area with a view to avoiding interagency conflicts, (ii) has obtained 
clearance from the proper Regional Subcommittee on Airspace, Rules of 
the Air and Air Traffic Control (Air Coordinating Committee), where the 
use of airspace is involved, and (iii) has conducted preliminary 
discussions with local interests when considered advisable. In the case 
of proposed danger zones off the Atlantic and Pacific Coasts, the 
coordination referred to in (c)(2)(i) of this section will include the 
Commander, Service Force, U.S. Atlantic Fleet, or the Commander, Western 
Sea Frontier.
    (3) The authority to prescribe danger zone regulations must be 
exercised so as not to interfere with or restrict unreasonably the food 
fishing industry. Whenever the establishment of a proposed danger zone 
or restricted area may affect fishing operations the District Engineer 
will consult with the regional director, U.S. Fish and Wildlife Service, 
Department of the Interior. Two copies of all notices of applications 
for the establishment of danger zones and restricted areas will be 
forwarded to the Chief of Staff, U.S. Air Force. In addition, notices of 
all applications relating to the establishment of aerial gunnery and 
bombing areas will be sent to local Army, Navy, and Federal Aviation 
Agency representatives.
    (4) If the use of water areas is desired only for such temporary, 
occasional, or intermittent periods that operations can be conducted 
safely without imposing restrictions on navigation, applicants may be 
informed that formal regulations by the Secretary of the Army are not 
required. However, proper notices for mariners requesting that vessels 
avoid the areas will be issued by the District Engineer to all 
interested persons. Copies will be sent to the Commandant, U.S. Coast 
Guard, Washington, D.C. 20226 and the Commander, U.S. Naval 
Oceanographic Office, Washington, D.C. 20390.
    (d) Dumping grounds. (1) Section 4 of the River and Harbor Act of 
March 3, 1905 (33 Stat. 1147; 33 U.S.C. 419), authorizes the Secretary 
of the Army to prescribe regulations to govern the

[[Page 153]]

transportation and dumping into any navigable water, or waters adjacent 
thereto, of dredgings and other refuse materials whenever in his 
judgment such regulations are required in the interest of navigation.
    (2) Section 13 of the river and Harbor Act of March 3, 1899 (30 
Stat. 1152; 33 U.S.C. 407) authorizes the Secretary of the Army to 
permit the deposit of refuse matter in navigable waters, whenever in the 
judgment of the Chief of Engineers anchorage and navigation will not be 
injured thereby, within limits to be defined and under conditions to be 
prescribed by him. Although the Department has exercised this authority 
from time to time, it is considered preferable to act under Section 4 of 
the River and Harbor Act of March 3, 1905 (33 Stat. 1147; 33 U.S.C. 
419). As a means of assisting the Chief of Engineers in determining the 
effect on anchorage of vessels, the views of the U.S. Coast Guard will 
be solicited by coordination with the Commander of the local Coast Guard 
District.
    (3) Under the authority contained in an Act of Congress to prevent 
obstructive and injurious deposits within the harbor and adjacent waters 
of New York City of June 29, 1888 (25 Stat. 209; 33 U.S.C. 441), the 
Supervisor of New York Harbor has established dumping areas in those 
waters and has prescribed regulations for their use. The provisions of 
the act are enforced by the Supervisor under the direction of the 
Secretary of the Army.
    (4) In considering requests for the establishment of dumping 
grounds, District and Division Engineers will give careful consideration 
to the requirements of navigation and will take action to prevent 
unreasonable injury to fish and wildlife.
    (e) Public notice and consultation with interested parties. (1) When 
applications are received for the promulgation of regulations as 
outlined in paragraphs (b) through (f), inclusive, of this section, 
District Engineers will issue public notices to all parties deemed 
likely to be interested and specifically to the agencies referred to in 
these paragraphs. The notice should fix a limiting date within which 
comments will be received, normally a period not less than 30 days after 
the actual mailing of the notice. If time is an essential element when 
adequately explained by the applicant, the District Engineer is 
authorized to give interested parties a minimum of 10 days after receipt 
of the notice in which to present protests. A copy of every notice 
issued will be sent to the Chief of Engineers, Attention: ENGCW-ON.
    (2) Copies of the notices sent to interested parties, together with 
a list of parties to whom sent, will accompany reports on all 
applications for promulgation of regulations submitted to the Chief of 
Engineers for necessary action.
    (3) In all instances when response to a public notice has been 
received from a Member of Congress, the District Engineer will inform 
the Member of Congress of the final action taken on the application.
    (f) Public hearings. (1) It is the policy of the Chief of Engineers 
to conduct his civil works activities in an atmosphere of public 
understanding, trust, and mutual cooperation and in a manner responsive 
to public needs and desires. To this end, public hearings are helpful 
and will be held whenever there appears to be sufficient public interest 
to justify such action. In case of doubt, a public hearing should be 
held.
    (2) Among the instances warranting public hearings are general 
public opposition to the promulgation of regulations governing the use 
and navigation of navigable waters. District Engineers will notify the 
Division Engineer of the need for a hearing, state the proposed 
arrangements therefor and obtain his concurrence therein. Public 
hearings will be held in any case when Congressional interests or 
responsible local authorities make an official and valid request 
therefor and such action will fulfill the above-stated policy and 
objectives.

[33 FR 18670, Dec. 18, 1968, as amended at 51 FR 45765, Dec. 22, 1986; 
52 FR 24157, June 29, 1987]



Sec. 209.220  Flood control regulations.

    (a) Local protection works. On projects authorized subject to 
specified conditions of local cooperation, no construction is undertaken 
by the Department of the Army until satisfactory assurances of the 
required local cooperation have been accepted by the Secretary of

[[Page 154]]

the Army and until any lands, easements, and rights-of-way required to 
be furnished by local interests have been made available for at least a 
complete unit of the project. The District Engineers notify local 
interests concerned of the requirements of local cooperation and request 
assurances by registered mail prior to the preparation of final plans 
and specifications. Regulations prescribed by the Secretary of the Army 
for the maintenance and operation of local flood protection works are 
contained in Sec. 208.10 of this chapter. When assurances satisfactory 
to the District Engineer are received, they are forwarded through the 
Division Engineer to the Chief of Engineers for consideration of the 
Secretary of the Army. The District Engineers advise local interests of 
the action taken by the Department. Completed projects or completed 
useful units thereof are normally turned over to local interests for 
maintenance and operation as soon as the construction and testing of 
equipment is completed and the project is in proper condition for the 
assumption of maintenance and operation by local interests. The transfer 
is accomplished by formal notice from the District Engineer to the local 
interests that the completed facilities are being turned over to them 
for maintenance and operation as of a specific date. During 
construction, District Engineers keep the local interests concerned 
advised as to the probable date of transfer.
    (b) Use of storage allocated for flood control or navigation at 
reservoirs constructed wholly or in part with Federal funds. Regulations 
prescribed by the Secretary of the Army in accordance with section 7 of 
the Flood Control Act of December 22, 1944 (58 Stat. 890; 33 U.S.C. 709) 
are for the purpose of coordinating the operation of the flood control 
features of reservoirs constructed wholly or in part with Federal funds 
and other flood control improvements to obtain the maximum protection 
from floods which can reasonably be obtained with the proper operation 
of all flood control improvements. Proposed regulations are determined 
by the District Engineer in cooperation with the persons responsible for 
the maintenance and operation of the reservoir involved after a detailed 
study of the flood problems and the characteristics of the reservoir 
project. The proposed regulations are forwarded by the District Engineer 
through the Division Engineer to the Chief of Engineers for 
consideration of the Secretary of the Army. When approved by the 
Secretary of the Army, these regulations are published in part 208 of 
this chapter.



Sec. 209.230  Use of reservoir areas for recreation.

    The Department of the Army in accordance with Section 4 of the Flood 
Control Act of December 22, 1944, as amended by section 4 of the Flood 
Control Act of July 24, 1946 (60 Stat. 641) prepares and administers 
plans to obtain the maximum sustained public benefit from the use of 
reservoir areas under its control for recreation and other related 
purposes, when such use is consistent with the operation and maintenance 
of the reservoir project for the specific purposes of the reservoir 
project as authorized by law and when such use is determined not to be 
contrary to the public interest. The plans are prepared and administered 
by the District Engineers, subject to review and approval of the 
Division Engineers and the Chief of Engineers, in close cooperation with 
other Federal agencies and local interests. The views and desires of 
these agencies and local interests are obtained normally by conferences 
with the District Engineers. In many cases, public hearings are held by 
the District Engineers at appropriate times in the vicinity of the 
reservoir area at which time anyone can express his views relative to 
these plans for consideration of the Department of the Army. Rules and 
regulations are prescribed by the Secretary of the Army to govern the 
public use of the reservoir areas in accordance with the law as a part 
of the master plan for recreational and related uses of the reservoir 
area. These rules and regulations are published in 36 CFR parts 311 to 
326. Licenses and leases are granted under the law containing conditions 
and provisions to govern the use of specific portions of the reservoir 
area. Full information concerning such matters may be obtained from the 
District Engineer in charge of the reservoir.

[[Page 155]]



Sec. 209.300  Flood control regulations.

    (a) Regulations for the operation and maintenance of local flood 
protection works approved by the Secretary of the Army under the 
authority contained in Section 3 of the Flood Control Act of June 22, 
1936, as amended and supplemented, are codified as Sec. 208.10 of this 
chapter. These regulations cover conditions normally and regularly 
required. Whenever the regulations are not sufficiently broad to cover 
the specific maintenance and operation requirements of a particular 
project, District Engineers will submit through the Division Engineers 
recommended additional regulations needed for that particular project. 
Such supplemental regulations will require approval of the Secretary of 
the Army and will be made applicable only to the individual project 
concerned. Local interests will be advised of the approved regulations 
for operation and maintenance of local flood protection works at the 
time assurances of local cooperation are requested. District Engineers 
will keep informed as to the extent of compliance with approved 
regulations for operation and maintenance through regular, periodic 
inspection of the projects concerned and through careful analysis of the 
semiannual reports which the operating and maintaining agencies are 
required to submit in accordance with the regulations. The District 
Engineer's views as to any measures required to conform to the approved 
regulations will be furnished to the agencies responsible. In any case 
where the District Engineer has been unable to arrange satisfactory 
compliance or where there is question or disagreement as to the measures 
required for compliance, a report of the circumstances, together with 
the recommendations of the District and Division Engineers, will be 
submitted to the Chief of Engineers for consideration.
    (b) Regulations for the use of storage allocated for flood control 
or navigation at reservoirs constructed wholly or in part with Federal 
funds provided on the basis of such purposes, are contained in Sec. 
208.16 et seq. of this chapter.



Sec. 209.310  Representation of submarine cables and pipelines on 
nautical charts.

    (a) The policy of the Corps of Engineers with respect to showing the 
locations of submarine cables and pipelines on nautical charts published 
by the Corps of Engineers is as follows:
    (1) Within protected waters such as harbors, rivers, bays, estuaries 
or other inland waterways the location of submarine cables and pipelines 
is to be indicated by shaded areas marked ``Pipeline area'' or ``Cable 
area''. The extent of the limits of the area will be governed by local 
conditions but shall include the immediate area which overlies the cable 
or pipeline.
    (2) Ordinarily, the shaded area on a chart which depicts a cable 
area or pipeline area should not exceed 500 feet on each side of the 
location of the cable or pipeline except on small scale charts where an 
area of that width would not be of sufficient prominence.
    (3) The shaded area will be designated ``cable area'' or ``pipeline 
area'' as appropriate, but no other information as to the character or 
ownership of the installation will appear on the chart.
    (b) District engineers will furnish copies of all permits issued for 
submarine cable and pipelines to the National Oceanic and Atmospheric 
Administration (NOAA), National Ocean Service, ATTN: N/CG222, Rockville, 
MD 20852, with his/her recommendation of whether or not the installation 
should be shown on NOAA nautical charts. National Ocean Service must be 
notified of the commencement and completion dates for all permitted 
activities under this section. (Note: Decisions to publish these cables 
and pipelines on NOAA nautical charts lie solely within NOAA's 
discretion.)

[51 FR 45765, Dec. 22, 1986]



Sec. 209.315  Public access to navigation works.

    While the regulations prescribed by the Secretary of the army for 
various navigation improvements usually strictly prohibit trespass on 
Government property, those regulations will not be construed as 
prohibiting access to navigation works of general public interest 
subject to the following criteria:

[[Page 156]]

    (a) The public will not be permitted in areas where their presence 
would subject themselves or Government operating personnel to serious 
accident hazards.
    (b) The public will not be permitted in areas where their presence 
would interfere with any phases of navigation operations.
    (c) The public will be given access to all areas other than those 
specified under paragraphs (a) and (b) of this section, subject only to 
the normal legal requirements with respect to property and personal 
rights.



Sec. 209.320  Policy on release of commercial statistics.

    The collection of commercial statistics pertaining to rivers, 
harbors, and waterways, and annual reports thereof to Congress, are 
required by the River and Harbor Act of June 23, 1866 (14 Stat. 70), the 
act of February 21, 1891 (26 Stat. 766), the River and Harbor Act of 
June 13, 1902 (32 Stat. 376), the River and Harbor Act of July 25, 1912 
(37 Stat. 201), the River and Harbor Act of September 22, 1922 (42 Stat. 
1043), and Pub. L. No. 16, February 10, 1932 (47 Stat. 42). It is the 
policy of the Department to hold in strict confidence any data or 
information which has been furnished by shippers and others upon the 
understanding that it will not be disclosed and will only be used in the 
compilation of port or waterway statistics. In case Federal or State 
agencies or local interests request other than general information made 
permissible hereunder, their attention will be called to the policy 
indicated in this section.



Sec. 209.325  Navigation lights, aids to navigation, navigation charts, 
and related data policy, practices and procedure.

    (a) Purpose. This regulation prescribes the policy, practice and 
procedure to be used by all Corps of Engineers installations and 
activities in connection with aids to navigation, chart data, and 
publication of information on Civil Works activities.
    (b) This regulation will be applied by all elements of the Corps of 
Engineers with Civil Works responsibilities.
    (c) Reference. Public Law 85-480, Publication Authority (72 Stat. 
279).
    (d) Cooperation with Coast Guard. (1) District Engineers will 
consult with the Coast Guard District Commander during design of channel 
and harbor improvement projects to discuss the aids to navigation 
requirements and all other facets of the projects that involve Coast 
Guard responsibility. Project material furnished direct to Coast Guard 
Commanders will include:
    (i) Information as to the authorization by Congress of a project 
involving changes affecting aids, such as channel limits, breakwaters, 
including a copy of the project document;
    (ii) The proposed operations on such projects during the next fiscal 
year, to be furnished annually on the release of the budget estimates;
    (iii) Plans showing the final location of the channel limits or 
structures to be furnished at the time work is undertaken.
    (2) Changes in channel limits affecting navigation aids, made under 
general or specific provisions of the law, should be made the subject of 
a conference with the Coast Guard District Commander. He will be 
promptly informed as to the approval of such changes and the probable 
date of completion of the work.
    (3) District Engineers will furnish direct to the various Coast 
Guard District Commanders, for their immediate information, any facts 
which may come to their attention in connection with their duties which 
will be of benefit to the Coast Guard in maintaining its system of aids 
to navigation. This should include statements as to the displacement of 
or defects in any such aids to navigation.
    (4) If work involving harbor or channel improvements directly 
affects any existing aids to navigation or any structures of the Coast 
Guard, Districts Engineers will, when practicable, give notice to the 
Coast Guard District Commander sufficiently in advance to permit taking 
such steps as may be deemed necessary by the Coast Guard. If the Coast 
Guard District Commander specifically requests that the affected 
structure be replaced, the District Engineer will inform him of the 
estimated cost and will proceed with the work if so authorized by the 
Chief of Engineers. On completion of the work, the

[[Page 157]]

District Engineer will promptly furnish the Coast Guard District 
Commander, for settlement, an account of the expense incurred.
    (e) Navigation Aids of the Corps of Engineers. (1) Whenever channel 
dredging or other channel improvements are being performed, necessary 
temporary markers, such as ranges and light poles, should be installed 
and maintained by the District Engineer pending the installation of 
permanent aids by the Coast Guard. The Coast Guard desires that 
information regarding aids to navigation installed or maintained by 
District Engineers in connection with harbor or channel improvement be 
furnished promptly. Such information is needed for inclusion in Notice 
to Mariners as published by the Coast Guard, and where desirable on the 
charts of the waters concerned.
    (2) District Engineers will notify the Coast Guard District 
Commander in every case where aids to navigation for marking works of 
harbor or channel improvements are established or discontinued. Notice 
should be given of such aids as may be of use or interest to general 
navigation. Notice need not be given as to such buoys, lights, or fog 
signals as are of temporary or unimportant character, or of importance 
only to the Corps of Engineers. Omit also lights or fog signals on ferry 
slips and on piers used only by certain vessels, and stakes, bushes, and 
barrel buoys marking shallow and little-used channels.
    (3) In placing aids to navigation in connection with harbor or 
channel improvement works, District Engineers should see that they do 
not conflict in character or otherwise with other aids to navigation in 
the vicinity. District Engineers should confer with the Coast Guard 
District Commander on this subject.
    (4) The necessary blank forms for reporting information regarding 
Corps of Engineers aids will be furnished upon request by the Coast 
Guard District Commander.
    (5) It is essential that the Coast Guard by furnished with 
information for publication concerning markers installed by the Corps of 
Engineers as temporary aids to navigation, for new improvements, in 
advance of permanent aids, and also concerning other markers that may be 
established in connection with Corps of Engineers operations that may 
also serve as important aids to navigation. Care will be exercised to 
see that all markers established are not misleading to general 
navigation and do not interfere with aids to navigation estabished by 
the Coast Guard.
    (f) Colors of dredging buoys established by Corps of Engineers. (1) 
In order to distinguish buoys placed and maintained by the Corps of 
Engineers for dredging purposes from aids to navigation placed by the 
Coast Guard, Corps buoys will be painted white with the top 2 feet 
painted light green.
    (2) If buoys with special markings are needed to indicate the 
different sides of the navigable channel, prior arrangements will be 
made with the Coast Guard District Commander having jurisdiction.
    (g) Information to be furnished by the Corps of Engineers. (1) 
District Engineers responsible for harbors and waterways shown on charts 
of the National Ocean Survey (NOAA), will report the channel conditions 
promptly, using standard tabular forms, to:

Director, Defense Mapping Agency, ATTN: Hydrographic Center, Washington, 
D.C. 20390.
National Oceanic and Atmospheric Administration, ATTN: National Ocean 
Survey C-32, Rockville, Md. 20852.
Commandant and District Commanders, U.S. Coast Guard.

    (2) Channel survey drawings furnished to the Coast Guard are to 
include:
    (i) Either NAD 27 or State Plane grids.
    (ii) Plots of the positions of aids to navigation.
    (iii) Written notations of the coordinates in NAD 27 or State Plane 
Coordinates of the fixed aids to navigation found during the survey.
    (3) The standard tabular forms with illustrated data follow:
    (i) For channels 400 feet wide and greater (ENG Form 4020-R).
    (ii) For channels 100 to 400 feet wide (ENG Form 4021-R).

[[Page 158]]



                              [ ---------------- Harbor, ---------------- (State)]
----------------------------------------------------------------------------------------------------------------
                                                                 Project              Minimum depths in channel
                                                     ------------------------------     entering from seaward
                                                                                   -----------------------------
                                                                                                Mid-
              Name of channel                 Date                                    Left     channel    Right
                                             survey     Feet      Miles     Feet     outside  for half   outside
                                                        width    length     depth    quarter   project   quarter
                                                                                      feet      width     feet
                                                                                                feet
----------------------------------------------------------------------------------------------------------------
Kings Island Channel......................      3-78       300      1.14        26        24        23        26
Whitehall Channel.........................      3-78       200      1.81        26        27        26        25
----------------------------------------------------------------------------------------------------------------

ENG FORM 4021-R (Jul 59)

    (iii) For channels less than 100 feet in width, report controlling 
depths only based on at least 80 percent of project width, 40 percent on 
either side of centerline. (The submission of tabular forms is not 
required for channels having a project depth less than 10 feet except 
coastal inlets and harbors of refuge.)
    (4) The tabulations of depths should be amplified by footnotes or 
otherwise to show clearly and definitely the location of controlling 
shoals, tendency of shoals to recur, and all other critical information 
of special value and importance for safe navigation of the channel. 
Reaches of channel not presently named should be identified in the 
tabular form by reference to chartered aids or features, or assigned 
identifying names, numbers or letters. For localized irregular project 
areas where the application of the tabular form would not be practical, 
the controlling depth based on a safe navigable width will be described 
as well as unusual or critical conditions of shoaling.
    (5) The prompt dissemination of the latest detailed information 
concerning channel conditions is of utmost importance, and necessary 
measures will be taken to insure that such information is reported 
without delay simultaneously to the U.S. Naval Oceanographic Office, the 
Coast Guard, the National Ocean Survey and Defense Mapping Agency. When 
a dangerous shoaling is found during the progress of a survey, 
information thereon will be furnished immediately to the above-mentioned 
agencies, so that such information may be made available to mariners 
promptly, and buoys shifted to mark the shoal. Descriptions of any 
dredging or other operations in important channels in tidal waters--
either in progress and not already reported, or soon to be undertaken--
together with a statement of the work and expected duration, will also 
be reported in order that Naval and other vessels may be warned to look 
out for dredges and other plant, temporary markers and lights.
    (6) District Engineers having charge of improvements of harbors and 
waterways shown on charts of the Defense Mapping Agency or of the 
National Ocean Survey will send to both offices promptly, as ascertained 
for the correction of such charts, the following information: 
Descriptions of changes in channel location and depth, or of 
obstructions that may be discovered, with such prints and other 
information as may be necessary to permit the existing charts to be 
corrected to date. All maps should contain sufficient data to permit the 
fixed plane or reference, bench marks, base lines, etc., to be 
determined and located. The survey stations should be shown and, when no 
unreasonable expenditure of time or labor is involved, the map will show 
one or more triangulation station(s) of the National Ocean Survey in 
such a way as to facilitate connection of old or new work. The source of 
authority for the shoreline and topography should be stated on the map. 
The data supplied should indicate what charts are affected.
    (7) When any survey of areas covered by charts of the Defense 
Mapping Agency or the National Ocean Survey is completed, a print of 
each tracing will be sent direct to both the Defense Mapping Agency and 
the National Ocean Survey. It is not necessary that tracings be fully 
complete as to form and title when such prints are made. An informal 
manuscript title marked

[[Page 159]]

``Advance Sheets'', and containing a description sufficient to identify 
the locality and to identify the source of the map, will be sufficient.
    (8) Information relative to the improvement of harbors and waterways 
such as dredging operations, and precautions rendered necessary due to 
the presence of dredging or other plant will, when considered necessary, 
be brought to the attention of vessel owners or operators regularly 
using the waterway. This will be done through issuing bulletins or 
notices by District Engineers.
    (h) Special Reports. Changes affecting navigation will be made 
promptly whenever information of immediate concern to navigation becomes 
known. Items of information especially desired are channel conditions as 
revealed by surveys, changes in channel conditions, either by natural 
causes or by dredging or other work, changes in approved projects for 
improvement with statements of results expected from proposed 
operations, descriptions of proposed dredging or other Federal work of 
improvement such as breakwater, pier, and revetment construction or 
alterations, descriptions of proposed or completed municipal or private 
improvements in or affecting navigable waters. Additional items of 
information desired are descriptions of wrecks, uncharted shoals, and 
other obstructions to navigation and particulars as to proposed or 
completed removal of same, changes in buoys or lights, erection of new, 
or changes in existing bridges, new or revised Federal or local rules 
and regulations for harbors and channels, and establishment or existence 
of danger areas in navigable waters. Reproductions of drawings or 
sketches which will be helpful in interpreting the data shall accompany 
the reports. The reports will not be limited to a reference to an 
accompanying drawing or sketch, but will contain a complete description 
in form suitable for publication in notices to mariners and the monthly 
supplements to the U.S. Coast Pilot. In this respect, the reports will 
provide enough information that a single notification to navigational 
interests will suffice. In the case of dredging or construction work, 
the bare statement that work will commence or has commenced on a certain 
date is insufficient. All additional information possible, such as 
probable duration of operations and object of work, will be given--the 
latter in the case of dredging being such data as the area to be covered 
and the depth expected to be provided. The reports required by this 
paragraph will be identified by reference to the appropriate Engineer 
Manual or regulation and will be numbered consecutively by each District 
during the calendar year, starting with number 1 at the beginning of 
each year.
    (i) Information pamphlets, maps, brochures and other material. (1) 
Pub. L. 85-480, approved 2 July 1958, authorizes the Chief of Engineers 
to publish information pamphlets, maps, brochures, and other material on 
river and harbor, flood control, and other Civil Works activities, 
including related public park and recreation facilities under his 
jurisdiction, as he may deem to be of value to the general public.
    (2) This Public Law authorizes the Chief of Engineers to provide for 
the sale of any of the material prepared under authority of the act--and 
of publications, charts, or other material prepared under his direction 
pursuant to other legislative authorization or appropriation, and to 
charge therefor a sum of not less than the cost of reproduction.
    (3) District Engineers are authorized to publish the material 
covered in paragraph 8a above, and to sell such material. Except for 
material specifically prepared for free distribution to the general 
public, the charges for such other published information will be not 
less than the cost of its reproduction.
    (4) Condition survey maps or charts, sold or otherwise distributed 
to the public, showing depths will specifically state the date or dates 
that the surveys were made. They shall also have the following notation 
printed or stamped thereon:
    ``The information depicted on this map represents the results of 
surveys made on the dates indicated and can only be considered as 
indicating the general conditions existing at that time.''

[43 FR 19661, May 8, 1978]

[[Page 160]]



Sec. 209.335  Publication.

    (a) Section 4 of the Administrative Procedure Act requires 
publication of general notice of proposed rule making in the Federal 
Register (unless all persons subject thereto are named and either 
personally served or otherwise have actual notice thereof in accordance 
with law), except to the extent that there is involved: (1) Any 
military, naval, or foreign affairs function of the United States or (2) 
any matter relating to agency management or personnel or to public 
property, loans, grants, benefits, or contracts. Except where notice of 
hearing is required by statute, this requirement does not apply to 
interpretative rules, general statements of policy, rules of agency 
organization, procedure, or practice, or in any situation in which the 
agency for good cause finds (and incorporates the finding and a brief 
statement of the reasons therefor in the rules issued) that notice and 
public procedure thereon are impracticable, unnecessary, or contrary to 
the public interest.
    (b) General notice of proposed rule making published in accordance 
with the above will include: (1) A statement of the time, place, and 
nature of public rule making proceedings; (2) reference to the authority 
under which the rule is proposed; and (3) either the terms or substance 
of the proposed rule or a description of the subjects and issues 
involved.



Sec. 209.340  Laboratory investigations and materials testing.

    (a) Purpose. The purpose of this section is to define and establish 
policies and procedures applicable to the performance of investigations 
and tests at Corps of Engineers laboratory installations for other 
governmental agencies and private organizations.
    (b) Applicability. This regulation applies to Corps of Engineers 
Divisions and Districts operating soils, concrete, water quality and 
hydraulic laboratories, and to the Inter-Agency Sedimentation Project.
    (c) References. (1) AR 37-20.
    (2) AR 37-27.
    (3) ER 1-1-6.
    (4) ER 10-1-3, Appendix XIII.
    (5) ER 1110-1-8100.
    (6) ER 1140-2-303.
    (d) Policy. Subject to the authority limitations contained in 
paragraph (f) of this section, laboratory investigations and materials 
testing may be performed for other agencies of the Federal Government, 
State and local units of government, foreign governments and private 
firms under the following conditions:
    (1) The work will be performed on a cost reimbursable basis.
    (2) Work may be performed for State and local units of government, 
foreign governments or private firms only when it is firmly established 
that private commerical laboratory facilities capable of performing such 
work are not available, or because of location or for other reasons it 
is clearly impractical to utilize such private commerical laboratory 
services. The requesting entity must further certify that such services 
cannot be procured reasonably and expeditiously through ordinary 
business channels.
    (3) Performance of the work will not interfere with provisions of 
services essential to the mission of the Corps.
    (4) Performance of the work will not require an increase in the 
permanent staff of the facility.
    (5) Performance of the work will not require expansion of normal 
facilities.
    (6) The work is within the scope of authorized activities of the 
laboratory at which the work is to be performed.
    (7) Performance of the work will not be adverse to the public 
interest.
    (8) Prior to undertaking laboratory investigations or materials 
testing for private firms, written certification will be obtained from 
such firms stating that the results of the work will not be used in 
litigation or for promotional purposes.
    (e) Terms of providing reimbursement for work performed--(1) Federal 
agencies. Reimbursement for work for the Department of Defense, the 
Department of the Army, and other Federal Agencies will be in accordance 
with the procedures prescribed in AR 37-27.
    (2) State and local units of Government. Funds to cover the total 
estimated cost of the work or an initial increment of

[[Page 161]]

the esitmated cost based on an approved schedule of payment will be 
deposited with the installation performing the work before any 
obligations or expenses in connection with the work are incurred; and 
when funds are being deposited on an approved schedule no obligations or 
expenses will be incurred in connection with the work in excess of funds 
on deposit.
    (3) Private concerns and foreign governments. Funds will be 
deposited in advance of the work as required in paragraph (e)(2) of this 
section. Charges shall include a surcharge of 15 percent of all 
applicable costs, except under the following conditions.
    (i) When the final product will directly contribute to a specific 
planning, design, or construction activity which derives its principal 
support from Federal funds in the form of a grant or otherwise.
    (ii) Where an exception is granted based on a direct benefit to the 
Government. Adequate justification, outlining the direct benefits which 
are expected to accrue to the Government, will be forwarded to HQDA 
(DAEN-CWE-DC) Washington, DC 20314, for review and approval prior to 
deletion of the surcharge.
    (f) Authority. The following delegations of authority to perform 
laboratory investigations and materials testing apply.
    (1) Division materials laboratories. Division Engineers are 
delegated the authority to approve laboratory work for Federal, State 
and local units of government when the total estimated cost of each 
investigation or test project is $15,000 or less. Division Engineers are 
also delegated the authority to approve laboratory work for private 
firms and foreign Governments when the total estimated cost of each 
investigation or test project is $5,000 or less. Approval is required 
when the estimated or actual costs exceed those delegations of 
authority. Requests for approval shall be addressed to DAEN-CWE-DC.
    (2) Hydraulic laboratories. Division Engineers and District 
Engineers operating hydraulic laboratories or hydraulic model 
laboratories are delegated the authority to approve laboratory work for 
others within the same limitations and in accordance with the same 
procedures as apply to Division Materials Laboratories.
    (3) Inter-Agency Sedimentation Project, St. Anthony Falls 
Laboratory, University of Minnesota, Minneapolis, Minnesota. The 
District Engineer, St. Paul is authorized to perform work required in 
procurement, testing and calibration of specialized sediment sampling 
equipment developed at the Inter-Agency Sedimentation Project. Equipment 
of this nature will be made available to Federal, State and local 
governmental agencies at cost. The District Engineer, St. Paul, is also 
authorized to approve the performance of testing and calibration work 
for U.S. private firms that fabricate this specialized equipment for 
commercial sale when the estimated cost for services of Corps personnel 
is $5,000 or less for a single order. Approval is required when the 
estimated single order cost for a private firm exceeds $5,000 and when 
the total cost of work during a fiscal year for any one private firm 
exceeds $15,000. Requests for approval shall be addressed to HQDA (DAEN-
CWE-HY) Washington, DC 20314.
    (g) Reports of testing results. Final reports of results will be 
submitted in accordance with instructions provided by the sponsoring 
organization, with two copies to HDQA (DAEN-CWE-DC) Washington, DC 
20314.

Copies of reports of scientific or technical activities will be 
transmitted to the Defense Documentation Center as required by AR 70-31. 
(RCS OSD-1366)

(Sec. 3012, 70A Stat 157; 10 U.S.C. 3012)

[44 FR 50338, Aug. 28, 1979]



Sec. 209.345  Water resource policies and authorities.

   Reimbursement for Advance Non-Federal Participation in Civil Works 
                                Projects

    (a) Purpose. This regulation gives general instructions on use of 
section 215 of the Flood Control Act of 1968 (Pub. L. 90-483) to 
reimburse a non-Federal public body for construction of part of an 
authorized Federal project, part of an authorized Federal project. It 
establishes general policies, outlines procedures to be followed in 
reaching

[[Page 162]]

an agreement with an eligible non-Federal entity, and provides guidance 
on the provisions of such an agreement. All authorized projects are 
subject to this Act and regulation.
    (b) Applicability. This regulation applies to all field operating 
agencies having Civil Works responsibilities.
    (c) References. (1) Section 215, FCA of 1968 (Pub. L. 90-483, 42 
U.S.C. 1962d-5a.). (APP A, this regulation).
    (2) Senate Document No. 10, 90th Congress, 1st Session, ``Study of 
Federal Reimbursement Policy for Work by States and other Non-Federal 
Entities on Authorized Water Resources Projects.''
    (3) Section 221, FCA of 1970 (Pub. L. 91-611, 42 U.S.C. 1962d-5b).
    (4) ER 405-2-680.
    (5) ER 1140-2-301.
    (6) ER 1180-1-1, (para. A-310, App. A).
    (d) General policy. (1) The specific limitations put upon the 
allotment of funds authorized by section 215 indicate that only limited 
use should be made of the authority. It will, therefore, be Corps of 
Engineers policy to restrict the use of this authority to cases that 
meet all of the following conditions:
    (i) The work, even if the Federal Government does not complete the 
authorized project, will be separately useful or will be an integral 
part of a larger non-Federal undertaking that is separately useful;
    (ii) The work done by the non-Federal entity will not create a 
potential hazard;
    (iii) Approval of the proposal will be in the general public 
interest;
    (iv) Only work commenced after project authorization and execution 
of an agreement pursuant to this Regulation will be eligible for 
reimbursement or credit;
    (v) Proposed reimbursement will not exceed the amount that the 
District Engineer considers a reasonable estimate of the reduction in 
Federal expenditures resulting from construction of the project 
component by the non-Federal entity.
    (2) Before finally approving any agreement under section 215, the 
Chief of Engineers will inform the Secretary of the Army and the 
Chairman (Senate and House), Subcommittee on Public Works, Committee on 
Appropriations of the proposed arrangements. The Chief of Engineers will 
not sign an agreement until Secretarial and Committee concurrences are 
obtained.
    (3) Section 215 authority will not be used where it might appear to 
circumvent the intent of Congress. It will not, for example, be used to 
initiate work on projects to which Congressional committees have 
indicated general opposition or refused to provide requested funds, or 
to accelerate portions of work on which construction has already been 
commenced by the Federal Government.
    (4) Section 215(f) authorizes a specific allotment of funds to 
reimburse non-Federal entities for work accomplished under the Section. 
No allotment has been established, nor is one proposed at this time. 
Until one is, and firm procedures are established, any agreement with a 
non-Federal entity shall call for reimbursement, or for credit against 
required contributions, only when construction funds for the Federal 
project which incorporates the part constructed by the non-Federal 
entity are appropriated and allocated.
    (5) The non-Federal entity will normally be required to develop the 
design memorandum, engineering plans, and specifications for the work it 
proposes to undertake. Subject to policies established in ER 1140-2-301, 
as modified in paragraph (e)(2) of this section, the District Engineer 
may provide engineering services with funds advanced by the non-Federal 
entity if he determines it to be impracticable for the entity to obtain 
the services elsewhere. Non-Federal engineering and overhead costs for 
the part of the Federal project that the non-Federal entity proposes to 
construct will be part of the reimbursement agreement.
    (6) The agreement shall include local cooperation items required by 
the project authorization and by Section 221, FCA of 1970.
    (7) Reimbursement of non-Federal work under Section 215 is not 
applicable to small projects authorized under the general authority of 
Section 107, Pub. L. 86-645, as amended. (33 U.S.C. 577); Section 205, 
Pub. L. 858, 80th Congress, as amended, (33 U.S.C. 701s); and Section 
103, Pub. L. 87-874, as amended,

[[Page 163]]

(33 U.S.C. 426g); and Section 14, Pub. L. 79-526 (33 U.S.C. 701r).
    (e) Procedures. (1) Non-Federal entities desiring reimbursement 
under Section 215 for constructing part of an authorized Federal project 
should confer with the District Engineer and submit a written proposal 
to him. This proposal will form the basis for consulting, as needed, 
with OCE and for deciding whether the proposal meets the policy criteria 
of paragraph (d) of this section, and whether to continue under the 
procedures below and what sequence to follow.
    (2) If Federal preconstruction planning funds are not available to 
the project and it is considered impractical for the non-Federal entity 
to prepare a partial design memorandum and/or plans and specifications, 
the draft agreement may propose that this work be accomplished by the 
Corps of Engineers through an advance of non-Federal funds for this 
purpose. Certain advances of funds will be necessary, in any event, to 
cover other costs which are required on the part of the Corps of 
Engineers. Paragraph 11 of ER 1140-2-301 requires that requests to the 
Appropriations Committees for approval of advances of funds should 
normally be submitted to the Committees by non-Federal interests outside 
of Corps of Engineers channels. An exception to this procedure will be 
made in the case of Section 215 proposals in that the request for 
approval of advances will be made a part of the request to the 
committees for approval of the overall arrangement referred to in 
paragraph (d)(2) of this section. Thus, proposed advances of funds for 
the following purposes will be clearly set forth in the draft agreement: 
(i) Preparation of a partial design memorandum and/or plans and 
specifications (ii) corps review of design scheduled for accomplishment 
by local interests, and (iii) periodic and final inspections.
    (3) The District Engineer will submit for review an unsigned draft 
agreement to OCE. All agreements will be prepared for the signature of 
the Chief of Engineers.
    (4) The District Engineer will be notified of any changes in the 
draft agreement that the Chief of Engineers may require, and will 
negotiate a final agreement with the non-Federal entity. After signature 
of the agreement by the non-Federal entity, the District Engineer will 
forward three copies to HQDA (DAEN-CWO-C) WASH DC 20314, for signature 
by the Chief of Engineers.
    (5) Upon receipt from OCE of the full executed agreement, the 
District Engineer will transmit the signed agreement to the non-Federal 
entity.
    (6) The Division Engineer will review the (partial) design 
memorandum, and, if it meets the relevant criteria in paragraph (d)(1) 
of this section, will submit it to OCE with the recommendations on 
whether or not the work may proceed subject to reimbursement under the 
agreement.
    (7) The Division Engineer will approve plans and specifications.
    (8) The non-Federal entity will award contract.
    (9) The District Engineer will conduct periodic and final 
inspections.
    (10) Upon completion of the local work, the District Engineer will 
certify the cost data, and that performance has been in accordance with 
the agreement.
    (f) Agreements. Agreements under Section 215 should follow the 
general format presented in paragraph (c)(6) of this section, adapted as 
warranted by the specific case. Each agreement shall:
    (1) Expire 3 years after the date of execution if the non-Federal 
entity has not commenced the work contemplated by the agreement.
    (2) State the time allowed for completion of the work. A reasonable 
time shall be allowed, but normally not over 2 construction seasons.
    (3) Fully describe the work to be accomplished by the non-Federal 
entity and specify the manner in which it will be carried out.
    (4) The agreement will specify that reimbursement by the Federal 
Government will not exceed $1,000,000.
    (5) Provide for necessary review of designs, plans, and 
specifications, by the District Engineer.
    (6) Provide for examination and review of proposed contracts and for 
inspection of the work by the District Engineer for conformance with the 
terms of the agreement.

[[Page 164]]

    (7) State fully the basis on which reimbursement or credit shall be 
determined, and provide for the final adjustment when the balance of the 
Federal project is constructed. If the improvement proposed by the non-
Federal entity includes work that will not become a part of the Federal 
project, the means of determining the part eligible for reimbursement 
shall be fully defined.
    (8) State that such reimbursement shall depend upon appropriation of 
funds applicable to the project and shall not take precedence over other 
pending projects of higher priority.
    (9) Specify that reimbursement or credit for non-Federal work shall 
apply only to that work undertaken after execution of the agreement. The 
term ``work'' shall include advance engineering and design as well as 
actual construction.
    (10) State that the agreement is not to be construed as committing 
the United States to reimbursement if the Federal project is not 
undertaken, or if the Federal project should be modified in such a way 
that the work performed by the non-Federal entity does not constitute a 
part thereof.
    (11) Contain applicable equal employment clauses from Armed Services 
Procurement Regulations.
    (g) Nature and amount of reimbursement. (1) The non-Federal entity 
may be reimbursed by a payment of cash, or, preferably, by reductions in 
any non-Federal contribution to the Federal project that may have been 
required by the legislation authorizing it, or by a combination of cash 
and such reductions.
    (2) The amount of reimbursement shall equal the approved 
expenditures made by the non-Federal entity for work that would have 
been accomplished at Federal expense if the entire project were carried 
out by the Corps of Engineers, and as covered in the agreement under 
paragraphs (f) (7) and (10) of this section. The amount of reimbursement 
will not exceed, however, the amount that the District Engineer finds to 
be a reasonable estimate of the reduction in Federal expenditure 
resulting from construction by the non-Federal entity.

   Appendix A to Part 209--Public Law 90-483, 90th Congress, S. 3710, 
                             August 13, 1968

    An act authorizing the construction, repair, and preservation of 
certain public works on rivers and harbors for navigation, flood 
control, and for other purpose. (82 Stat. 731).

                                * * * * *

    Sec. 215. (a) The Secretary of the Army, acting through the Chief of 
Engineers, may, when he determines it to be in the public interest, 
enter into agreement providing for reimbursement to States or political 
subdivisions thereof for work to be performed by such non-Federal public 
bodies at water resources development projects authorized for 
construction under the Secretary of the Army and the supervision of the 
Chief of Engineers. Such agreements may provide for reimbursement of 
installation costs incurred by such entities or an equivalent reduction 
in the contributions they would otherwise be required to make, or in 
appropriate cases, for a combination thereof. The amount of Federal 
reimbursement, including reductions in contributions, for a single 
project shall not exceed $1,000,000.
    (b) Agreements entered into pursuant to this section shall (1) fully 
describe the work to be accomplished by the non-Federal public body, and 
be accompanied by an engineering plan if necessary therefor; (2) specify 
the manner in which such work shall be carried out; (3) provide for 
necessary review of design and plans, and inspection of the work by the 
Chief of Engineers or his designee; (4) state the basis on which the 
amount of reimbursement shall be determined; (5) state that such 
reimbursement shall be dependent upon the appropriation of funds 
applicable thereto or funds available therefor, and shall not take 
precedence over other pending projects of higher priority for 
improvements; and (6) specify that reimbursement or credit for non-
Federal installation expenditures shall apply only to work undertaken or 
Federal projects after project authorization and execution of the 
agreement, and does not apply retroactively to past non-Federal work. 
Each such agreement shall expire three years after the date on which it 
is executed if the work to be undertaken by the non-Federal public body 
has not commenced before the expiration of that period. The time allowed 
for completion of the work will be determined by the Secretary of the 
Army, acting through the Chief of Engineers, and stated in the 
agreement.
    (c) No reimbursement shall be made, and no expenditure shall be 
credited, pursuant to this section, unless and until the Chief of 
Engineers or his designee, has certified that the work for which 
reimbursement or credit is

[[Page 165]]

requested has been performed in accordance with the agreement.
    (d) Reimbursement for work commenced by non-Federal public bodies no 
later than one year after enactment of this section, to carry out or 
assist in carrying out projects for beach erosion control, may be made 
in accordance with the provisions of section 2 of the Act of August 13, 
1946, as amended (33 U.S.C. 426f). Reimbursement for such work may, as 
an alternative, be made in accordance with the provisions of this 
section, provided that agreement required herein shall have been 
executed prior to commencement of the work. Expenditures for projects 
for beach erosion control commenced by non-Federal public bodies 
subsequent to one year after enactment of this section may be reimbursed 
by the Secretary of the Army, acting through the Chief of Engineers, 
only in accordance with the provisions of this section.
    (e) This section shall not be construed (1) as authorizing the 
United States to assume any responsibilities placed upon a non-Federal 
body by the conditions of project authorization, or (2) as committing 
the United State to reimburse non-Federal interests if the Federal 
project is not undertaken or is modified so as to make the work 
performed by the non-Federal Public body no longer applicable.
    (f) The Secretary of the Army is authorized to allot from any 
appropriations hereafter made for civil works not to exceed $10,000,000 
for any one fiscal year to carry out the provisions of this section. 
This limitation does not include specific project authorizations 
providing for reimbursement.

                                * * * * *

[42 FR 24050, May 12, 1977]



PART 210_PROCUREMENT ACTIVITIES OF THE CORPS OF ENGINEERS--Table of 
Contents




Sec.
210.1 Advance notice to prospective bidders.
210.2 Notice of award.
210.3 Notice to proceed.
210.4 Rules of the Corps of Engineers Board of Contract Appeals for 
          cases not subject to the Contract Disputes Act of 1978.
210.5 Rules of the Corps of Engineers Board of Contract Appeals for 
          cases subject to the Contract Disputes Act of 1978.

    Authority: Secs. 2301-2314, 3012, 70A Stat. 127-133, 157; 10 U.S.C. 
2301-2314, 3012.



Sec. 210.1  Advance notice to prospective bidders.

    In connection with all construction contracts estimated to cost 
$100,000 or more for which an invitation is scheduled to be issued, an 
advance notice to prospective bidders will be prepared sufficiently in 
advance of the actual issuance of the invitation to stimulate interest 
on the part of the greatest possible number of contractors. Advance 
notices may also be prepared on projects estimated to cost less than 
$100,000 and for supplies where considered desirable. ENG Form 3132-R or 
ENG Form 3133-R [set out in paragraphs 205 and 206, Appendix A, Engineer 
Contract Instructions (ER 1180-1-1)] will be used to send advance 
notices to prospective bidders. Lengthy notices may be reproduced and 
mailed using ENG Form 3133-R as a foldover wrapper fastened with a wire 
staple. Advance notices will contain the information required by ENG 
Form 3132-R, but additional information may be added as appropriate. The 
advance notices will:
    (a) Describe the proposed work in sufficient detail to permit 
prospective general contractors, subcontractors and suppliers to 
determine reasonably whether the work is of a nature and volume to 
warrant their buying plans;
    (b) Specify the date by which bidders should return the request card 
in order to receive a complete bid set;
    (c) State the various locations (offices) where plans will be on 
public display, available for inspection without charge; and
    (d) Include for construction contracts a statement as to the 
approximate value of the proposed construction. That statement of value 
shall be in increments as follows: (1) Less than $25,000; (2) the 
nearest multiple of $25,000 up to $100,000; (3) the nearest multiple of 
$100,000 from $100,000 to $1 million; (4) the nearest multiple of 
$500,000 for from $1 million to $10 million; (5) over $10 million for 
all projects of greater estimated value.

Information on several projects for which invitations are scheduled to 
be issued may be grouped in one advance notice provided that information 
on any project or projects is not unduly delayed in order to be grouped 
with others. When an advance notice is used to circularize bidders, 
copies of the invitation, when issued, will be furnished only to those 
prospective bidders who

[[Page 166]]

have returned a request card indicating a desire to submit a bid.

[26 FR 11732, Dec. 7, 1961]



Sec. 210.2  Notice of award.

    The successful bidder will be notified in writing of the acceptance 
of his bid. Under construction contracts, this notice may accompany the 
contract papers which are forwarded for execution. To avoid error, or 
confusing the notice of award with a notice to proceed, the notice of 
award will be substantially in the following format:

    You are hereby notified that your bid dated -------- in the sum of 
$------ covering -------- is accepted. A formal contract will be 
prepared for execution. Acceptable performance and payment bonds (if 
required) must be furnished upon execution of the formal contract. If 
approval of the contract is required by its express terms, the contract 
is not fully executed until such approval is obtained.


Under supply contracts a written award mailed (or otherwise furnished) 
to the successful bidder either on Standard Form 26 or Standard Form 33, 
results in a binding contract without further action by either party.

[26 FR 11732, Dec. 7, 1961]



Sec. 210.3  Notice to proceed.

    (a) General. When the contract specifies the time when the 
contractor is to proceed with the work under the contract, a notice to 
proceed will not be required. However, in any case where the contract 
requires the issuance of a notice to proceed the notice will fix the 
time for the commencement of the work and also, if appropriate, will fix 
the time for the completion of the work. The notice to proceed should be 
issued on a form letter, reproduced on local letterhead paper from a 
master copy, which will preclude repetitive typing of stereotype data. 
The notice to proceed will be executed in a sufficient number of copies 
to meet the contract distribution requirements in paragraph 30-206, 
Engineer Contract Instructions (ER 1180-1-1), and will bear the contract 
number in the upper right-hand corner of the notice.
    (b) Contractor's acknowledgment. When a notice to proceed is issued, 
the contractor will acknowledge receipt thereof by signing and dating 
all copies of the acknowledgment and returning all but one copy to the 
contracting officer.
    (c) Proceeding before approval of bonds. It is not necessary to 
delay commencement under the contract pending approval of bonds by The 
Judge Advocate General. Such action will be at the discretion of the 
contracting officer. In the event exceptions are taken to the bonds the 
contractor will immediately take steps to remove such exceptions or 
submit new bonds.
    (d) Commencing performance. Contractors in no case will be required 
to commence performance prior to the commencement date fixed in the 
contract or in the notice to proceed. If they voluntarily do so and the 
contract is not ultimately signed, or approved when required, such 
action is at their own risk and without liability on the part of the 
Government. Contractors will not be required to commence performance 
until:
    (1) Performance and payment bonds have been furnished, when 
required;
    (2) The award has been approved when approval is required; and
    (3) Notice to proceed has been forwarded to the contractor where 
required.

[26 FR 11732, Dec. 7, 1961]



Sec. 210.4  Rules of the Corps of Engineers Board of Contract Appeals 
for cases not subject to the Contract Disputes Act of 1978.

    (a) Preface to rules. (1) The Corps of Engineers Board of Contract 
Appeals is the authorized representative of the Chief of Engineers for 
the purpose of hearing, considering and determining, as fully and 
finally as he might, appeals by contractors from decisions of 
contracting officers or their authorized representative or other 
authorities on disputed questions, taken pursuant to the provision of 
contracts requiring the determination of such appeals by the Chief of 
Engineers or his duly authorized representative or Board.
    (2) When an appeal is taken pursuant to a disputes clause in a 
contract which limits appeals to disputes concerning questions of fact, 
the Board may in its discretion hear, consider and decide all questions 
of law necessary for the complete adjudication of

[[Page 167]]

the issue. In the consideration of an appeal, should it appear that a 
claim is involved which is not cognizable under the terms of the 
contract, the Board may make findings of fact with respect to such a 
claim without expressing an opinion on the question of liability.
    (3) Emphasis is placed upon the sound administration of these rules 
in specific cases, because it is impracticable to articulate a rule to 
fit every possible circumstance which may be encountered. These rules 
will be interpreted so as to secure a just and inexpensive determination 
of appeals without unnecessary delay.
    (4) Preliminary procedures are available to encourage full 
disclosure of relevant and material facts, and to discourage unwarranted 
surprise. The parties are expected to cooperate and to voluntarily 
comply with the intent of such procedures without resort to the Board 
except on controversial questions. The Board may order exchange of 
complicated exhibits prior to hearing in order to expedite the hearing.
    (5) All time limitations specified for various procedural actions 
are computed as maximums, and are not to be fully exhausted if the 
action described can be accomplished in a lesser period. These time 
limitations are similarly eligible for extension in appropriate 
circumstances, on good cause shown.
    (6) Whenever reference is made to contractor, appellant, contracting 
officer, respondent and parties, this shall include respective counsel 
for the parties, as soon as appropriate notices of appearance have been 
filed with the Board.
    (b) Rule 1, Appeals, how taken. Notice of an appeal must be in 
writing and the original, together with two copies, may be filed with 
the contracting officer from whose decision the appeal is taken. The 
notice of appeal shall be mailed or otherwise filed within the time 
specified therefor in the contract or allowed by applicable provision of 
directive or law.
    (c) Rule 2, Notice of appeal, contents of. A notice of appeal should 
indicate that an appeal is thereby intended, and should identify the 
contract (by number) and the decision from which the appeal is taken. 
The notice of appeal should be signed personally by the appellant (the 
contractor making the appeal), or by an officer of the appellant 
corporation or member of the appellant firm, or by the contractor's duly 
authorized representative or attorney. The complaint referred to in Rule 
6 may be filed with the notice of appeal, or the appellant may designate 
the notice of appeal as a complaint, if it otherwise fulfills the 
requirements of a complaint.
    (d) Rule 3, Forwarding of appeals. When a notice of appeal in any 
form has been received by the contracting officer, he shall endorse 
thereon the date of mailing (or date of receipt, if otherwise conveyed) 
and within 10 days shall forward said notice of appeal, together with a 
copy of the decision appealed from, to the Board. Following receipt by 
the Board of the papers described in the next rule (Rule 4), the 
contractor will be promptly advised of its receipt and that the appeal 
is then considered docketed, and the contractor will be furnished a copy 
of these rules.
    (e) Rule 4, Preparation, contents, organization, forwarding and 
status of appeal file--(1) Duties of contracting officer. Following 
receipt of a notice of appeal or advice that an appeal has been filed, 
the contracting officer shall compile and transmit to the Board and the 
government trial attorney an appeal file consisting of all documents 
pertinent to the appeal including in particular:
    (i) The decision and findings of fact from which the appeal was 
taken;
    (ii) The contract including pertinent amendments, specifications, 
plans and drawings;
    (iii) All correspondence between the parties pertinent to the 
appeal, including the letter or letters of claim in response to which a 
decision was issued;
    (iv) Transcripts of any testimony taken during the course of 
proceedings and affidavits or statements of any witnesses on the matter 
in dispute made prior to the filing of the notice of appeal with the 
Board;
    (v) Such additional information as may be considered material.

The contracting officer shall at the same time furnish to the appellant 
a copy of each document in the appeal file except those set forth in 
paragraph (e)(1)(ii) of this section, as to which a

[[Page 168]]

list furnished appellant indicating the specific contractual documents 
included in the file will suffice, and those set forth in paragraph 
(e)(4) of this section.
    (2) Supplementation of appeal file. Within 30 days after receipt of 
its copy of the appeal file the appellant may supplement the same by 
furnishing to the Board any document not contained therein which he 
considers pertinent to the appeal and furnishing two copies of each 
document to the government trial attorney.
    (3) Organization of appeal file. Documents in the appeal file may be 
originals or legible facsimiles or authenticated copies thereof and 
shall be arranged in chronological order, where practicable, numbered 
sequentially, tabbed and indexed to identify the contents of the file.
    (4) Lengthy documents. The Board, on motion of a party, may waive 
the requirement of furnishing to the other party copies of bulky, 
lengthy or out-of-size documents in the appeal file when a party has 
shown that doing so would impose an undue burden. At the time a party 
files with the Board a document as to which such a waiver has been 
granted, he shall notify the other party that the same or a copy is 
available for inspection at the office of the Board or of the party 
filing the same.
    (5) Status of documents in appeal file. Documents in the appeal file 
are considered as evidence in the case. A party to the appeal may at any 
time prior to the conclusion of a hearing or in the case of an appeal 
submitted on the record prior to the date of the notice that the case is 
ready for decision object to the inclusion of any document in the appeal 
file. The Administrative Judge hearing the case will rule on the 
objection as on any other objection to the admission of evidence.
    (f) Rule 5, Dismissal for lack of jurisdiction. Any motion addressed 
to the jurisdiction of the Board shall be promptly filed. Hearing on the 
motion shall be afforded on application of either party, unless the 
Board determines that its decision on the motion will be deferred 
pending hearing on both the merits and the motion. The Board shall have 
the right at any time and on its own motion to raise the issue of its 
jurisdiction to proceed with a particular case, and shall do so by an 
appropriate order, affording the parties an opportunity to be heard 
thereon.
    (g) Rule 6, Pleadings. (1) Within 30 days after receipt of notice of 
docketing of the appeal, as provided in the last sentence of Rule 3, the 
appellant shall file with the Board an original and two copies of a 
complaint setting forth simple, concise and direct statements of each of 
his claims, alleging the basis with appropriate reference to contract 
provisions for each claim, and the dollar amount claimed. This pleading 
shall fulfill the generally recognized requirements of a complaint, 
although no particular form or formality is required. Upon receipt 
thereof, the Recorder of the Board shall serve a copy upon the 
respondent. Should the complaint not be received within 30 days, 
appellant's claim and appeal may, if in the opinion of the Board the 
issues before the Board are sufficiently defined, be deemed to set forth 
his complaint and the respondent shall be so notified.
    (2) Within 30 days from receipt of said complaint, or the aforesaid 
notice from the Recorder of the Board, respondent shall prepare and file 
with the Board an original and two copies of an answer thereto, setting 
forth simple, concise and direct statements of respondent's defenses to 
each claim asserted by appellant. This pleading shall fulfill the 
generally recognized requirements of an answer, and shall set forth any 
affirmative defenses or counter-claims, as appropriate. Upon receipt 
thereof, the Recorder shall serve a copy upon appellant. Should the 
answer not be received within 30 days, the Board may, in its discretion, 
enter a general denial on behalf of the Government, and the appellant 
shall be so notified.
    (h) Rule 7, Ammendments of pleadings or record. (1) The Board upon 
its own initiative or upon application by a party may, in its 
discretion, order a party to make a more definite statement of the 
complaint or answer, or to reply to an answer.
    (2) The Board may, in its discretion, and within the proper scope of 
the appeal, permit either party to amend his pleading upon conditions 
just to both parties. When issues within the proper

[[Page 169]]

scope of the appeal, but not raised by the pleadings or the 
documentation described in Rule 4, are tried by express or implied 
consent of the parties, or by permission of the Board, they shall be 
treated in all respects as if they had been raised therein. In such 
instances motions to amend the pleadings to conform to the proof may be 
entered, but are not required. If evidence is objected to at a hearing 
on the ground that it is not within the issues raised by the pleadings 
or the rule 4 documentation (which shall be deemed part of the pleadings 
for this purpose), it may be admitted within the proper scope of the 
appeal, provided, however, that the objecting party may be granted a 
continuance if necessary to enable him to meet such evidence.
    (i) Rule 8, Hearing--election. (1) Upon receipt of respondent's 
answer or the notice referred to in the last sentence of Rule 6(b), 
appellant shall advise the Board whether he desires a hearing, as 
prescribed in Rules 17 through 25, or whether in the alternative he 
elects to submit his case on the record without a hearing, as prescribed 
in Rule 11.
    (2) In appropriate cases, the appellant shall also elect whether he 
desires the optional accelerated procedure prescribed in Rule 12.
    (j) Rule 9, Pre-hearing briefs. Based on an examination of the 
documentation described in Rule 4, the pleadings and a determination of 
whether the arguments and authorities addressed to the issues are 
adequately set forth therein, the Board may in its discretion require 
the parties to submit pre-hearing briefs in any case in which a hearing 
has been elected pursuant to Rule 8. In the absence of a Board 
requirement therefor, either party may in its discretion, and upon 
appropriate and sufficient notice to the other party, furnish a pre-
hearing brief to the Board. In any case where a pre-hearing brief is 
submitted, it shall be furnished so as to be received by the Board at 
least 15 days prior to the date set for hearing, and a copy shall 
simultaneously be furnished to the other party as previously arranged.
    (k) Rule 10, Pre-hearing or pre-submission conference. (1) When the 
case is to be submitted pursuant to Rule 11, or heard pursuant to Rules 
17 through 25, the Board may, upon its own initiative or upon the 
application of either party, call upon the parties to appear before an 
Administrative Judge of the Board for a conference to consider:
    (i) The simplification or clarification of the issues;
    (ii) The possibility of obtaining stipulations, admissions, 
agreements on documents, understandings on matters already of record or 
similar agreements which will avoid unnecessary proof;
    (iii) The limitation of the number of expert witnesses, or avoidance 
of similar cumulative evidence, if the case is to be heard;
    (iv) The possibility of agreement disposing of all or any of the 
issues in dispute;
    (v) Such other matters as may aid in the disposition of the appeal.
    (2) The results of the conference shall be reduced to writing by the 
Administrative Judge in the presence of the parties, and this writing 
shall thereafter constitute part of the record.
    (l) Rule 11, Submission without a hearing. Although both parties are 
entitled to a hearing under these rules, either party may elect to waive 
a hearing and to submit his case upon the Board record as settled 
pursuant to Rule 13. Such an election by one party shall not preclude 
the other party from requesting and obtaining a hearing. Affidavits, 
depositions, answers to interrogatories and stipulations may be employed 
to supplement other documentary evidence in the Board record. The Board 
may permit such submission to be supplemented by oral arguments, 
transcribed if requested, and by briefs arranged in accordance with Rule 
23.
    (m) Rule 12, Optional accelerated procedure. (1) In appeals 
involving $25,000 or less the appellant may elect to have the appeal 
processed under this rule. The election may be made in the notice of 
appeal, the complaint or by separate correspondence. In the event of 
such election the case will be assigned to a single Administrative Judge 
who will make every effort to render his decision within 30 days of the 
settlement of the record and without regard to the place of the appeal 
on the docket. To

[[Page 170]]

assist in expediting decisions the parties should consider waiving 
pleadings and submitting the case on the record.
    (2) In cases involving $5,000 or less where there is a hearing the 
presiding Administrative Judge may in his discretion at the conclusion 
of the hearing and after such oral argument as he deems appropriate 
render oral summary findings of fact, conclusions and a decision on the 
appeal. The Board will subsequently furnish the parties a typed copy of 
the decision for record and payment purposes and to establish the date 
on which the period for filing a motion for reconsideration under Rule 
29 commences.
    (3) Except as herein modified, these rules otherwise apply in all 
respects.
    (n) Rule 13, Settling the record. (1) The record upon which a Board 
decision is rendered shall consist of the pleadings, the appeal file 
described in Rule 4, pre-hearing orders, memoranda of pre-hearing 
conferences and all evidence admitted by the Board both documentary and 
oral as appearing in the transcript. The record shall at all reasonable 
times be available for inspection by the parties at the office of the 
Board.
    (2) A case submitted on the record pursuant to Rule 11 shall be 
ready for decision when the parties are so notified by the Board. A case 
which is heard shall be ready for decision upon receipt of the 
transcript or upon receipt of the briefs when briefs are to be 
submitted.
    (3) The Board may in any case require either party, with appropriate 
notice to the other party, to submit additional evidence on any matter 
relevant to the appeal. Except as the Board may otherwise order in its 
discretion, no proof shall be received in evidence after completion of 
an oral hearing or after notification by the Board that the case is 
ready for decision in cases submitted on the record.
    (o) Rule 14, Discovery--depositions--(1) General policy. Parties may 
obtain discovery regarding any matter, not privileged, which is relevant 
to the subject matter involved in the appeal. The parties are encouraged 
to engage in voluntary discovery procedures.
    (2) When permitted. The Board may, upon timely motion filed by a 
party after the answer has been filed, order the taking of the testimony 
of any person by deposition upon oral examination or by written 
questions for the purpose of discovery or for use as evidence or for 
both.
    (3) Before who taken--time and place. Depositions shall be taken 
before a person authorized to administer oaths at the place of 
examination. The time, place and manner of taking depositions shall be 
as mutually agreed by the parties or as set forth in the order of the 
Board.
    (4) Protective orders. The Board may in connection with the taking 
of any deposition make any order which justice requires to protect a 
party from annoyance, embarrassment, oppression or undue burden or 
expense.
    (5) Use as evidence. No testimony taken by deposition shall be 
considered as part of the evidence in the hearing of an appeal until it 
is offered and received as evidence at the hearing. It will not 
ordinarily be received in evidence if the deponent is present and can 
testify personally at the hearing. In such cases, however, the 
deposition may be used to contradict or impeach testimony of the witness 
given at the hearing. In cases submitted on the record the Board may in 
its discretion receive depositions as evidence.
    (6) Expenses. Each party shall bear its own expenses associated with 
taking of any deposition.
    (p) Rule 15, Interrogatories; inspection of documents; admission of 
facts. (1) The Board may upon a timely motion filed by either party 
after the filing of the answer permit a party to serve written 
interrogatories upon the opposing party, order a party to produce and 
permit inspection and copying or photographing of designated documents 
or permit the service on a party of a request for the admission of 
facts. The Board in its order shall establish the date for responding to 
the motion.
    (2) The Board may issue protective orders as in the case of 
depositions.
    (q) Rule 16, Service of papers. Service of papers in all proceedings 
pending before the Board may be made personally, or by mailing the same 
in a sealed envelope, registered, or certified, postage prepaid, 
addressed to the party upon whom service shall be made and the date of 
delivery as shown by return

[[Page 171]]

receipt shall be the date of service. Waiver of the service of any 
papers may be noted thereon or on a copy thereof or on a separate paper, 
signed by the parties and filed with the Board.
    (r) Rule 17, Hearings--Where and when held. Hearings will ordinarily 
be held in Washington, D.C., except that, upon request reasonably made 
and upon good cause shown, the Board may in its discretion set the 
hearing at another location. Hearings will be scheduled at the 
discretion of the Board with due consideration to the regular order of 
appeals and other pertinent factors. On request or motion by either 
party and upon good cause shown, the Board may in its discretion advance 
a hearing.
    (s) Rule 18, Notice of hearings. The parties shall be given at least 
15 days notice of the time and place set for hearings. In scheduling 
hearings, the Board will give due regard to the desires of the parties, 
and to the requirement for just and inexpensive determination of appeals 
without unnecessary delay. Notices of hearings shall be promptly 
acknowledged by the parties.
    (t) Rule 19, Unexcused absence of a party. The unexcused absence of 
a party at the time and place set for hearing will not be occasion for 
delay. In the event of such absence, the hearing will proceed and the 
case will be regarded as submitted by the absent party as provided in 
Rule 11.
    (u) Rule 20, Nature of hearings. Hearings shall be as informal as 
may be reasonable and appropriate under the circumstances. Appellant and 
respondent may offer at a hearing on the merits such relevant evidence 
as they deem appropriate and as would be admissible under the generally 
accepted rules of evidence applied in the courts of the United States in 
nonjury trials, subject, however, to the sound discretion of the 
presiding Administrative Judge in supervising the extent and manner of 
presentation of such evidence. In general, admissibility will hinge on 
relevancy and materiality. Letters or copies thereof, affidavits and 
other evidence not ordinarily admissible under the generally accepted 
rules of evidence may be admitted in the discretion of the presiding 
Administrative Judge. The weight to be attached to evidence presented in 
any particular form will be within the discretion of the Board, taking 
into consideration all the circumstances of the particular case. 
Stipulations of fact agreed upon by the parties may be regarded and used 
as evidence at the hearing. The parties may stipulate the testimony that 
would be given by a witness if the witness were present. The Board may 
in any case require evidence in addition to that offered by the parties.
    (v) Rule 21, Examination of witnesses. Witnesses before the Board 
will be examined orally under oath or affirmation, unless the facts are 
stipulated or the presiding administrative Judge shall otherwise order. 
If the testimony of a witness is not given under oath the Board may, if 
it seems expedient, warn the witness that his statements may be subject 
to the provisions of title 18, United States Code, sections 287 and 1001 
and any other provisions of law imposing penalties for knowingly making 
false representations in connection with claims against the United 
States or in any matter within the jurisdiction of any department or 
agency thereof.
    (w) Rule 22, Copies of papers. When books, records, papers or 
documents have been received in evidence, a true copy thereof or of such 
part thereof as may be material or relevant may be substituted therefor, 
during the hearing or at the conclusion thereof.
    (x) Rule 23, Post hearing briefs--(1) General. Briefs must be 
compact, concise, logically arranged and free from burdensome, 
irrelevant, immaterial and scandalous matter. Briefs not complying with 
this rule may be disregarded by the Board.
    (2) Time of submittal. Briefs, including reply briefs, shall be 
submitted at such times and upon such terms as may be agreed to by the 
parties and the presiding Administrative Judge at the conclusion of the 
hearing.
    (3) Length of briefs. Except by permission of the Board on motion, 
principal briefs shall not exceed 100 8\1/2\ by 11 
pages typewritten double space exclusive of any table of contents and 
table of statutes, regulations and cases cited. Reply briefs shall not 
exceed 20 such pages.
    (y) Rule 24, Transcript of proceedings. Testimony and argument at 
hearings

[[Page 172]]

shall be reported verbatim, unless the Board otherwise orders. 
Transcripts of the proceedings shall be supplied to the parties at such 
rates as may be fixed by contract between the Board and the reporter. If 
the proceedings are reported by an employee of the Government, the 
appellant may receive transcripts upon payment to the Government at the 
same rates as those set by contract between the Board and the 
independent reporter.
    (z) Rule 25, Withdrawal of exhibits. After a decision has become 
final the Board may, upon request and after notice to the other party, 
in its discretion permit the withdrawal of original exhibits, or any 
part thereof, by the party entitled thereto. The substitution of true 
copies of exhibits or any part thereof may be required by the Board in 
its discretion as a condition of granting permission for such 
withdrawal.
    (aa) Rule 26, Representation--The appellant. An individual appellant 
may appear before the Board in person, a corporation by an officer 
thereof, a partnership or joint venture by a member thereof, or any of 
these by an attorney at law duly licensed in any state, Commonwealth, 
Territory or in the District of Columbia.
    (bb) Rule 27, Representation--The respondent. Government counsel 
shall be designated to represent the interests of the Government before 
the Board. They shall file notice of appearance with the Board, and 
notice thereof will be given appellant or his attorney in the form 
specified by the Board from time to time. Whenever at any time it 
appears that appellant and Government counsel are in agreement as to 
disposition of the controversy, the Board may suspend further processing 
of the appeal in order to permit reconsideration by the contracting 
officer: Provided, however, That if the Board is advised thereafter by 
either party that the controversy has not been disposed of by agreement, 
the case shall be restored to the Board's calendar without loss of 
position.
    (cc) Rule 28, Decisions. Decisions of the Board will be made in 
writing and authenticated copies thereof will be forwarded 
simultaneously to both parties. The rules of the Board and all final 
orders and decisions (except those required for good cause to be held 
confidential and not cited as precedents) shall be open for public 
inspection at the offices of the Board in Washington, D.C.
    (dd) Rule 29, Motions for reconsideration. A motion for 
reconsideration, if filed by either party, shall set forth specifically 
the ground or grounds relied upon to sustain the motion, and shall be 
filed within 30 days from the date of the receipt of a copy of the 
decision of the Board by the party filing the motion.
    (ee) Rule 30, Dismissal without prejudice. In certain cases, appeals 
docketed before the Board are required to be placed in a suspense status 
and the Board is unable to proceed with disposition thereof for reasons 
not within the control of the Board. In any such case where the 
suspension has continued, or it appears that it will continue, for an 
inordinate length of time, the Board may in its discretion dismiss such 
appeals from its docket without prejudice to their restoration when the 
cause of suspension has been removed.
    (ff) Rule 31, Dismissal for failure to prosecute. Whenever a record 
discloses the failure of the appellant to file documents required by 
these rules, respond to notice or correspondence from the Board, comply 
with orders of the Board or otherwise to indicate an intention to 
continue the prosecution of an appeal filed, the Board may issue an 
order requiring appellant to show cause within thirty days why the 
appeal should not be dismissed for lack of prosecution. If the appellant 
shall fail to show such cause, the appeal may be dismissed with 
prejudice.
    (gg) Rule 32, Ex Parte communications. No Administrative Judge or 
member of the Board's staff shall entertain, nor shall any person 
directly or indirectly involved in an appeal submit to the Board or the 
Board's staff, off the record, any evidence, explanation, analysis or 
advice, whether written or oral, regarding any matter at issue in an 
appeal. This provision does not apply to consultation among Board 
members nor to ex parte communications concerning the Board's 
administrative functions or procedures.

[[Page 173]]

    (hh) Rule 33, Effective date and applicability. These revised rules 
shall take effect on January 14, 1975. They govern all proceedings in 
appeals after they take effect and also all further proceedings in 
appeals then pending, except to the extent that in the opinion of the 
Board, their application in a particular appeal pending when the Rules 
take effect would not be feasible or would work an injustice, in which 
event the former procedure applies.

[Regs., Jan. 7, 1975, DAEN]

[40 FR 2582, Jan. 14, 1975, as amended at 45 FR 19202, Mar. 24, 1980]



Sec. 210.5  Rules of the Corps of Engineers Board of Contract Appeals 
for cases subject to the Contract Disputes Act of 1978.

    (a) Preface to rules--(1) Jurisdiction for considering appeals. The 
Corps of Engineers Board of Contract Appeals (referred to herein as the 
``Board'') shall consider and determine appeals from decisions of 
contracting officers pursuant to the Contract Disputes Act of 1978 (Pub. 
L. 95-563, 41 U.S.C. 601-613) relating to: (i) Civil Works Contracts of 
the Corps of Engineers, (ii) contracts made by any other executive 
agency when such agency or the Administrator for Federal Procurement 
Policy has designated the Board to decide the appeal, or (iii) with the 
approval of the Chief of Engineers, contracts made by any other agency 
when such agency has designated the Board to decide the appeal.
    (2) Location and organization of the Board. (i) The Board's address 
is Room 4108, Pulaski Building, 20 Massachusetts Avenue, NW., 
Washington, DC 20314, telephone (202) 272-0369.
    (ii) The Board consists of a chairman, vice chairman, and other 
members, all of whom are attorneys at law duly licensed by a state, 
commonwealth, territory, or the District of Columbia. In general, the 
appeals are assigned to a panel of at least three members who decide the 
case by a majority vote. Board members are designated Administrative 
Judges.
    (3) Applicability of the Contract Disputes Act of 1978. (i) If a 
contract with an executive agency was awarded before 1 March 1979, and 
if the contracting officer's final decision was issued 1 March 1979 or 
thereafter, the contractor may elect to proceed under the Contract 
Disputes Act of 1978.
    (ii) If a contract with an executive agency was awarded on 1 March 
1979 or thereafter, the Contract Disputes Act is automatically 
applicable.
    (iii) All other appeals are not subject to the Contract Disputes Act 
of 1978 and are controlled by the Board's rules published 14 January 
1975 (33 CFR 210.4).
    (iv) If the Contract Disputes Act is applicable to the appeal, the 
contractor can elect an accelerated procedure if the disputed amount is 
$50,000 or less. If the disputed amount is $10,000 or less the 
contractor has a further right to elect a small claims (expedited) 
procedure. Both of these procedures are described in Rule 12. Particular 
note should be made of the 180 day limit on processing accelerated 
procedure cases and the 120 day limit on processing small claims 
(expedited) procedure cases.
    (4) General guidelines. (i) Emphasis is placed upon the sound 
administration of these rules in specific cases, because it is 
impracticable to articulate a rule to fit every possible circumstance 
which may be encountered. These rules will be interpreted so as to 
secure a just and inexpensive determination of appeals without 
unnecessary delay.
    (ii) Preliminary procedures are available to encourage full 
disclosure of relevant and material facts, and to discourage unwarranted 
surprise. The parties are expected to cooperate and to voluntarily 
comply with the intent of such procedures without resort to the Board 
except on controversial questions. The Board expects the parties to 
exchange complicated exhibits prior to hearing in order to expedite the 
hearing.
    (iii) Whenever reference is made to contractor, appellant, 
contracting officer, respondent, and parties, this shall include 
respective counsel for the parties as soon as appropriate notices of 
appearance have been filed with the Board.
    (b) Rule 1, Appeals, how taken. (1) Notice of an appeal shall be in 
writing and mailed or otherwise furnished to the Board within 90 days 
from the date of

[[Page 174]]

receipt of a contracting officer's decision. A copy thereof shall be 
furnished to the contracting officer from whose decision the appeal is 
taken.
    (2) Where the contractor has submitted a claim of $50,000 or less to 
the contracting officer and has requested a written decision within 60 
days from receipt of the request, and the contracting officer has not 
done so, the contractor may file a notice of appeal as provided in 
paragraph (b)(1) of this section, citing the failure of the contracting 
officer to issue a decision.
    (3) Where the contractor has submitted a claim to the contracting 
officer and the contracting officer has failed to issue a decision 
within a reasonable time, the contractor may file a notice of appeal as 
provided in paragraph (b)(1) of this section, citing the failure to 
issue a decision.
    (4) Upon docketing of appeals filed pursuant to paragraph (b)(2) or 
(3) of this section, the Board may, at its option, stay further 
proceedings pending issuance of a final decision by the contracting 
officer within such period of time as is determined by the Board.
    (5) In lieu of filing a notice of appeal under paragraph (b)(2) or 
(3) of this section, the contractor may request the Board to direct the 
contracting officer to issue a decision in a specified period of time, 
as determined by the Board, in the event of undue delay on the part of 
the contracting officer.
    (c) Rule 2, Notice of appeal, contents of. A notice of appeal should 
indicate that an appeal is being taken and should identify the contract 
(by number), the agency involved in the dispute, the decision from which 
the appeal is taken, and the amount in dispute, if known. The notice of 
appeal should be signed personally by the appellant (the contractor 
taking the appeal), or by the appellant's duly authorized representative 
or attorney. The complaint referred to in Rule 6 may be filed with the 
notice of appeal, or the appellant may designate the notice of appeal as 
a complaint, if it otherwise fulfills the requirements of a complaint.
    (d) Rule 3, Docketing of appeals. When a notice of appeal in any 
form has been received by the Board, it shall be docketed promptly. 
Notice in writing shall be given to the appellant with a copy of these 
rules, and to the contracting officer.
    (e) Rule 4, Preparation, content, organization, forwarding, and 
status of appeal file--(1) Duties of Contracting Officer. Within 30 days 
of receipt of an appeal, or notice that an appeal has been filed, the 
contracting officer shall assemble and transmit to the Board an appeal 
file consisting of all documents pertinent to the appeal, including:
    (i) The decision from which the appeal is taken;
    (ii) The contract including specifications and pertinent amendments, 
plans and drawings;
    (iii) All correspondence between the parties relevant to the appeal, 
including the letter or letters of claim in response to which the 
decision was issued;
    (iv) Transcripts of any testimony taken during the course of 
proceedings, and affidavits or statements of any witnesses on the matter 
in dispute made prior to the filing of the notice of appeal with the 
Board; and
    (v) Any additional information considered relevant to the appeal.

Within the same time above specified the contracting officer shall 
furnish the appellant a copy of each document he transmits to the Board, 
except those in paragraph (e)(1)(ii) of this section. As to the latter, 
a list furnished appellant indicating specific contractual documents 
transmitted will suffice.
    (2) Duties of the appellant. Within 30 days after receipt of a copy 
of the appeal file assembled by the contracting officer, the appellant 
shall transmit to the Board any documents not contained therein which he 
considers relevant to the appeal, and furnish two copies of such 
documents to the government trial attorney.
    (3) Organization of appeal file. Documents in the appeal file may be 
originals or legible facsimiles or authenticated copies, and shall be 
arranged in chronological order where practicable, numbered 
sequentially, tabbed, and indexed to identify the contents of the file.
    (4) Lengthy documents. Upon request by either party, the Board may 
waive the requirement to furnish to the other party copies of bulky, 
lengthy, or out-of-size documents in the appeal file

[[Page 175]]

when inclusion would be burdensome. At the time a party files with the 
Board a document as to which such a waiver has been granted he shall 
notify the other party that the document or a copy is available for 
inspection at the offices of the Board or of the party filing same.
    (5) Status of documents in appeal file. Documents contained in the 
appeal file are considered, without further action by the parties, as 
part of the record upon which the Board will render its decision. 
However, a party may object, for reasons stated, to consideration of a 
particular document or documents reasonably in advance of hearing or, if 
there is no hearing, of settling the record. If such objection is made 
the Board shall remove the document or documents from the appeal file 
and permit the party offering the document to move its admission as 
evidence in accordance with Rules 13 and 20.
    (6) Notwithstanding the foregoing, the filing of the Rule 4 (1) and 
(2) documents may be dispensed with by the Board either upon request of 
the appellant in his notice of appeal or thereafter upon stipulation of 
the parties.
    (f) Rule 5, Motions. (1) Any motion addressed to the jurisdiction of 
the Board shall be promptly filed. Hearing on the motion shall be 
afforded on application of either party. However, the Board may defer 
its decision on the motion pending hearing on both the merits and the 
motion. The Board shall have the right at any time and on its own 
initiative to raise the issue of its jurisdiction to proceed with a 
particular case, and shall do so by an appropriate order, affording the 
parties an opportunity to be heard thereon.
    (2) The Board may entertain and rule upon other appropriate motions.
    (g) Rule 6, Pleadings--(1) Appellant. Within 30 days after receipt 
of notice of docketing of the appeal, the appellant shall file with the 
Board an original and two copies of a complaint setting forth simple, 
concise and direct statements of each of its claims. Appellant shall 
also set forth the basis, with appropriate reference to contract 
provisions, of each claim and the dollar amount claimed, to the extent 
known. This pleading shall fulfill the generally recognized requirements 
of a complaint, although no particular form is required. Upon receipt of 
the complaint, the Board shall serve a copy of it upon the Government. 
Should the complaint not be received within 30 days, appellant's claim 
and appeal may, if in the opinion of the Board the issues before the 
Board are sufficiently defined, be deemed to set forth its complaint and 
the Government shall be so notified.
    (2) Government. Within 30 days from receipt of the complaint, or the 
aforesaid notice from the Board, the Government shall prepare and file 
with the Board an original and two copies of an answer thereto. The 
answer shall set forth simple, concise and direct statements of 
Government's defenses to each claim asserted by appellant, including any 
affirmative defenses available. Upon receipt of the answer, the Board 
shall serve a copy upon appellant. Should the answer not be received 
within 30 days, the Board may, in its discretion, enter a general denial 
on behalf of the Government, and the appellant shall be so notified.
    (h) Rule 7, Amendments of pleadings or record. The Board upon its 
own initiative or upon application by a party may order a party to make 
a more definite statement of the complaint or answer, or to reply to an 
answer. The Board may, in its discretion, and within the proper scope of 
the appeal, permit either party to amend its pleading upon conditions 
fair to both parties. When issues within the proper scope of the appeal, 
but not raised by the pleadings, are tried by express or implied consent 
of the parties, or by permission of the Board, they shall be treated in 
all respects as if they had been raised therein. In such instances, 
motions to amend the pleadings to conform to the proof may be entered, 
but are not required. If evidence is objected to at a hearing on the 
ground that it is not within the issues raised by the pleadings, it may 
be admitted within the proper scope of the appeal, provided, however, 
that the objecting party may be granted a continuance if necessary to 
enable it to meet such evidence.
    (i) Rule 8, Hearing election. After filing of the Government's 
answer or notice from the Board that it has entered

[[Page 176]]

a general denial on behalf of the Government, each party shall advise 
whether it desires a hearing as prescribed in Rules 17 through 25, or 
whether it elects to submit its case on the record without a hearing, as 
prescribed in Rule 11.
    (j) Rule 9, Prehearing briefs. Based on an examination of the 
pleadings, and its determination of whether the arguments and 
authorities addressed to the issues are adequately set forth therein, 
the Board may, in its discretion, require the parties to submit 
prehearing briefs in any case in which a hearing has been elected 
pursuant to Rule 8. If the Board does not require prehearing briefs 
either party may, in its discretion and upon appropriate and sufficient 
notice to the other party, furnish a prehearing brief to the Board. In 
any case where a prehearing brief is submitted, it shall be furnished so 
as to be received by the Board at least 15 days prior to the date set 
for hearing, and a copy shall simultaneously be furnished to the other 
party as previously arranged.
    (k) Rule 10, Prehearing or presubmission conference. (1) Whether the 
case is to be submitted pursuant to Rule 11, or heard pursuant to Rules 
17 through 25, the Board may upon its own initiative, or upon the 
application of either party, arrange a telephone conference or call upon 
the parties to appear before an administrative judge or examiner of the 
Board for a conference to consider:
    (i) Simplification, clarification, or severing of the issues;
    (ii) The possibility of obtaining stipulations, admissions, 
agreements and rulings on admissibility of documents, understandings on 
matters already of record, or similar agreements that will avoid 
unnecessary proof;
    (iii) Agreements and rulings to facilitate discovery;
    (iv) Limitation of the number of expert witnesses, or avoidance of 
similar cumulative evidence;
    (v) The possibility of agreement disposing of any or all of the 
issues in dispute; and
    (vi) Such other matters as may aid in the disposition of the appeal.
    (2) The administrative judge or examiner of the Board shall make 
such rulings and orders as may be appropriate to aid in the disposition 
of the appeal. The results of pre-trial conferences, including any 
rulings and orders, shall be reduced to writing by the administrative 
judge or examiner and this writing shall thereafter constitute a part of 
the record.
    (l) Rule 11, Submission without a hearing. Either party may elect to 
waive a hearing and to submit its case upon the record before the Board, 
as settled pursuant to Rule 13. Submission of a case without hearing 
does not relieve the parties from the necessity of proving the facts 
supporting their allegations or defenses. Affidavits, depositions, 
admissions, answers to interrogatories, and stipulations may be employed 
to supplement other documentary evidence in the Board record. The Board 
may permit such submissions to be supplemented by oral argument 
(transcribed if requested), and by briefs arranged in accordance with 
Rule 23.
    (m) Rule 12, Optional SMALL CLAIMS (EXPEDITED) and ACCELERATED 
procedures. These procedures are available solely at the election of the 
appellant.
    (1) Sub-Rule 12.1 Elections to utilize SMALL CLAIMS (EXPEDITED) and 
ACCELERATED procedures. (i) In appeals where the amount in dispute is 
$10,000 or less, the appellant may elect to have the appeal processed 
under a SMALL CLAIMS (EXPEDITED) procedure requiring decision of the 
appeal, whenever possible, within 120 days after the Board receives 
written notice of the appellant's election to utilize this procedure. 
The details of this procedure appear in sub-Rule 12.2 of this Rule. An 
appellant may elect the ACCELERATED procedure rather than the SMALL 
CLAIMS (EXPEDITED) procedure for any appeal eligible for the SMALL 
CLAIMS (EXPEDITED) procedure.
    (ii) In appeals where the amount in dispute is $50,000 or less, the 
appellant may elect to have the appeal processed under an ACCELERATED 
procedure requiring decision of the appeal, whenever possible, within 
180 days after the Board receives written notice of the appellant's 
election to utilize this procedure. The details of this procedure appear 
in sub-Rule 12.3 of this Rule.

[[Page 177]]

    (iii) The appellant's election of either the SMALL CLAIMS 
(EXPEDITED) procedure or the ACCELERATED procedure may be made by 
written notice within 60 days after receipt of notice of docketing, 
unless such period is extended by the Board for good cause. The election 
may not be withdrawn except with permission of the Board and for good 
cause.
    (2) Sub-Rule 12.2, The SMALL CLAIMS (EXPEDITED) procedure. (i) In 
cases proceeding under the SMALL CLAIMS (EXPEDITED) procedure, the 
following time periods shall apply:
    (A) Within 10 days from the Government's first receipt from either 
the appellant or the Board of a copy of the appellant's notice of 
election of the SMALL CLAIMS (EXPEDITED) procedure, the Government shall 
send the Board a copy of the contract, the contracting officer's final 
decision, and the appellant's claim letter or letters, if any; remaining 
documents required under Rule 4 shall be submitted in accordance with 
times specified in that rule unless the Board otherwise directs;
    (B) Within 15 days after the Board has acknowledged receipt of 
appellant's notice of election, the assigned administrative judge shall 
take the following actions, if feasible, in an informal meeting or a 
telephone conference with both parties: (1) Identify and simplify the 
issues; (2) establish a simplified procedure appropriate to the 
particular appeal involved; (3) determine whether either party wants a 
hearing, and if so, fix a time and place therefor; (4) require the 
Government to furnish all the additional documents relevant to the 
appeal; and (5) establish an expedited schedule for resolution of the 
appeal.
    (ii) Pleadings, discovery, and other prehearing activity will be 
allowed only as consistent with the requirement to conduct the hearing 
on the date scheduled, or if no hearing is scheduled, to close the 
record on a date that will allow decisions within the 120-day limit. The 
Board, in its discretion, may impose shortened time periods for any 
actions prescribed or allowed under these rules, as necessary to enable 
the Board to decide the appeal within the 120-day limit, allowing 
whatever time, up to 30 days, that the Board considers necessary for the 
preparation of the decision after closing the record and the filing of 
briefs, if any.
    (iii) Written decision by the Board in cases processed under the 
SMALL CLAIMS (EXPEDITED) procedure will be short and contain only 
summary findings of fact and conclusions. Decisions will be rendered for 
the Board by a single administrative judge. If there has been a hearing, 
the administrative judge presiding at the hearing may, in the judge's 
discretion, at the conclusion of the hearing and after entertaining such 
oral arguments as deemed appropriate, render on the record oral summary 
findings of fact, conclusions, and a decision of the appeal. Whenever 
such an oral decision is rendered, the Board will subsequently furnish 
the parties a typed copy of such oral decision for record and payment 
purposes and to establish the starting date for the period for filing a 
motion for reconsideration under Rule 29.
    (iv) A decision against the Government or the contractor shall have 
no value as precedent, and in the absence of fraud shall be final and 
conclusive and may not be appealed or set aside.
    (3) Sub-Rule 12.3, The ACCELERATED procedure. (i) In cases 
proceeding under the ACCELERATED procedure, the parties are encouraged, 
to the extent possible consistent with adequate presentation of their 
factual and legal positions, to waive pleadings, discovery, and briefs. 
The Board, in its discretion, may shorten time periods prescribed or 
allowed elsewhere in these Rules, including Rule 4, as necessary to 
enable the Board to decide the appeal within 180 days after the Board 
has received the appellant's notice of election of the ACCELERATED 
procedure, and may reserve 30 days for preparation of the decision.
    (ii) Written decisions by the Board in cases processed under the 
Accelerated procedure will normally be short and contain only summary 
findings of fact and conclusions. Decisions will be rendered for the 
Board by a single Administrative Judge with the concurrence of the 
Chairman or the Vice Chairman or other designated Administrative Judge, 
or by a majority among these

[[Page 178]]

two and an additional designated member in case of desagreement. 
Alternatively, in cases where the amount in dispute is $10,000 or less 
as to which the Accelerated procedure has been elected and in which 
there has been a hearing, the single Administrative Judge presiding at 
the hearing may, with the concurrence of both parties, at the conclusion 
of the hearing and after entertaining such oral arguments as he deems 
appropriate, render on the record oral summary findings of fact, 
conclusions, and a decision of the appeal. Whenever such an oral 
decision is rendered, the Board will subsequently furnish the parties a 
typed copy of such oral decision for record and payment purposes and to 
establish the date of commencement of the period for filing a motion for 
reconsideration under Rule 29.
    (4) Sub-Rule 12.4, Motions for reconsideration in Rule 12 Cases. 
Motions for Reconsideration of cases decided under either the SMALL 
CLAIMS (EXPEDITED) procedure or the ACCELERATED procedure need not be 
decided within the original 120-day or 180-day limit, but all such 
motions shall be processed and decided rapidly so as to fulfill the 
intent of this Rule.
    (n) Rule 13, Settling the record. (1) The record upon which the 
Board's decision will be rendered consists of the documents furnished 
under Rules 4 and 12, to the extent admitted in evidence, and the 
following items, if any: pleadings, prehearing conference memoranda or 
orders, prehearing briefs, depositions or interrogatories received in 
evidence, admissions, stipulations, transcripts of conferences and 
hearings, hearing exhibits, post-hearing briefs, and documents which the 
Board has specifically designated be made a part of the record. The 
record will, at all reasonable times, be available for inspection by the 
parties at the office of the Board.
    (2) Except as the Board may otherwise order in its discretion, no 
proof shall be received in evidence after completion of an oral hearing 
or, in cases submitted on the record, after notification by the Board 
that the case is ready for decision.
    (3) The weight to be attached to any evidence of record will rest 
within the sound discretion of the Board. The Board may in any case 
require either party, with appropriate notice to the other party, to 
submit additional evidence on any matter relevant to the appeal.
    (o) Rule 14, Discovery--depositions--(1) General policy and 
protective orders. The parties are encouraged to engage in voluntary 
discovery procedures. In connection with any deposition or other 
discovery procedure, the Board may make any order required to protect a 
party or person from annoyance, embarrassment, or undue burden or 
expense. Those orders may include limitations on the scope, method, time 
and place for discovery, and provisions for protecting the secrecy of 
confidential information or documents.
    (2) When depositions permitted. After an appeal has been docketed 
and complaint filed, the parties may mutually agree to, or the Board 
may, upon application of either party, order the taking of testimony of 
any person by deposition upon oral examination or written 
interrogatories before any officer authorized to administer oaths at the 
place of examination, for use as evidence or for purpose of discovery. 
The application for order shall specify whether the purpose of the 
deposition is discovery or for use as evidence.
    (3) Orders on depositions. The time, place, and manner of taking 
depositions shall be as mutually agreed by the parties, or failing such 
agreement, governed by order of the Board.
    (4) Use as evidence. No testimony taken by depositions shall be 
considered as part of the evidence in the hearing of an appeal until 
such testimony is offered and received in evidence at such hearing. It 
will not ordinarily be received in evidence if the deponent is present 
and can testify at the hearing. In such instances, however, the 
deposition may be used to contradict or impeach the testimony of the 
deponent given at the hearing. In cases submitted on the record, the 
Board may, in its discretion, receive depositions to supplement the 
record.
    (5) Expenses. Each party shall bear its own expenses associated with 
the taking of any deposition.
    (6) Subpoenas. Where appropriate, a party may request the issuance 
of a

[[Page 179]]

subpoena under the provisions of Rule 21.
    (p) Rule 15, Interrogatories to parties, admission of facts, and 
production and inspection of documents. After an appeal has been 
docketed and complaint filed with the Board, a party may serve on the 
other party: (1) Written interrogatories to be answered separately in 
writing, signed under oath and answered or objected to within 30 days 
after service; (2) a request for the admission of specified facts and/or 
the authenticity of any documents, to be answered or objected to within 
30 days after service; the factual statements and the authenticity of 
the documents to be deemed admitted upon failure of a party to respond 
to the request; and (3) a request for the production, inspection and 
copying of any documents or objects not privileged, which reasonably may 
lead to the discovery of admissible evidence, to be answered or objected 
to within 30 days after service. Any discovery engaged in under this 
Rule shall be subject to the provisions of Rule 14(1) with respect to 
general policy and protective orders, and of Rule 35 with respect to 
sanctions.
    (q) Rule 16, Service of papers other than subpoenas. Papers shall be 
served personally or by mail, addressed to the party upon whom service 
is to be made. Copies of complaints, answers and briefs shall be filed 
directly with the Board. The party filing any other paper with the Board 
shall send a copy thereof to the opposing party, noting on the paper 
filed with the Board that a copy has been so furnished. Subpoenas shall 
be served as provided in Rule 21.
    (r) Rule 17, Hearings: Where and when held. Hearings will be held at 
such places determined by the Board to best serve the interests of the 
parties and the Board. Hearings will be scheduled at the discretion of 
the Board with due consideration to the regular order of appeals, Rule 
12 requirements, and other pertinent factors. On request or motion by 
either party and for good cause, the Board may, in its discretion, 
adjust the date of a hearing.
    (s) Rule 18, Notice of hearings. The parties shall be given at least 
15 days notice of the time and place set for hearings. In scheduling 
hearings, the Board will consider the desires of the parties and the 
requirements for just and inexpensive determination of appeals without 
unnecessary delay. Notices of hearings shall be promptly acknowledged by 
the parties.
    (t) Rule 19, Unexcused absence of a party. The unexcused absence of 
a party at the time and place set for hearing will not be occasion for 
delay. In the event of such absence, the hearing will proceed and the 
case will be regarded as submitted by the absent party as provided in 
Rule 11.
    (u) Rule 20, Hearings: Nature, examination of witnesses--(1) Nature 
of hearings. Hearings shall be as informal as may be reasonable and 
appropriate under the circumstances. Appellant and the Government may 
offer such evidence as they deem appropriate and as would be admissible 
under the Federal Rules of Evidence or in the sound discretion of the 
presiding administrative judge or examiner. Stipulations of fact agreed 
upon by the parties may be regarded and used as evidence at the hearing. 
The parties may stipulate the testimony that would be given by a witness 
if the witness were present. The Board may require evidence in addition 
to that offered by the parties.
    (2) Examination of witnesses. Witnesses before the Board will be 
examined orally under oath or affirmation, unless the presiding 
administrative judge or examiner shall otherwise order. If the testimony 
of a witness is not given under oath, the Board may advise the witness 
that his statements may be subject to the provisions of title 18, United 
States Code, sections 287 and 1001, and any other provision of law 
imposing penalties for knowingly making false representations in 
connection with claims against the United States or in any matter within 
the jurisdiction of any department or agency thereof.
    (v) Rule 21, Subpoenas--(1) General. Upon written request of either 
party filed with the recorder, or on his own initiative, the 
administrative judge to whom a case is assigned or who is otherwise 
designated by the chairman may issue a subpoena requiring:
    (i) Testimony at a deposition. The deposing of a witness in the city 
or county where he resides or is employed or transacts his business in 
person, or at

[[Page 180]]

another location convenient for him that is specifically determined by 
the Board;
    (ii) Testimony at a hearing. The attendance of a witness for the 
purpose of taking testimony at a hearing; and
    (iii) Production of books and papers. In addition to paragraph 
(v)(1) (i) or (ii) of this section, the production by the witness at the 
deposition or hearing of books and papers designated in the subpoena
    (2) Voluntary cooperation. Each party is expected: (i) To cooperate 
and make available witnesses and evidence under its control as requested 
by the other party, without issuance of a subpoena, and (ii) to secure 
voluntary attendance of desired third-party witnesses and production of 
desired third-party books, papers, documents, or tangible things 
whenever possible.
    (3) Requests for subpoenas. (i) A request for subpoena shall 
normally be filed at least:
    (A) 15 days before a scheduled deposition where the attendance of a 
witness at a deposition is sought;
    (B) 30 days before a scheduled hearing where the attendance of a 
witness at a hearing is sought.

In its discretion the Board may honor requests for subpoenas not made 
within these time limitations.
    (ii) A request for a subpoena shall state the reasonable scope and 
general relevance to the case of the testimony and of any books and 
papers sought.
    (4) Requests to quash or modify. Upon written request by the person 
subpoenaed or by a party, made within 10 days after service but in any 
event not later than the time specified in the subpoena for compliance, 
the Board may: (i) Quash or modify the subpoena if it is unreasonable 
and oppressive or for other good cause shown, or (ii) require the person 
in whose behalf the subpoena was issued to advance the reasonable cost 
of producing subpoenaed books and papers. Where ciurcumstances require, 
the Board may act upon such a request at any time after a copy has been 
served upon the opposing party.
    (5) Form; issuance. (i) Every subpoena shall state the name of the 
Board and the title of the appeal, and shall command each person to whom 
it is directed to attend and give testimony, and if appropriate, to 
produce specified books and papers at a time and place therein 
specified. In issuing a subpoena to a requesting party, the 
administrative judge shall sign the subpoena and may, in his discretion, 
enter the name of the witness and otherwise leave it blank. The party to 
whom the subpoena is issued shall complete the subpoena before service.
    (ii) Where the witness is located in a foreign country, a letter 
rogatory or subpoena may be issued and served under the circumstances 
and in the manner provided in 28 U.S.C. 1781-1784.
    (6) Service. (i) The party requesting issuance of a subpoena shall 
arrange for service.
    (ii) A subpoena requiring the attendance of a witness at a 
deposition or hearing may be served at any place. A subpoena may be 
served by a United States marshal or deputy marshal, or by any other 
person who is not a party and not less than 18 years of age. Service of 
a subpoena upon a person named therein shall be made by personally 
delivering a copy to that person and tendering the fees for one day's 
attendance and the mileage provided by 28 U.S.C 1821 or other applicable 
law; however, where the subpoena is issued on behalf of the Government, 
money payments need not be tendered in advance of attendance.
    (iii) The party at whose instance a subpoena is issued shall be 
responsible for the payment of fees and mileage of the witness and of 
the officer who serves the subpoena. The failure to make payment of such 
charges on demand may be deemed by the Board as a sufficient ground for 
striking the testimony of the witness and the books or papers the 
witness has produced.
    (7) Contumacy or refusal to obey a subpoena. In case of contumacy or 
refusal to obey a subpoena by a person who resides, is found, or 
transacts business within the jurisdiction of a United States District 
Court, the Board will apply to the Court through the Attorney General of 
the United States for an order requiring the person to appear before the 
Board or a member thereof to give testimony or produce evidence or both. 
Any failure of any such person to obey the order of the Court may be

[[Page 181]]

punished by the Court as a contempt thereof.
    (w) Rule 22, Copies of papers. When books, records, papers, or 
documents have been received in evidence, a true copy thereof or of such 
part thereof as may be material or relevant may be substituted therefor, 
during the hearing or at the conclusion thereof.
    (x) Rule 23, Post-hearing briefs. Post-hearing briefs may be 
submitted upon such terms as may be directed by the presiding 
administrative judge or examiner at the conclusion of the hearing.
    (y) Rule 24, Transcript of proceedings. Testimony and argument at 
hearings shall be reported verbatim, unless the Board otherwise orders. 
Waiver of transcript may be especially suitable for hearings under sub-
rule 12.2. Transcripts or copies of the proceedings shall be supplied to 
the parties at the actual cost of duplication.
    (z) Rule 25, Withdrawal of exhibits. After a decision has become 
final the Board may, upon request and after notice to the other party, 
in its discretion permit the withdrawal of original exhibits, or any 
part thereof, by the party entitled thereto. The substitution of true 
copies of exhibits or any part thereof may be required by the Board in 
its descretion as a conditon of granting permission for such withdrawal.
    (aa) Rule 26, Representation: The Appellant. An individual appellant 
may appear before the Board in person, a corporation by one of its 
officers; and a partnership or joint venture by one of its members; or 
any of these by an attorney at law duly licensed in any state, 
commonwealth, territory, the District of Columbia, or in a foreign 
country. An attorney representing an appellant shall file a written 
notice of appearance with the Board.
    (bb) Rule 27, Representation: The Government. Government counsel 
may, in accordance with their authority, represent the interest of the 
Government before the Board. They shall file notices of appearance with 
the Board, and notice thereof will be given appellant or appellant's 
attorney in the form specified by the Board from time of time.
    (cc) Rule 28, Decisions. Decisions of the Board will be made in 
writing and authenticated copies of the decision will be forwarded 
simultaneously to both parties. The rules of the Board and all final 
orders and decisions (except those required for good cause to held 
confidential and not cited as precedents) shall be open for public 
inspection at the offices of the Board. Decisions of the Board will be 
made solely upon the record, as described in Rule 13.
    (dd) Rule 29, Motion for reconsideration. A motion for 
reconsideration may be file by either party. It shall set forth 
specifically the grounds relied upon to sustain the motion. The motion 
shall be filed within 30 days from the date of the receipt of a copy of 
the decision of the Board by the party filing the motion.
    (ee) Rule 30, Suspensions; dismissal without prejudice. The Board 
may suspend the proceedings by agreement of counsel for settlement 
discussions, or for good cause shown. In certain cases, appeals docketed 
before the Board are required to be placed in a suspense status and the 
Board is unable to proceed with disposition thereof for reasons not 
within the control of the Board. Where the suspension has continued, or 
may continue for an inordinate length of time, the Board may, in its 
discretion, dismiss such appeals from its docket without prejudice to 
their restoration when the cause of suspension has been removed. Unless 
either party or the Board acts within three years to reinstate any 
appeal dismissed without prejudice, the dismissal shall be deemed with 
prejudice.
    (ff) Rule 31, Dismissal or default for failure to prosecute or 
defend. Whenever a record discloses the failure of either party to file 
documents required by these rules, respond to notices or correspondence 
from the Board, comply with orders of the Board, or otherwise indicates 
an intention not to continue the prosecution or defense of an appeal, 
the Board may, in the case of a default by the appellant, issue an order 
to show cause why the appeal should not be dismissed or, in the case of 
a default by the Government, issue an order to show cause why the Board 
should not act thereon pursuant to Rule 35. If good

[[Page 182]]

cause is not shown, the Board may take appropriate action.
    (gg) Rule 32, Remand from court. Whenever any court remands a case 
to the Board for further proceedings, each of the parties shall, within 
20 days of such remand, submit a report to the Board recommending 
procedures to be followed so as to comply with the court's order. The 
Board shall consider the reports and enter special orders governing the 
handling of the remanded case. To the extent the court's directive and 
time limitations permit, such orders shall conform to these rules.
    (hh) Rule 33, Time, computation and extensions. (1) Where possible, 
procedural actions should be taken in less time than the maximum time 
allowed. Where appropriate and justified, however, extensions of time 
will be granted. All requests for extensions of time shall be in 
writing.
    (2) In computing any period of time, the day of the event from which 
the designated period of time begins to run shall not be included, but 
the last day of the period shall be included unless it is a Saturday, 
Sunday, or a legal holiday, in which event the period shall run to the 
end of the next business day.
    (ii) Rule 34, Ex parte communications. No member of the Board or of 
the Board's staff shall entertain, nor shall any person directly or 
indirectly involved in an appeal, submit to the Board or the Board's 
staff, off the record, any evidence, explanation, analysis, or advice, 
whether written or oral, regarding any matter at issue in an appeal. 
This provision does not apply to consultation among Board members or to 
ex parte communications concerning the Board's administrative functions 
or procedures.
    (jj) Rule 35, Sanctions. If any party fails or refuses to obey an 
order issued by the Board, the Board may then make such order as it 
considers necessary to the just and expeditious conduct of the appeal.
    (kk) Rule 36, Effective date. These rules shall apply: (1) 
Mandatorily, to all appeals relating to contracts entered into on or 
after 1 March 1979, and (2) at the contractor's election, to appeals 
relating to earlier contracts, with respect to claims pending before the 
contracting officer on 1 March 1979 or initiated thereafter.

[45 FR 19202, Mar. 24, 1980]



PART 211_REAL ESTATE ACTIVITIES OF THE CORPS OF ENGINEERS IN CONNECTION 
WITH CIVIL WORKS PROJECTS--Table of Contents




                          Real Estate; General

Sec.
211.1 Real estate defined.
211.2 Authority to acquire real estate.
211.3 Function of Chief of Engineers.
211.4 Acquisition of land.

           Temporary Use by Others of Civil Works Real Estate

211.5 Temporary use; how granted.
211.6 Rights which may be granted by the Secretary of the Army in river 
          and harbor and flood control property.
211.7 Rights which may be granted by Division and District Engineers.
211.8 Limitations on rights which may be granted.
211.9 Applications for leases, easements, licenses, and permits.

        Disposal of Real Estate Acquired for Civil Works Purposes

211.10 Disposition of lands.
211.11 Sale or salvage of buildings, improvements, or crops.
211.12 Exchange of lands.
211.13 Approval of the Office of the Chief of Engineers.

                           Real Estate Claims

211.14 Definition.
211.15 Statutory provisions.
211.16 Scope and application of Army Regulations.
211.17 Authority of Division Engineers, Corps of Engineers to settle 
          claims.
211.18 Action by claimant.
211.19 Place of filing claims.
211.20 Form of claim.
211.21 Evidence to be submitted by claimant.
211.22 Real estate Claims Officers.
211.23 Procedure.
211.24 Disposition of claims.

                  Federal Jurisdiction Over Real Estate

211.25 General considerations in the acquiring of Federal jurisdiction.
211.26 Functions in acquiring Federal jurisdiction.
211.27 Method of acquiring Federal jurisdiction.
211.28 Acceptance of jurisdiction.

[[Page 183]]

Sale of Lands in Reservoir Areas Under Jurisdiction of Department of the 
                Army for Cottage Site Development and Use

211.71 Statutory provisions.
211.72 Definitions.
211.73 Determination of land available for sale.
211.74 Public notice of the availability of land for sale.
211.75 Price.
211.76 Costs of surveys.
211.77 Sale procedure.
211.78 Maintenance and conveyance of access roads.
211.79 Contract of sale.
211.80 Conveyance.
211.81 Reservoir areas.

Reconveyance of Land or Interests Therein Acquired for Grapevine, Garza-
 Little Elm, Benbrook, Belton, and Whitney Reservoir Projects in Texas 
     and Also for the Verdigris River Portion of the McClellan-Kerr 
            Navigation Project in Oklahoma, to Former Owners

211.101 Statutory provisions.
211.102 Definitions.
211.103 Determination of whether land is required for public purposes, 
          including public recreational use.
211.104 Notice to former owners of availability of land for 
          reconveyance.
211.105 Filing of application.
211.106 Filing of objection by abutting owner.
211.107 Notice of agreement between former owner and abutting owner.
211.108 Determination of price.
211.109 Contract of sale.
211.110 Conveyance.
211.111 Certification terminating rights of former owners.

          Conveyances for Public Port or Industrial Facilities

211.141 Statutory provisions.
211.142 Definitions.
211.143 Delegations.
211.144 Notice.
211.145 Filing of application.
211.146 Price.
211.147 Conveyance.

    Authority: Sections 211.1 through 211.4 issued under 5 U.S.C. 301, 
unless otherwise noted.

    Source: 13 FR 8747, Dec. 30, 1948, unless otherwise noted.

                          Real Estate; General



Sec. 211.1  Real estate defined.

    The term real estate as used in this part includes land; buildings; 
piers and wharves; office and storage space; rights-of-way or easements, 
whether temporary or permanent; and any interests which may be acquired 
or held therein for the use or benefit of the United States by the 
Department of the Army or any branch thereof.



Sec. 211.2  Authority to acquire real estate.

    (a) Congressional authority necessary. No land shall be acquired on 
account of the United States except under a law authorizing such 
acquisition. (See R. S. 3736; 41 U. S. C. 14.)
    (b) Authority of the Secretary. The authority of the Secretary of 
the Army to acquire real estate for river and harbor improvements, flood 
control projects and allied purposes, is based upon enactments of the 
Congress authorizing the particular projects and appropriating funds 
therefor. These enactments are generally termed Flood Control Acts and 
are passed following the submission by the Secretary of the Army of 
preliminary plans and surveys to the Congress for consideration and 
approval.
    (c) Local cooperation. As a general rule in river and harbor and 
flood control projects, except channel improvements, channel 
rectifications, dam and reservoir, and certain other types of projects, 
local interests are required to provide without cost to the United 
States, all lands, easements and rights-of-way necessary for the 
construction of the projects.



Sec. 211.3  Function of Chief of Engineers.

    (a) The Chief of Engineers, under the authority of the Secretary of 
the Army, is charged with the responsibility for the acquisition, 
management and disposal of all real estate or interests therein required 
for use by the Department of the Army for river and harbor, flood 
control and allied purposes.



Sec. 211.4  Acquisition of land.

    (a) Real property and interests therein may be acquired by the 
Department of the Army by:
    (1) Purchase.
    (2) Condemnation.
    (3) Transfer from other Government departments and agencies.
    (4) Lease or similar instrument.

[[Page 184]]

    (5) Donation or gift.
    (b) Methods of acquisition--(1) Purchase. It is the policy of the 
Department of the Army to secure title to lands, or the desired interest 
therein, by direct negotiation and purchase, where possible. Each tract 
of land to be acquired is approved by qualified appraisers for the 
purpose of determining the market value. Options for the purchase of 
land will not be negotiated containing reservations or exceptions by 
landowners or subject to outstanding rights in third parties which may 
interfere with the use of the land for which it is being acquired. In no 
case will an option be negotiated in which a vendor excepts or reserves 
the right to repurchase the property, or undertakes to convey subject to 
rights in a third party. Generally, landowners or tenants are authorized 
to reserve, or except from the sale, crops, timber, buildings and 
improvements with the right to remove same within a specified period, 
provided such buildings, etc., are not required for use by the 
Department of the Army. Land is acquired subject to public highways, 
roads, railroads, pipelines, and other utilities, and if it is 
determined that they interfere with the Government's use of the 
property, will be relocated or extinguished by contract between the 
Government and State, county or utility involved. If at any time in the 
course of acquisition by direct purchase, it becomes apparent that 
acquisition by such means will involve substantial delay or cannot be 
accomplished because of title defects which cannot be eliminated within 
a reasonable time, or because of failure to agree on the price to be 
paid, action is taken to acquire the land by condemnation.
    (2) Condemnation. Condemnation of land is accomplished by the 
Secretary of the Army requesting the Attorney General to file a 
condemnation petition and procure an order from the court in the Federal 
Judicial District where the land is located, granting to the United 
States the right of immediate possession. The declaration of taking act 
(40 U.S.C. 258a-d) permits the Government to file a declaration of 
taking in conjunction with the condemnations proceedings, and provides 
that title to the property described therein vests immediately upon 
filing of the declaration in court and deposit of the Government's 
estimate of compensation, named in the declaration, in the registry of 
the court. The court may enter orders directing that all or part of the 
money deposited by the Government be paid to the owner of the land or 
other persons having an interest therein. This payment is without 
prejudice to the landowner's right to seek a higher value for his land 
in the trial of the case before the court. Pending or during the trial 
under condemnation proceedings, negotiations may still be conducted with 
the landowner for the direct purchase of his property, and in the event 
an agreement is reached, action is taken to dismiss the land in question 
from the condemnation proceedings.
    (3) Transfer of land. Transfer of land from other Government 
agencies to the Department of the army is generally accomplished by 
obtaining a use permit, or if the land is desired permanently, then by 
transfer under applicable legislative authority. In the absence of such 
authority, a permit is obtained pending enactment of special legislation 
by the Congress. Public domain land under the Department of the Interior 
may be withdrawn and set aside for the use of the Department of the Army 
by Executive order or a Public Land Order.
    (4) Lease. The negotiation of leases for river and harbor and flood 
control purposes must be approved by the Chief of Engineers or his duly 
authorized representative.

           Temporary Use by Others of Civil Works Real Estate

    Authority: Sections 211.5 through 211.9 issued under R.S. 161; 5 
U.S.C. 301.

    Source: 13 FR 8748, Dec. 30, 1948, unless otherwise noted.



Sec. 211.5  Temporary use; how granted.

    There are three methods by which the temporary use of real estate 
under the control of the Department of the Army may be granted: Lease, 
easement and licenses, or permit.

[[Page 185]]



Sec. 211.6  Rights which may be granted by the Secretary of the Army 
in river and harbor and flood control property.

    (a) Leases. (1) The Secretary of the Army is authorized, whenever he 
shall deem it to be advantageous to the Government, to lease such real 
property under the control of his Department as is not surplus to the 
needs of the Department within the meaning of the act of October 3, 1944 
(58 Stat. 765), and is not for the time required for public use, to such 
lessee or lessees and upon such terms and conditions as in his judgment 
will promote the national defense or will be in the public interest. 
Each such lease shall be for a period not exceeding five years unless 
the Secretary of the Army shall determine that a longer period will 
promote the national defense or will be in the public interest. The 
Secretary of the Army may include, among other terms and conditions in 
the lease, a right of first refusal in the lessee to purchase the 
property in the event of the revocation of the lease in order to permit 
sale thereof by the Government, but this shall not be construed as 
authorizing the sale of any property unless the sale thereof is 
otherwise authorized by law. Each such lease shall contain a provision 
permitting the Secretary of the Army to revoke the lease at any time, 
unless he shall determine that the omission of such provision from the 
lease will promote the national defense or will be in the public 
interest. In any event each such lease shall be revocable by the 
Secretary of the Army during a national emergency declared by the 
President. Notwithstanding section 321 of the act of June 30, 1932 (47 
Stat. 412; 40 U.S.C. 303b), or any other provision of law, any such 
lease may provide for the maintenance, protection, repair, or 
restoration by the lessee, of the property leased or of the entire unit 
or installation where a substantial part thereof is leased, as a part or 
all of the consideration for the lease of such property. In the event 
utilities or services shall be furnished by the Department of the Army 
to the lessee in connection with any lease, payments for utilities or 
services so furnished may be covered into the Treasury to the credit of 
the appropriation or appropriations from which the costs of furnishing 
any such utilities or services to the lessee was paid. Except as 
otherwise provided in this paragraph, any money rentals received by the 
Government directly under any such lease shall be deposited and covered 
into the Treasury as miscellaneous receipts. The authority granted in 
this section shall not apply to oil, mineral, or phosphate lands (10 
U.S.C. 2667).
    (2) The Chief of Engineers, under the supervision of the Secretary 
of the Army, is authorized to construct, maintain, and operate public 
park and recreational facilities in reservoir areas under the control of 
the Department of the Army and to permit the construction, maintenance, 
and operation of such facilities. The Secretary of the Army is 
authorized to grant leases of lands, including structures or facilities 
thereon, in reservoir areas for such periods and upon such terms as he 
may deem reasonable: Provided, That leases to non-profit organizations 
may be granted at reduced or nominal rentals in recognition of the 
public service to be rendered in utilizing the leased premises: Provided 
further, That preference shall be given to Federal, State, or local 
governmental agencies, and licenses may be granted without monetary 
considerations to such agencies for the use of all or any portion of a 
reservoir area, when the Secretary of the Army determines such actions 
to be in the public interest, and for such periods of time and upon such 
conditions as he may find advisable. The water areas of all such 
reservoirs shall be open to the public use generally, without charge, 
for boating, swimming, bathing, fishing, and other recreational 
purposes, and ready access to and exit from such water areas along the 
shores of such reservoirs shall be maintained for general public use, 
when such use is determined by the Secretary of the Army not to be 
contrary to the public interest, all under such rules and regulations as 
the Secretary of the Army may deem necessary. No use of any area to 
which this section applies shall be permitted which is inconsistent with 
the laws for the protection of fish and game of the State in which such 
area is situated. All moneys received

[[Page 186]]

for leases or privileges shall be deposited in the Treasury of the 
United States as miscellaneous receipts. (Sec. 4, act of December 22, 
1944, 58 Stat. 887, 889, as amended by sec. 4, act of July 24, 1946, 60 
Stat. 641, as amended by Sec. 209, act of Sept. 3, 1954, 68 Stat. 1266.)
    (b) Easements. (1) The Secretary of the Army is authorized to grant 
easements for rights-of-way across real estate acquired for civil 
purposes as follows:
    (i) Poles and wires. The Secretary of the Army may grant easements 
for rights-of-way, for periods not exceeding 50 years, for poles and 
lines for the transmission and distribution of electrical power, and for 
poles and lines for telephone and telegraph purposes, over lands under 
his jurisdiction, upon a finding that the same is not incompatible with 
the public interest (see act of March 4, 1911; 36 Stat. 1253, as amended 
by the act of May 27, 1952, 66 Stat. 95; 43 U.S.C. 961). Form of 
easement is ENG Form 1360.
    (ii) Pipelines. The Secretary of the Army may grant easements for 
rights-of-ways for gas, water, and sewer pipelines across lands under 
his control provided that such grants will be in the public interest and 
will not substantially injure the interest of the United States in the 
property affected thereby (10 U.S.C. 2669). Form of easement is ENG Form 
1361.
    (iii) Other easements. The Secretary of the Army is authorized and 
empowered, under such terms and conditions as are deemed advisable by 
him, to grant easements for rights-of-way over, across, in and upon 
acquired lands under his jurisdiction and control, and public lands 
permanently withdrawn or reserved for the use of the Department of the 
Army, to any State, political subdivision thereof, or municipality, or 
to any individual, partnership, or corporation of any State, Territory, 
or possession of the United States, for:
    (A) Railroad tracks;
    (B) Oil pipelines;
    (C) Substations for electric power transmission lines, telephone 
lines, and telegraph lines, and pumping stations for gas, water, sewer, 
and oil pipelines;
    (D) Canals;
    (E) Ditches;
    (F) Flumes;
    (G) Tunnels;
    (H) Dams and reservoirs in connection with fish and wildlife 
programs, fish hatcheries, and other fish-cultural improvements;
    (I) Roads and streets;
    (2) Provided, That:
    (i) Such rights-of-way shall be granted only upon a finding by the 
Secretary of the Army that the same will not be incompatible with the 
public interest.
    (ii) Such rights-of-way shall not include any more land than is 
reasonably necessary for the purpose for which granted.
    (iii) All or any part of such rights-of-way may be annulled and 
forfeited by the Secretary of the Army for failure to comply with the 
terms and conditions of the grant or for the nonuse for a period of two 
consecutive years or abandonment of rights granted (10 U.S.C. 2668).



Sec. 211.7  Rights which may be granted by Division and District 
Engineers.

    (a) Authority of Division and District Engineers. Division 
Engineers, the President of the Mississippi River Commission, and 
District Engineers of districts to which real estate functions have been 
or may be assigned are authorized to lease, in the name of and by 
authority of the Secretary of the Army, lands of the United States and 
improvements thereon, acquired for reservoirs for navigation and flood 
control, subject to the prior approval of the Chief of Engineers. 
Recommendations of District Engineers will be considered by Division 
Engineers and the President of the Mississippi River Commission in 
granting leases and District Engineers will administer the provisions of 
the leases, including the collection and deposit of payments.



Sec. 211.8  Limitations on rights which may be granted.

    (a) Advertising. It is the policy to grant leases to the highest 
responsible bidders after advertising, where competition is practicable. 
Advertising consists of the circularization of notices among former 
owners of the land, owners of adjacent lands, and others known to be 
interested and by the posting of notices in public places, and

[[Page 187]]

publication of notices in newspapers where such publication is deemed 
advisable. Exceptions have been made to this policy in favor of former 
owners in granting leases for agricultural and grazing purposes in 
reservoir areas.
    (b) Consideration. Title 10 U.S.C. 2667 provides that 
notwithstanding section 321 of the act of June 30, 1932 (47 Stat 412; 40 
U.S.C. 303b) or any other provision of law, any such lease may provide 
for the maintenance, protection, repair, or restoration by the lessee, 
of the property leased or of the entire unit or installation where a 
substantial part thereof is leased, as a part or all of the 
consideration for the lease of such property. The consideration will be 
adequate but may consist of money and/or maintenance, protection, 
repair, or restoration by the lessee, of the property leased.
    (c) Consideration in easements and licenses. In order to fully 
protect the interests of the United States, the Secretary of the Army 
will not, without substantial compensation grant to non-government 
agencies, for the purpose of private profit, valuable rights in 
Government property. A fair charge will be made for such privileges, the 
amount to be determined by all the circumstances surrounding the case, 
including an estimate as to what private interest in the vicinity would 
charge for a similar privilege.



Sec. 211.9  Applications for leases, easements, licenses, and permits.

    Applications for use of Civil Works property should be made to the 
District Engineer of the district within the boundaries of which the 
real estate is located. The District Engineer will determine whether the 
property will be required for public use during the period of the 
contemplated grant and whether the requested grant will interfere with 
any operations of the United States.

        Disposal of Real Estate Acquired for Civil Works Purposes

    Authority: Sections 211.10 through 211.13 issued under R.S. 161; 5 
U.S.C. 301.

    Source: 13 FR 8749, Dec. 30, 1948, unless otherwise noted.



Sec. 211.10  Disposition of lands.

    (a) Acts authorizing the Secretary of the Army to dispose of land 
acquired for the improvements of canals, rivers and harbors, or for 
flood control purposes are as follows:
    (1) Section 7 of the act of Congress approved August 30, 1935 (49 
Stat. 1048; 33 U.S.C. 558a) as extended by section 6 of the act approved 
August 18, 1941 (55 Stat. 650; 33 U.S.C. 701c-2, 77th Congress) 
authorizing sale of lands no longer needed for the purpose for which 
acquired.



Sec. 211.11  Sale or salvage of buildings, improvements, or crops.

    (a) Authority of law. When any property (except land) which has been 
heretofore or may be hereafter purchased or acquired for the improvement 
of rivers and harbors or for flood control work is no longer needed, or 
is no longer serviceable, it may be sold in such manner as the Secretary 
of the Army may direct and the proceeds credited to the appropriation 
for the work for which it was purchased or acquired. (Section 5, act of 
June 13, 1902 (32 Stat. 373; 33 U.S.C. 558), as extended by section 3, 
act of March 1, 1917 (39 Stat. 450; 33 U.S.C. 701).)
    (b) Division Engineers. Sales are conducted by the Division 
Engineers, Corps of Engineers.
    (c) Removal of buildings, improvements, or crops other than by sale. 
If the buildings, improvements, or crops cannot be sold, they may be 
salvaged or razed as a part of the work under the project if they are in 
the way of new construction or interfere with the efficient operation of 
the project.



Sec. 211.12  Exchange of lands.

    The Secretary of the Army is authorized to exchange lands acquired 
for river and harbor and flood control projects for privately owned 
lands required for such purposes. (Sec. 2 of the act of June 20, 1938 
(52 Stat. 804; 33 U.S.C. 558b) as extended by sec. 3 of the act of 
August 11, 1939 (53 Stat. 1414, 33 U.S.C. 558b-1).)



Sec. 211.13  Approval of the Office of the Chief of Engineers.

    In any case in which it may be necessary or advisable in the 
execution of

[[Page 188]]

an authorized project to exchange real property of the Government for 
real property required for such project, the Chief of Engineers receives 
a directive from the Secretary of the Army, and effects the exchange 
through the Division Engineers, Corps of Engineers.

                           Real Estate Claims

    Authority: Sections 211.14 through 211.24 issued under R.S. 161; 5 
U.S.C. 301.

    Source: 13 FR 8749, Dec. 30, 1948, unless otherwise noted.



Sec. 211.14  Definition.

    The term real estate claims refers to those demands for payment 
submitted by individuals, partnerships, associations or corporations, 
including States, territories, and political subdivisions thereof, for 
rent, damages, utilities, out-of-pocket expenses and other payments, 
arising under the terms and conditions, whether express or implied, of 
leases or other contracts for the use and occupancy of real estate by 
the Department of the Army or the Army, including right of entry 
permits, options to purchase, and other instruments sufficient to 
support a contractual relationship between the United States and 
property owner, or arising from the use and occupancy of real estate by 
the Department of the Army or the Army with the express or implied 
consent of the owner thereof in the absence of any formal lease or other 
contract therefor.



Sec. 211.15  Statutory provisions.

    (a) All claims and demands whatever against the Government, unless 
there is some special authority for the settlement thereof by the 
department concerned, shall be settled and adjusted in the General 
Accounting Office (see R.S., sec. 236, as amended by act of June 10, 
1921, 42 Stat. 24; 31 U.S.C. 71).
    (b) Meritorious Claims Act. When there is filed in the General 
Accounting Office a claim or demand against the United States that may 
not lawfully be adjusted by the use of an appropriation theretofore 
made, but which claim or demand in the judgment of the Comptroller 
General of the United States contains such elements of legal liability 
or equity as to be deserving of the consideration of the Congress, he 
shall submit the same to the Congress, by a special report containing 
the material facts and his recommendations thereon (act of April 10, 
1928; c. 334, 45 Stat. 413; 31 U.S.C. 236).
    (c) Limitations of time on claims and demands under (a) and (b) of 
this section. The act of October 9, 1940 (54 Stat. 1061; 31 U.S.C. 71a) 
provides that every claim or demand (except a claim or demand by any 
State, Territory, possession or the District of Columbia) against the 
United States cognizable by the General Accounting Office under the act 
of June 10, 1921, and the act of April 10, 1928, will be forever barred 
unless such claim, bearing the signature and address of the claimant or 
of an authorized agent or attorney, will be received in said office 
within ten full years after the date such claim first accrued: Provided, 
however, That when such a claim of any person serving in the military or 
naval forces of the United States accrues in time of war, or when war 
intervenes within five years after its accrual, such claim may be 
presented within five years after peace is established. The act further 
provides that whenever any claim barred by the preceding provision will 
be received in the General Accounting Office, it will be returned to the 
claimant, with a copy of this act (act of October 9, 1940) and such 
action will be a complete response without further communication.
    (d) Domestic Claims Act. The act of July 3, 1943 (57 Stat. 372; 31 
U.S.C. 223b, 223c) as amended by the act of May 29, 1945 (Pub. L. 67, 
79th Congress) and as further amended by the act of June 28, 1946 (Pub. 
L. 466, 79th Congress), provides for the payment of claims arising on or 
after May 27, 1941, for damage to or loss or destruction of property, 
real or personal, caused by military personnel or civilian employees of 
the Department of the Army or of the Army while acting within the scope 
of their employment or otherwise incident to noncombat activities of the 
Department of the Army or of the Army, including claims for damages to 
real property incident to the use and occupation thereof, whether under 
a lease, express or implied, or otherwise, and including claims of the 
foregoing categories arising out of civil works, provided they do not 
exceed $1,000. The act

[[Page 189]]

further provides that the damage to or loss or destruction of property 
shall not have been caused in whole or in part by any negligence or 
wrongful act on the part of the claimant, his agent or employee; that no 
claim shall be settled under the act unless presented in writing within 
one year after the incident out of which such claim arises shall have 
occurred except that if the incident occurs in time of war, or if war 
intervenes within one year after its occurrence, any claim may, on good 
cause shown, be presented within one year after peace is established. 
The Secretary of the Army is authorized to report such claims as exceed 
$1,000 to Congress for its consideration.



Sec. 211.16  Scope and application of Army Regulations.

    (a) AR (Army Regulations) 25-25 has been issued in furtherance of 
the act of July 3, 1943. The regulations in this part, in keeping with 
the terms of the act, apply to claims for damages only. Paragraph 7 of 
AR 25-25 provides that claims for damages to real property incident to 
the use and occupancy thereof by the government under a lease express or 
implied, or otherwise, are payable under this section even though 
legally enforceable against the Government as contract claims. However, 
if deemed preferable in the best interest of the Government claims 
payable under paragraph 7 may be processed to the General Accounting 
Office for direct settlement under sec. 236, Revised Statutes. Claims 
for rent of real property are not payable under AR 25-25.
    (b) AR 100-64 has been issued in furtherance of Section 236, Revised 
Statutes, as amended by the act of June 10, 1921; 42 Stat. 24, 31 U.S.C. 
71. These regulations provide exclusive authority for the consideration 
and settlement of claims for rent and other payments of an express or 
implied contractual nature, and optional authority with AR 25-25 for 
settlement of damages, in excess of $1,000 arising out of the use and 
occupancy of real estate by the Department of the Army or the Army under 
an agreement expressed or implied. AR 100-64 applies to all claims for 
rent regardless of amount and for other payments of a contractual 
nature, for example, claims for electricity, heat, light, water, and 
other out-of-pocket expenses, repairs, etc., where such expenses are not 
included in the lease as a part of the rental consideration.



Sec. 211.17  Authority of Division Engineers, Corps of Engineers to 
settle claims.

    (a) Authority has been delegated to Division Engineers, within the 
geographical limits of their respective jurisdictions, to approve or 
disapprove, in amounts not exceeding $1,000, any claim within the 
purview of the act of July 3, 1943, as amended. Insofar as real estate 
claims are concerned this delegation of authority applies only to claims 
for damages incident to the use and occupancy of real property by the 
Department of the Army or the Army.
    (b) Division Engineers have no authority to settle and make payment 
of claims for damages in excess of $1,000 or for rents or other payments 
of a contractual nature regardless of amount arising out of the use and 
occupation of real estate under an agreement, express or implied, or 
otherwise.



Sec. 211.18  Action by claimant.

    Real estate claims may be presented by the owner of the property or 
his duly authorized agent or legal representative. The word ``owner'', 
as so used, includes lessees, mortgagors, and conditional vendees, but 
does not include mortgagees, conditional vendors, and others having 
title for purposes of security only. The claim, if filed by an agent or 
legal representative, should show the title of the person signing and be 
accompanied by evidence of the appointment of such person as agent, 
executor, administrator, guardian, or other fiduciary.



Sec. 211.19  Place of filing claims.

    All real estate claims should be submitted to the United States 
Division Engineer in whose jurisdiction the claim arises.



Sec. 211.20  Form of claim.

    Claims should be submitted by presenting in triplicate a signed 
statement, giving the claimant's address, setting forth the amount of 
the claim, and, so far as possible, the detailed facts and circumstances 
giving rise to

[[Page 190]]

the claim, indicating and describing the property involved, the date or 
dates, and the nature and extent of the damage, loss or destruction 
claimed, and the agency or branch of the Department of the Army or Army 
using the property. Upon receipt of such a claim the Division Engineer 
will, where practicable or necessary, furnish the claimant with 
Department of the Army forms for a more formal presentation of his claim 
including instructions as to their use.



Sec. 211.21  Evidence to be submitted by claimant.

    (a) All claims must be substantiated by competent evidence. If the 
claim is for rent or other payment the claimant should furnish evidence 
as to the value of the property, income from the property if previously 
rented, or rental value of similar property in the vicinity. If the 
property is under a formal lease to the Government, the claimant should 
identify the lease and state the covenants of the lease upon which he 
predicates his claim. Where the claim is for damage to the property 
which has been or can be economically repaired the claimant should 
submit in triplicate an itemized signed statement or estimate of the 
cost of repairs and copies of itemized receipts, evidencing payment for 
any expenditures made in relation to the property for which 
reimbursement is claimed.
    (b) In support of claims for damage to crops the claimant should 
submit a statement showing the number of acres, or other unit measure of 
crops damaged, the normal yield per unit, the gross amount which would 
have been realized from normal yield, and an estimate of the further 
cost of cultivation, harvesting and marketing; if the crops are one 
which need not be planted each year, the diminution in value of the land 
beyond the damage to the current year's crop should also be stated. All 
such statements or estimates should, if possible, be by disinterested 
competent witnesses, preferably responsible dealers of the type of 
property damaged.



Sec. 211.22  Real estate Claims Officers.

    In each Division Office the Division Engineer has appointed a Claims 
Officer or Assistant Claims Officers who have the duty and 
responsibility under the direction of the Division Real Estate Officer, 
to investigate all real estate claims. The activities and 
responsibilities of these Claims Officers are described more fully under 
Sec. 211.23.



Sec. 211.23  Procedure.

    Upon the receipt of any real estate claim it is submitted to a 
Claims Officer who investigates the matter and secures all evidence 
necessary for a full consideration of the claim and upon which a 
determination can be made as to the liability of the Government. For 
this purpose the Claims Officer is authorized and charged with the duty 
of securing sufficient evidence to establish with certainty the 
following general points:
    (a) The nature of the claim.
    (b) The interest of the claimant in the property and the interest 
that others may have in the property.
    (c) Date and circumstances under which occupation of premises 
occurred and date of vacation. If under a lease, the lease number and 
date of lease.
    (d) Inspection of the premises and determination of the amount of 
damages.
    (e) If claim is for rental without formal lease or agreement, data 
as to the market and rental value of the property.
    (f) Any other pertinent evidence the particular facts of the case 
require.

The above obligations of the Claims Officer does not relieve the 
claimant from the burden of proving his claim and it is the duty and 
obligation of the claimant to furnish such evidence within his 
particular knowledge as the Claims Officer may require.

Upon completion of his investigation the Claims Officer prepares a 
report setting forth completely but briefly the nature and amount of the 
claim, all pertinent facts necessary to determine the rights and 
liabilities of the claimant and the Government, and the Claims Officer's 
conclusions and recommendations as to allowance or disallowance of the 
claim in whole or in part and reasons therefor, including citations to 
any laws, statutes, or other decisions which it is believed will 
substantiate his recommendation.

[[Page 191]]



Sec. 211.24  Disposition of claims.

    (a) Real estate claims for damages. Real estate claims for damages 
not exceeding $1,000 may be settled by the Division Engineer. If the 
Division Engineer allows the claim in toto it is transmitted to the 
local Disbursing Officer who transmits a check to claimant in payment of 
the claim. Where the claim is disallowed by the Division Engineer, in 
whole or in part, the claimant is so advised and in the event that he is 
unwilling to accept the decision of the Division Engineer, he may appeal 
within 30 days after receipt of such notice, through the Division 
Engineer's Office, to the Secretary of the Army. This appeal should 
state in full reasons for not accepting the Division Engineer's award.
    (b) Claims for damages in excess of $1,000. Claims for damages in 
excess of $1,000 arising out of the use and occupancy of real estate 
under an agreement, express or implied, or otherwise, are forwarded to 
the General Accounting Office for settlement.
    (c) Claims for rent or other payments. Claims for rent or other 
payments of a contractual nature regardless of amount arising out of the 
use and occupancy of real estate under an agreement, express or implied, 
or otherwise, are forwarded to the General Accounting Office.
    (d) Mixed claims for rental and damages. When a claim arising from 
the use and occupancy of real estate has been received, the elements of 
the claim are first determined. If the claim is for damages not in 
excess of $1,000 and rental, these elements are if practicable, 
separated and the damages settled under AR 25-25, otherwise the claims 
are forwarded to the General Accounting Office for direct settlement.

                  Federal Jurisdiction Over Real Estate

    Authority: Sections 211.25 through 211.28 issued under R.S. 161; 5 
U.S.C. 301.

    Source: 13 FR 8751, Dec. 30, 1948, unless otherwise noted.



Sec. 211.25  General considerations in the acquiring of Federal 
jurisdiction.

    (a) Laws governing the acquisition of Federal jurisdiction--(1) 
Constitution of the United States. By Article 1, Section 8, Clause 17, 
of the Constitution, Congress has the power to exercise exclusive 
legislation in all cases in the District of Columbia and to exercise 
like authority over all land acquired by the United States with the 
consent of the legislature of the State in which the land is located for 
the erection of forts, magazines, arsenals, dockyards, and other needful 
buildings.
    (2) Section 355, Revised Statutes of the United States. Under this 
section as amended by the acts of Congress approved February 1, 1940 (54 
Stat. 19) and October 9, 1940 (54 Stat. 1083; 40 U.S.C. 255), 
jurisdiction over lands acquired by the Department of the Army does not 
vest until the Secretary of the Army has indicated acceptance of such 
jurisdiction by filing a notice of acceptance with the Governor of the 
State or in such manner as may be prescribed by the laws of the State 
where the land is situated.
    (3) State laws. The laws of the various States indicate the type of 
jurisdiction ceded or to be ceded, and prescribe the requirements, if 
any, to be complied with prior to the vesting of jurisdiction in the 
United States.



Sec. 211.26  Functions in acquiring Federal jurisdiction.

    (a) The Division Engineer. Upon determination that Federal 
jurisdiction is desired over a Civil Works Project, the Office of the 
Division Engineer concerned prepares such maps and descriptions of the 
lands involved as may be required and forwards them to the Office of the 
Chief of Engineers with any further information called for by the laws 
of the State where the lands are located.
    (b) Chief of Engineers. All letters and other papers required to 
procure cessions of jurisdiction and all notices of acceptance are 
prepared in the Office of the Chief of Engineers.

[[Page 192]]



Sec. 211.27  Method of acquiring Federal jurisdiction.

    Jurisdiction is acquired in accordance with the laws of the various 
States.



Sec. 211.28  Acceptance of jurisdiction.

    The jurisdiction ceded by the State laws, by deeds of cession and by 
the enactment of special legislation shall be accepted in accordance 
with section 355, Revised Statutes, as amended, in order to establish 
Federal jurisdiction. This is accomplished by a letter from the 
Secretary of the Army addressed to the Governor of the State concerned 
or by an indorsement on the deed of cession giving notice of such 
acceptance.

Sale of Lands in Reservoir Areas Under Jurisdiction of Department of the 
                Army for Cottage Site Development and Use

    Authority: Sections 211.71 through 211.81 issued under sec. 2, 70 
Stat. 1065; 16 U.S.C. 460f.

    Source: 28 FR 3450, Apr. 9, 1963, unless otherwise noted.



Sec. 211.71  Statutory provisions.

    The Act of Congress approved August 6, 1956 (70 Stat. 1065).



Sec. 211.72  Definitions.

    (a) The Act. The Act of Congress approved 6 August 1956 (70 Stat. 
1065; Pub. L. 999, 84th Congress).
    (b) Cottage site. Cottage site as used in Sec. Sec. 211.71 through 
211.80, includes:
    (1) Individual cottage site. A parcel of land developed or to be 
developed by the construction of a private cottage thereon and used, or 
to be used, for private recreational purposes.
    (2) Group cottage site. A parcel of land containing multiple cottage 
sites developed or to be developed individually by members of an 
organization to which the land is currently leased by the construction 
on each site of a private cottage owned individually and used, or to be 
used, for private recreational purposes.
    (3) Colony cottage site. A parcel of land containing (i) multiple 
cottage sites developed or to be developed individually by members of an 
organization to which the land is currently leased by the construction 
on each site of a private cottage owned individually and used or to be 
used for private recreational purposes, and (ii) a site or sites 
developed or to be developed by the lessee by construction of community 
recreational facilities for joint use by all members of the lessee 
organization incident to occupancy of their privately owned cottages on 
the leased premises and/or an area of land to be preserved in an 
undeveloped state for such joint use by all members of the lessee 
organization.



Sec. 211.73  Determination of land available for sale.

    The Chief of Engineers or the Director of Civil Works (Assistant to 
the Chief of Engineers for Civil Works) is hereby delegated authority to 
determine that lands in reservoir areas under the jurisdiction of the 
Department of the Army, other than lands withdrawn or reserved from the 
public domain, (a) are not required for project purposes or for public 
recreational use, and (b) are being used for or are available for 
cottage site development and use, and to determine that such lands are 
available for sale for cottage site development and use. The Chief of 
Engineers or the Director of Civil Works (Assistant to the Chief of 
Engineers for Civil Works) is authorized to withdraw any lands 
determined available for sale for cottage site development and use at 
any time prior to the execution of a contract of sale for such lands, 
provided, he determines that such withdrawal will facilitate the 
administration of the reservoir area or will otherwise be in the public 
interest.



Sec. 211.74  Public notice of the availability of land for sale.

    Upon determination in accordance with Sec. Sec. 211.71 through 
211.80 that land is available for sale for cottage site development and 
use, the appropriate District Engineer, U.S. Army Engineer District 
(hereinafter referred to as the District Engineer) will give public 
notice of the availability of such land for sale, subject to such 
conditions, reservations and restrictions as are required by the Act and 
such other conditions, reservations and restrictions as the Chief of 
Engineers or the Director

[[Page 193]]

of Civil Works (Assistant to the Chief of Engineers for Civil Works) may 
determine to be necessary for the management and operation of the 
project, or for the protection of lessees or owners of cottage sites 
within the area. Public notice of the availability of such land for sale 
will be by: (a) Publication at least twice, at no less than 15 day 
intervals, in two newspapers having general circulation in the vicinity 
in which the land is located; (b) written notification to any persons or 
organizations known to be interested in acquiring a cottage site in the 
area; (c) posting of notices in public places; and (d) in addition, 
where any site on which a lease for cottage site purposes existed on 
August 6, 1956, is available, notice will be given by registered letter 
to the lessee at his last known address.



Sec. 211.75  Price.

    The Chief of Engineers, or his designee, is authorized to determine 
the fair market value of any site determined available for sale for 
cottage site development and use based on an appraisal thereof by a 
qualified appraiser. Sale of a cottage site to a lessee holding a lease 
on the date of the Act will be made for a price equal to the fair market 
value of the site at the time of the sale.



Sec. 211.76  Costs of surveys.

    The costs of any surveys or the relocation of boundary markers 
deemed necessary by the District Engineer as an incident of the 
conveyance of lands under Sec. Sec. 211.71 through 211.80 shall be 
borne by the grantee.



Sec. 211.77  Sale procedure.

    Any individual cottage site offered for sale generally will not 
contain more than approximately one acre. Such sites shall not be 
subdivided but shall remain intact as single units, and no more than one 
cottage may be constructed on each site. Not more than one site at any 
one reservoir will be sold to any person or organization. Sales to 
lessees of lands determined available for sale for cottage site 
development and use, who have a priority to purchase under the 
provisions of the Act, will be accomplished by negotiation. Sales to 
lessees who do not have a priority to purchase under the provisions of 
the Act may be accomplished by negotiation in the discretion of the 
Chief of Engineers or the Director of Real Estate (Assistant to the 
Chief of Engineers for Real Estate). Sales to persons other than lessees 
will be accomplished by public auction, or sealed bids, in accordance 
with procedure prescribed by the Chief of Engineers. If no acceptable 
bid or offer is received as a result of a public auction or solicitation 
for sealed bids, sale may be accomplished by negotiation in accordance 
with procedure prescribed by the Chief of Engineers.



Sec. 211.78  Maintenance and conveyance of access roads.

    The Government will not construct any roads for the sole purpose of 
providing access to lands sold or to be sold for cottage site 
development and use. The Government shall be under no obligation to 
service or maintain existing roads used primarily for access to lands 
sold for cottage site development and use. Any lands determined by the 
Chief of Engineers or the Director of Civil Works (Assistant to the 
Chief of Engineers for Civil Works) as being used or to be used for 
roads primarily to serve any cottage site area sold under the authority 
of the Act may be offered by the District Engineer for transfer to the 
State, any political subdivision thereof, or organization in accordance 
with the provisions of the Act.



Sec. 211.79  Contract of sale.

    The agreement between the purchaser and the Government will be 
evidenced by a contract of sale. Authority is hereby delegated to the 
Chief of Engineers or the District Engineer to accept any offer which 
meets the requirements of the Act and Sec. Sec. 211.71 through 211.80 
and to execute the contract of sale on behalf of the United States of 
America.



Sec. 211.80  Conveyance.

    (a) Authority to execute quitclaim deeds conveying land for cottage 
site development and use or for access roads is delegated to the Chief 
of Engineers, with authority to redelegate to Division and/or District 
Engineers.

[[Page 194]]

    (b) The authority delegated to the Chief of Engineers in paragraph 
(a) of this section to execute quitclaim deeds conveying land for 
cottage site development and use or for access roads has been 
redelegated by the Chief of Engineers to the Division Engineer, U.S. 
Army Engineer Division, New England, and to District Engineers having 
responsibility for real estate activities.



Sec. 211.81  Reservoir areas.

    Delegations, rules and regulations in Sec. Sec. 211.71 to 211.80 
are applicable to:
    (a) Fort Gibson Reservoir Area, Oklahoma.
    (b) Lake Texoma and the Denison Reservoir Area, Oklahoma and Texas.
    (c) Tenkiller Ferry Reservoir Area, Oklahoma.
    (d) Harlan County Reservoir Area, Nebraska.
    (e) Fort Randall Reservoir Area, South Dakota.
    (f) Garrison Reservoir Area, North Dakota.
    (g) Kanopolis Reservoir Area, Kansas.
    (h) Arkabutla Reservoir Area, Mississippi.
    (i) Enid Reservoir Area, Mississippi.
    (j) Sardis Reservoir Area, Mississippi.
    (k) Narrows Reservoir Area, Arkansas.
    (l) Wappapello Reservoir Area, Missouri.
    (m) Norfork Reservoir Area, Arkansas and Missouri.
    (n) Clark Hill Reservoir Area, Georgia and South Carolina.
    (o) Alatoona Reservoir Area, Georgia.
    (p) Center Hill Reservoir Area, Tennessee.
    (q) Dale Hollow Reservoir Area, Tennessee.
    (r) Lake Cumberland, Kentucky.
    (s) Fort Supply Reservoir, Oklahoma.

[28 FR 4357, May 2, 1963, as amended at 30 FR 4475, Apr. 7, 1965]

Reconveyance of Land or Interests Therein Acquired for Grapevine, Garza-
 Little Elm, Benbrook, Belton, and Whitney Reservoir Projects in Texas 
     and also for the Verdigris River Portion of the McClellan-Kerr 
            Navigation Project in Oklahoma, to Former Owners

    Authority: Secs. 211.101 to 211.111 issued under sec. 205, 72 Stat. 
316.



Sec. 211.101  Statutory provisions.

    Section 205 of the Act of Congress approved July 3, 1958 (72 Stat. 
316) and section 11 of the Act of Congress approved December 23, 1971 
(85 Stat. 800).

[23 FR 7348, Sept. 28, 1958, as amended at 37 FR 15371, Aug. 1, 1972]



Sec. 211.102  Definitions.

    (a) General. Any term used in Sec. Sec. 211.101 to 211.111 which is 
defined in section 205 of the Act of Congress approved July 3, 1958 (72 
Stat. 316) or in section 11 of the Act of Congress approved December 23, 
1971 (85 Stat. 800), shall have the meaning given to it in said act.
    (b) Land. Any land or interest in land acquired by the United States 
for the Grapevine, Garza-Little Elm, Benbrook, Belton, and Whitney 
Reservoir projects, Texas, or for the Verdigris River portion of the 
McClellan-Kerr Navigation Project Oklahoma.
    (c) The Act. The term ``the act'' when used in Sec. Sec. 211.101 to 
211.111 shall mean either section 205 of the Act of Congress approved 
July 3, 1958 (72 Stat. 316), or section 11 of the Act of Congress 
approved December 23, 1971 (85 Stat. 800).
    (d) District Engineer. The term ``District Engineer'' when used in 
Sec. Sec. 211.101 to 211.111 shall mean the District Engineer, U.S. 
Army Engineer District, Fort Worth, at Fort Worth, Tex., or the District 
Engineer, U.S. Army Engineer District, Tulsa, at Tulsa, Okla.
    (e) Director of Civil Works. The term ``Director of Civil Works'' 
when used herein shall mean the Director of Civil Works, Office, Chief 
of Engineers or the

[[Page 195]]

Assistant Chief of Engineers for Civil Works.

[23 FR 7348, Sept. 28, 1958, as amended at 37 FR 15371, Aug. 1, 1972]



Sec. 211.103  Determination of whether land is required for public 
purposes, including public recreational use.

    The Chief of Engineers and the Director of Public Works are hereby 
delegated authority to determine which lands are not required for public 
purposes, including public recreational use, and to determine the 
exceptions, restrictions and reservations, as are in the public 
interest, to be included in any reconveyance, including the reservation 
of such mineral rights as are determined necessary for the efficient 
operation of the project. This delegation of authority shall not apply 
to lands below the level of 529 feet in the Garza-Little Elm Reservoir 
project and below 560 feet in the Grapevine Reservoir project as the 
lands below these levels will not be available for reconveyance pursuant 
to the act.

[23 FR 7348, Sept. 28, 1958, as amended at 37 FR 15371, Aug. 1, 1972]



Sec. 211.104  Notice to former owners of availability of land for 
reconveyance.

    Upon determination in accordance with Sec. Sec. 211.101 to 211.111 
that land is not required for public purposes, including public 
recreational use, the appropriate District Engineer shall give notice to 
the former owners thereof (a) by registered letter, addressed to the 
last known address of the former owner; and (b) by publication at least 
twice at not less than 15-day intervals in two newspapers having general 
circulation in the vicinity in which the land is located.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.105  Filing of application.

    Application for reconveyance of land shall be filed with the 
appropriate District Engineer. Said application shall be in writing, 
dated and signed by the former owner, or by his attorney in fact, and 
shall identify the land for which he is making application for 
reconveyance. Any such application will be considered as filed timely 
when mailed to or delivered to the appropriate District Engineer within 
ninety (90) days from the date of the last publication of availability 
of the land for reconveyance to said former owners. The appropriate 
District Engineer may extend said ninety (90) day period for a good 
cause. Any application may be withdrawn by written notice, executed by 
the former owner, or by his attorney in fact, to the appropriate 
District Engineer at any time prior to the execution of the contract of 
sale.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.106  Filing of objection by abutting owner.

    An objection by an abutting owner to reconveyance of land to a 
former owner shall be filed with the appropriate District Engineer. Such 
objection shall be in writing, dated and signed by the abutting owner, 
or his attorney in fact, and shall include identification of the land to 
which the objection pertains, the name of the former owner, the reasons 
for the objection, and a reference to the land records where the 
ownership of the abutting owner is recorded. A copy of the letter 
addressed to the former owner objecting to the reconveyance shall be 
attached to the letter addressed to the appropriate District Engineer, 
or other evidence of such notice of objection shall be furnished to the 
appropriate District Engineer. No objection will be considered valid 
unless the party or individual making the objection is the record owner 
of land abutting or adjoining the land to which the objection pertains.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.107  Notice of agreement between former owner and abutting 
owner.

    After an objection has been made by an abutting owner to a 
reconveyance, and agreement reached concerning the reconveyance shall be 
furnished in writing, signed by both the abutting owner and the former 
owner, or their attorneys in fact, to the appropriate District Engineer. 
Such agreement must be mailed or delivered to the appropriate District 
Engineer within ninety (90) days after the date of receipt of the notice 
of objection by the

[[Page 196]]

appropriate District Engineer and the former owner. In the event an 
agreement in writing as prescribed herein is not mailed or delivered to 
the appropriate District Engineer, the appropriate District Engineer is 
hereby authorized to report the land involved to the General Services 
Administration for disposal as prescribed by the Act.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.108  Determination of price.

    Upon receipt of an application from a former owner, the Chief of 
Engineers and/or the appropriate District Engineer is hereby delegated 
authority to determine the price at which the land will be sold pursuant 
to the provisions of section 205(d) of the Act of Congress approved July 
3, 1958 (72 Stat. 316) or pursuant to the provisions of section 11 of 
the Act of Congress approved December 23, 1971 (85 Stat. 800) and the 
cost of any surveys or boundary markings necessary as an incident to the 
conveyance.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.109  Contract of sale.

    Upon determination of the price at which the land will be 
reconveyed, and after the reaching of an agreement by the former owner 
and the abutting owner if an objection to the reconveyance was made by 
the abutting owner, the appropriate District Engineer will prepare a 
contract of sale containing the terms and conditions of the reconveyance 
and deliver it to the applicant for acceptance. The contract of sale 
shall provide for the deposit of earnest money equal to twenty (20) 
percent of the price at which the land will be sold or the estimated 
cost of any surveys or boundary markings necessary as an incident to the 
reconveyance, whichever is greater. The deposit will be applied to the 
price at the time of settlement. In the event of default, the deposit 
will be retained by the Government as liquidated damages. Failure of the 
applicant to execute the contract of sale or to deposit the earnest 
money with the appropriate District Engineer within thirty (30) days 
after receipt of the contract, unless a written extension of said thirty 
(30) days is granted by the appropriate District Engineer, in accordance 
with section 205(e) of the Act of Congress approved July 3, 1958 (72 
Stat. 316) or in accordance with section 11 of the Act of Congress 
approved December 23, 1971 (85 Stat. 800) and the delegation contained 
in Sec. 211.111, that within a reasonable time after receipt of a 
proper application for any reconveyance of such land, the parties have 
been unable to reach a satisfactory agreement with respect to the 
reconveyance of such land. Authority is hereby delegated to the Chief of 
Engineers and/or the appropriate District Engineer to execute the 
contract of sale for and on behalf of the United States of America.

[37 FR 15371, Aug. 1, 1972]



Sec. 211.110  Conveyance.

    Reconveyance of the land will be by quitclaim deed executed by the 
Secretary of the Army.

[23 FR 7348, Sept. 28, 1958]



Sec. 211.111  Certification terminating rights of former owners.

    If no application for reconveyance is made by a former owner within 
ninety (90) days, or authorized extension thereof, from the date of the 
last publication of the notice in a newspaper or, if within a reasonable 
time after receipt of a proper application for any reconveyances, the 
appropriate District Engineer and the former owner are unable to reach a 
satisfactory agreement with respect to the reconveyance, the Chief of 
Engineers and/or the appropriate District Engineer is hereby delegated 
authority to certify (a) that notice has been given to the former owner 
of such land pursuant to the Act and Sec. Sec. 211.101 to 211.111, and 
that no qualified applicant has made timely application for reconveyance 
of such land; or (b) that within a reasonable time after receipt of a 
proper application for reconveyance the parties have been unable to 
reach a satisfactory agreement with respect to the reconveyance of such 
land. After such certification has been executed, disposition of the 
land shall be made pursuant to the Federal Property Administrative 
Services Act of 1949, as amended, subject to such reservations, 
restrictions, exceptions,

[[Page 197]]

and conditions, as the Chief of Engineers or the Director of Civil Works 
consider necessary for the operation of the project or in the public 
interest.

[37 FR 15372, Aug. 1, 1972]

          Conveyances for Public Port or Industrial Facilities

    Authority: Sections 211.141 through 211.147 issued under sec. 
108(d), 74 Stat. 487; 33 U.S.C. 578.

    Source: 26 FR 2117, Mar. 11, 1961, unless otherwise noted.



Sec. 211.141  Statutory provisions.

    Section 108 of the Act of Congress approved 14 July 1960 (74 Stat. 
486).



Sec. 211.142  Definitions.

    (a) This Act. The term ``this Act'' shall mean Section 108 of the 
Act of Congress approved 14 July 1960 (74 Stat. 486).
    (b) Land. Any land under the jurisdiction of the Department of the 
Army acquired for a project which was authorized for water resource 
development purposes.
    (c) Project. Any project under the jurisdiction of the Department of 
the Army which was authorized for water resource development purposes.
    (d) Agency. The term ``agency'' shall mean any state, political 
subdivision thereof, port district, port authority, or other body 
created by a state or through a compact between two or more states for 
the purpose of developing or encouraging the development of public port 
or industrial facilities.
    (e) District Engineer. The term ``District Engineer'' shall mean the 
District Engineer of the United States Army Engineer District having 
immediate jurisdiction over the land available for conveyance.



Sec. 211.143  Delegations.

    (a) The Chief of Engineers and/or the Director of Civil Works 
(Assistant to the Chief of Engineers for Civil Works) is hereby 
delegated authority to determine:
    (1) That the development of public port or industrial facilities on 
land within a project will be in the public interest;
    (2) That such development will not interfere with the operation and 
maintenance of the project;
    (3) That disposition of the land for these purposes under this Act 
will serve the objectives of the project;
    (4) If two or more agencies file applications for the same land, 
which agency's intended use of the land will best promote the purposes 
for which the project was authorized; and
    (5) The conditions, reservations and restrictions to be included in 
a conveyance under this Act.
    (b) The District Engineer is hereby delegated authority to:
    (1) Give notice of any proposed conveyance under this Act and to 
afford an opportunity to interested eligible agencies in the general 
vicinity of the land to apply for its purchase as hereinafter provided; 
and
    (2) Determine the period of time in which applications for 
conveyances may be filed.



Sec. 211.144  Notice.

    The District Engineer shall give notice of the availability of any 
land for conveyance under this Act and afford an opportunity to eligible 
agencies in the general vicinity of the land to apply for its purchase 
(a) by publication at least twice at not less than 15 day intervals in 
two newspapers having general circulation within the State in which the 
available land is located and, if any agency of an adjoining State or 
States may have an interest in the development of such land for public 
port or industrial facilities, by publication at least twice at not less 
than 15 day intervals in two newspapers having general circulation 
within such State or States, and (b) by letters to all agencies who may 
be interested in the development of public port or industrial facilities 
on the available land.



Sec. 211.145  Filing of application.

    Any agency interested in the development of public port or 
industrial facilities upon the available land shall file a written 
application with the District Engineer within the time designated in the 
public notice. The application shall state fully the purposes for which 
the land is desired and the scope of the proposed development.

[[Page 198]]



Sec. 211.146  Price.

    No conveyance shall be made for a price less than the fair market 
value of the land.



Sec. 211.147  Conveyance.

    Any conveyance of land under this Act will be subject to the final 
approval of the Secretary of the Army and will be by quitclaim deed 
executed by the Secretary of the Army.



PART 214_EMERGENCY SUPPLIES OF DRINKING WATER--Table of Contents




Sec.
214.1 Purpose.
214.2 Applicability.
214.3 Reference.
214.4 Additional authority.
214.5 Policy.
214.6 Discussion.
214.7 Delegation of authority.
214.8 Exclusions.
214.9 Requirements.
214.10 Types of assistance.
214.11 Costs.

    Authority: Pub. L. 84-99, as amended, Emergency Flood Control Work 
33 U.S.C. 701n; (69 Statute 186), dated June 28, 1955.

    Source: 41 FR 7506, Feb. 19, 1976, unless otherwise noted.



Sec. 214.1  Purpose.

    This provides information, guidance, and policy for execution of the 
Chief of Engineers' authority to furnish supplies of clean drinking 
water pursuant to Pub. L. 84-99, as amended by section 82(2), Pub. L. 
93-251 (88 Stat. 34).



Sec. 214.2  Applicability.

    This regulation is applicable to Corps of Engineers field operating 
agencies assigned Civil Works activities, including the USAED Alaska, 
and the Pacific Ocean Division. Its provisions are applicable within the 
50 states, and the District of Columbia, Puerto Rico, Virgin Islands, 
American Samoa, and Guam.



Sec. 214.3  Reference.

    (a) Pub. L. 84-99, as amended (33 U.S.C. 701n).
    (b) Pub. L. 93-251, Section 82(2).
    (c) Pub. L. 93-523.
    (d) ER 500-1-1.



Sec. 214.4  Additional authority.

    Section 82(2), Pub. L. 93-251, dated 7 March 1974, revised Pub. L. 
84-99, as amended, by adding the following new sentence. ``The Chief of 
Engineers, in the exercise of his discretion, is further authorized to 
provide emergency supplies of clean drinking water, on such terms as he 
determines to be advisable, to any locality which he finds is confronted 
with a source of contaminated drinking water causing or likely to cause 
a substantial threat to the public health and welfare of the inhabitants 
of the locality.'' This authority expands the measures the Chief of 
Engineers may employ in providing emergency relief pursuant to Pub. L. 
84-99.



Sec. 214.5  Policy.

    Emergency work under this authority will be applied to situations in 
which the source of water has become contaminated. The contamination may 
be accidental, deliberate, or caused by natural events. The maximum 
contaminent levels in drinking water are set forth by the Environmental 
Protection Agency pursuant to Pub. L. 93-523. However, loss of the water 
source or supply due to any cause is not included in the language of 
Section 82(2), Pub. L. 93-251, and furnishing emergency supplies by the 
Corps of Engineers under those situations was not intended by this 
legislation. Approval of measures to furnish clean drinking water will 
be pursuant to this regulation, and in accordance with procedures 
outlined in ER 500-1-1 by HQDA (DAEN-CWO-E) WASH DC 20314. DAEN-CWO-E 
will be notified by telephone when the emergency water situation becomes 
known.



Sec. 214.6  Discussion.

    (a) The amendment provides for furnishing emergency supplies of 
drinking water. The method of furnishing those supplies is not provided 
for in the amendment, and is left to the discretion of the Chief of 
Engineers. Any feasible method, including restoration of service from an 
alternate source when the main source has been contaminated, is 
authorized where most feasible (however, see paragraphs (d) and (e) of 
this section).

[[Page 199]]

    (b) The scope of work is limited solely to providing emergency 
supplies of clean drinking water. Sewage treatment and disposal, and 
other sanitary requirements, are not included. In addition, the Corps of 
Engineers role in providing emergency supplies is a temporary measure 
until the locality is able to assume their responsibility. The locality 
is ultimately responsible for providing supplies of drinking water.
    (c) The cause of the contamination may be due to any situation, not 
necessarily flood related. It encompasses all situations involving a 
contaminated source of drinking water, whether caused by flooding or 
otherwise.
    (d) To be eligible, a locality must be confronted with a source of 
water that is contaminated. The loss of clean drinking water must not be 
solely the result of a failure in the distribution system. For example, 
the emergency could be due to a failure of a reservoir purification 
system, and the locality might thus be faced with a contaminated source. 
Furnishing of emergency supplies of clean drinking water may not be 
undertaken in these cases since the distribution system is not 
considered to be a source. A loss of supply is not in itself a 
justification for furnishing supplies of water by the Corps of Engineers 
under this authority.
    (e) Employment of the authority under the amendment requires a 
finding by the Chief of Engineers, or his delegate, that there is, in 
fact, a contaminated source of drinking water.
    (f) The contamination must cause or be likely to cause a substantial 
threat to the public health and welfare. An identifiable and defined 
threat of impairment to the public health and welfare is considered 
necessary. There is no requirement, however, that actual sickness exist 
from contaminated water to invoke the authority. But a clear threat must 
be established. Lack of palatability, in itself, may not constitute a 
serious health threat (see Sec. 214.9(d)).
    (g) Inhabitants of the locality, rather than commercial enterprises, 
are identified as the group threatened. A business firm faced with 
contamination of water used in its process is not eligible. The drinking 
water used by the people in the area must be affected.



Sec. 214.7  Delegation of authority.

    The authority to approve measures for furnishing emergency supplies 
of clean drinking water pursuant to the section 82(2), Pub. L. 93-251 
amendment of Pub. L. 84-99, is delegated to division engineers, up to a 
$50,000 expenditure for the incident. Additional obligational authority 
of Code 400 funds will be obtained from DAEN-CWO-E prior to authorizing 
the proposed added work.



Sec. 214.8  Exclusions.

    The authority does not require correcting the contamination, or 
repair of water systems so that clean drinking water supplies become 
available again. Reestablishing community water supplies remains the 
responsibility of local government and other Federal programs. These 
methods may be employed under the authority, if they are the most 
feasible ways to provide emergency supplies of clean drinking water, but 
there is no mandate to do so. To the extent state or local governments 
can provide water with their own resources, the locality will be 
excluded from the provision of emergency supplies under Pub. L. 84-99. 
In general, the following situations are not considered to be 
appropriate for Corps action under this authority:
    (a) Contamination which causes a loss of palatability, but poses no 
material threat to public health and welfare.
    (b) Contamination, such as by bacteria, which can be reduced to a 
safe level by the users boiling the water.
    (c) Confrontation with normal levels of impurities or contaminants 
in a drinking water source that does not pose substantial threat to the 
public health.
    (d) Contamination by natural intrusions over a period of time, which 
are known to be occurring and which may accumulate in sufficient 
concentrations to pose a future health threat, but which have not yet 
reached the level of a present hazard.
    (e) Loss or diminishing of a water source, due to such things as an 
earthquake or drought.

[[Page 200]]

    (f) Contamination of a drinking water source as a regular occurrence 
due to recurring events such as drought or flooding, when no corrective 
community action has yet been initiated.
    (g) Contamination which, while posing a substantial threat to health 
and welfare, can be corrected by local authorities, other Federal 
authorities, or other appropriate means before emergency supplies are 
deemed necessary.



Sec. 214.9  Requirements.

    Providing emergency supplies of clean drinking water pursuant to the 
emergency functions of the Corps of Engineers is supplemental to the 
efforts of the community. Such actions must be in accordance with both 
Federal and municipal authorities. Corps response must be restricted to 
requests for assistance received from an appropriate state official. 
Each request must be considered on its own merits. The factors in each 
case may vary, but the following should be included in the evaluation.
    (a) Whether the criteria required by the law and outlined in Sec. 
214.6 have been met.
    (b) The extent of state and local efforts to provide clean drinking 
water and their capability to do so. Corps efforts to provide temporary 
supplies of drinking water must be limited to measures clearly beyond 
the resources reasonably available to the state and locality.
    (c) The adequacy of the state or local community agreement to 
mutually participate with the Federal government, on terms determined 
advisable by the Chief of Engineers, or his delegate, which must include 
the following:
    (1) To provide, without cost to the United States, all lands, 
easements, and rights-of-way necessary for the authorized work.
    (2) To hold and save the United States free from damages in 
connection with the authorized work other than negligence attributable 
to the United States or its contractor.
    (3) To maintain and operate in a manner satisfactory to the Chief of 
Engineers all installed work during the emergency.
    (4) To remove when determined feasible by the district engineer, at 
no cost to the Federal government, the installed equipment at the end of 
the emergency and return it to the Corps of Engineers.
    (5) As soon as possible to actively initiate measures required to 
resolve the emergency situation.
    (d) The provision of water quality statements with the request, and 
the identification of the threat to public health and welfare as 
determined by recognized authorities such as the State Health 
Department, Environmental Protection Agency, or recognized commercial 
laboratory.
    (e) The identification of the affected area as a legally recognized 
governmental body or public entity that exercises a measure of control 
in the common interest of the inhabitants.



Sec. 214.10  Types of assistance.

    The temporary emergency supplies of clean drinking water may be 
provided through such actions as:
    (a) The use of water tank trucks to haul clean drinking water from a 
nearby known safe source to water points established for local 
distribution.
    (b) Procurement and distribution of bottled water.
    (c) Laying of temporary above ground water lines from a nearby safe 
source of water to the affected community where water points for local 
distribution can be established.
    (d) Installation of temporary filtration.



Sec. 214.11  Costs.

    Costs incurred by the Corps of Engineers in furnishing emergency 
supplies of clean drinking water are chargeable to Pub. L. 84-99 funds, 
96X3125, Code 910-400 and repayment by the community generally will not 
be required. Costs of necessary measures for the decontamination of the 
water supply source are the responsibility of local governments and are 
not authorized under Pub. L. 84-99.

[[Page 201]]



PART 220_DESIGN CRITERIA FOR DAM AND LAKE PROJECTS--Table of Contents






Sec. 220.1  Low level discharge facilities for drawdown of impoundments.

    (a) Purpose. This regulation states the policy, objectives, and 
procedures in regard to facilities for drawdown of lakes to be impounded 
by Civil Works projects.
    (b) Applicability. This regulation is applicable to all Divisions 
and Districts having responsibility for design of Civil Works projects.
    (c) Policy. It is the policy of the Chief of Engineers that all 
future lakes impounded by Civil Works projects be provided with low 
level discharge facilities to meet the criteria for drawdown set forth 
in this ER. Low level discharge facilities, capable of essentially 
emptying the lake, provide flexibility in future project operation for 
unanticipated needs, such as, major repair of the structure, 
environmental controls or changes in reservoir regulation. The criteria 
set forth in this ER will govern in the majority of impoundment 
projects. However, it may be impracticable to provide the drawdown 
capability to meet the criteria for certain projects because of their 
size (unusually small or large) or because of their unique function. 
Such projects may be exempt from the criteria upon presentation of 
information in accordance with paragraph (e) of this section.
    (d) Design criteria. As a minimum, low level discharge facilities 
will be sized to reduce the pool, within a period of four months, to the 
higher of the following pool levels: (1) A pool level that is within 20 
feet of the pre-project ``full channel'' elevation, or (2) a pool level 
which will result in an amount of storage in the reservoir that is 10 
percent of that at the beginning pool level. The beginning pool level 
for drawdown will be assigned at spillway crest for uncontrolled 
spillways and at top of spillway gates for controlled spillways. Inflow 
into the lake during the drawdown period will be developed by obtaining 
the average flow for each month of the year. The drawdown period inflow 
will then be assumed equivalent to the average flow of the highest 
consecutive four-month period.
    (e) Design Study and Report Requirements. Feasibility (survey) 
reports and subsequent pertinent design memoranda should include the 
results of studies made to determine facilities required for drawdown of 
impoundments. The discharge capacity required to satisfy project 
purposes and diversion requirements during construction may be 
sufficient to meet the drawdown criteria set forth in paragraph (d) of 
this section. Where additional capacity is required, studies will be 
made to determine the most practical and economical means of increasing 
the capacity to meet the drawdown criteria. A synopsis of the 
alternatives considered and details of the recommended plan should be 
included in the Phase II General Design Memorandum or a feature design 
memorandum. The reporting should include the effects of the required 
discharge capacity on project costs, on existing downstream projects, 
and on the potential for downstream damage. When, due to specific 
project conditions, a drawdown capacity is recommended which does not 
meet the criteria set forth in paragraph (d) of this section, the 
following information should be presented:
    (1) The drawdown period using the maximum drawdown capability of the 
proposed project facilities, under the situation described in paragraph 
(d) of this section. Information should be included on the pool 
elevation and corresponding storage volume at end of the period.
    (2) Information on facilities that would be required to meet the 
design criteria for drawdown, including the estimated first cost and 
annual cost of these facilities. If the estimated cost for such 
facilities is significantly greater than for the proposed project 
facilities, similar information on intermediate facilities should be 
provided.

Reporting subsequent to the Phase I General Design Memorandum should 
include related discharge rating curves; hydrographs with inflow, 
outflow and pool stage plots; lake regulation plans needed for project 
purposes and needed to satisfy the drawdown criteria; and

[[Page 202]]

other data essential in evaluating the study.

(49 Stat. 1571, 33 U.S.C. 701c)

[40 FR 20081, May 8, 1975, as amended at 40 FR 36774, Aug. 22, 1975]



PART 221_WORK FOR OTHERS--Table of Contents




Sec.
221.1 Investigation and supervision of hydropower projects under the 
          Federal Power Act (ER 1140-2-4).

Appendix A to Part 221--Part 16-Procedures Relating to Takeover and 
          Relicensing of Licensed Projects
Appendix B to Part 221--Federal Energy Regulatory Commission Form L-3 
          (Revised October 1975)
List of FPC Standard Articles Forms Used in Permits and Licenses for 
          Hydroelectric Projects

    Authority: Secs. 2 and 4(e) of the Federal Power Act of 1920 (41 
Stat. 1603, 16 U.S.C. 791-823), as amended; sec. 10 of the River and 
Harbour Act of 1899 (30 Stat. 1151, 33 U.S.C. 403); and sec. 404 of 
Federal Water Pollution Control Act Amendments of 1972 (86 Stat. 816, 33 
U.S.C. 1344)

    Source: 43 FR 4979, Feb. 7, 1978, unless otherwise noted.



Sec. 221.1  Investigation and supervision of hydropower projects under 
the Federal Power Act (ER 1140-2-4).

    (a) Purpose. This regulation \1\ establishes procedures for 
executing Corps of Engineers functions under the authority of the 
Federal Power Act (FPA) administered by the Department of Energy, 
Federal Energy Regulatory Commission (FERC), formerly Federal Power 
Commission. Based on a specific request from FERC, these functions 
include:
---------------------------------------------------------------------------

    \1\ This regulation supersedes ER 1140-2-4, 8 December 1967, and ER 
1140-2-2, 10 September 1965.
---------------------------------------------------------------------------

    (1) Investigation of applications filed with FERC for permits and 
licenses, and for relicensing of projects to ascertain impacts on Corps 
of Engineers responsibilities.
    (2) Investigation of applications for surrender or termination of 
license to ascertain impacts on Corps of Engineers responsibilities.
    (3) Supervision and inspection of operations of licensed 
hydroelectric projects to ascertain impacts on Corps of Engineers 
responsibilities.
    (b) Applicability. This regulation applies to all field operating 
agencies having Civil Works responsibilities.
    (c) References. (1) Federal Power Commission publication entitled 
``Federal Power Act'', as amended, dated 1 April 1975. The Act was 
originally enacted 10 June 1920 (41 Stat. 1063, 16 U.S.C. 791-823). This 
publication can be obtained from the U.S. Government Printing Office, 
Washington, D.C. 20402.
    (2) Code of Federal Regulations, Title 18, part 1 to 149 relating to 
FERC General Rules and Regulations, available at the U.S. Government 
Printing Office, Washington, D.C. 20402.
    (3) ER 1145-2-303 (33 CFR 209.120),\2\ Permits for Activities in 
Navigable Waters or Ocean Waters.
---------------------------------------------------------------------------

    \2\ 33 CFR 209.120 was removed at 42 FR 37133, July 19, 1977.
---------------------------------------------------------------------------

    (4) ER 1140-2-1, Submission of Data for Headwater Benefits 
Determination.
    (d) Definitions--(1) Licensed project. A non-Federal hydroelectric 
project for which the FERC has issued a license granting authority for 
either construction, in the case of a proposed project, or for continued 
operation and maintenance of an existing project.
    (2) Major projects. Hydroelectric projects with more than 2,000 
horsepower installed capacity.
    (3) Minor projects. Hydroelectric projects having installed capacity 
of 2,000 horsepower or less.
    (4) Preliminary permit application. An application filed by a non-
Federal entity with the FERC as a preliminary step in anticipation of 
filing for a license to construct and operate a hydroelectric project. A 
preliminary permit does not authorize construction. It merely gives the 
permittee priority of application for a FERC license over other non-
Federal entities for a period of time. The permittee then develops 
information necessary for inclusion in an application for license to 
construct and operate a hydroelectric project. Analysis of this 
information may result in a decision to apply for the license or to 
withdraw the intent.
    (5) Relicensing. A procedure applicable to projects for which the 
original period of license (usually 50 years) will

[[Page 203]]

expire or has expired and application for new license has been or will 
be filed with the FERC.
    (6) Take over. An act whereby the Federal government assumes project 
ownership. Upon expiration of a license for a hydroelectric project, the 
United States, under certain specific conditions set forth in section 14 
of the Federal Power Act may ``take over'', maintain and operate the 
project. This does not apply to any project owned by a State or local 
government. Take over procedures are not applicable to ``Minor 
Projects.''
    (e) Authorities. The Federal Power Act as amended delegates to the 
Secretary of the Army, the Chief of Engineers and the Corps of Engineers 
certain functions necessary for the FERC's administration of the Act. 
Implementation was provided through instructions issued by the President 
in a letter dated 18 May 1931 to the Secretary of War. These functions 
are set forth in the following excerpts from the Act:
    (1) Section 2 of the Act provides in part that:

    The Commission may request the President to detail an officer or 
officers from the Corps of Engineers, or other branches of the United 
States Army to serve the Commission as engineer officer or officers * * 
*.

    (2) Section 4(e) of the Act provides in part that:

    The Commission is hereby authorized and empowered * * * to issue 
licenses to citizens of the United States, or to any associations of 
such citizens, or to any corporation organized under the laws of the 
United States or any State thereof, or to any State or municipality for 
the purpose of construction, operating, and maintaining dams, water 
conduits, reservoirs, powerhouses, transmission lines, or other project 
works necessary or convenient for the development and improvement of 
navigation and for the development, transmission, and utilization, of 
power across, along, from or in any of the streams or other bodies of 
water over which Congress has jurisdiction * * *.
    * * *Provided that no license affecting the navigable capacity of 
any navigable water of the United States shall be issued until the plans 
of the dam or other structures affecting navigation have been approved 
by the Chief of Engineers and the Secretary of the Army.

    (f) Investigation of application for permits, licenses, or 
relicensing of projects. Upon referral by the FERC, the Chief of 
Engineers will assign the investigation of an application for permit, 
license or relicensing to the appropriate Division Engineer who will 
submit a report on the investigation as specified herein to HQDA (DAEN-
CWE-HY) WASH DC 20314 (exempt from reports control, Paragraph 7-2y, AR 
335-15). The investigation should be coordinated with all interested 
organization elements including Engineering, Construction/Operations, 
Planning and Office of the Counsel. The date that the report is to be 
submitted will be specified. The nature of investigation and report by 
the Division Engineer will depend upon the nature of the request from 
the FERC. In general, reports as appropriate for the type of application 
filed with the Commission will consider the following items as pertinent 
and will include recommendation of pertinent license provisions:
    (1) License applications. (i) The effect of the project on 
navigation and flood control, including adequacies of the plans of the 
structures affecting navigation. Section 4(e) of the Federal Power Act 
provides for approval of plans for hydroelectric power projects as noted 
in paragraph (e)(2) of this section. Section 4(e) approval normally will 
obviate the need for a Department of Army permit under section 10 of the 
1899 River and Harbor Act. The basis for Corps approval under section 
4(e) will be limited to effects on navigation; however, section 4(e) 
does not obviate the need for a Department of the Army permit pursuant 
to section 404 of the Federal Water Pollution Control Act (see paragraph 
(i)(2)) of this section. Such a permit is subject to a full public 
interest review pursuant to 33 CFR part 320 and the application of the 
Environmental Protection Agency's guidelines in 40 CFR part 230.
    (ii) Recommendations for license provisions required to protect the 
interest of navigation. This item is discussed under paragraphs 7, 8 and 
9.
    (iii) Consideration of the project in relation to a comprehensive 
plan for developing the basin water resources from the standpoint of the 
Corps of Engineers' programs and responsibilities.

[[Page 204]]

Specific references should be made to pertinent published Congressional 
documents containing results of studies and/or to Congressional 
resolutions directing studies to be made to provide identification.
    (iv) Consideration of environmental aspects of a project as related 
to navigation and flood control matters or other specific Corps 
interests and responsibilities in particular cases.
    (v) The matter of possible redevelopment of an existing project to 
improve the usefulness of the project in relation to the objectives of 
the Corps program in the basin. In the case of an unconstructed project, 
based on request from the Commission, a recommendation along with 
justification, should be included as to whether or not development 
should be undertaken by the United States.
    (vi) Consideration of structural safety and adequacy of spillway 
design flood for FERC licensed projects are the responsibility of the 
FERC. The Dam Safety Act, Pub. L. 92-367 provides that dams constructed 
pursuant to license issued under the authority of Federal Power Act are 
specifically exempted from the Corps National inspection program. This 
does not preclude the Corps District and Division offices from making 
comments on license applications for the FERC information, about any 
design deficiencies that are brought to their attention.
    (2) Relicensing (new license) application. (i) Consider paragraphs 
(f) (1) through (6) of this section.
    (ii) Recommendations should be furnished to the FERC with respect to 
possible need for ``take over'' of a project by the Federal Government. 
Details on ``take over'' under the Federal Power Act are provided in 
part 16 of the CFR, Title 18 (part 1 to 149). A copy of part 16 is 
provided for ready reference in Appendix A of this part.
    (iii) FERC Preliminary Permit Application. Consider appropriate 
recommendations to insure coordination of applicant's studies with the 
Division or District Engineer in cases where responsibilities and 
interests of the Corps of Engineers would be affected. The report should 
include discussion of Corps interests which could result in 
recommendations for provisions to be included in a subsequent license. 
In general proposed construction of power facilities at or in 
conjunction with a Corps reservoir project will be reviewed with the 
objective of recommending design, construction and operation factors 
that the applicant must consider in its studies in order for the 
proposed power development to be compatible, physically and 
economically, with the authorized function of the Corps project(s).
    (g) Terms and conditions for insertion in FERC permits and licenses. 
In investigation of an application for FERC license or permit, 
consideration will be given to aspects of the project affecting 
authorized functions of the Corps as well as to the responsibilities 
assigned to the Corps by the Federal Power Act. Accordingly, the 
Division engineer in his report on an application to the Chief of 
Engineers will always consider the necessity for including in any 
license or permit terms and conditions to protect the interests of 
navigation. Recommendations involving other responsibilities of the 
Corps in the area of water control management such as flood control, low 
flow augmentation minimum instantaneous releases, and other purposes 
should also be considered.
    (h) Standard terms and conditions used by the FERC in its permits 
and licenses. Appendix B to this Regulation includes standard terms and 
conditions used by the FERC in licenses for projects affecting navigable 
waters of the U.S. The standard articles, included in Appendix B, are 
identified by the FERC in the following Forms:
    (1) Form L-3 (Revised October 1975)

    Terms and Conditions of License for Constructed Major Project 
Affecting Navigable Waters of the United States.

    (2) Form L-4 (Revised October 1975)

    Terms and Conditions of License for Unconstructed Major Project 
Affecting Navigable Waters of the United States.


Any special terms and conditions pertaining to the Corps of Engineers 
responsibilities, in addition to those identifed in Appendix B should be 
tailored to suit the situation involved. Appendix B also provides a list 
of other FERC standard articles Forms that could be obtained from FERC 
offices.

[[Page 205]]

    (i) Distinction between Corps of Engineers and FERC jurisdiction 
with respect to non-Federal Hydroelectric projects. (1) The following 
procedures are currently being followed in connection with Department of 
Army permit responsibilities involving pre-1920 legislation:
    (i) In regard to FERC licensing of projects, Corps responsibilities 
under section 10 of the River and Harbor Act of 1899, for power related 
activities, may normally be met through the FERC licensing procedure 
including insertion of terms and conditions in the license of the 
interest of navigation. Section 4(e) of the Federal Power Act provides 
for approval of plans of project works by the Chief of Engineers and 
Secretary of the Army from the standpoint of interests of navigation. 
The consideration for our approval under section 4(e) will be limited to 
effects of project power related activities on navigation.
    (ii) Applications to Corps Divsion or District Engineers for 
approval of repairs, maintenance or modification of non-Federal water 
power projects authorized under River and Harbor Acts as well as special 
Acts of Congress prior to 1920, or requests for advice with respect 
thereto should be referred to the FERC for consideration in accordance 
with the provisions of the Federal Power Act. The permittee should be 
advised that the application is being referred to the FERC for 
consideration and that if a FERC license is required Corps 
recommendations will be furnished to the FERC.
    (2) Responsibilities under section 404 of the Federal Water 
Pollution Control Act as amended in 1972 (33 U.S.C. 1151) pertinent to 
discharge of dredged or fill material into the navigble waters at 
specified disposal sites will be met only through the Department of Army 
permit procedures as specified in ER 1145-2-303. In regard to FERC cases 
involving section 404, our report to the FERC through (DAEN-CWE-HY) will 
specify the need for a Department of Army permit (section 404) if, on 
the basis of the Division and District Engineers' reports, such permit 
is deemed necessary. A Department of the Army permit will be required 
for any portion of a proposed project which involves the discharge of 
dredged or fill material into the waters of the United States. This 
includes the placement of fill necessary for construction of a project's 
dam and appurtenant structures.
    (3) When applicable, FERC will be advised that the requirement for 
Department of the Army permit pursuant to section 103 of the Marine 
Protection, Research and Sanctuaries Act of 1972 for the transport of 
dredged material from the project site for the purpose of dumping it 
into the ocean waters will be met only through the Department of the 
Army permit program.
    (4) In connection with FERC licensed projects there may be proposed 
non-power water oriented activities, such as recreational development, 
which are associated with the overall project but may not be a part of 
the hydroelectric power facilities at the project. Such cases, if 
involving navigable waters should be reviewed from the standpoint of 
need for a section 10 permit. Such section 10 permit actions would 
involve consideration of the overall public interest, including water 
quality, fish and wildlife, recreation, general environmental concerns 
and the needs and welfare of the people. Corps responsibilities for 
permit requirements under section 10 of the River and Harbor Act of 1899 
for nonpower activities affecting navigable waters at the FERC projects 
will be met only through the Corps permit procedures. The Corps' report 
to FERC through (DAEN-CWE-HY) will specify the need for such permit when 
recommended by the Division and District Engineers' report.
    (j) Investigation of applications for surrender or termination of 
license. The period of the FERC license for hydroelectric projects is 
usually 50 years. During and/or upon the expiration of the period of a 
license, a licensee may file with the FERC an application for surrender 
or termination of its license. These applications may encompass requests 
for physical removal of an existing dam and/or powerhouse structures 
from a stream. Division Engineers who would be assigned by the Chief of 
Engineers to review such applications will consider, in their review and 
report to DAEN-CWE-HY, the possibility that sediment discharge resulting 
from removal of a dam structure from a navigable river or from any site 
that may

[[Page 206]]

affect navigable waters would impair the anchorage and navigation and/or 
flood carrying capacity of the stream. In cases where there is a 
possibility of significant downstream shoaling (sedimentation) as the 
result of removal of a dam and its appurtenant structures, 
recommendation may be made to the FERC, through DAEN-CWE-HY, requiring 
licensee as a condition of approval of dam removal to agree to bear the 
expense for removal of any shoaling at the navigable river(s) which 
would be determined by the Corps to be detrimental to navigation. Other 
recommendations to be considered include gradual lowering of a dam over 
a period of time and/or possibility of sediment removal prior to dam 
removal. It should also be noted that a Department of the Army permit 
under section 404 of the Federal Water Pollution Control Act amendments 
of 1972 (33 U.S.C. 1151), as discussed in Paragraph 9b of this 
regulation, may be needed in connection with removal of dams on or 
affecting the navigable waters if a discharge of dredged or fill 
material also occurs during the removal operation. Other recommendations 
within the Corps authority that should be considered in reviewing 
applications for surrender or termination of licenses for projects where 
their power facilities have been removed, or recommended for removal, is 
that upon any approval of such application by the FERC, continuation of 
existence of the nonpower project on or affecting the navigable waters 
of the U.S. will require a Department of the Army permit in compliance 
with section 10 of the River and Harbor Act of 1899. Furthermore, it 
should be noted that in the absence of FERC nonpower use license, 
pursuant to 16 U.S.C. 808(b), the structural safety and maintenance of 
dam and reservoir for a nonpower project will be governed by the laws 
and regulations of the State in which the project is located.
    (k) Supervision and inspection of operation of licensed 
hydroelectric projects. Corps Division and District Engineers 
responsibilities with respect to any project affecting navigable waters 
include surveillance of operation and maintenance to insure that the 
interests of navigation are not adversely affected. In addition, in 
certain cases the Corps, at the request of the FERC, may act as agent 
for the FERC for overall supervision of project operation and 
maintenance. Corps Division Engineers have, in the past, represented the 
FERC in supervision and inspection of a number of FERC licensed projects 
within their respective divisions. The Commission by letter dated March 
4, 1976 relieved the Corps of Engineers from acting as the Commission's 
representative for supervision and inspection of its licensed projects. 
This responsibility has been transferred by the Commission to its own 
regional engineers. There are no requirements for any periodic or annual 
reports from the Division offices regarding the operation of FERC 
licensed hydroelectric projects. However, Division Engineers will report 
to DAEN-CWE-HY on a current basis any significant detrimental effects 
with respect to Corps of Engineers responsibilities or other matters 
which come to their attention.
    (l) Safety of licensed hydroelectric projects. The Dam Safety Act, 
Public Law 92-367, provides that dams constructed pursuant to licenses 
issued under the authority of the Federal Power Act are specifically 
exempted from the national inspection program administered by the Corps. 
However, the law further provides that the Secretary of the Army upon 
request of the FERC may inspect dams which have been licensed under the 
Federal Power Act. The Commission by letter dated August 29, 1972 
informed the Corps that the Commission does not expect to request the 
Corps' assistance for inspecting the projects licensed under the Federal 
Power Act.
    (m) Supervision of construction of licensed hydroelectric projects. 
In cases where the FERC may request the Corps to supervise the actual 
construction of licensed hydroelectric project on behalf of the 
Commission, instructions will be furnished to the appropriate District 
Engineer through the Division Engineer at the time the request is made.
    (n) Other investigation under the Federal Power Act. Corps of 
Engineers operations under the Federal Power Act also include 
participation in FERC procedures in determining headwater benefits from 
Corps reservoir projects

[[Page 207]]

(RCS, 1461-FPC). This matter is discussed in ER 1140-2-1.
    (o) Funding of operations under the Federal Power Act. (1) The 
salaries of the Corps of Engineers personnel involved in investigations 
discussed herein will be charged against funds for ``Special 
Investigations'' under the appropriation for ``General Expenses.'' The 
FERC may provide reimbursement if requested by the Chief of Engineers to 
cover the nonpersonal expenses which may be incurred in the 
investigation and supervision of projects under permits and licenses.
    (2) Non-personal costs amounting to less than $100 for any single 
investigation will not be reimbursed from the Commission funds but will 
be charged also to ``Special Investigations'' under the appropriations 
for ``General Expenses.'' Each Division Engineer charged with a detailed 
investigation of an application for license or the supervision of a 
project that will require more than a nominal amount of nonpersonal 
costs will be specifically requested to submit an estimate of the funds 
required upon assignment of the work by the Chief of Engineers.
    (3) Reimbursement from the FERC funds for nonpersonal costs in 
excess of $100 will be made by the Chief of Engineers upon submission of 
a voucher on Standard Form 1080 by the District Engineer through the 
Division Engineer. The voucher will show the fiscal year during which 
the work was done and the Commission project number on which the money 
was spent.

  Appendix A to Part 221--Part 16-Procedures Relating to Takeover and 
                    Relicensing of Licensed Projects

Sec.

16.1 Purpose and coverage.
16.2 Public notice of projects under expiring license.
16.3 When to file.
16.4 Notice upon filing of application.
16.5 Annual licenses.
16.6 Applications for new license for projects subject to sections 14 
          and 15 of the Federal Power Act and all other major projects.
16.7 Application for nonpower license.
16.8 Departmental recommendations for takeover.
16.9 Commission recommendation to Congress.
16.10 Motion for stay by Federal department or agency.
16.11 Procedures upon congressional authorization of takeover.
16.12 Renewal of minor or minor part licenses not subject to sections 14 
          and 15.
16.13 Acceptance for filing or rejection of application.

    Authority: Federal Power Act, secs. 7(c), 14, 15, 309 (16 U.S.C. 
800, 807, 808, 825h.

    Source: Order 141, 12 FR 8461, Dec. 19, 1947; as amended by Order 
175, 19 FR 5212, Aug. 18, 1954; Order 260, 28 FR 814, Jan. 11, 1963; 28 
FR 1680, Feb. 21, 1963; 28 FR 2270, Mar. 8, 1963; Order 288, 29 FR 
14106, Oct. 14, 1964; Order 384, 34 FR 12269, July 25, 1969 and as 
otherwise noted.)

Sec. 16.1 Purpose and coverage.

    This part implements the amendments of sections 7(c), 14, and 15 of 
part I of the Federal Power Act, as amended, enacted by Public Law 90-
451, 82 Stat. 616, approved August 3, 1968. It applies to projects 
subject to sections 14 and 15 of the Federal Power Act including 
projects for which a nonpower license may be issued. Procedures are 
provided for the filing of applications for either power or nonpower 
licenses for projects whose licenses are expiring. A license for a power 
project issued to either the original licensee or another licensee is 
referred to in this part as a ``new license'' and a license for a 
nonpower project as a ``non-power license''. Also provided are 
procedures for the filing of recommendations for takeover by Federal 
departments or agencies and applications for renewal of licenses not 
subject to section 14.

Sec. 16.2 Public notice of projects under expiring license.

    In order that there should be adequate notice and opportunity to 
file timely applications for a license the Commission's Secretary will 
give notice of the expiration of license of a project (except 
transmission line and minor projects) 5 years in advance thereof in the 
same manner as provided in section 4(f) of the Act. The Secretary shall 
upon promulgation of the rules herein give notice, as provided in 
section 4(f) of the Act, of all whose license terms have expired since 
January 1, 1968, or which will expire within 5 years of the effective 
date of this rule. In addition, the Commission each year will publish in 
its annual report and in the Federal Register a table showing the 
projects which will expire during the succeeding 5 years. The table will 
list these licenses according to their expiration dates and will contain 
the following information: (a) License expiration date; (b) licensee's 
name; (c) project number; (d) type of principal project works licensed, 
e.g., dam and reservoir, powerhouse, transmission lines; (e) location by 
State, county,

[[Page 208]]

and stream; also by city or nearby city when appropriate; and (f) plant 
installed capacity.

Sec. 16.3 When to file.

    (a) An existing licensee must file an application for a ``new 
license'' or ``nonpower license'' or a statement of intention not to 
file an application for a ``new license'' no earlier than 5 years and no 
later than 3 years prior to the expiration of its license, except that, 
where the license will expire within 3\1/2\ years of the issuance of 
this part, such applications or statements shall be filed within 6 
months from the effective date of this part. Applicants which have 
applications pending which were filed under previous Commission 
regulations shall supplement their applications in accordance with 
pertinent provisions of this part within 6 months of the effective date 
of this part.
    (b) Any other person or municipality may file an application for a 
``new license'' or ``non-power license'' within 5 years of the 
expiration of the license, but in no event, unless authorized by the 
Commission, later than 6 months after issuance of notice of the filing 
of an application or statement by the licensee under Sec. 16.4 or 2\1/
2\ years before the expiration of the license, whichever is earlier.
    (c) Any application submitted after the expiration of the time 
specified herein for filing must be accompanied by a motion requesting 
permission to file late, which motion shall detail the reasons of good 
cause why the application was not timely filed and how the public 
interest would be served by its consideration.

Sec. 16.4 Notice upon filing of application.

    When any timely application or statement within the meaning of Sec. 
16.3 is received, or when the Commission grants any motion for 
consideration of a late filed application, notice of receipt thereof 
will be furnished the applicant, and public notice will be given in the 
same manner as provided in sections 4(f) and 15(b) of the Act (49 Stat. 
838; 41 Stat. 1072; 82 Stat. 616; 16 U.S.C. 797, 808) Sec. Sec. 1.37 
and 2.1 of this chapter, the Fish and Wildlife Coordination Act, 48 
Stat. 401, as amended, 16 U.S.C. 661 et seq., and by publication in the 
Federal Register.

Sec. 16.5 Annual licenses.

    No application for annual license need be filed nor will such 
application be accepted under section 15 of the Act. An existing 
licensee making timely filing for a new license will be deemed to have 
filed for an annual license. If the Commission has not acted upon an 
application by licensee for a new license at the expiration of the 
license terms, by the issuance of an order granting, denying or 
dismissing it, an annual license shall be issued by notice of the 
Secretary.

Sec. 16.6 Applications for new license for projects subject to sections 
14 and 15 of the Federal Power Act and all other major projects.

    (a) Each application for a new license hereunder shall conform in 
form to Sec. 131.2 of this chapter, and shall set forth in appropriate 
detail all information and exhibits prescribed in Sec. Sec. 4.40 
through 4.42 of this chapter, inclusive and in Sec. 4.51 of this 
chapter, as well as additional information specified in paragraphs (b) 
through (e) of this section, except that Exhibit A may be incorporated 
in an application by reference where one applicant files applications 
for several projects, one of which already contains an Exhibit A or in 
any case where applicant has filed an Exhibit A within 10 years 
preceding the filing of the application, and that Exhibits N and O as 
specified in Sec. 4.41 of this chapter need only be filed as provided 
in paragraph (c) of this section. An original and fourteen conformed 
copies of the application and all accompanying exhibits shall be 
submitted to the Commission plus one additional conformed copy for each 
interested State Commission.
    (b) An application for a ``new license'' hereunder shall include a 
statement showing the amount which licensee estimates would be payable 
if the project were to be taken over at the end of the license term 
pursuant to the provisions of sections 14 and 15 of the Federal Power 
Act. This statement shall include estimates of: (1) Fair value; (2) net 
investment; and (3) severance damages. (This subsection is not 
applicable to State, municipal, or nonlicensee applicants.)
    (c) If the applicant proposes project works in addition to those 
already under license, the maps, plans, and descriptions of the project 
works (Exs. I, J, L and M) shall distinguish the project works of parts 
thereof which have been constructed from those to be constructed. 
Exhibits N and O shall also be included in the application relating to 
new construction.
    (d) Applicant shall furnish its plans for the future modification or 
redevelopment of the project, if any, and shall set forth in detail why 
technically feasible, additional capacity is not proposed for 
installation at the time of relicensing.
    (e) Applicant shall file a statement on the effect that takeover by 
the United States or relicensing to another applicant would have upon 
the supply of electric energy to the system with which it is 
interconnected, the rates charged its customers, the licensee's 
financial condition, and taxes collected by local, State, and Federal 
Governments. (This subsection is not applicable to State, municipal or 
nonlicensee applicants.)

Sec. 16.7 Application for nonpower license.

    Each application for ``non-power license'' shall generally follow 
the form prescribed in Sec. 131.6 of this chapter, except for 
subsections 7 and 8 thereof. It shall be accompanied by

[[Page 209]]

Exhibits K, L, R, and S prepared as described in section 4.41, and shall 
include the information specified in paragraphs (a) through (c) of this 
section. Unless otherwise specified, an original and 14 conformed copies 
of the application and all accompanying exhibits shall be submitted with 
one additional conformed copy for each interested State commission. 
Additional information may be requested by the Commission if desired.
    (a) Applicant shall furnish a description of the nonpower purpose 
for which the project is to be utilized and a showing of how such use 
conforms with a comprehensive plan for improving or developing a 
waterway or waterways for beneficial uses, including a statement of the 
probable impact which conversion of the project to nonpower use will 
have on the power supply of the system served by the project.
    (b) Applicant shall identify the State, municipal, interstate or 
Federal agency, if any, which is authorized or willing to assume 
regulatory supervision over the land, waterways and facilities to be 
included within the nonpower project. (If there is such an agency, 
applicant shall foward one copy of the application to such agency.)
    (c) Applicant shall submit a proposal for the removal or other 
disposition of power facilities of the project.

A ``non-power license'' shall be effective until such time as in the 
judgement of the Commission a State, municipal, interstate, or Federal 
agency is authorized and willing to assume regulatory supervision over 
the land, waterways, and facilities included within the ``non-power 
license'' or until the project structures are removed. Such State, 
municipal, interstate or Federal agency may petition the Commission for 
termination of a ``non-power license'' at any time. Where the existing 
project is located on the public lands or reservations of the United 
States, and there is no application for relicensing as a power project 
either by the original licensee, or some other entity, or a takeover 
recommendation, the Commission may, in its discretion, and upon a 
showing by the agency having jurisdiction over the lands or reservations 
that it is prepared to assume requisite regulatory supervision for the 
nonpower use of the project, terminate the proceeding without issuing 
any license for nonpower use.

Sec. 16.8 Departmental recommendations for takeover.

    A recommendation that the United States exercise its right to take 
over a project may be filed by any Federal department or agency no 
earlier than 5 years and no later than 2 years prior to the expiration 
of the license term; Provided, however, That such recommendation shall 
not be filed later than 9 months after the issuance of a notice of 
application for a new license. Departments or agencies filing such 
recommendations shall thereby become parties to the relicensing-takeover 
proceeding. An original and 14 copies of the recommendation shall be 
filed together with one additional copy for each interested State 
commission. The recommendation shall specify the project works which 
would be taken over by the United States, shall include a detailed 
description of the proposed Federal operation of the project, including 
any plans for its redevelopment and shall indicate how takeover would 
serve the public interest as fully as non-Federal development and 
operation. It shall also include a statement indicating whether the 
agency making the recommendation intends to undertake operation of the 
project. A copy of the recommendation shall be served upon the licensee 
by the Commission's Secretary. Any applicant for a new license covering 
all or part of the project involved in the takeover recommendation shall 
have 120 days within which to serve a reply to the recommendation upon 
the Commission with copies to any parties in the proceeding.

Sec. 16.9 Commission recommendation to Congress.

    If the Commission, after notice and opportunity for hearing, 
concludes upon departmental recommendation, a proposal of any party, or 
its own motion, that the standards of section 10(a) of the Act would 
best be served if a project whose license is expiring is taken over by 
the United States, it will issue its findings and recommendations to 
this effect, and after any modification thereof, upon consideration of 
any application for reconsideration, made in conformity with the 
provisions of Sec. 1.34 of this chapter governing applications for 
rehearing, forward copies of its findings and recommendations to the 
Congress.

Sec. 16.10 Motion for stay by Federal department or agency.

    If the Commission does not recommend to the Congress that a project 
be taken over, a Federal department or agency which has filed a timely 
recommendation for takeover as provided in this part may, within thirty 
(30) days of issuance of an order granting a license, file a motion, 
with copies to the parties in the proceeding, before the Commission 
requesting a stay of the license order. Upon the filing of such a 
motion, the license order automatically will be stayed for 2 years from 
the date of issuance of the order, unless the stay is terminated earlier 
upon motion of the department or agency requesting the stay or by action 
of Congress. The Commission will notify Congress of any such stay. Upon 
expiration or termination of the stay, including any extension thereof 
by act of Congress, the Commission's license order shall automatically 
become effective in accordance with its terms. The Commission will 
notify Congress of each license order

[[Page 210]]

which has become effective by reason of the expiration or termination of 
a stay.

Sec. 16.11 Procedures upon congressional authorization of takeover.

    A determination whether or not there is to be a Federal takeover of 
a project would ultimately be made by Congress through the enactment of 
appropriate legislation. If Congress authorizes takeover, the Secretary 
will immediately give the Licensee not less than 2 years' notice in 
writing of such action. Within 6 months of issuance of such notice the 
Licensee shall present to the Commission any claim for compensation 
consistent with the provisions of section 14 of the Federal Power Act 
and the regulations of the Commission.

Sec. 16.12 Renewal of minor or minor part licenses not subject to 
sections 14 and 15.

    Licenses whose minor or minor part licenses are not subject to 
sections 14 and 15 of the Act and wish to continue operation of the 
project after the end of the license term shall file an application for 
a ``new license'' 1 year prior to the expiration of their original 
license in accordance with applicable provisions of part 4 of this 
chapter.

Sec. 16.13 Acceptance for filing or rejection of application.

    Acceptance for filing or rejection of applications under this part 
shall be in accordance with the provisions of Sec. 4.31 of this 
chapter.

 Appendix B to Part 221--Federal Energy Regulatory Commission Form L-3 
                         (Revised October 1975)

terms and conditions of license for constructed major project affecting 
                  navigable waters of the united states

    Article 1. The entire project, as described in this order of the 
Commission, shall be subject to all of the provisions, terms, and 
conditions of the license.
    Article 2. No substantial change shall be made in the maps, plans, 
specifications, and statements described and designated as exhibits and 
approved by the Commission in its order as a part of the license until 
such change shall have been approved by the Commission: Provided, 
however, That if the Licensee or the Commission deems it necessary or 
desirable that said approved exhibits, or any of them, be changed, there 
shall be submitted to the Commission for approval a revised, or 
additional exhibit or exhibits covering the proposed changes which, upon 
approval by the Commission, shall become a part of the license and shall 
supersede, in whole or in part, such exhibit or exhibits theretofore 
made a part of the license as may be specified by the Commission.
    Article 3. The project area and project works shall be in 
substantial conformity with the approved exhibits referred to in Article 
2 herein or as changed in accordance with the provisions of said 
article. Except when emergency shall require for the protection of 
navigation, life, health, or property, there shall not be made without 
prior approval of the Commission any substantial alteration or addition 
not in conformity with the approved plans to any dam or other project 
works under the license or any substantial use of project lands and 
waters not authorized herein; and any emergency alteration, addition, or 
use so made shall thereafter be subject to such modification and change 
as the Commission may direct. Minor changes in project works, or in uses 
of project lands and waters, or divergence from such approved exhibits 
may be made if such changes will not result in a decrease in efficiency, 
in a material increase in cost, in an adverse environmental impact, or 
in impairment of the general scheme of development; but any of such 
minor changes made without the prior approval of the Commission, which 
in its judgement have produced or will produce any of such results shall 
be subject to such alteration as the Commission may direct.
    Article 4. The project, including its operation and maintenance and 
any work incidental to additions or alterations authorized by the 
Commission, whether or not conducted upon lands of the United States, 
shall be subject to the inspection and supervision of the Regional 
Engineer, Federal Power Commission, in the region wherein the project is 
located, or of such other officer or agent as the Commission may 
designate, who shall be the authorized representative of the Commission 
for such purposes. The Licensee shall cooperate fully with said 
representative and shall furnish him such information as he may require 
concerning the operation and maintenance of the project, and any such 
alterations thereto, and shall notify him of the date upon which work 
with respect to any alteration will begin, as far in advance thereof as 
said representative may reasonably specify, and shall notify him 
promptly in writing of any suspension of work for a period of more than 
one week, and of its resumption and completion. The Licensee shall 
submit to said representative a detailed program of inspection by the 
Licensee that will provide for an adequate and qualified inspection 
force for construction of any such alterations to the project. 
Construction of said alterations or any feature thereof shall not be 
initiated until the program of inspection for the alterations or any 
feature thereof has been approved by said representative. The Licensee 
shall allow said representative and other officers or employees of the 
United States, showing proper credentials, free and unrestricted access 
to, through, and across the project lands and projects works in the 
performance of their

[[Page 211]]

official duties. The Licensee shall comply with such rules and 
regulations of general or special applicability as the Commission may 
prescribe from time to time for the protection of life, health, or 
property.
    Article 5. The Licensee, within five years from the date of issuance 
of the license, shall acquire title in fee or the right to use in 
perpetuity all lands, other than lands of the United States, necessary 
or appropriate for the construction, maintenance, and operation of the 
project. The Licensee or its successors and assigns shall, during the 
period of the license, retain the possession of all project property 
covered by the license as issued or as later amended, including the 
project area, the project works, and all franchises, easements, water 
rights, and rights of occupancy and use; and none of such properties 
shall be voluntarily sold, leased, transferred, abandoned, or otherwise 
disposed of without the prior written approval of the Commission, except 
that the Licensee may lease or otherwise dispose of interests in 
projects lands or property without specific written approval of the 
Commission pursuant to the then current regulations of the Commission. 
The provisions of this article are not intended to prevent the 
abandonment or the retirement from service of structures, equipment, or 
other project works in connection with replacements thereof when they 
become obsolete, inadequate, or inefficient for further service due to 
wear and tear; and mortgage or trust deeds or judicial sales made 
thereunder, or tax sales, shall not be deemed voluntary transfers within 
the meaning of this article.
    Article 6. In the event the project is taken over by the United 
States upon the termination of the license as provided in Section 14 of 
the Federal Power Act, or is transferred to a new licensee or to a non-
power licensee under the provisions of Section 15 of said Act the 
Licensee, its successors and assigns shall be responsible for, and shall 
make good any defect of title to, or of right of occupancy and use in, 
any of such project property that is necessary or appropriate or 
valuable and serviceable in the maintenance and operation of the 
project, and shall pay and discharge, or shall assume responsiblity for 
payment and discharge of, all liens or encumbrances upon the projects or 
project property created by the Licensee or created or incurred after 
the issuance of the license: Provided, That the provisions of this 
article are not intended to require the Licensee, for the purpose of 
transferring the project to the United States or to a new licensee, to 
acquire any different title to, or right of occupancy and use in, any of 
such project property than was necessary to acquire for its own purposes 
as the Licensee.
    Article 7. The actual legitimate original cost of the project, and 
of any addition thereto or betterment thereof, shall be determined by 
the Commission in accordance with the Federal Power Act and the 
Commission's Rules and Regulations thereunder.
    Article 8. The licensee shall install and thereafter maintain gages 
and stream-gaging stations for the purpose of determining the stage and 
flow of the stream or streams on which the project is located, the 
amount of water held in and withdrawn from storage, and the effective 
head on the turbines; shall provide for the required reading of such 
gages and for the adequate rating of such stations; and shall install 
and maintain standard meters adequate for the determination of the 
amount of electric energy generated by the project works. The number, 
character, and location of gages, meters, or other measuring devices, 
and the method of operation thereof, shall at all times be satisfactory 
to the Commission or its authorized representative. The Commission 
reserves the right, after notice and opportunity for hearing, to require 
such alterations in the number, character, and location of gages, 
meters, or other measuring devices, and the method of operation thereof, 
as are necessary to secure adequate determinations. The installation of 
gages, the rating of said stream or streams, and the determination of 
the flow thereof, shall be under the supervision of, or in cooperation 
with, the District Engineer of the United States Geological Survey 
having charge of stream-gaging operations in the region of the project, 
and the Licensee shall advance to the United States Geological Survey 
the amount of funds estimated to be necessary for such supervision, or 
cooperation for such periods as may be mutually agreed upon. The 
Licensee shall keep accurate and sufficient records of the foregoing 
determinations to the satisfaction of the Commission, and shall make 
return of such records annually at such time and in such form as the 
Commission may prescribe.
    Article 9. The Licensee shall, after notice and opportunity for 
hearing, install additional capacity or make other changes in the 
project as directed by the Commission, to the extent that it is 
economically sound and in the public interest to do so.
    Article 10. The Licensee shall, after notice and opportunity for 
hearing, coordinate the operation of the project, electrically and 
hydraulically, with such other projects or power systems and in such 
manner as the Commission may direct in the interest of power and other 
beneficial public uses of water resources, and on such conditions 
concerning the equitable sharing of benefits by the Licensee as the 
Commission may order.
    Article 11. Whenever the Licensee is directly benefited by the 
construction work of another licensee, a permittee, or the United States 
on a storage reservoir or other headwater improvement, the Licensee 
shall reimburse the owner of the headwater improvement for such part of 
the annual charges for

[[Page 212]]

interest, maintenance, and depreciation thereof as the Commission shall 
determine to be equitable, and shall pay to the United States the cost 
of making such determination as fixed by the Commission. For benefits 
provided by a storage reservoir or other headwater improvement of the 
United States, the Licensee shall pay to the Commission the amounts for 
which it is billed from time to time for such headwater benefits and for 
the cost of making the determinations pursuant to the then current 
regulations of the Commission under the Federal Power Act.
    Article 12. The United States specifically retains and safeguards 
the right to use water in such amount, to be determined by the Secretary 
of the Army, as may be necessary for the purposes of navigation on the 
navigable waterway affected; and the operations of the Licensee, so far 
as they affect the use, storage and discharge from storage of waters 
affected by the license, shall at all time be controlled by such 
reasonable rules and regulations as the Secretary of the Army may 
prescribe in the interest of navigation, and as the Commission may 
prescribe for the protection of life, health, and property, and in the 
interest of the fullest practicable conservation and utilization of such 
waters for power purposes and for other beneficial public uses, 
including recreational purposes, and the Licensee shall release water 
from the project reservoir at such rate in cubic feet per second, or 
such volume in acre-feet per specified period of time, as the Secretary 
of the Army may prescribe in the interest of navigation, or as the 
Commission may prescribe for the other purposes hereinbefore mentioned.
    Article 13. On the application of any person, association, 
corporation, Federal agency, State or municipality, the Licensee shall 
permit such reasonable use of its reservoir or other project properties, 
including works, lands and water rights, or parts thereof, as may be 
ordered by the Commission, after notice and opportunity for hearing, in 
the interests of comprehensive development of the waterway or waterways 
involved and the conservation and utilization of the water resources of 
the region for water supply or for the purposes of steam-electric, 
irrigation, industrial, municipal or similar uses. The Licensee shall 
receive reasonable compensation for use of its reservoir or other 
project properties or parts thereof for such purposes, to include at 
least full reimbursement for any damages or expenses which the joint use 
causes the Licensee to incur. Any such compensation shall be fixed by 
the Commission either by approval of an agreement between the Licensee 
and the party or parties benefiting or after notice and opportunity for 
hearing. Applications shall contain information in sufficient detail to 
afford a full understanding of the proposed use, including satisfactory 
evidence that the applicant possesses necessary water rights pursuant to 
applicable State law, or a showing of cause why such evidence cannot 
concurrently be submitted, and a statement as to the relationship of the 
proposed use to any State or municipal plans or orders which may have 
been adopted with respect to the use of such waters.
    Article 14. In the construction or maintenance of the project works, 
the Licensee shall place and maintain suitable structures and devices to 
reduce to a reasonable degree the liability of contact between its 
transmission lines and telegraph, telephone and other signal wires or 
power transmission lines constructed prior to its transmission lines and 
not owned by the Licensee, and shall also place and maintain suitable 
structures and devices to reduce to a reasonable degree the liability of 
any structures or wires falling or obstructing traffic or endangering 
life. None of the provisions of this article are intended to relieve the 
Licensee from any responsibility or requirement which may be imposed by 
any other lawful authority for avoiding of eliminating inductive 
interference.
    Article 15. The Licensee shall, for the conservation and development 
of fish and wildlife resources, construct, maintain, and operate, or 
arrange for the construction, maintenance, and operation of such 
reasonable facilities, and comply with such reasonable modifications of 
the project structures and operation, as may be ordered by the 
Commission upon its own motion or upon the recommendation of the 
Secretary of the Interior or the fish and wildlife agency or agencies of 
any State in which the project or a part thereof is located, after 
notice and opportunity for hearing.
    Article 16. Whenever the United States shall desire, in connection 
with the project, to construct fish and wildlife facilities or to 
improve the existing fish and wildlife facilities at its own expense, 
the Licensee shall permit the United States or its designated agency to 
use, free of cost, such of the Licensee's lands and interests in lands, 
reservoirs, waterways and project works as may be reasonably required to 
complete such facilities or such improvements thereof. In addition, 
after notice and opportunity for hearing, the Licensee shall modify the 
proj- ect operation as may be reasonably prescribed by the Commission in 
order to permit the maintenance and operation of the fish and wildlife 
facilities constructed or improved by the United States under the 
provisions of this article. This article shall not be interpreted to 
place any obligation on the United States to construct or improve fish 
and wildlife facilities or to relieve the Licensee of any obligation 
under this license.
    Article 17. The Licensee shall construct, maintain, and operate, or 
shall arrange for

[[Page 213]]

the construction, maintenance, and operation of such reasonable 
recreational facilities, including modifications thereto, such as access 
roads, wharves, launching ramps, beaches, picnic and camping areas, 
sanitary facilities, and utilities, giving consideration to the needs of 
the physically handicapped, and shall comply with such reasonable 
modifications of the project, as may be prescribed hereafter by the 
Commission during the term of this license upon its own motion or upon 
the recommendation of the Secretary of the Interior or other interested 
Federal or State agencies, after notice and opportunity for hearing.
    Article 18. So far as is consistent with proper operation of the 
project, the Licensee shall allow the public free access, to a 
reasonable extent, to project waters and adjacent project lands owned by 
the Licensee for the purpose of full public utilization of such lands 
and waters for navigation and for outdoor recreational purposes, 
including fishing and hunting: Provided, That the Licensee may reserve 
from public access such portions of the project waters, adjacent lands, 
and project facilities as may be necessary for the protection of life, 
health, and property.
    Article 19. In the construction, maintenance, or operation of the 
project, the Licensee shall be responsible for, and shall take 
reasonable measures to prevent, soil erosion on lands adjacent to 
streams or other waters, stream sedimentation, and any form of water or 
air pollution. The Commission, upon request or upon its own motion, may 
order the Licensee to take such measures as the Commission finds to be 
necessary for these purposes, after notice and opportunity for hearing.
    Article 20. The Licensee shall clear and keep clear to an adequate 
width lands along open conduits and shall dispose of all temporary 
structures, unused timber, brush, refuse, or other material unnecessary 
for the purposes of the project which results from the clearing of lands 
or from the maintenance or alteration of the project works. In addition, 
all trees along the periphery of project reservoirs which may die during 
operations of the project shall be removed. All clearing of the lands 
and disposal of the unnecessary material shall be done with due 
diligence and to the satisfaction of the authorized representatives of 
the Commission and in accordance with appropriate Federal, State, and 
local statutes and regulations.
    Article 21. Material may be dredged or excavated from, or placed as 
fill in, project lands and/or waters only in the prosecution of work 
specifically authorized under the license; in the maintenance of the 
project; or after obtaining Commission approval, as appropriate. Any 
such material shall be removed and/or deposited in such manner as to 
reasonably preserve the environmental values of the project and so as 
not to interfere with traffic on land or water. Dredging and filling in 
a navigable water of the United States shall also be done to the 
satisfaction of the District Engineer, Department of the Army, in charge 
of the locality.
    Article 22. Whenever the United States shall desire to construct, 
complete, or improve navigation facilities in connection with the 
project, the Licensee shall convey to the United States, free of cost, 
such of its lands and rights-of-way and such rights of passage through 
its dams or other structures, and shall permit such control of its 
pools, as may be required to complete and maintain such navigation 
facilities.
    Article 23. The operation of any navigation facilities which may be 
constructed as a part of, or in connection with, any dam or diversion 
structure constituting a part of the project works shall at all times be 
controlled by such reasonable rules and regulations in the interest of 
navigation, including control of the level of the pool caused by such 
dam or diversion structure, as may be made from time to time by the 
Secretary of the Army.
    Article 24. The Licensee shall furnish power free of cost to the 
United States for the operation and maintenance of navigation facilities 
in the vicinity of the project at the voltage and frequency required by 
such facilities and at a point adjacent thereto, whether said facilities 
are constructed by the Licensee or by the United States.
    Article 25. The Licensee shall construct, maintain, and operate at 
its own expense such lights and other signals for the protection of 
navigation as may be directed by the Secretary of the Department in 
which the Coast Guard is operating.
    Article 26. If the Licensee shall cause or suffer essential project 
property to be removed or destroyed or to become unfit for use, without 
adequate replacement, or shall abandon or discontinue good faith 
operation of the project or refuse or neglect to comply with the terms 
of the license and the lawful orders of the Commission mailed to the 
record address of the Licensee or its agent, the Commission will deem it 
to be the intent of the Licensee to surrender the license. The 
Commission, after notice and opportunity for hearing, may require the 
Licensee to remove any or all structures, equipment and power lines 
within the project boundary and to take any such other action necessary 
to restore the project waters, lands, and facilities remaining within 
the project boundary to a condition satisfactory to the United States 
agency having jurisdiction over its lands or the Commission's authorized 
representative, as appropriate, or to provide for the continued 
operation and maintenance of nonpower facilities and fulfill such other 
obligations under the license as the Commission may prescribe. In 
addition, the Commission in its discretion, after notice and opportunity 
for hearing, may also agree to the

[[Page 214]]

surrender of the license when the Commission, for the reasons recited 
herein, deems it to be the intent of the Licensee to surrender the 
license.
    Article 27. The right of the Licensee and of its successors and 
assigns to use or occupy waters over which the United States has 
jurisdiction, or lands of the United States under the license, for the 
purpose of maintaining the project works or otherwise, shall absolutely 
cease at the end of the license period, unless the Licensee has obtained 
a new license pursuant to the then existing laws and regulations, or an 
annual license under the terms and conditions of this license.
    Article 28. The terms and conditions expressly set forth in the 
license shall not be constructed as impairing any terms and conditions 
of the Federal Power Act which are not expressly set forth herein.

                  Federal Energy Regulatory Commission

                    Form L-4 (Revised October, 1975)

    terms and conditions of license for unconstructed major project 
             affecting navigable waters of the united states

    Article 1. The entire project, as described in this order of the 
Commission, shall be subject to all of the provisions, terms, and 
conditions of the license.
    Article 2. No substantial change shall be made in the maps, plans, 
specifications, and statements described and designated as exhibits and 
approved by the Commission in its order as a part of the license until 
such change shall have been approved by the Commission: Provided, 
however, That if the Licensee or the Commission deems it necessary or 
desirable that said approved exhibits, or any of them, be changed, there 
shall be submitted to the Commission for approval a revised, or 
additional exhibit or exhibits covering the proposed changes which, upon 
approval by the Commission, shall become a part of the license and shall 
supersede, in whole or in part, such exhibit or exhibits theretofore 
made a part of the license as may be specified by the Commission.
    Article 3. The project works shall be constructed in substantial 
conformity with the approved exhibits referred to in Article 2 herein or 
as changed in accordance with the provisions of said article. Except 
when emergency shall require for the protection of navigation, life, 
health, or property, there shall not be made without prior approval of 
the Commission any substantial alteration or addition not in conformity 
with the approved plans to any dam or other project works under the 
license or any substantial use of project lands and waters not 
authorized herein; and any emergency alteration, addition, or use so 
made shall thereafter be subject to such modification and change as the 
Commission may direct. Minor changes in project works, or in uses of 
project lands and waters, or divergence from such approved exhibits may 
be made if such changes will not result in a decrease in efficiency, in 
a material increase in cost, in an adverse environmental impact, or in 
impairment of the general scheme of development; but any of such minor 
changes made without the prior approval of the Commission, which in its 
judgment have produced or will produce any of such results, shall be 
subject to such alteration as the Commission may direct.
    Upon the completion of the project, or at such other time as the 
Commission may direct, the Licensee shall submit to the Commission for 
approval revised exhibits insofar as necessary to show any divergence 
from or variations in the project area and project boundary as finally 
located or in the project works as actually constructed when compared 
with the area and boundary shown and the works described in the license 
or in the exhibits approved by the Commission, together with a statement 
in writing setting forth the reasons which in the opinion of the 
Licensee necessitated or justified variation in or divergence from the 
approved exhibits. Such revised exhibits shall, if and when approved by 
the Commission, be made a part of the license under the provisions of 
Article 2 hereof.
    Article 4. The construction, operation, and maintenance of the 
project and any work incidental to additions or alterations shall be 
subject to the inspection and supervision of the Regional Engineer, 
Federal Power Commission, in the region wherein the project is located, 
or of such other officer or agent as the Commission may designate, who 
shall be the authorized representative of the Commission for such 
purposes. The Licensee shall cooperate fully with said representative 
and shall furnish him a detailed program of inspection by the Licensee 
that will provide for an adequate and qualified inspection force for 
construction of the project and for any subsequent alterations to the 
project. Construction of the project works or any feature or alterations 
thereof shall not be initiated until the program of inspection for the 
project works or any such feature thereof has been approved by said 
representative. The Licensee shall also furnish to said representative 
such further information as he may require concerning the construction, 
operation, and maintenance of the project, and of any alteration 
thereof, and shall notify him of the date upon which work will begin, as 
far in advance thereof as said representative may reasonably specify, 
and shall notify him promptly in writing of any suspension of work for a 
period of more than one week, and of its resumption and completion. The 
Licensee shall allow said representative and other officers or employees 
of the United States, showing proper credentials, free and unrestricted 
access to, through, and

[[Page 215]]

across the project lands and project works in the performance of their 
official duties. The Licensee shall comply with such rules and 
regulations of general or special applicability as the Commission may 
prescribe from time to time for the protection of life, health, or 
property.
    Article 5. The Licensee, within 5 years from the date of issuance of 
the license, shall acquire title in fee or other right to use in 
perpetuity all lands, other than lands of the United States, necessary 
or appropriate for the construction, maintenance, and operation of the 
project. The Licensee or its successors and assigns shall, during the 
period of the license, retain the possession of all project property 
covered by the license as issued or as later amended, including the 
project area, the project works, and all franchises, easements, water 
and rights of occupancy and use; and none of such properties shall be 
voluntarily sold, leased, transferred, abandoned, or otherwise disposed 
of without the prior written approval of the Commission, except that the 
Licensee may lease or otherwise dispose of interests in project lands or 
property without specific written approval of the Commission pursuant to 
the then current regulations of the Commission. The provisions of this 
article are not intended to prevent the abandonment or the retirement 
from service of structures, equipment, or other project works in 
connection with replacements thereof when they become obsolete, 
inadequate, or inefficient for further service due to wear and tear; and 
mortgage or trust deeds or judicial sales made thereunder, or tax sales, 
shall not be deemed voluntary transfers within the meaning of this 
article.
    Article 6. In the event the project is taken over by the United 
States upon the termination of the license as provided in Section 14 of 
the Federal Power Act, or is transferred to a new licensee or to a non-
power licensee under the provisions of Section 15 of said Act, the 
Licensee, its successors and assigns shall be responsible for, and shall 
make good any defect of title to, or of right of occupancy and use in, 
any of such project property that is necessary or appropriate or 
valuable and serviceable in the maintenance and operation of the 
project, and shall pay and discharge, or shall assume responsibility for 
payment and discharge of, all liens or encumbrances upon the project or 
project property created by the Licensee or created or incurred after 
the issuance of the License: Provided, That the provisions of this 
article are not intended to require the Licensee, for the purpose of 
transferring the project to the United States or to a new licensee, to 
acquire any different title to, or right of occupancy and use in, any of 
such project property than was necessary to acquire for its own purposes 
as the Licensee.
    Article 7. The actual legitimate original cost of the project, and 
of any addition thereto or betterment thereof, shall be determined by 
the Commission in accordance with the Federal Power Act and the 
Commission's Rules and Regulations thereunder.
    Article 8. The Licensee shall install and thereafter maintain gages 
and stream-gaging stations for the purpose of determining the stage and 
flow of the stream or streams on which the project is located, the 
amount of water held in and withdrawn from storage, and the effective 
head on the turbines; shall provide for the required reading of such 
gages and for the adequate rating of such stations; and shall install 
and maintain standard meters adequate for the determination of the 
amount of electric energy generated by the project works. The number, 
character, and location of gages, meters, or other measuring devices, 
and the method of operation thereof, shall at all times be satisfactory 
to the Commission or its authorized representative. The Commission 
reserves the right, after notice and opportunity for hearing, to require 
such alterations in the number, character, and location of gages, 
meters, or other measuring devices, and the method of operation thereof, 
as are necessary to secure adequate determinations. The installation of 
gages, the rating of said stream or streams, and the determination of 
the flow thereof, shall be under the supervision of, or in cooperation 
with, the District Engineer of the United States Geological Survey 
having charge of stream-gaging operations in the region of the project, 
and the Licensee shall advance to the United States Geological Survey 
the amount of funds estimated to be necessary for such supervision, or 
cooperation for such periods as may be mutually agreed upon. The 
Licensee shall keep accurate and sufficient records of the foregoing 
determinations to the satisfaction of the Commission, and shall make 
return of such records annually at such time and in such form as the 
Commission may prescribe.
    Article 9. The Licensee shall, after notice and opportunity for 
hearing, install additional capacity or make other changes in the 
project as directed by the Commission, to the extent that it is 
economically sound and in the public interest to do so.
    Article 10. The Licensee shall, after notice and opportunity for 
hearing, coordinate the operation of the project, electrically and 
hydraulically, with such other projects or power systems and in such 
manner as the Commission may direct in the interest of power and other 
beneficial public uses of water resources, and on such conditions 
concerning the equitable sharing of benefits by the Licensee as the 
Commission may order.
    Article 11. Whenever the Licensee is directly benefited by the 
construction work of another licensee, a permittee, or the United

[[Page 216]]

States on a storage reservoir or other headwater improvement, the 
Licensee shall reimburse the owner of the headwater improvement for such 
part of the annual charges for interest, maintenance, and depreciation 
thereof as the Commission shall determine to be equitable, and shall pay 
to the United States the cost of making such determination as fixed by 
the Commission. For benefits provided by a storage reservoir or other 
headwater improvement of the United States, the Licensee shall pay to 
the Commission the amounts for which it is billed from time to time for 
such headwater benefits and for the cost of making the determinations 
pursuant to the then current regulations of the Commission under the 
Federal Power Act.
    Article 12. The United States specifically retains and safeguards 
the right to use water in such amount, to be determined by the Secretary 
of the Army, as may be necessary for the purposes of navigation on the 
navigable waterway affected; and the operations of the Licensee, so far 
as they affect the use, storage and discharge from storage of waters 
affected by the license, shall at all times be controlled by such 
reasonable rules and regulations as the Secretary of the Army may 
prescribe in the interest of navigation, and as the Commission may 
prescribe for the protection of life, health, and property, and in the 
interest of the fullest practicable conservation and utilization of such 
waters for power purposes and for other beneficial public uses, 
including recreational purposes, and the Licensee shall release water 
from the project reservoir at such rate in cubic feet per second, or 
such volume in acre-feet per specified period of time, as the Secretary 
of the Army may prescribe in the interest of navigation, or as the 
Commission may prescribe for the other purposes hereinbefore mentioned.
    Article 13. On the application of any person, association, 
corporation, Federal agency, State or municipality, the Licensee shall 
permit such reasonable use of its reservoir or other project properties, 
including works, lands and water rights, or parts thereof, as may be 
ordered by the Commission, after notice and opportunity for hearing, in 
the interests of comprehensive development of the waterway or waterways 
involved and the conservation and utilization of the water resources of 
the region for water supply or for the purposes of steam-electric, 
irrigation, industrial, municipal or similar uses. The Licensee shall 
receive reasonable compensation for use of its reservoir or other 
project properties or parts thereof for such purposes, to include at 
least full reimbursement for any damages or expenses which the joint use 
causes the Licensee to incur. Any such compensation shall be fixed by 
the Commission either by approval of an agreement between the Licensee 
and the party or parties benefiting or after notice and opportunity for 
hearing. Applications shall contain information in sufficient detail to 
afford a full understanding of the proposed use, including satisfactory 
evidence that the applicant possesses necessary water rights pursuant to 
applicable State law, or a showing of cause why such evidence cannot 
concurrently be submitted, and a statement as to the relationship of the 
proposed use to any State or municipal plans or orders which may have 
been adopted with respect to the use of such waters.
    Article 14. In the construction or maintenance of the project works, 
the Licensee shall place and maintain suitable structures and devices to 
reduce to a reasonable degree the liability of contact between its 
transmission lines and telegraph, telephone and other signal wires or 
power transmission lines constructed prior to its transmission lines and 
not owned by the Licensee, and shall also place and maintain suitable 
structures and devices to reduce to a reasonable degree the liability of 
any structures or wires falling or obstructing traffic or endangering 
life. None of the provisions of this article are intended to relieve the 
Licensee from any responsibility or requirement which may be imposed by 
any other lawful authority for avoiding or eliminating inductive 
interference.
    Article 15. The Licensee shall, for the conservation and development 
of fish and wildlife resources, construct, maintain, and operate, or 
arrange for the construction, maintenance, and operation of such 
reasonable facilities, and comply with such reasonable modifications of 
the project structures and operation, as may be ordered by the 
Commission upon its own motion or upon the recommendation of the 
Secretary of the Interior or the fish and wildlife agency or agencies of 
any State in which the project or a part thereof is located, after 
notice and opportunity for hearing.
    Article 16. Whenever the United States shall desire, in connection 
with the project, to construct fish and wildlife facilities or to 
improve the existing fish and wildlife facilities at its own expense, 
the Licensee shall permit the United States or its designated agency to 
use, free of cost, such of the Licensee's lands and interests in lands, 
reservoirs, waterways and project works as may be reasonably required to 
complete such facilities or such improvements thereof. In addition, 
after notice and opportunity for hearing, the Licensee shall modify the 
project operation as may be reasonably prescribed by the Commission in 
order to permit the maintenance and operation of the fish and wildlife 
facilities constructed or improved by the United States under the 
provisions of this article. This article shall not be interpreted to 
place any obligation on the United

[[Page 217]]

States to construct or improve fish and wildlife facilities or to 
relieve the Licensee of any obligation under this license.
    Article 17. The Licensee shall construct, maintain, and operate, or 
shall arrange for the construction, maintenance, and operation of such 
reasonable recreational facilities, including modifications thereto, 
such as access roads, wharves, launching ramps, beaches, picnic and 
camping areas, sanitary facilities, and utilities, giving consideration 
to the needs of the physically handicapped, and shall comply with such 
reasonable modifications of the project, as may be prescribed hereafter 
by the Commission during the term of this license upon its own motion or 
upon the recommendation of the Secretary of the Interior or other 
interested Federal or State agencies, after notice and opportunity for 
hearing.
    Article 18. So far as is consistent with proper operation of the 
project, the Licensee shall allow the public free access, to a 
reasonable extent, to project waters and adjacent project lands owned by 
the Licensee for the purpose of full public utilization of such lands 
and waters for navigation and for outdoor recreational purposes, 
including fishing and hunting: Provided, That the Licensee may reserve 
from public access such portions of the project waters, adjacent lands, 
and project facilities as may be necessary for the protection of life, 
health, and property.
    Article 19. In the construction, maintenance, or operation of the 
project, the Licensee shall be responsible for, and shall take 
reasonable measures to prevent, soil erosion on lands adjacent to 
streams or other waters, stream sedimentation, and any form of water or 
air pollution. The Commission, upon request or upon its own motion, may 
order the Licensee to take such measures as the Commission finds to be 
necessary for these purposes, after notice and opportunity for hearing.
    Article 20. The Licensee shall consult with the appropriate State 
and Federal agencies and, within one year of the date of issuance of 
this license, shall submit for Commission approval a plan for clearing 
the reservoir area. Further, the Licensee shall clear and keep clear to 
an adequate width lands along open conduits and shall dispose of all 
temporary structures, unused timber, brush, refuse, or other material 
unnecessary for the purposes of the project which results from the 
clearing of lands or from the maintenance or alteration of the project 
works. In addition, all trees along the periphery of project reservoirs 
which may die during operations of the project shall be removed. Upon 
approval of the clearing plan all clearing of the lands and disposal of 
the unnecessary material shall be done with due diligence and to the 
satisfaction of the authorized representative of the Commission and in 
accordance with appropriate Federal, State, and local statutes and 
regulations.
    Article 21. Material may be dredged or excavated from, or placed as 
fill in, project lands and/or waters only in the prosecution of work 
specifically authorized under the license; in the maintenance of the 
project; or after obtaining Commission approval, as appropriate. Any 
such material shall be removed and/or deposited in such manner as to 
reasonably preserve the environmental values of the project and so as 
not to interfere with traffic on land or water. Dredging and filling in 
a navigable water of the United States shall also be done to the 
satisfaction of the District Engineer, Department of the Army, in charge 
of the locality.
    Article 22. Whenever the United States shall desire to construct, 
complete, or improve navigation facilities in connection with the 
project, the Licensee shall convey to the United States, free of cost, 
such of its lands and rights-of-way and such rights of passage through 
its dams or other structures, and shall permit such control of its 
pools, as may be required to complete and maintain such navigation 
facilities.
    Article 23. The operation of any navigation facilities which may be 
constructed as a part of, or in connection with, any dam or diversion 
structure constituting a part of the project works shall at all times be 
controlled by such reasonable rules and regulations in the interest of 
navigation, including control of the level of the pool caused by such 
dam or diversion structure, as may be made from time to time by the 
Secretary of the Army.
    Article 24. The Licensee shall furnish power free of cost to the 
United States for the operation and maintenance of navigation facilities 
in the vicinity of the project at the voltage and frequency required by 
such facilities and at a point adjacent thereto, whether said facilities 
are constructed by the Licensee or by the United States.
    Article 25. The Licensee shall construct, maintain, and operate at 
its own expense such lights and other signals for the protection of 
navigation as may be directed by the Secretary of the Department in 
which the Coast Guard is operating.
    Article 26. If the Licensee shall cause or suffer essential project 
property to be removed or destroyed or to become unfit for use, without 
adequate replacement, or shall abandon or discontinue good faith 
operation of the project or refuse or neglect to comply with the terms 
of the license and the lawful orders of the Commission mailed to the 
record address of the Licensee or its agent, the Commission will deem it 
to be the intent of the Licensee to surrender the license. The 
Commission, after notice and opportunity for hearing, may require the 
Licensee to remove any or all structures, equipment and power lines 
within the project boundary and to take any such other action necessary 
to

[[Page 218]]

restore the project waters, lands, and facilities remaining within the 
project boundary to a condition satisfactory to the United States agency 
having jurisdiction over its lands or the Commission's authorized 
representative, as appropriate, or to provide for the continued 
operation and maintenance of nonpower facilities and fulfill such other 
obligations under the license as the Commission may prescribe. In 
addition, the Commission in its discretion, after notice and opportunity 
for hearing, may also agree to the surrender of the license when the 
Commission, for the reasons recited herein, deems it to be the intent of 
the Licensee to surrender the license.
    Article 27. The right of the Licensee and of its successors and 
assigns to use or occupy waters over which the United States has 
jurisdiction, or lands of the United States under the license, for the 
purpose of maintaining the project works or otherwise, shall absolutely 
cease at the end of the license period, unless the Licensee has obtained 
a new license pursuant to the then existing laws and regulations, or an 
annual license under the terms and conditions of this license.
    Article 28. The terms and conditions expressly set forth in the 
license shall not be construed as impairing any terms and conditions of 
the Federal Power Act which are not expressly set forth herein.

  List of FPC Standard Articles Forms Used in Permits and Licenses for 
                         Hydroelectric Projects

    The following FPC standard articles Forms, in addition to the 
standard Forms L-3, and L-4 which are provided in this appendix, are 
available from the FPC offices:

------------------------------------------------------------------------
          FPC Forms \1\                            Title
------------------------------------------------------------------------
P-1.............................  Terms and conditions of preliminary
                                   permit.
L-1.............................  Terms and conditions of license for
                                   constructed major project affecting
                                   lands of the United States.
L-2.............................  Terms and conditions of license for
                                   unconstructed major project affecting
                                   lands of the United States.
L-5.............................  Terms and conditions of license for
                                   constructed major projects affecting
                                   navigable waters and lands of the
                                   United States.
L-6.............................  Terms and conditions of license for
                                   unconstructed major project affecting
                                   navigable waters and lands of the
                                   United States.
L-9.............................  Terms and conditions of license for
                                   constructed minor projects affecting
                                   navigable waters of the United
                                   States.
L-10............................  Terms and conditions of license for
                                   constructed major project affecting
                                   the interests of interstate or
                                   foreign commerce.
L-11............................  Terms and conditions of license for
                                   unconstructed major project affecting
                                   the interests of interstate or
                                   foreign commerce.
L-14............................  Terms and conditions of license for
                                   unconstructed minor project affecting
                                   navigable waters of the United
                                   States.
L-15............................  Terms and conditions of license for
                                   unconstructed minor project affecting
                                   the interests of interstate or
                                   foreign commerce.
L-16............................  Terms and conditions of license for
                                   constructed minor project affecting
                                   lands of the United States.
L-17............................  Terms and conditions of license for
                                   unconstructed minor project affecting
                                   lands of the United States.
L-18............................  Terms and conditions of license for
                                   constructed minor project affecting
                                   navigable waters and lands of the
                                   United States.
L-19............................  Terms and conditions of license for
                                   unconstructed minor project affecting
                                   navigable waters and lands of the
                                   United States.
------------------------------------------------------------------------
\1\ Revised Oct. 1975.



PART 222_ENGINEERING AND DESIGN--Table of Contents




Sec.
222.2 Acquisition of lands downstream from spillways for hydrologic 
          safety purposes.
222.3 Clearances for power and communication lines over reservoirs.
222.4 Reporting earthquake effects.
222.5 Water control management (ER 1110-2-240).
222.6 National Program for Inspection of Non-Federal Dams.

    Authority: 23 U.S.C. 116(d); delegation in 49 CFR 1.45(b); 33 U.S.C. 
467 et seq.; 33 U.S.C. 701, 701b, and 701c-1 and specific legislative 
authorization Acts and Public Laws listed in appendix E of Sec. 222.7.



Sec. 222.2  Acquisition of lands downstream from spillways for 
hydrologic safety purposes.

    (a) Purpose. This regulation provides guidance on the acquisition of 
lands downstream from spillways for the purpose of protecting the public 
from hazards imposed by spillway discharges. Guidance contained herein 
is in addition to ER 405-2-150.
    (b) Applicability. This regulation is applicable to all OCE elements 
and all field operating agencies having civil works responsibilities.
    (c) Reference. ER 405-2-150.
    (d) Discussion. A policy of public safety awareness will be adhered 
to in all phases of design and operation of dam and lake projects to 
assure adequate security for the general public in areas downstream from 
spillways. A real estate interest will be required in those

[[Page 219]]

areas downstream of a spillway where spillway discharge could create or 
significantly increase a hazardous condition. The real estate interest 
will extend downstream to where the spillway discharge would not 
significantly increase hazards. A real estate interest is not required 
in areas where flood conditions would clearly be nonhazardous.
    (e) Hydrologic criteria. The construction and operation of a dam and 
spillway may create or aggravate a potential hazard in the spillway 
discharge area. Therefore, an appropriate solution should be developed 
in a systematic manner. All pertinent facts need to be considered to 
assure that the risk to non-Federal interests does not exceed conditions 
that would prevail without the project. General hydrologic engineering 
considerations are as follows:
    (1) Probability of spillway use. Pool elevation versus probability 
of filling relationships can change materially after initial 
construction. Spillway use may be more frequent than anticipated. The 
infrequent use of a spillway is not a basis for the lack of adequate 
downstream real estate interest.
    (2) Changes in project functions. Water resource needs within river 
basins change and pool levels may be adjusted to provide more 
conservation storage, particularly when high-level limited-service 
spillways are provided. Such changes normally increase spillway use and 
are to be considered.
    (3) Volume and velocity of spillway flow. The amount of flow and 
destructive force of the flow from a spillway during floods up to the 
spillway design flood can vary from insignificant to extremely hazardous 
magnitudes. The severity and area of hazard associated with spillway 
discharge will vary depending on specific project site conditions. 
Therefore, the hazard is to be analyzed on a project-by-project basis.
    (4) Development within floodway. If development within the floodway 
downstream from a spillway is not present at the time of project 
construction, the existence of the reservoir may encourage development. 
Adverse terrain conditions do not preclude development. Sparse present 
development is not a basis for lack of real estate acquisition.
    (5) Debris movement within floodway. The availability of erodible 
material in a spillway flow area intensifies the hazards of spillway 
flow. In fact, debris may be transported to downstream areas that 
otherwise would not be adversely affected. Extreme erosion may result 
from high velocities and turbulence. Both debris and erosion must be 
evaluated and considered.
    (6) Flood warning and response potential. Small projects generally 
have short time periods available to warn downstream inhabitants and may 
be unattended prior to spillway use. The ability to convince individuals 
to leave most of their worldly possessions to the ravages of spillway 
flow may be severely limited. In some cases flood warning systems may be 
necessary; however, this subject is beyond the scope of this regulation. 
Warning systems are not an adequate substitute for a real estate 
interest in lands downstream of spillways.
    (7) Location of spillway. Spillways should be located to minimize 
the hazards associated with their discharge and the total project cost 
(cost of spillway structure and downstream lands). Spillways, outlet 
works, stilling basins, and outlet channels should be designed to 
minimize hazards to downstream interest insofar as is engineeringly and 
economically reasonable.
    (f) Real estate. The real estate interest required downstream of 
spillways will be adequate to assure carrying out project purposes and 
to protect non-Federal interest from hazards created by spillway flows. 
The interest may be either fee or permanent easement. A permanent 
easement must exclude all overnight and/or permanent habitation, 
structures subject to damage by spillway flows and activities that would 
increase the potential hazards. No real estate interest is required for:
    (1) Areas where the imposed or aggravated flood condition is non-
hazardous. Affected interest should be informed of the nature of the 
imposed non-hazardous flood condition.
    (2) Areas where the construction and operation of a dam and spillway 
do not increase or create a hazardous condition.

[[Page 220]]

    (g) Alternative land uses. In some cases land downstream from 
spillways can be effectively used for purposes other than hydrologic 
safety. Therefore, the entire cost of these lands may not be an 
additional project cost. For example, the lands downstream of a spillway 
may be used for wildlife management essential to project purposes in 
lieu of other lands suitable for similar purposes at another location.
    (h) Procedural guidance. Procedures regarding the application of the 
principles outlined in the above paragraphs are as follows:
    (1) For various flood magnitudes up to the probable maximum flood 
determine the ``with'' and ``without project'' flood conditions 
downstream of a dam spillway for the following:
    (i) Flooded area.
    (ii) Flood depth.
    (iii) Flood duration.
    (iv) Velocities.
    (v) Debris and erosion.
    (2) Determine the combinations of flood magnitudes and the above 
flood conditions that could be the most hazardous and/or result in the 
greatest increase in hazard from ``without'' to ``with project'' flood 
conditions. Designate these combinations of flood magnitude and flood 
conditions as the critical conditions.
    (3) For the critical conditions selected above outline the areas 
where the project could increase and/or create (impose) one or more of 
the critical conditions. Areas where spillway flows do not create or 
increase flood conditions are excluded from further analysis.
    (4) Determine where the imposed critical conditions as outlined 
above would be hazardous and non-hazardous. Non-hazardous areas are 
defined as those areas where:
    (i) Flood depths are maximum of 2 feet in urban and rural areas.
    (ii) Flood depths are essentially non-damaging to urban property.
    (iii) Flood durations are a maximum of 3 hours in urban areas and 24 
hours in agricultural areas.
    (iv) Velocities do not exceed 4 feet per second.
    (v) Debris and erosion potentials are minimal.
    (vi) Imposed flood conditions would be infrequent. That is, the 
exceedence frequency should be less than 1 percent. Hazardous areas are 
those where any of the above criteria are exceeded.
    (5) Based upon the information developed above and the principles 
outlined in paragraphs (c) through (f) of this section, decide on the 
extent of area and estate required for hydrologic safety purposes.
    (i) Reporting. Lands to be acquired downstream from spillways and 
intended purposes will be identified and the cost included in 
feasibility reports and real estate design memoranda. Additional 
specific information in support of land acquisition should be provided 
in Phase I or Phase II general design memoranda (GDM) and dam 
modernization reports. This information should include topographic maps, 
area flooded maps, velocities, erosion and debris areas ``with'' and 
``without'' the project. Real estate boundaries and discussions of items 
in paragraph (h)(4) are also essential in the GDM's and dam 
modernization reports.

[43 FR 35481, Aug. 10, 1978. Redesignated at 60 FR 19851, Apr. 21, 1995]



Sec. 222.3  Clearances for power and communication lines over reservoirs.

    (a) Purpose. This regulation prescribes the minimum vertical 
clearances to be provided when relocating existing or constructing new 
power and communication lines over waters of reservoir projects.
    (b) Applicability. This regulation applies to all field operating 
agencies having Civil Works responsibilities.
    (c) References. (1) ER 1180-1-1 (Section 73).
    (2) National Electrical Safety Code (ANSI C2), available from IEEE 
Service Center, 445 Hoes Lane, Piscataway, N.J. 08854.
    (d) Definitions--(1) Design high water level. The design high water 
level above which clearances are to be provided shall be either: (i) The 
elevation of the envelope profile of the 50 year flood, or flood series, 
routed through the reservoir with a full conservation pool after 50 
years of sedimentation, or (ii) the elevation of the top of the flood 
control pool, whichever is higher.

[[Page 221]]

    (2) Low point of line. The low point of the line shall be the 
elevation of the lowest point of the line taking into consideration all 
factors including temperature, loading and length of spans as outlined 
in the National Electrical Safety Code.
    (3) Minimum vertical clearance. The minimum vertical clearance shall 
be the distance from the design high water lever (paragraph (d)(1) of 
this section) to the low point of the line (paragraph (d)(2) of this 
section).
    (e) Required clearances. Minimum vertical clearances for power and 
communication lines over reservoirs shall not be less than required by 
section 23, rule 232 of the latest revision of the National Electrical 
Safety Code (ANSI C2).
    (1) In general, minimum vertical clearances shall not be less than 
shown in Table 232-1, Item 7, of ANSI C2, even for reservoirs or areas 
not suitable for sailboating or where sailboating is prohibited.
    (2) If clearances not in accordance with Table 232-1 of ANSI C2 are 
proposed, justification for the clearances should be provided.
    (f) Navigable waters. For parts of reservoirs that are designated as 
navigable waters of the United States, greater clearances will be 
provided if so required. The clearances required over navigable waters 
are covered by 33 CFR 322.5(i)(2) and are not affected by this 
regulation.

[43 FR 14013, Apr. 4, 1978. Redesignated at 60 FR 19851, Apr. 21, 1995]



Sec. 222.4  Reporting earthquake effects.

    (a) Purpose. This regulation states policy, defines objectives, 
assigns functions, and establishes procedures for assuring the 
structural integrity and operational adequacy of major Civil Works 
structures following the occurrence of significant earthquakes. It 
primarily concerns damage surveys following the occurrences of 
earthquakes.
    (b) Applicability. This regulation is applicable to all field 
operating agencies having Civil Works responsibilities.
    (c) References. (1) ER 1110-2-100 (Sec. 222.2).
    (2) ER 1110-2-1806.
    (3) ER 1110-2-8150.
    (4) ER 1130-2-419.
    (5) State-of-the-Art for Assessing Earthquake Hazards in the United 
States--WES Miscellaneous Papers S-73-1--Reports 1 thru 14. Available 
from U.S. Army Engineer Waterways Experiment Station, P.O. Box 631, 
Vicksburg, Mississippi 39180.
    (d) Policy. Civil Works structures which could be caused to fail or 
partially fail by an earthquake and whose failure or partial failure 
would endanger the lives of the public and/or cause substantial property 
damage, will be evaluated following potentially damaging earthquakes to 
insure their continued structural stability, safety and operational 
adequacy. These structures include dams, navigation locks, powerhouses, 
and appurtenant structures, (intakes, outlet works, buildings, tunnels, 
paved spillways) which are operated by the Corps of Engineers and for 
which the Corps is fully responsible. Also included are major levees, 
floodwalls, and similar facilities designed and constructed by the Corps 
of Engineers and for whose structural safety and stability the Corps has 
a public obligation to be aware of although not responsible for their 
maintenance and operation. The evaluation of these structures will be 
based upon post-earthquake inspections which will be conducted to detect 
conditions of significant structural distress and to provide a basis for 
timely initiation of restorative and remedial measures.
    (e) Post-earthquake inspections and evaluation surveys--(1) 
Limitations of present knowledge. The design of structures for 
earthquake loading is limited by the infrequent opportunity to compare 
actual performance with the design. Damage which would affect the 
function of the project is unlikely if peak accelerations are below 
0.1g.; but it cannot be assumed that a structure will not be damaged 
from earthquake loadings below that for which it was designed. 
Furthermore, earthquakes have occurred in several parts of the country 
where significant seismic activity had not been predicted by some 
seismic zoning maps. This indicates the possibility that earthquake 
induced loads may not have been adequately considered in the design of 
older structures.

[[Page 222]]

    (2) Types of reportable damage. Many types of structural damage can 
be induced by ground motion from earthquakes or from large nuclear 
blasts (which also tend to induce ground vibrations in the more damaging 
lower frequency ranges). Any post-earthquake change in appearance or 
functional capability of a major Civil Works structure should be 
evaluated and reported. Examples are symptoms of induced stresses in 
buildings made evident by cracked plaster, windows or tile, or in 
binding of doors or windows; cracked or shifted bridge pier footings or 
other concrete structures; turbidity or changed static level of water 
wells; cracks in concrete dams or earth embankments; and misalignment of 
hydraulic control structures or gates. Induced dynamic loading on earth 
dams may result in loss of freeboard by settlement, or cause localized 
quick conditions within the embankment sections or earth foundations. 
Also, new seepage paths may be opened up within the foundation or 
through the embankment section. Ground motion induced landslides may 
occur in susceptible areas of the reservoir rim, causing embankment 
overtopping by waves and serious damage. All such unusual conditions 
should be evaluated and reported.
    (f) Inspection and evaluation programs. (1) If the project is 
located in an area where the earthquake causes significant damage 
(Modified Mercalli Intensity VII or greater) to structures in the 
vicinity, the Chief, Engineering Division, should be immediately 
notified and an engineering evaluation and inspection team should be 
sent to the project.
    (2) If the project is located in an area where the earthquake is 
felt but causes no or insignificant damage (Modified Mercalli Intensity 
VI or less) to structures in the vicinity of the project, project 
operations personnel should make an immediate inspection. This 
inspection should determine: (i) Whether there is evidence of earthquake 
damage or disturbance, and (ii) whether seismic instrumentation, where 
present, has been triggered. The Chief, Engineering Division should be 
notified by phone of the results of the inspection. If damage is 
observed, which is considered to threaten the immediate safety or 
operational capability of the project, immediate action should be taken 
as covered in paragraph (f)(1) of this section. For other situations, 
the Chief of Engineering Division will determine the need for and 
urgency for an engineering inspection.
    (3) When an engineering inspection of structures is deemed necessary 
following a significant earthquake, HQDA (DAEN-CWE) WASH DC 20314 will 
be notified of the inspection program as soon as it is established.
    (4) As a general rule, the structures which would be of concern 
following an earthquake are also the structures which are involved in 
the inspection program under ER 1110-2-100. Whenever feasible, 
instrumentation and prototype testing programs undertaken under ER 1110-
2-100 to monitor structural performance and under ER 1110-2-8150 to 
develop design criteria will be utilized in the post-earthquake safety 
evaluation programs. Additional special types of instrumentation will be 
incorporated in selected structures in which it may be desirable to 
measure forces, pressures, loads, stresses, strains, displacements, 
deflections, or other conditions relating to damage and structural 
safety and stability in case of an earthquake.
    (5) Where determined necessary, a detailed, systematic engineering 
inspection will be made of the post-earthquake condition of each 
structure, taking into account its distinctive features. For structures 
which have incurred earthquake damage a formal technical report will be 
prepared in a format similar to inspection reports required under ER 
1110-2-100. (Exempt from requirements control under paragraph 7-2b, AR 
335-15.) The report will include summaries of the instrumentation and 
other observation data for each inspection, for permanent record and 
reference purposes. This report will be used to form a basis for major 
remedial work when required. Where accelerometers or other types of 
strong motion instruments have been installed, readings and 
interpretations from these instruments should also be included in the 
report. The report will contain recommendations for remedial work when 
appropriate, and will be

[[Page 223]]

transmitted through the Division Engineer for review and to HQDA (DAEN-
CWE) WASH DC 20314 for review and approval. For structures incurring no 
damage a simple statement to this effect will be all that is required in 
the report, unless seismic instrumentation at the project is activated. 
(See paragraph (h)(4) of this section.)
    (g) Training. The dam safety training program covered by paragraph 6 
of ER 1130-2-419 should include post-earthquake inspections and the 
types of damage operations personnel should look for.
    (h) Responsibilities. (1) The Engineering Divisions of the District 
offices will formulate the inspection program, conduct the post-
earthquake inspections, process and analyze the data of instrumental and 
other observations, evaluate the resulting condition of the structures, 
and prepare the inspection reports. The Engineering division is also 
responsible for planning special instrumentation felt necessary in 
selected structures under this program. Engineering Division is 
responsible for providing the training discussed in paragraph (g) of 
this section.
    (2) The Construction Divisions of the District offices will be 
responsible for the installation of the earthquake instrumentation 
devices and for data collection if an earthquake occurs during the 
construction period.
    (3) The Operations Division of the District offices will be 
responsible for the immediate assessment of earthquake damage and 
notifying the Chief, Engineering Division as discussed in paragraphs 
(f)(1) and (2). The Operations Division will also be responsible for 
earthquake data collection after the construction period in accordance 
with the instrumental observation programs, and will assist and 
participate in the post-earthquake inspections.
    (4) The U.S. Geological Survey has the responsibility for servicing 
and collecting all data from strong motion instrumentation at Corps of 
Engineers dam projects following an earthquake occurrence. However, the 
U.S. Army Waterways Experiment Station (WES) is assigned the 
responsibility for analyzing and interpreting these earthquake data. 
Whenever a recordable earthquake record is obtained from seismic 
instrumentation at a Corps project, the Division will send a report of 
all pertinent instrumentation data to the Waterways Experiment Station, 
ATTN: WESGH, P.O. Box 631, Vicksburg, Mississippi 39180. The report on 
each project should include a complete description of the locations and 
types of instruments and a copy of the instrumental records from each of 
the strong motion machines activated. (Exempt from requirements control 
under paragraph 7-2v, AR 335-15).
    (5) The Engineering Divisions of the Division offices will select 
structures for special instrumentation for earthquake effects, and will 
review and monitor the data collection, processing, evaluating, and 
inspecting activities. They will also be specifically responsible for 
promptly informing HQDA (DAEN-CWE) WASH DC 20314, when evaluation of the 
condition of the structure or analyses of the instrumentation data 
indicate the stability of a structure is questionable. (Exempt for 
requirements control under paragraph 7-2o, AR 335-15.)
    (6) Division Engineers are responsible for issuing any supplementary 
regulations necessary to adapt the policies and instructions herein to 
the specific conditions within their Division.
    (i) Funding. Funding for the evaluation and inspection program will 
be under the Appropriation 96X3123, Operations and Maintenance, General. 
Funds required for the inspections, including Travel and Per Diem costs 
incurred by personnel of the Division office or the Office, Chief of 
Engineers, will be from allocations made to the various projects for the 
fiscal year in which the inspection occurs.

[44 FR 43469, July 25, 1979. Redesignated at 60 FR 19851, Apr. 21, 1995]



Sec. 222.5  Water control management (ER 1110-2-240).

    (a) Purpose. This regulation prescribes policies and procedures to 
be followed by the U.S. Army Corps of Engineers in carrying out water 
control management activities, including establishment of water control 
plans for Corps and non-Corps projects, as required by Federal laws and 
directives.

[[Page 224]]

    (b) Applicability. This regulation is applicable to all field 
operating activities having civil works responsibilities.
    (c) References. Appendix A lists U.S. Army Corps of Engineers 
publications and sections of Federal statutes and regulations that are 
referenced herein.
    (d) Authorities--(1) U.S. Army Corps of Engineers projects. 
Authorities for allocation of storage and regulation of projects owned 
and operated by the Corps of Engineers are contained in legislative 
authorization acts and referenced project documents. These public laws 
and project documents usually contain provisions for development of 
water control plans, and appropriate revisions thereto, under the 
discretionary authority of the Chief of Engineers. Some modifications in 
project operation are permitted under congressional enactments 
subsequent to original project authorization. Questions that require 
interpretations of authorizations affecting regulation of specific 
reservoirs will be referred to CDR USACE (DAEN-CWE-HW), WASH DC 20314, 
with appropriate background information and analysis, for resolution.
    (2) Non-Corps projects. The Corps of Engineers is responsible for 
prescribing flood control and navigation regulations for certain 
reservoir projects constructed or operated by other Federal, non-Federal 
or private agencies. There are several classes of such projects: Those 
authorized by special acts of Congress; those for which licenses issued 
by the Federal Energy Regulatory Commission (formerly Federal Power 
Commission) provide that operation shall be in accordance with 
instructions of the Secretary of the Army; those covered by agreements 
between the operating agency and the Corps of Engineers; and those that 
fall under the terms of general legislative and administrative 
provisions. These authorities, of illustrative examples, are described 
briefly in Appendix B.
    (e) Terminology: Water control plans and reservoir regulation 
schedules. (1) Water control plans include coordinated regulation 
schedules for project/system regulation and such additional provisions 
as may be required to collect, analyze and disseminate basic data, 
prepare detailed operating instructions, assure project safety and carry 
out regulation of projects in an appropriate manner.
    (2) The term ``reservoir regulation schedule'' refers to a 
compilation of operating criteria, guidelines, rule curves and 
specifications that govern basically the storage and release functions 
of a reservoir. In general, schedules indicate limiting rates of 
reservoir releases required during various seasons of the year to meet 
all functional objectives of the particular project, acting separately 
or in combination with other projects in a system. Schedules are usually 
expressed in the form of graphs and tabulations, supplemented by concise 
specifications.
    (f) General policies. (1) Water control plans will be developed for 
reservoirs, locks and dams, reregulation and major control structures 
and interrelated systems to comform with objectives and specific 
provisions of authorizing legislation and applicable Corps of Engineers 
reports. They will include any applicable authorities established after 
project construction. The water control plans will be prepared giving 
appropriate consideration to all applicable Congressional Acts relating 
to operation of Federal facilities, i.e., Fish and Wildlife Coordination 
Act (Pub. L. 85-624), Federal Water Project Recreation Act-Uniform 
Policies (Pub. L. 89-72), National Environmental Policy Act of 1969 
(Pub. L. 91-190), and Clean Water Act of 1977 (Pub. L. 95-217). Thorough 
analysis and testing studies will be made as necessary to establish the 
optimum water control plans possible within prevailing constraints.
    (2) Necessary actions will be taken to keep approved water control 
plans up-to-date. For this purpose, plans will be subject to continuing 
and progressive study by personnel in field offices of the Corps of 
Engineers. These personnel will be professionally qualified in technical 
areas involved and familiar with comprehensive project objectives and 
other factors affecting water control. Organizational requirements for 
water control management are further discussed in ER 1110-2-1400.
    (3) Water control plans developed for specific projects and 
reservoir systems will be clearly documented in appropriate water 
control manuals. These

[[Page 225]]

manuals will be prepared to meet initial requirements when storage in 
the reservoir begins. They will be revised as necessary to conform with 
changing requirements resulting from developments in the project area 
and downstream, improvements in technology, new legislation and other 
relevant factors, provided such revisions comply with existing Federal 
regulations and established Corps of Engineers policy.
    (4) Development and execution of water control plans will include 
appropriate consideration for efficient water management in conformance 
with the emphasis on water conservation as a national priority. The 
objectives of efficient water control management are to produce 
beneficial water savings and improvements in the availability and 
quality of water resulting from project regulation/operation. Balanced 
resource use through improved regulation should be developed to conserve 
as much water as possible and maximize all project functions consistent 
with project/system management. Continuous examination should be made of 
regulation schedules, possible need for storage reallocation (within 
existing authority and constraints) and to identify needed changes in 
normal regulation. Emphasis should be placed on evaluating conditions 
that could require deviation from normal release schedules as part of 
drought contingency plans (ER 1110-2-1941).
    (5) Adequate provisions for collection, analysis and dissemination 
of basic data, the formulation of specific project regulation 
directives, and the performance of project regulation will be 
established at field level.
    (6) Appropriate provisions will be made for monitoring project 
operations, formulating advisories to higher authorities, and 
disseminating information to others concerned. These actions are 
required to facilitate proper regulation of systems and to keep the 
public fully informed regarding all pertinent water control matters.
    (7) In development and execution of water control plans, appropriate 
attention will be given to project safety in accordance with ER 1130-2-
417 and ER 1130-2-419 so as to insure that all water impounding 
structures are operated for the safety of users of the facilities and 
the general public. Care will be exercised in the development of 
reservoir regulation schedules to assure that controlled releases 
minimize project impacts and do not jeopardize the safety of persons 
engaged in activities downstream of the facility. Water control plans 
will include provisions for issuing adequate warnings or otherwise 
alerting all affected interests to possible hazards from project 
regulation activities.
    (8) In carrying out water control activities, Corps of Engineers 
personnel must recognize and observe the legal responsibility of the 
National Weather Service (NWS), National Oceanic and Atmospheric 
Administration (NOAA), for issuing weather forecasts and flood warnings, 
including river discharges and stages. River forecasts prepared by the 
Corps of Engineers in the execution of its responsibilities should not 
be released to the general public, unless the NWS is willing to make the 
release or agrees to such dissemination. However, release to interested 
parties of factual information on current storms or river conditions and 
properly quoted NWS forecasts is permissible. District offices are 
encouraged to provide assistance to communities and individuals 
regarding the impact of forecasted floods. Typical advice would be to 
provide approximate water surface elevations at locations upstream and 
downstream of the NWS forecasting stream gages. Announcement of 
anticipated changes in reservoir release rates as far in advance as 
possible to the general public is the responsibility of Corps of 
Engineers water control managers for projects under their jurisdiction.
    (9) Water control plans will be developed in concert with all basin 
interests which are or could be impacted by or have an influence on 
project regulation. Close coordination will be maintained with all 
appropriate international, Federal, State, regional and local agencies 
in the development and execution of water control plans. Effective 
public information programs will be developed and maintained so as to 
inform and educate the public regarding Corps of Engineers water control 
management activities.
    (10) Fiscal year budget requests for water control management 
activities

[[Page 226]]

will be prepared and submitted to the Office of the Chief of Engineers 
in accordance with requirements established in Engineer Circular on 
Annual Budget Requests for Civil Works Activities. The total annual 
costs of all activities and facilities that support the water control 
functions, (excluding physical operation of projects, but including 
flood control and navigation regulation of projects subject to 33 CFR 
208.11) are to be reported. Information on the Water Control Data 
Systems and associated Communications Category of the Plant Replacement 
and Improvement Program will be submitted with the annual budget. 
Reporting will be in accordance with the annual Engineer Circular on 
Civil Works Operations and Maintenance, General Program.
    (g) Responsibilities: US Army Corps of Engineers projects--(1) 
Preparation of water control plans and manuals. Normally, district 
commanders are primarily responsible for background studies and for 
developing plans and manuals required for reservoirs, locks and dams, 
reregulation and major control structures and interrelated systems in 
their respective district areas. Policies and general guidelines are 
prescribed by OCE engineer regulations while specific requirements to 
implement OCE guidance are established by the division commanders 
concerned. Master Water Control Manuals for river basins that include 
more than one district are usually prepared by or under direct 
supervision of division representatives. Division commanders are 
responsible for providing such management and technical assistance as 
may be required to assure that plans and manuals are prepared on a 
timely and adequate basis to meet water control requirements in the 
division area, and for pertinent coordination among districts, 
divisions, and other appropriate entities.
    (2) Public involvement and information--(i) Public meeting and 
public involvement. The Corps of Engineers will sponsor public 
involvement activities, as appropriate, to appraise the general public 
of the water control plan. In developing or modifying water control 
manuals, the following criteria is applicable.
    (A) Conditions that require public involvement and public meetings 
include: Development of a new water control manual that includes a water 
control plan; or revision or update of a water control manual that 
changes the water control plan.
    (B) Revisions to water control manuals that are administratively or 
informational in nature and that do not change the water control plan do 
not require public meetings.
    (C) For those conditions described in paragraph (g)(2)(i)(A) of this 
section, the Corps will provide information to the public concerning 
proposed water control management decisions at least 30 days in advance 
of a public meeting. In so doing, a separate document(s) should be 
prepared that explains the recommended water control plan or change, and 
provides technical information explaining the basis for the 
recommendation. It should include a description of its impacts (both 
monetary and nonmonetary) for various purposes, and the comparisons with 
alternative plans or changes and their effects. The plan or manual will 
be prepared only after the public involvement process associated with 
its development or change is complete.
    (D) For those conditions described in paragraph (g)(2)(i)(A) of this 
section, the responsible division office will send each proposed water 
control manual to the Army Corps of Engineers Headquarters, Attn: CECW-
EH-W for review and comments prior to approval by the responsible 
division office.
    (ii) Information availability. The water control manual will be made 
available for examination by the general public upon request at the 
appropriate office of the Corps of Engineers. Public notice shall be 
given in the event of occurring or anticipated significant changes in 
reservoir storage or flow releases. The method of conveying this 
information shall be commensurate with the urgency of the situation and 
the lead time available.
    (3) Authority for approval of plans and manuals. Division commanders 
are delegated authority for approval of water control plans and manuals, 
and associated activities.

[[Page 227]]

    (4) OCE role in water control activities. OCE will establish 
policies and guidelines applicable to all field offices and for such 
actions as are necessary to assure a reasonable degree of consistency in 
basic policies and practices in all Division areas. Assistance will be 
provided to field offices during emergencies and upon special request.
    (5) Methods improvement and staff training. Division and district 
commanders are responsible for conducting appropriate programs for 
improving technical methods applicable to water control activities in 
their respective areas. Suitable training programs should be maintained 
to assure a satisfactory performance capability in water control 
activities. Appropriate coordination of such programs with similar 
activities in other areas will be accomplished to avoid duplication of 
effort, and to foster desirable exchange of ideas and developments. 
Initiative in re-evaluating methods and guidelines previously 
established in official documents referred to in paragraph (e) of this 
section is encouraged where needs are evident. However, proposals for 
major deviations from basic concepts, policies and general practices 
reflected in official publications will be submitted to CDR USACE (DAEN-
CWE) WASH DC 20314 for concurrence or comment before being adopted for 
substantial application in actual project regulation at field level.
    (h) Directives and technical instruction manuals. (1) Directives 
issued through OCE Engineer Regulations will be used to foster 
consistency in policies and basic practices. They will be supplemented 
as needed by other forms of communication.
    (2) Engineering Manuals (EM) and Engineer Technical Letters (ETL) 
are issued by OCE to serve as general guidelines and technical aids in 
developing water control plans and manuals for individual projects or 
systems.
    (3) EM 1110-2-3600 discusses principles and concepts involved in 
developing water control plans. Instructions relating to preparation of 
``Water Control Manuals for speicfic projects'' are included. EM 1110-2-
3600 should be used as a general guide to water control activities. The 
instructions are sufficiently flexible to permit adaptation to specific 
regions. Supplemental information regarding technical methods is 
provided in numerous documents distributed to field offices as 
``hydrologic references.''
    (4) Special assistance in technical studies is available from the 
Hydrologic Engineering Center, Corps of Engineers, 609 Second Street, 
Davis, California 95616 and DAEN-CWE-HW.
    (i) Water control manuals for US Army Corps of Engineers projects. 
(1) As used herein, the term ``water control manual'' refers to manuals 
that relate primarily to the functional regulation of an individual 
project or system of projects. Although such manuals normally include 
background information concerning physical features of projects, they do 
not prescribe rules or methods for physical maintenance or care of 
facilities, which are covered in other documents. (References 15 and 23, 
Appendix A.)
    (2) Water control manuals prepared in substantially the detail and 
format specified in instructions referred to in paragraph 8 are required 
for all reservoirs under the supervision of the Corps of Engineers, 
regardless of the purpose or size of the project. Water Control manuals 
are also required for lock and dam, reregulation and major control 
structure projects that are physically regulated by the Corps of 
Engineers. Where there are several projects in a drainage basin with 
interrelated purposes, a ``Master Manual'' shall be prepared. The 
effects of non-Corps projects will be considered in appropriate detail, 
including an indication of provisions for interagency coordination.
    (3) ``Preliminary water control manuals,'' for projects regulated by 
the Corps of Engineers should contain regulation schedules in sufficient 
detail to establish the basic plan of initial project regulation.
    (4) As a general rule, preliminary manuals should be superseded by 
more detailed interim or ``final'' manuals within approximately one year 
after the project is placed in operation.
    (5) Each water control manual will contain a section on special 
regulations to be conducted during emergency situations, including 
droughts.

[[Page 228]]

Preplanned operations and coordination are essential to effective relief 
or assistance.
    (6) One copy of all water control manuals and subsequent revisions 
shall be forwarded to DAEN-CWE-HW for file purposes as soon as 
practicable after completion, preferably within 30 days from date of 
approval at the division level.
    (j) Policies and requirements for preparing regulations for non-
Corps projects. (1) Division and district commanders will develop water 
control plans as required by section 7 of the 1944 Flood Control Act, 
the Federal Power Act and section 9 of Pub. L. 436-83 for all projects 
located within their areas, in conformance with ER 1110-2-241, 33 CFR 
part 208. That regulation prescribes the policy and general procedures 
for regulating reservoir projects capable of regulation for flood 
control or navigation, except projects owned and operated by the Corps 
of Engineers; the International Boundary and Water Commission, United 
States and Mexico; those under the jurisdiction of the International 
Joint Commission, United States and Canada, and the Columbia River 
Treaty. ER 1110-2-241, 33 CFR part 208 permits the promulgation of 
specific regulations for a project in compliance with the authorizing 
acts, when agreement on acceptable regulations cannot be reached between 
the Corps Engineers and the owners. Appendix B provides a summary of the 
Corps of Engineers responsibilities for prescribing regulations for non-
Corps reservoir projects.
    (2) Water control plans will be developed and processed as soon as 
possible for applicable projects already completed and being operated by 
other entities, including projects built by the Corps of Engineers and 
turned over to others for operation.
    (3) In so far as practicable, water control plans for non-Corps 
projects should be developed in cooperation with owning/operating 
agencies involved during project planning stages. Thus, tentative 
agreements on contents, including pertinent regulation schedules and 
diagrams, can be accomplished prior to completion of the project.
    (4) The magnitude and nature of storage allocations for flood 
control or navigation purposes in non-Corps projects are governed 
basically by conditions of project authorizations or other legislative 
provisions and may include any or all of the following types of storage 
assignments:
    (i) Year-round allocations: Storage remains the same all year.
    (ii) Seasonal allocations: Storage varies on a fixed seasonal basis.
    (iii) Variable allocations of flood control from year to year, 
depending on hydrologic parameters, such as snow cover.
    (5) Water control plans should be developed to attain maximum flood 
control or navigation benefits, consistent with other project 
requirements, from the storage space provided for these purposes. When 
reservoir storage capacity of the category referred to in paragraph 
(j)(4)(iii) is utilized for flood control or navigation, jointly with 
other objectives, the hydrologic parameters and related rules developed 
under provisions of ER 1110-2-241, 33 CFR part 208 should conform as 
equitably as possible with the multiple-purpose objectives established 
in project authorizations and other pertinent legislation.
    (6) Storage allocations made for flood control or navigation 
purposes in non-Corps projects are not subject to modifications by the 
Corps of Engineers as a prerequisite for prescribing 33 CFR 208.11 
regulations. However, regulations developed for use of such storage 
should be predicated on a mutual understanding between representatives 
of the Corps and the operating agency concerning the conditions of the 
allocations in order to assure reasonable achievement of basic 
objectives intended. In the event field representatives of the Corps of 
Engineers, and the operating agency are unable to reach necessary 
agreements after all reasonable possibilities have been explored, 
appropriate background explanations and recommendations should be 
submitted to DAEN-CWE-HW for consideration.
    (7) The Chief of Engineers is responsible for prescribing 
regulations for use of flood control or navigation storage and/or 
project operation under the provisions of the referenced legislative 
acts. Accordingly, any regulations established should designate the 
division/

[[Page 229]]

district commander who is responsible to the Chief of Engineers as the 
representative to issue any special instructions required under the 
regulation. However, to the extent practicable, project regulations 
should be written to permit operation of the project by the owner 
without interpretations of the regulations by the designated 
representative of the Commander during operating periods.
    (8) Responsibility for compliance with 33 CFR 208.11 regulations 
rests with the operating agency. The division or district commander of 
the area in which the project is located will be kept informed regarding 
project operations to verify reasonable conformance with the 
regulations. The Chief of Engineers or his designated representative may 
authorize or direct deviation from the established water control plan 
when conditions warrant such deviation. In the event unapproved 
deviations from the prescribed regulations seem evident, the division or 
district commander concerned will bring the matter to the attention of 
the operating agency by appropriate means.

If corrective actions are not taken promptly, the operating agency 
should be notified of the apparent deviation in writing as a matter of 
record. Should an impasse arise, in that the project owner or the 
designated operating entity persists in noncompliance with regulations 
prescribed by the Corps of Engineers, the Office of Chief Counsel should 
be advised through normal channels and requested to take necessary 
measures to assure compliance.
    (9) Regulations should contain information regarding the required 
exchange of basic data between the representative of the operating 
agency and the U.S. Army Corps of Engineers, that are pertinent to 
regulation and coordination of interrelated projects in the region.
    (10) All 33 CFR 208.11 regulations shall contain provisions 
authorizing the operating agency to temporarily deviate from the 
regulations in the event that it is necessary for emergency reasons to 
protect the safety of the dam, to avoid health hazards, and to alleviate 
other critical situations.
    (k) Developing and processing regulations for non-Corps projects. 
Guidelines concerning technical studies and development of regulations 
are contained in ER 1110-2-241, 33 CFR part 208 and EM 1110-2-3600. 
Appendix C of this regulation summarizes steps normally followed in 
developing and processing regulations for non-Corps projects.
    (l) Water control during project construction stage. Water control 
plans discussed in preceding paragraphs are intended primarily for 
application after the dam, spillway and outlet structures; major 
relocations; land acquisitions, administrative arrangements and other 
project requirements have reached stages that permit relatively normal 
project regulation. With respect to non-Corps projects, regulations 
normally become applicable when water control agreements have been 
signed by the designated signatories, subject to special provisions in 
specific cases. In some instances, implementation of regulations has 
been delayed by legal provisions, contract limitations, or other 
considerations. These delays can result in loss of potential project 
benefits and possible hazards. Accordingly, it is essential that 
appropriate water control and contingency plans be established for use 
from the date any storage may accumulate behind a partially completed 
dam until the project is formally accepted for normal operations. 
Division commanders shall make certain that construction-stage 
regulation plans are established and maintained in a timely and adequate 
manner for projects under the supervision of the Corps of Engineers. In 
addition, the problems referred to should be discussed with authorities 
who are responsible for non-Corps projects, with the objective of 
assuring that such projects operate as safely and effectively as 
possible during the critical construction stage and any period that may 
elapse before regular operating arrangements have been established. 
These special regulation plans should include consideration for 
protection of construction operations; safety of downstream interests 
that might be jeopardized by failure of partially completed embankments; 
requirements for minimizing adverse effects on partially completed 
relocations or incomplete land acquisition; and the need for obtaining 
benefits from project storage

[[Page 230]]

that can be safely achieved during the construction and early operation 
period.
    (m) Advisories to OCE regarding water control activities--(1) 
General. Division commanders will keep the Chief of Engineers currently 
informed of any unusual problems or activities associated with water 
control that impact on his responsibilities.
    (2) Annual division water control management report (RCS DAEN-CWE-
16(R1)). Division commanders will submit an annual report on water 
control management activities within their division. The annual report 
will be submitted to (DAEN-CWE-HW) by 1 February each year and cover 
significant activities of the previous water year and a description of 
activities to be accomplished for the current year. Funding information 
for water control activities will be provided in the letter of 
transmittal for in-house use only. The primary objective of this summary 
is to keep the Chief of Engineers informed regarding overall water 
management activities Corps-wide, thus providing a basis to carry out 
OCE responsibilities set forth in paragraph (g)(4) of this section.
    (3) Status of water control manuals. A brief discussion shall be 
prepared annually by each division commander, as a separate section of 
the annual report on water control management activities discussed in 
paragraph (m)(2) of this section listing all projects currently in 
operation in his area, or expected to begin operation within one-year, 
with a designation of the status of water control manuals. The report 
should also list projects for which the Corps of Engineers is 
responsible for prescribing regulations, as defined in ER 1110-2-241, 33 
CFR part 208.
    (4) Monthly water control charts (RCS DAEN-CWE-6 (R1)). A monthly 
record of reservoirs/lakes operated by the Corps of Engineers and other 
agencies, in accordance with 33 CFR 208.11, will be promptly prepared 
and maintained by district/division commanders in a form readily 
available for transmittal to the Chief of Engineers, or others, upon 
request. Record data may be prepared in either graphical form as shown 
in EM 1110-2-3600, or tabular form as shown in the sample tabulation in 
Appendix D.
    (5) Annual division water quality reports (RCS DAEN-CWE-15). By 
Executive Order 12088, the President ordered the head of each Executive 
Agency to be responsible for ensuring that all necessary actions are 
taken for prevention, control, and abatement of environmental pollution 
with respect to Federal facilities and activities under control of the 
agency. General guidance is provided in references 24 and 25, Appendix 
A, for carrying out this agency's responsibility. Annual division water 
quality reports are required by reference 24, Appendix A. The report is 
submitted in two parts. The first part addresses the division Water 
quality management plan while the second part presents specific project 
information. A major objective of this report is to summarize 
information pertinent to water quality aspects of overall water 
management responsibilities. The annual division water quality report 
may be submitted along with the annual report on water control 
management activities discussed in paragraph 13b above.
    (6) Master plans for water control data systems (RCS DAEN-CWE-21). 
(i) A water control data system is all of the equipment within a 
division which is used to acquire, process, display and distribute 
information for real-time project regulation and associated interagency 
coordination. A subsystem is all equipment as defined previously within 
a district. A network is all equipment as defined previously which is 
used to regulate a single project or a group of projects which must be 
regulated interdependently.
    (ii) Master plans for water control data systems and significant 
revisions thereto will be prepared by division water control managers 
and submitted to DAEN-CWE-HW by 1 February each year for review and 
approval of engineering aspects. Engineering approval does not 
constitute funding approval. After engineering approval is obtained, 
equipment in the master plan is eligible for consideration in the 
funding processes described in ER 1125-2-301

[[Page 231]]

and engineering circulars on the annual budget request for civil works 
activities. Master plans will be maintained current and will:
    (A) Outline the system performance requirements, including those 
resulting from any expected expansions of Corps missions.
    (B) Describe the extent to which existing facilities fulfill 
performance requirements.
    (C) Describe alternative approaches which will upgrade the system to 
meet the requirements not fulfilled by existing facilities, or are more 
cost effective then the existing system.
    (D) Justify and recommend a system considering timeliness, 
reliability, economics and other factors deemed important.
    (E) Delineate system scope, implementation schedules, proposed 
annual capital expenditures by district, total costs, and sources of 
funding.
    (iii) Modified master plans should be submitted to DAEN-CWE-HW by 1 
February, whenever revisions are required, to include equipment not 
previously approved or changes in scope or approach. Submittal by the 
February date will allow adequate time for OCE review and approval prior 
to annual budget submittals.
    (iv) Division commanders are delegated authority to approve detailed 
plans for subsystems and networks of approved master plans. Plans 
approved by the division commander should meet the following conditions:
    (A) The plan conforms to an approved master plan.
    (B) The equipment is capable of functioning independently.
    (C) An evaluation of alternatives has been completed considering 
reliability, cost and other important factors.
    (D) The plan is economically justified, except in special cases 
where legal requirements dictate performance standards which cannot be 
economically justified.
    (v) Copies of plans approved by the division commander shall be 
forwarded to appropriate elements in OCE in support of funding requests 
and to obtain approval of Automatic Data Processing Equipment (ADPE), 
when applicable.
    (vi) Water control data systems may be funded from Plant Revolving 
Fund; O&M General; Flood Control, MR&T, and Construction, General. 
Funding for water control equipment that serves two or more projects 
will be from Plant Revolving Fund in accordance with ER 1125-2-301. 
District and division water control managers will coordinate plant 
revolving fund requests with their respective Plant Replacement and 
Improvement Program (PRIP) representatives following guidance provided 
in ER 1125-2-301. Budget funding requests under the proper appropriation 
title should be submitted only if the equipment is identified in an 
approved master plan.
    (vii) Justification for the Automatic Data Processing Equipment 
(ADPE) aspects of water control data systems must conform to AR 18-1, 
Appendix I or J as required. The ``Funding for ADPE'' paragraph in 
Appendixes I and J must cite the source of funds and reference relevant 
information in the approved master plan and detailed plan.
    (viii) Division water control managers will submit annual letter 
summaries of the status of their respective water control systems and 
five-year plan for improvements. These summaries will be submitted to 
DAEN-CWE by 1 June for coordination with DAEN-CWO, CWB and DSZ-A, prior 
to the annual budget request. Summaries should not be used to obtain 
approval of significant changes in master plans. Sources of funding for 
all items for each district and for the division should be delineated so 
that total system expenditures and funding requests are identified. 
Changes in the master plan submitted 1 February should be documented in 
this letter summary if the changes were approved.
    (7) Summary of runoff potentials in current season (RCS DAEN-CWO-2). 
(i) The Chief of Engineers and staff require information to respond to 
inquiries from members of Congress and others regarding runoff 
potentials. Therefore, the division commander will submit a snowmelt 
runoff and flood potential letter report covering the snow accumulation 
and runoff period, beginning generally in February and continuing 
monthly, until the potential no longer exist. Dispatch of supplemental 
reports will be determined by the urgencies of situations as they occur. 
The reports

[[Page 232]]

will be forwarded as soon as hydrologic data are available, but not 
later than the 10th of the month. For further information on reporting 
refer to ER 500-1-1, 33 CFR part 203.
    (ii) During major drought situations or low-flow conditions, 
narrative summaries of the situation should be furnished to alert the 
Chief of Engineers regarding the possibility of serious runoff 
deficiencies that are likely to call for actions associated with Corps 
of Engineers reservoirs.
    (iii) The reports referred to in paragraphs (m)(7) (i) and (ii) of 
this section will include general summaries regarding the status of 
reservoir storage, existing and forecasted at the time of the reports.
    (8) Reports on project operations during flood emergencies. 
Information on project regulations to be included in reports submitted 
to the Chief of Engineers during flood emergencies in accordance with ER 
500-1-1 include rate of inflow and outflow in CFS, reservoir levels, 
predicted maximum level and anticipated date, and percent of flood 
control storage utilized to date. Maximum use should be made of 
computerized communication facilities in reporting project status to 
DAEN-CWO-E/CWE-HW in accordance with the requirements of ER 500-1-1, 33 
CFR part 203.
    (9) Post-flood summaries of project regulation. Project regulation 
effects including evaluation of the stage reductions at key stations and 
estimates of damages prevented by projects will be included in the post 
flood reports required by ER 500-1-1, 33 CFR part 203.
    (n) Water Control Management Boards. (1) The Columbia River Treaty 
Permanent Engineering Board was formed in accordance with the Columbia 
River Treaty with Canada. This board, composed of U.S. and Canadian 
members, oversees the implementation of the Treaty as carried out by the 
U.S. and Canadian Entities.
    (2) The Mississippi River Water Control Management Board was 
established by ER 15-2-13. It consists of the Division Commanders from 
LMVD, MRD, NCD, ORD, and SWD with the Director of Civil Works serving as 
chairman. The purposes of the Board are:
    (i) To provide oversight and guidance during the development of 
basin-wide management plans for Mississippi River Basin projects for 
which the US Army Corps of Engineers has operation/regulation 
responsibilities.
    (ii) To serve as a forum for resolution of water control problems 
among US Army Corps of Engineers Divisions within the Mississippi River 
Basin when agreement is otherwise unobtainable.
    (o) List of projects. Projects owned and operated by the Corps of 
Engineers subject to this regulation are listed with pertinent data in 
Appendix E. This list will be updated periodically to include Corps 
projects completed in the future. Federal legislation, Federal 
regulations and local agreements have given the Corps of Engineers wide 
responsibilities for operating projects which it does not own. Non-Corps 
projects subject to this regulation are included in Appendix A of ER 
1110-2-241.

                  Appendix A to Sec. 222.5--References

1. The Federal Power Act, Pub. L. 436-83, approved 10 June 1920, as 
amended (41 Stat. 1063; 16 U.S.C. 791(a))
2. Section 3 of the Flood Control Act approved 22 June 1936, as amended 
(49 Stat. 1571; 33 U.S.C. 701(c))
3. Section 9(b) of Reclamation Project Act of 1939, approved 4 August 
1939 (53 Stat. 1187; 43 U.S.C. 485)
4. Section 7 of the Flood Control Act approved 22 December 1944 (58 
Stat. 890; 33 U.S.C. 709)
5. Section 5 of Small Reclamation Projects Act of 6 August 1956, as 
amended (70 Stat. 1046; 43 U.S.C. 422(e))
6. Section 9 of Pub. L. 436-83d Congress (68 Stat. 303)
7. The Fish and Wildlife Coordination Act of 1958, Pub. L. 85-624
8. The Federal Water Project Recreation Act Uniform Policies, Pub. L. 
89-72
9. The National Environmental Policy Act of 1969, Pub. L. 91-190
10. The Clean Water Act of 1977, Pub. L. 95-217
11. Executive Order 12088, Federal Compliance with Pollution Control 
Standards, 13 October 1978
12. 33 CFR 208.10, Local flood protection works; maintenance and 
operation of structures and facilities (9 FR 9999; 9 FR 10203)
13. 33 CFR 208.11, Regulations for use of Storage Allocated for Flood 
Control or Navigation and/or Project Operation at Reservoirs

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subject to Prescription of Rules and Regulations by the Secretary of the 
Army in the Interest of Flood Control and Navigation (43 FR 47184)
14. AR 18-1
15. ER 11-2-101
16. ER 15-2-13
17. ER 500-1-1, 33 CFR part 203
18. ER 1110-2-241, 33 CFR part 208
19. ER 1110-2-1400
20. ER 1110-2-1402
21. ER 1110-2-1941
22. ER 1125-2-301
23. ER 1130-2-303
24. ER 1130-2-334
25. ER 1130-2-415
26. ER 1130-2-417
27. ER 1130-2-419
28. EM 1110-2-3600

        Appendix B to Sec. 222.5--Summary of Corps of Engineers 
  Responsibilities for Prescribing Regulations for Non-Corps Reservoir 
                                Projects

                                 Summary

    1. (a) ``Regulations for Use of Storage Allocated for Flood Control 
or Navigation and/or Project Operation at Reservoirs subject to 
Prescription of Rules and Regulations by the Secretary of the Army in 
the Interest of Flood Control and Navigation'' (33 CFR 208.11) prescribe 
the responsibilities and general procedures for regulating reservoir 
projects capable of regulation for flood control or navigation and the 
use of storage allocated for such purposes and provided on the basis of 
flood control and navigation, except projects owned and operated by the 
Corps of Engineers; the International Boundary and Water Commission, 
United States and Mexico; and those under the jurisdiction of the 
International Joint Commission, United States and Canada, and the 
Columbia River Treaty.
    (b) Pertinent information on projects for which regulations are 
prescribed under Section 7 of the 1944 Flood Control Act, (Pub. L. 78-58 
Stat. 890 (33 U.S.C. 709)) the Federal Power Act (41 Stat. 1063 (16 
U.S.C. 791(A))) and Section 9 of Pub. L. 436-83d Congress (68 Stat. 303) 
is published in the Federal Register in accordance with 33 CFR 208.11.
    Publication in the Federal Register establishes the fact and the 
date of a project's regulation plan promulgation.
    2. Section 7 of Act of Congress approved 22 December 1944 (58 Stat. 
890; 33 U.S.C. 709), reads as follows:
    ``Hereafter, it shall be the duty of the Secretary of War to 
prescribe regulations for the use of storage allocated for flood control 
or navigation at all reservoirs constructed wholly or in part with 
Federal funds provided on the basis of such purposes, and the operation 
of any such project shall be in accordance with such regulations: 
Provided, That this section shall not apply to the Tennessee Valley 
Authority, except that in case of danger from floods on the Lower Ohio 
and Mississippi Rivers the Tennessee Valley Authority is directed to 
regulate the release of water from the Tennessee River into the Ohio 
River in accordance with such instructions as may be issued by the War 
Department.''
    3. Section 9(b) of the Reclamation Project Act of 1939, approved 4 
August 1939 (53 Stat. 1189, 43 U.S.C. 485), provides that the Secretary 
of the Interior may allocate to flood control or navigation as part of 
the cost of new projects or supplemental works; and that in connection 
therewith he shall consult with the Chief of Engineers and may perform 
any necessary investigations under a cooperative agreement with the 
Secretary of the Army. These projects are subject to 33 CFR 208.11 
regulations.
    4. Several dams have been constructed by State agencies under 
provisions of legislative acts wherein the Secretary of the Army is 
directed to prescribe rules and regulations for project operation in the 
interest of flood control and navigation. These projects are subject to 
33 CFR 208.11 regulations.
    5. There are few dams constructed under Emergency Conservation work 
authority or similar programs, where the Corps of Engineers has 
performed major repairs or rehabilitation, that are operated and 
maintained by local agencies which are subject to 33 CFR 208.11 
regulations.
    6. The Federal Power Act, approved 10 June 1920, as amended (41 
Stat. 1063, 16 U.S.C. 791 (A)), established the Federal Power 
Commission, now Federal Energy Regulatory Commission (FERC), with 
authority to issue licenses for constructing, operating, and maintaining 
dams or other project works for the development of navigation, for 
utilization of water power and for other beneficial public uses in any 
streams over which Congress has jurisdiction. The Chief of Engineers is 
called upon for advice and assistance as needed in formulating reservoir 
regulation requirements somewhat as follows:
    a. In response to requests from the FERC, opinions and technical 
appraisals are furnished by the Corps of Engineers for consideration 
prior to issuance of licenses by the FERC. Such assistance may be 
limited to general presentations, or may include relatively detailed 
proposals for water control plans, depending upon the nature and scope 
of projects under consideration. The information furnished is subject to 
such consideration and use as the Chairman, FERC, deems appropriate. 
This may result in inclusion of simple provisions in licenses without 
elaboration, or relatively detailed requirements for reservoir 
regulation schedules and plans.
    b. Some special acts of Congress provide for construction of dams 
and reservoirs by non-Federal agencies or private firms under

[[Page 234]]

licenses issued by the FERC, subject to stipulation that the operation 
and maintenance of the dams shall be subject to reasonable rules and 
regulations of the Secretary of the Army in the interest of flood 
control and navigation. Ordinarily no Federal funds are involved, thus 
Section 7 of the 1944 Flood Control Act does not apply. However, if 
issuance of regulations by the Secretary of the Army is required by the 
authority under which flood control or navigation provisions are 
included as functions of the specific project or otherwise specified in 
the FERC license, regulation plans will be prescribed in accordance with 
33 CFR 208.11 regulations.
    7. Projects constructed by the Corps of Engineers for local flood 
protection purposes are subject to conditions of local cooperation as 
provided in Section 3 of the Flood Control Act approved 22 June 1936, as 
amended. One of those conditions is that a responsible local agency will 
maintain and operate all works after completion in accordance with 
regulations prescribed by the Secretary of the Army. Most such projects 
consist mainly of levees and flood walls with appurtenant drainage 
structures. Regulations for operation and maintenance of these projects 
has been prescribed by the Secretary of the Army in 33 CFR 208.10. When 
a reservoir is included in such a project, it may be appropriate to 
apply 33 CFR 208.10 in establishing regulations for operation, without 
requiring their publication in the Federal Register. For example, if the 
reservoir controls a small drainage area, has an uncontrolled flood 
control outlet with automatic operation or contains less than 12,500 
acre-feet of flood control or navigation storage, 33 CFR 208.10 may be 
suitable. However, 33 CFR 208.11 regulations normally would be 
applicable in prescribing flood control regulations for the individual 
reservoir, if the project has a gated flood control outlet by which the 
local agency can regulate floods.
    8. Regulation plans for projects owned by the Corps of Engineers are 
not prescribed in accordance with 33 CFR 208.11. However, regulation 
plans for projects constructed by the Corps of Engineers and turned over 
to other agencies or local interests for operation may be prescribed in 
accordance with 33 CFR 208.11.
    9. The Small Reclamation Projects Act of 6 August 1956 provides that 
the Secretary of the Interior may make loans or grants to local agencies 
for the construction of reclamation projects. Section 5 of the Act 
provides in part that the contract covering any such grant shall set 
forth that operation be in accordance with regulations prescribed by the 
head of the Federal department or agency primarily concerned. Normally, 
33 CFR 208.11 is not applicable to these projects.

  Appendix C to Sec. 222.5--Procedures for Developing and Processing 
  Regulations for Non-Corps Projects in Conformance with 33 CFR 208.11

    1. Sequence of actions. a. Discussions leading to a clarification of 
conditions governing allocations of storage capacity to flood control or 
navigation purposes and project regulation are initiated by District/
Division Engineers through contacts with owners and/or operating 
agencies concerned at regional level.
    b. Background information on the project and conditions requiring 
flood control or navigation services, and other relevant factors, are 
assembled by the District Engineer and incorporated in a ``Preliminary 
Information Report''. The Preliminary Information Report will be 
submitted to the Division Engineer for review and approval. Normally, 
the agency having jurisdiction over the particular project is expected 
to furnish information on project features, the basis for storage 
allocations and any other available data pertinent to the studies. The 
Corps of Engineers supplements this information as required.
    c. Studies required to develop reservoir regulation schedules and 
plans usually will be conducted by Corps of Engineers personnel at 
District level, except where the project regulation affects flows in 
more than one district, in which case the studies will be conducted by 
or under supervision of Division personnel. Assistance as may be 
available from the project operating agency or others concerned will be 
solicited.
    d. When necessary agreements are reached at district level, and 
regulations developed in accordance with 33 CFR 208.11 and EM 1110-2-
3600, they will be submitted to the Division Commander for review and 
approval, with information copies for DAEN-CWE-HW. Usually the 
regulations include diagrams of operating parameters.
    e. For projects owned by the Bureau of Reclamation, the respective 
Regional Directors are designated as duly authorized representatives of 
the Commissioner of Reclamation. By letter of 20 October 1976, the 
Commissioner delegated responsibilities to the Regional Directors as 
follows: ``Regarding the designated authorization of representatives of 
the Commissioner of Reclamation in matters relating to the development 
and processing of Section 7 flood control regulations, we are 
designating each Regional Director as our duly authorized representative 
to sign all letters of understanding, water control agreements, water 
control diagrams, water control release schedules and other documents 
which may become part of the prescribed regulations.

[[Page 235]]

The Regional Director also will be responsible for obtaining the 
signature of the designated operating agency on these documents where 
such is required. Regarding internal coordination within the Bureau of 
Reclamation, the Regional Directors will obtain the review and approval 
of this office and at appropriate offices with our Engineering and 
Research Center, Denver, Colorado, prior to signing water control 
documents.''
    f. In accordance with the delegation cited in paragraph e, 33 CFR 
208.11 regulations pertaining to Bureau of Reclamation projects will be 
processed as follows:
    (1) After regulation documents submitted by District Commanders are 
reviewed and approved by the Division Commander they are transmitted to 
the respective Regional Director of the Bureau of Reclamation for 
concurrence of comment, with a request that tracings of regulation 
diagrams be signed and returned to the Division Commander.
    (2) If any questions arise at this stage appropriate actions are 
taken to resolve differences. Otherwise, the duplicate tracings of the 
regulation diagram are signed by the Division Commander and transmitted 
to the office of the project owner for filing.
    (3) After full agreement has been reached in steps (1) and (2), the 
text of proposed regulations is prepared in final form. Copies of any 
diagrams involved are included for information only.
    (4) A letter announcing completion of action on processing the 
regulations, with pertinent project data as specified in paragraph 
208.11(d)(11) of 33 CFR 208.11, and one copy of the signed tracings of 
diagrams are forwarded to HQDA (DAEN-CWE-HW) WASH DC 20314 for 
promulgation and filing. The office of the Chief of Engineers will 
forward the pertinent project data to the Liaison Officer with the 
Federal Register, requesting publication in the Federal Register.
    g. Regulations developed in accordance with 33 CFR 208.11 and 
applicable to projects that are not under supervision of the Bureau of 
Reclamation are processed in substantially the manner described above. 
All coordination required between the Corps of Engineers and the 
operating agency will be accomplished at field level.
    h. Upon completion of actions listed above, Division Commanders are 
responsible for informing the operating agencies at field level that 
regulations have been promulgated.
    2. Signature blocks: Some 33 CFR 208.11 regulations contain diagrams 
of parameter curves that cannot be published in the Federal Register, 
but are made a part thereof by appropriate reference. Each diagram bears 
a title block with spaces for the signature of authenticating officials 
of the Corps of Engineers and the owner/operating agency of the project 
involved.
    3. Designation of Corps of Engineers Representatives. Division 
Commanders are designated representatives of the Chief of Engineers in 
matters relating to development and processing of 33 CFR 208.11 
regulations for eventual promulgation through publication of selected 
data specified in paragraph (d)(11) Sec. 208.11. Division Commanders 
are designated as the Corps of Engineers signee on all letters of 
understanding, water control agreements and other documents which may 
become part of prescribed regulations for projects located in their 
respective geographic areas, and which are subject to the provisions of 
33 CFR 208.11.

                                  Appendix D to Sec.  222.5--Sample Tabulation
                                  Bardwell Lake, Monthly Lake Report, May 1975
----------------------------------------------------------------------------------------------------------------
                                       Elevations 0800:   Storage    Evap     Pump    Release   Inflow    Rain,
                 Day                    2,400 feet-MSL    2400 A-F    DSF     DSF       DSF    adj. DSF    inch
----------------------------------------------------------------------------------------------------------------
1....................................     421.30 421.31      55979      28      2.0         0        84     0.00
2....................................     421.32 421.37      56196       5      2.0         0       117      .00
3....................................     421.43 421.44      56449      23      1.9         0       152      .14
4....................................     421.45 421.47      56558       1      1.8         0        58      .00
5....................................     421.49 421.34      56088       1      2.0       324        50      .00
6....................................     421.20 421.01      54902      14      1.9       632        50      .00
7....................................     420.88 420.89      54473       4      2.0       269        59      .09
8....................................     420.8