[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2018 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 33
Navigation and Navigable Waters
________________________
Part 200 to End
Revised as of July 1, 2018
Containing a codification of documents of general
applicability and future effect
As of July 1, 2018
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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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 693
Finding Aids:
Table of CFR Titles and Chapters........................ 743
Alphabetical List of Agencies Appearing in the CFR...... 763
List of CFR Sections Affected........................... 773
[[Page iv]]
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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.
----------------------------
[[Page v]]
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
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evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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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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PAST PROVISIONS OF THE CODE
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``[RESERVED]'' TERMINOLOGY
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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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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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this volume.
[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
July 1, 2018
[[Page ix]]
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, 2018. 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.
For this volume, Gabrielle E. Burns was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 33--NAVIGATION AND NAVIGABLE WATERS
(This book contains part 200 to End)
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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
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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
200-202
[Reserved]
203 Emergency employment of Army and other
resources, natural disaster procedures.. 5
207 Navigation regulations...................... 26
208 Flood control regulations................... 106
209 Administrative procedure.................... 135
210 Procurement activities of the Corps of
Engineers............................... 160
214 Emergency supplies of drinking water........ 178
220 Design criteria for dam and lake projects... 180
221 Work for others............................. 181
222 Engineering and design...................... 198
223 Boards, commissions, and committees......... 294
230 Procedures for implementing NEPA............ 295
236 Water resource policies and authorities:
Corps of Engineers participation in
improvements for environmental quality.. 307
238 Water resources policies and authorities:
Flood damage reduction measures in urban
areas................................... 309
239 Water resources policies and authorities:
Federal participation in covered flood
control channels........................ 312
240 General credit for flood control............ 314
241 Flood control cost-sharing requirements
under the ability to pay provision...... 321
242 Flood Plain Management Services Program
establishment of fees for cost recovery. 326
245 Removal of wrecks and other obstructions.... 327
263 Continuing authorities programs............. 331
273 Aquatic plant control....................... 349
274 Pest control program for civil works
projects................................ 355
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276 Water resources policies and authorities:
Application of section 134a of Public
Law 94-587.............................. 358
277 Water resources policies and authorities:
Navigation policy: Cost apportionment of
bridge alterations...................... 361
279 Resource use: Establishment of objectives... 370
320 General regulatory policies................. 374
321 Permits for dams and dikes in navigable
waters of the United States............. 387
322 Permits for structures or work in or
affecting navigable waters of the United
States.................................. 388
323 Permits for discharges of dredged or fill
material into waters of the United
States.................................. 396
324 Permits for ocean dumping of dredged
material................................ 403
325 Processing of Department of the Army permits 404
326 Enforcement................................. 434
327 Public hearings............................. 445
328 Definition of waters of the United States... 448
329 Definition of navigable waters of the United
States.................................. 452
330 Nationwide permit program................... 457
331 Administrative appeal process............... 468
332 Compensatory mitigation for losses of
aquatic resources....................... 483
334 Danger zone and restricted area regulations. 513
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............................ 626
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........................ 628
337 Practice and procedure...................... 635
338 Other Corps activities involving the
discharge of dredged material or fill
into waters of the U.S.................. 642
384 Intergovernmental review of Department of
the Army Corps of Engineers programs and
activities.............................. 643
385 Programmatic regulations for the
comprehensive Everglades Restoration
Plan.................................... 645
386-399
[Reserved]
[[Page 5]]
PARTS 200 202 [RESERVED]
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
[[Page 6]]
storm. This law authorizes the Secretary of the Army (Secretary) to
construct wells and to transport water 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 stations while tows are moving adjacent
to any part of a lock. They shall protect the lock walls by the use of
[[Page 57]]
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 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
[[Page 58]]
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.
(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
[[Page 59]]
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 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
[[Page 60]]
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.
(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:
[[Page 61]]
(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 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
[[Page 62]]
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.
(b) If a double lockage is required: One long blast of the whistle
followed by two short blasts.
[[Page 63]]
(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 permitted
to enter or leave the locks until directed to do so by the
[[Page 64]]
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 structures in the process of construction or repair
shall reduce their speed and navigate with special caution
[[Page 65]]
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.
(3) After lock walls and weir piers are awash they will be marked as
prescribed in paragraph (x) of this section.
[[Page 66]]
(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.
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]
[[Page 67]]
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 (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
[[Page 68]]
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 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
[[Page 69]]
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) 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.
(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 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.
[78 FR 78720, Dec. 27, 2013]
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.
[[Page 70]]
(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
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]
[[Page 71]]
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.
(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,
[[Page 72]]
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, 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
[[Page 73]]
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 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
[[Page 74]]
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. 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
[[Page 75]]
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 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
[[Page 76]]
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 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
[[Page 77]]
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.
(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.
[[Page 78]]
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 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.
[[Page 79]]
(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 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
[[Page 80]]
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 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.
[[Page 81]]
(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 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
[[Page 82]]
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 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
[[Page 83]]
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]
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
[[Page 84]]
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 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.
[[Page 85]]
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.
(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
[[Page 86]]
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.
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
[[Page 87]]
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 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
[[Page 88]]
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 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.
[[Page 89]]
(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 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
[[Page 90]]
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, 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]
[[Page 91]]
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, 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.
[[Page 92]]
(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 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
[[Page 93]]
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 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
[[Page 94]]
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, 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.
[[Page 95]]
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.
(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
[[Page 96]]
(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 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
[[Page 97]]
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 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
[[Page 98]]
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 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
[[Page 99]]
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 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
[[Page 100]]
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
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.
[[Page 101]]
(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 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
[[Page 102]]
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 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
[[Page 103]]
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 the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
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.
(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
[[Page 104]]
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 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
[[Page 105]]
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.
(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
[[Page 106]]
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, Texas.
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.
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
[[Page 107]]
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, 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:
[[Page 108]]
(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 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
[[Page 109]]
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 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
[[Page 110]]
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 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]
[[Page 111]]
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.
(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
[[Page 112]]
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 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.
[[Page 113]]
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 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
[[Page 114]]
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 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.
[[Page 115]]
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 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
[[Page 116]]
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 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
[[Page 117]]
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 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 118]]
List of Projects
[Non-Corps projects with Corps Regulation Requirements]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Elev limits feet Area in acres
Storage M.S.L. ------------------
Project name \1\ (1) State County (3) Stream \1\ (4) Project purpose \2\ 1000 AF -------------------- Authorizing legis. Proj. owner \4\
(2) (5) (6) Upper Lower Upper Lower \3\ (11) (12)
(7) (8) (9) (10)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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 119]]
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.
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.
[[Page 120]]
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.......... LCRA
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
[[Page 121]]
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
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 122]]
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 FICR............... 191.0 3406.0 3327.0 460 90 PL 78-534.......... Vale
R. 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
[[Page 123]]
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
\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; LCRA--Lower Colorado River Authority; 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; 79 FR 13564, Mar. 11, 2014]
[[Page 124]]
Sec. 208.19 Marshall Ford Dam and Reservoir (Mansfield Dam and Lake Travis), Colorado River, Texas.
In the interest of flood control, the Lower Colorado River Authority
(LCRA) shall operate the Marshall Ford Dam and Reservoir in accordance
with the water control plan of regulation most recently approved by the
U.S. Army Corps of Engineers (USACE), effective on the date specified in
the approval. Information regarding the most recently approved water
control plan of regulation may be obtained by contacting the LCRA
offices in Austin, Texas, or the offices of the U.S. Army Corps of
Engineers, Fort Worth Engineer District, in Fort Worth, Texas.
[79 FR 13564, Mar. 11, 2014]
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 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
[[Page 125]]
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
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]
[[Page 126]]
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 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.
[[Page 127]]
(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, 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
[[Page 128]]
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 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.
[[Page 129]]
(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.
(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
[[Page 130]]
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 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
[[Page 131]]
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
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.
[[Page 132]]
(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]
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
[[Page 133]]
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'').
(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
[[Page 134]]
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, 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
[[Page 135]]
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 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.
[[Page 136]]
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.
(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,
[[Page 137]]
(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, 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
[[Page 138]]
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 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.
[[Page 139]]
(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 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
[[Page 140]]
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 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.
[[Page 141]]
(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.
(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
[[Page 142]]
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''.
(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
[[Page 143]]
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 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
[[Page 144]]
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 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
[[Page 145]]
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 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,
[[Page 146]]
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 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
[[Page 147]]
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 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,
[[Page 148]]
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 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.
[[Page 149]]
(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 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
[[Page 150]]
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.
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:
[[Page 151]]
(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:
(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
[[Page 152]]
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 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
[[Page 153]]
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).
[ ________ 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
[[Page 154]]
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 ``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
[[Page 155]]
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]
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
[[Page 156]]
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 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
[[Page 157]]
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 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
[[Page 158]]
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, (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.
[[Page 159]]
(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.
(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.
Sec. 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,
[[Page 160]]
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 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
[[Page 161]]
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 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.
[[Page 162]]
(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 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
[[Page 163]]
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 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,
[[Page 164]]
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 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,
[[Page 165]]
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 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
[[Page 166]]
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 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
[[Page 167]]
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 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)
[[Page 168]]
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.
(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.
[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
[[Page 169]]
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 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,
[[Page 170]]
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 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
[[Page 171]]
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 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
[[Page 172]]
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.
(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
[[Page 173]]
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 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
[[Page 174]]
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 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
[[Page 175]]
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 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
[[Page 176]]
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
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 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 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
[[Page 177]]
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 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]
[[Page 178]]
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).
(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.
[[Page 179]]
(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.
(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.
[[Page 180]]
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.
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
[[Page 181]]
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 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
[[Page 182]]
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.
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\2\ 33 CFR 209.120 was removed at 42 FR 37133, July 19, 1977.
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(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 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.''
[[Page 183]]
(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. 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
[[Page 184]]
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.
(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
[[Page 185]]
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 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
[[Page 186]]
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 (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.
[[Page 187]]
(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.
Sec. 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, unless
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, 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
[[Page 188]]
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 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
[[Page 189]]
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 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
[[Page 190]]
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.
Sec. 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 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
[[Page 191]]
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 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.
[[Page 192]]
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 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
[[Page 193]]
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 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
[[Page 194]]
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 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
[[Page 195]]
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 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
[[Page 196]]
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 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
[[Page 197]]
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 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
[[Page 198]]
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.
Sec. 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 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.
[[Page 199]]
(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.
(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
[[Page 200]]
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.
(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
[[Page 201]]
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.
(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
[[Page 202]]
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 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.)
[[Page 203]]
(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.
(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
[[Page 204]]
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 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.
[[Page 205]]
(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 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
[[Page 206]]
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.
(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
[[Page 207]]
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. 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
[[Page 208]]
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/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.
[[Page 209]]
(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 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.
[[Page 210]]
(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 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
[[Page 211]]
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 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.
[[Page 212]]
(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 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
[[Page 213]]
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 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.
[[Page 214]]
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. 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
[[Page 215]]
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.................................... 420.89 420.91 54544 5 2.3 0 44 .00
9.................................... 420.90 420.89 54473 11 1.5 0 38 .00
10................................... 420.90 420.90 54509 28 3.0 0 27 .00
11................................... 420.91 421.35 56124 26 1.8 0 824 .00
12................................... 421.54 421.65 57213 31 2.1 0 582 1.61
13................................... 421.70 421.75 57578 29 2.2 0 216 .00
14................................... 421.78 421.76 57614 34 1.9 249 303 .03
15................................... 421.69 421.52 56739 22 1.9 643 225 .57
16................................... 421.39 421.28 55871 39 2.1 535 138 .00
17................................... 421.19 421.09 55188 10 2.2 393 119 .00
18................................... 421.03 421.05 55045 46 2.0 143 60 .00
19................................... 421.04 421.07 55116 17 2.3 0 55 .00
20................................... 421.06 421.30 55943 21 2.1 0 440 .21
21................................... 421.39 421.47 56558 20 2.1 0 332 .97
22................................... 421.50 421.39 56268 42 2.1 247 145 .00
23................................... 421.37 424.91 69726 31 2.0 328 7146 .22
24................................... 425.61 426.15 74825 22 2.0 0 2595 2.38
25................................... 426.15 426.55 76523 18 2.3 0 876 .11
26................................... 426.72 426.80 77598 42 2.1 0 586 .00
27................................... 426.95 427.00 78465 23 2.0 0 462 .00
28................................... 427.14 427.15 79116 31 2.1 0 361 .19
29................................... 427.31 427.70 81528 61 1.9 0 1279 .20
30................................... 427.94 428.05 83082 11 2.0 0 796 1.02
31................................... 428.20 428.22 83837 7 2.1 0 389 .00
Monthly total:
(DSF).............................. ................ ......... 700 64 3763 18626 7.74
(A-F).............................. ................ 27966 1389 126 7464 36945 .......
----------------------------------------------------------------------------------------------------------------
[[Page 216]]
Appendix E to Sec. 222.5--List of Projects
--------------------------------------------------------------------------------------------------------------------------------------------------------
Elev limits feet Area in acres
Project purpose Storage M.S.L. --------------------
Project name \1\ State/county Stream \1\ \2\ 1,000 AF -------------------- Auth legis \3\
Upper Lower Upper Lower
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lower Mississippi Valley Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Alligator--Catfish FG......... MS Issaquena.... Little Sunflower F............... 0.0 0.0 0.0 0 0 FCA Jun 36.
Arkabutla Lk.................. MS Desoto....... Coldwater....... F............... 525.0 238.3 209.3 33,400 5,100 FCA Jun 36.
Ascalmore--Tippo FG & CS...... MS Tallahatchie. Ascalmore....... F............... 0.0 136.0 118.0 0 0 FCA Jun 36.
Bienvenue FG.................. LA St Bernard... Bayou Bienvenue. F............... 0.0 2.0 2.0 0 0 PL 298-89
Big Lk Ditch 81 CS........... AR Mississippi.. Ditch 81 C............... 0.0 0.0 230.0 0 0 FCA Oct 65.
Extension..
Big Lk Div CS................. AR Mississippi.. Little R........ C............... 0.0 0.0 230.0 0 0 FCA Oct 65.
Big Lk North End CS........... AR Mississippi.. Little R........ C............... 0.0 0.0 230.0 0 0 FCA Oct 65.
Big Lk South end CS........... AR Mississippi.. Ditch 28........ C............... 0.0 0.0 230.0 0 0 FCA Oct 65.
Birds Point--New Madrid Div MO New Madrid... Mississippi..... F............... 0.0 330.5 328.5 131,000 71,000 FCA May 28.
Floodway.
Bodcau Lk..................... LA Bossier...... Bayou Bodcau.... F............... 35.3 199.5 157.0 21,000 110 PL 74-839.
Bonnet Carre Div Spillway..... LA St Charles... Mississippi R... F............... 0.0 24.0 20.0 0 0 FCA May 28.
Bowman Lock................... LA Vermilion.... GIWW............ I............... 0.0 1.2 1.2 0 0 PL 79-14.
Caddo Lk...................... LA Caddo........ Cypress Bayou... N............... 128.6 182.7 168.5 59,000 26,800 FCA Oct 65.
Cairo 10th & 20th St PS....... IL Pulaski...... Ohio............ F............... 0.0 310.5 299.0 0 0 PL 90-483.
Calcasieu SW Barrier & Lock... LA Calcasieu.... Calcasieu R..... I............... 0.0 1.2 1.2 0 0 RHA Oct 62.
PL 79-525.
Calion L&D.................... AR Union........ Ouachita........ N............... 0.0 77.0 77.0 12,200 12,200 RHA 1950.
Calument FG East & West....... LA St Mary...... Wax Lake Outlet FN.............. 0.0 3.0 3.0 0 0 FCA Jun 36.
Bayou Teche.
Cannon Re-reg................. MO Ralls........ Salt R.......... PCA............. 5.8 528.0 521.0 1,020 460 HD 507.
Carlyle Lk.................... IL Clinton...... Kaskaskia R..... F............... 699.0 462.5 445.0 50,440 24,580 SD 44.
NMCAR........... 233.0 445.0 429.5 0 7,100 ................
Catahoula Lk CS............... LA LaSalle...... Catahoula Div... CR.............. 118.0 34.0 27.0 25,000 94 RHA 1960.
Catfish Point CS.............. LA Cameron...... Mermentau R..... FN.............. 0.0 1.2 1.2 0 0 FCA Aug 41, RHA
Jul 64.
Charenton FG.................. LA St Mary...... Grand Lk........ FN.............. 0.0 0.0 0.0 0 0 RHA Jul 46, FCA
May 28.
Cocodrie FG FG................ LA Concorida.... Bayou Cocodrie.. F............... 0.0 46.0 13.0 0 0 FCA Aug 41.
Collins Cr.................... MS Warren....... Collins Cr...... F............... 0.0 84.0 67.0 0 0 FCA 1941.
Columbia L&D.................. LA Caldwell..... Ouachita........ N............... 0.0 52.0 52.0 7,070 7,070 RHA 1950.
Connerly CS................... AR Chicot....... Connerly Bayou.. FCR............. 0.0 116.0 106.0 0 0 FCA Aug 68.
Courtableau Drainage CS....... LA St Landry.... Bayou F............... 0.0 18.0 16.0 0 0 FCA May 28, PL
Courtableau. 391-70.
Darbonne CS................... LA St. Landry... Bayou Darbonne.. FI.............. 0.0 18.0 16.0 0 0 FCA May 28, PL
391-70.
DeGray LK..................... AR Desoto....... Caddo........... FNPMRA.......... 881.9 423.0 345.0 23,800 6,400 RHA 1950, WSA
1958.
DeGray Rereg. St.............. AR Clark........ Caddo........... NMRA............ 3.6 221.0 209.0 430 90 RHA 1950. WSA
1958.
[[Page 217]]
Ditch Bayou Dam............... AR Chicot....... Ditch Bayou..... FCR............. 0.0 106.0 93.0 0 0 FCA Aug 68.
Drainage Dist 17 PS.......... AR Mississippi.. Ditch 71........ F............... 3.0 236.0 228.0 4,100 0 FCA Aug 68, PL
90-483.
Drinkwater PS................. MO Mississippi.. Drinkwater Sewer F............... 20.6 315.0 307.0 4,000 700 FCA May 50, PL
516.
Dupre FG...................... LA St Bernard... Bayou Dupre..... F............... 0.0 2.0 2.0 0 0 PL 298-89.
East St Louis PS.............. IL St. Clair.... IDD............. F............... 0.0 0.0 0.0 0 0 FC Act 36.
Empire FG Hurr Prot & Lock.... LA Plaque mines. Mississippi R... F............... 0.0 5.0 5.0 0 0 PL 874-87.
Enid Lk....................... MS Yalobusha.... Yacona.......... F............... 660.0 268.0 230.0 28,000 6,100 FCA Jun 36.
Felsenthal L&D................ AR Union........ Ouachita........ N............... 32.5 70.0 65.0 46,500 17,500 RHA 1950.
Finley Street PS.............. TN Dyer......... Forked Deer..... F............... 0.5 269.0 257.0 94 22 FCA 1948, PL 85-
500.
Freshwater Lock............... LA Vermilion.... Freshwater Bayou I............... 0.0 0.0 0.0 0 0 PL 86-645.
NI..............
Graham Burke PS............... AR Phillips..... White........... F............... 2,805.0 174.8 140.0 149,000 2,500 FCA May 28, PL
85-500.
Grenada Lk.................... MS Grenada...... Yalobusha Skuna. F............... 1,357.4 231.0 193.0 64,600 9,800 FCA Jun 36.
Huxtable PS................... AR Lee.......... St Francis...... F............... 2,863.0 207.2 165.0 18,500 1,400 FCA May 50.
Jonesville L&D................ LA Catahoula.... Black........... N............... 0.0 34.0 34.0 7,120 7,120 RHA 1950.
Kaskaskia L&D................. IL Randolph..... Kaskaskia R..... N............... 1.1 368.0 363.0 1,300 1,200 SD 44.
L&D 1......................... LA Catahula..... Red R........... N............... 0.0 40.0 40.0 0 0 PL 90-483.
L&D 2......................... LA Rapides...... Red R........... N............... 0.0 71.2 64.0 0 0 PL 90-483.
L&D 3......................... LA Rapides...... Red R........... N............... 0.0 95.0 91.5 0 0 PL 90-483.
L&D 4......................... LA Natchitoches. Red R........... N............... 0.0 120.0 119.6 0 0 PL 90-483.
L&D 5......................... LA Red R........ Red R........... N............... 0.0 145.0 140.2 0 0 PL 90-483.
L&D 24........................ MO Pike......... Mississippi R... N............... 29.7 449.0 445.0 13,000 12,000 R&H Act, Jul 3/
30.
R&H Act, Aug 30/
35.
L&D 25........................ MO Lincoln...... Mississippi R... N............... 49.7 434.0 429.7 18,000 16,600 R&H Act, Jul 3/
30.
R&H Act, 8/30/
35.
L&D 26........................ IL Madison...... Mississippi R... N............... 107.1 419.0 414.0 30,000 27,700 R&H Act, Jul 3/
30.
R&H Act, 8/30/
1935.
Larose to Golden Meadow Hurr LA LaFourche.... Bayou LaFourche. F............... 0.0 3.0 3.0 0 0 FCA Oct 65, PL
Prot FG. 89-298.
Little Sun flower CS.......... MS Issaquena.... Lit. Sunflower.. F............... 0.0 85.0 60.0 0 0 FCA 1941.
Lk 9 Culvert & PS............ KY Fulton....... Mississippi..... F............... 6.5 286.0 282.0 0 0 FCA Oct 65.
Lk Chicot PS.................. AR Chicot....... Macon Lk........ FCR............. 0.0 118.2 90.0 0 0 FCA Aug 68.
Lk Greeson.................... AR Pike......... Little Missouri. P............... 0.0 563.0 436.9 0 0 FCA 1941.
FP.............. 407.9 563.0 504.0 9,800 2,500 ................
Lk Ouachita................... AR Garland...... Ouachita........ P............... 0.0 592.0 480.0 0 0 FCA Dec 44.
Long Branch DS................ LA Catahoula.... Catahoula Div... F............... 0.0 32.5 32.5 0 0 FCA May 50.
Mark Twain Lk................. MO Ralls........ Salt R.......... F............... 894.0 638.0 606.0 38,400 18,600 HD 507.
PMCAR........... 457.0 606.0 567.2 18,600 5,900 ................
[[Page 218]]
Marked Tree Siphon............ AR Poinsett..... St. Francis..... F............... 0.0 229.0 198.3 0 0 FCA Jun 30.
Morganza Div CS............... LA Point Coupee. Morganza F............... 0.0 59.5 49.0 0 0 FCA May 28.
Floodway.
Muddy Bayou CS................ MS Warren....... Muddy Bayou..... FC.............. 30.0 76.9 70.0 4,350 2,860 FCA Oct 65.
Old River Div CS Low Sill LA W. Feliciana. Old R........... F............... 0.0 70.0 5.0 0 0 PL 83-780.
Overbank & Aux.
Old River Lock................ LA W Feliciana.. Old R........... N............... 0.0 65.4 10.0 0 0 FCA Sep 54, PL
780-83.
Port Allen Lock............... LA Port Allen... GIWW............ N............... 0.0 46.1 2.6 0 0 RHA Jul 46.
Prairie Dupont East & West PS. IL St Clair..... IDD............. F............... 0.0 0.0 0.0 0 0 FC Act 62.
Rapides-Boeuf Div Canal CS.... LA Rapides...... Bayou Rapides... F............... 0.0 66.0 62.2 0 0 FCA Aug 41, GD
359-77.
Rend Lk....................... IL Franklin..... Big Muddy R..... F............... 109.0 405.0 410.0 24,800 18,900 HD 541.
MA.............. 160.0 405.0 391.3 18,900 5,400 ................
Sardis Lk..................... MS Panola....... Little Sunflower F............... 1,569.9 281.4 236.0 58,500 10,700 FCA Jun 36.
Schooner Bayou CS & Lock...... LA Vermilion.... Schooner Bayou.. I............... 0.0 1.2 1.2 0 0 FCA Aug 41.
Shelbyville Lk................ IL Shelby....... Kaskaskia R..... F............... 474.0 626.5 599.7 25,300 11,100 HD 232.
NMCAR........... 180.0 599.7 573.0 11,100 3,000 ................
Sorrell Lock.................. LA Iberville.... GIWW............ N............... 0.0 29.7 3.5 0 0 FCA May 28.
St Francis Lk CS.............. AR Poinsett..... Oak Donnick C............... 0.0 0.0 210.0 0 2,240 FCA Oct 65.
Floodway.
Steele Bayou CS............... MS Issaquena.... Steele Bayou.... F............... 0.0 68.5 60.0 0 0 FCA 1941.
Tchula Lk Lower FG............ MS Humphreys.... Tchula Lk....... F............... 0.0 110.0 84.0 0 0 FCA Jun 36.
Tchula Lk Upper FG............ MS Humphreys.... Tchula Lk....... F............... 0.0 108.0 92.0 0 0 FCA Jun 36.
Teche-Vermilion PS & CS....... LA St Mary...... Atchafalaya R... MI.............. 0.1 18.0 16.0 0 0 PL 89-789, FCA
May 28.
Tensas-Cocodrie PS............ LA Cocordia..... Bayou Corcodrie. F............... 0.0 37.0 23.0 0 0 FCA Oct 65.
Treasure Island PS............ MO Dunklin...... Little R........ F............... 23.4 252.0 235.0 7,800 180 FCA Jul 46.
Wallace Lk.................... LA Caddo........ Cypress Bayou... F............... 96.1 158.0 142.0 9,300 2,300 RHA Mar 45, PL
75-761.
Wappapello Lk................. MO Wayne........ St Francis R.... F............... 613.2 394.7 354.7 23,200 5,200 HD 159.
Wasp Lk....................... MS Humphreys.... Wasp Lk-Bear Cr. F............... 0.0 111.6 88.5 0 0 FCA Jun 36.
West Hickman PS............... KY Fulton....... Mississippi..... F............... 0.0 302.0 296.0 9 4 FCA 1948.
Wood R PS..................... IL Madison...... IDD............. F............... 0.0 0.0 0.0 0 0 FC Act 38.
Yazoo City PS................. MS Yazoo........ Yazoo........... F............... 0.0 96.0 69.0 0 0 FCA Jun 36.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Missouri River Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Bear Creek Dam & Res.......... CO Jefferson.... Bear Cr......... F............... 28.8 5,635.5 5,558.0 718 109 PL 90-483.
FCR............. 1.9 5,558.0 5,528.0 109 17 SD 87-90.
Big Bend Dam & Lk Sharpe...... SD Lyman Buffalo Missouri R...... F............... 61.0 1,423.0 1,422.0 61,000 60,000 PL 78-534.
Hughes.
FNPIMCAR........ 117.0 1,422.0 1,420.0 60,000 57,000 SD 247-78.
Blue Springs Dam & Lk......... MO Jackson...... Little Blue R... F............... 15.8 820.0 802.0 982 722 PL 90-483.
[[Page 219]]
FRC............. 10.8 802.0 760.0 722 0 HD 169-90.
Blue Stem Lake & Dam 4........ NE Lancaster.... Olive Br. Salt F............... 7.2 1,322.5 1,307.4 660 315 PL 85-500.
Creek.
FCR............. 3.0 1,307.4 1,277.0 315 1 HD 396-84.
Bowman-Haley Dam & Res........ ND Bowman....... No Fk Grand F............... 72.7 2,777.0 2,754.8 5,131 1,732 PL 87-874.
River.
FMCR............ 15.5 2,754.8 2,740.0 1,732 565 HD 574-87.
Branched Oak Lk & Dam 18...... NE Lancaster.... Oak Creek trib. F............... 71.6 1,311.0 1,284.0 3,640 1,780 PL 85-500.
Salt Creek.
FCR............. 26.0 1,284.0 1,250.0 1,780 0 HD 396-84.
Bull Hook Dam................. MT Hill......... Bull Hook Cr F............... 6.5 2,593.0 2,540.0 283 0 PL 78-534.
Scott Coulee.
Cedar Canyon Dam.............. SD Pennington... Deadman's Gulch. F............... 0.1 3,545.0 3,526.0 11 2 PL 80-858.
Chatfield Dam & Res........... CO Douglas...... S Platte........ F............... 204.7 5,500.0 5,432.0 4,742 1,412 PL 81-516.
FQ.............. 26.7 5,432.0 5,385.0 1,412 12 HD 669-80.
Cherry Cr Dam & Res........... CO Araphahoe.... Cherry Cr....... F............... 80.0 5,598.0 5,550.0 2,637 852 PL 77-228.
FR.............. 14.0 5,550.0 5,504.0 852 0 HD 426-76, PL 78-
534.
Clinton Dam & Lk.............. KS Douglas...... Wakarusa R...... F............... 267.8 903.4 875.5 12,891 7,006 PL 87-874.
FMCAR........... 129.2 875.5 820.0 7,006 0 SD 122-87.
Cold Brook Dam & Res.......... SD Fall River... Cold Brook...... F............... 6.7 3,651.4 3,585.0 198 36 PL 77-228.
FR.............. 0.5 3,585.0 3,548.0 36 0 HD 655-76.
Conestoga Lake & Dam 12....... NE Lancaster.... Holmes Cr Trib F............... 8.0 1,252.0 1,232.9 620 230 PL 85-500.
to Salt Cr.
FCR............. 2.6 1,232.9 1,197.0 230 1 HD 396-84.
Cottonwood Springs Dam & Res.. SD Fall River... Cottonwood F............... 7.7 3,936.0 3,875.0 214 44 PL 77-228.
Springs Cr.
FR.............. 0.2 3,875.0 3,868.0 44 30 HD 655-76.
Fort Peck Dam & Res........... MT Valley, Mc Missouri R...... F............... 977.0 2,250.0 2,246.0 249,000 240,000 PL 73-409.
Cone Garfield.
FNPIMCAR........ 13,649.0 2,246.0 2,160.0 240,000 92,000 PL 75-529, HD
238-73.
PL 78-534, SD
247-78.
Fort Randall Dam, Lk Francis SD Gregory Missouri R...... F............... 985.0 1,375.0 1,365.0 102,000 95,000 PL 78-534.
Case. Charles.
FNPIMCAR........ 3,021.0 1,365.0 1,320.0 95,000 41,000 SD 247-78.
Garrison Dam, Lk Sakakawea.... ND Mercer McLean Missouri R...... F............... 1,494.0 1,854.0 1,850.0 382,000 365,000 PL 78-534.
FNPIMCAR........ 17,440.0 1,850.0 1,775.0 365,000 129,000 SD 247-78.
Gavins Point Dam, Lewis & SD Yankton...... Missouri R...... F............... 61.0 1,210.0 1,208.0 32,000 29,000 PL 78-534.
Clark Lk.
NE Knox......... FNPIMCAR........ 95.0 1,208.0 1,204.5 29,000 25,000 SD 247-78.
Glenn Cunningham Lk, Dam 11... NE Douglas...... Little Papillion F............... 14.0 1,142.0 1,121.0 922 392 PL 90-483.
Cr.
FRCA............ 3.9 1,121.0 1,085.0 392 0 HD 349-90.
Harlan County Lk.............. NE Harlan....... Republican R.... F............... 498.0 1,973.5 1,946.0 23,064 13,249 PL 77-228.
FI.............. 342.6 1,946.0 1,875.0 13,249 0 HD 892-76, PL-78-
534.
Harry S Truman Dam & Res...... MO Benton....... Osage R......... F............... 4,005.9 739.6 706.0 209,300 55,600 PL 83-780.
[[Page 220]]
FPCR............ 1,203.4 706.0 635.0 55,600 0 HD 549-81, PL 87-
874.
HD 578-87.
Hillsdale Lk.................. KS Miami........ Big Bull Cr..... F............... 83.6 931.0 917.0 7,410 4,580 PL 83-780.
FNMCAR.......... 76.3 917.0 852.4 4,580 0 HD 642-81.
Holmes Park Lk & Dam 17....... NE Lancaster.... Antelope Cr Trib F............... 5.7 1,266.0 1,242.4 410 100 PL 85-500.
to Salt Cr.
FCR............. 0.8 1,242.4 1,218.0 100 3 HD 396-84.
Kanopolis Lk.................. KS Ellsworth.... Smoky Hill R.... F............... 370.0 1,508.0 1,463.0 13,999 3,560 PL 75-761.
FI.............. 55.8 1,463.0 1,425.0 3,560 0 PL 78-534, HD
842-76.
Kelly Road Dam................ CO Araphoe...... Westerly Cr..... F............... 0.3 5,362.0 5,342.0 38 0 PL 80-858, PL 84-
99.
Long Branch Lk................ MO Randolph..... Little East Fk F............... 30.4 801.0 791.1 3,670 2,429 PL 89-298.
Chariton R.
FCAR............ 34.6 791.0 751.1 2,429 0 HD 238-89.
Longview Lk................... MO Jackson...... Little Blue R... F............... 24.8 909.0 891.0 1,960 930 PL 90-483.
FCAR............ 22.1 891.0 810.0 930 0 HD 169-90.
Melvern Lk.................... KS Osage........ Marais des F............... 208.4 1,057.0 1,036.0 13,948 6,928 PL 83-780.
Cygnes R.
FNMCAR.......... 154.4 1,036.0 960.0 6,928 0 PL 75-761, HD
549-81.
Milford Lk.................... KS Geary........ Republican R.... F............... 756.7 1,176.2 1,144.4 27,255 17,270 PL 83-780.
FCA............. 388.8 1,144.4 1,080.0 15,709 0 HD 642-81, PL 75-
761.
Oahe Dam & Lk................. ND 4 Counties... Missouri R...... F............... 1,097.0 1,620.0 1,617.0 373,000 359,000 PL 78-534.
SD 8 Counties... FNPIMCAR........ 16,789.0 1,617.0 1,540.0 359,000 117,000 SD 247-78.
Olive Cr Lk & Dam 2........... NE Lancaster.... Olive Br of Salt F............... 4.0 1,350.0 1,335.0 355 174 HD 396-84.
Cr.
FCR............. 1.5 1,335.0 1,314.0 174 4 PL 85-500.
Papio Dam Site 18 & Lk....... NE Douglas...... Boxelder Cr F............... 7.1 1,128.2 1,110.0 595 255 PL 90-483.
Papio Cr.
FCAR............ 3.4 1,110.0 1,060.5 255 0 HD 349-90.
Papio Dam Site 20 & Lk....... NE Sarpy........ Trib South F............... 6.1 1,113.1 1,096.0 493 246 PL 90-483.
Branch Papio.
FCAR............ 2.7 1,096.0 1,069.0 246 10 HD 349-90.
Pawnee Lk & Dam 14............ NE Lancaster.... No. Middle Cr of F............... 21.0 1,263.5 1,244.3 1,470 728 PL 85-500.
Salt Cr.
FCR............. 8.5 1,244.3 1,206.0 728 1 HD 396-84.
Perry Lk...................... KS Jefferson.... Delaware R...... F............... 521.9 920.6 891.5 25,342 12,202 PL 83-780.
FN.............. 243.2 891.5 825.0 122 0 HD 642-81.
Pipestem Dam & Res............ ND Stutsman..... Pipestem Cr..... F............... 137.0 1,496.3 1,442.4 4,754 885 PL 89-298.
FRC............. 9.6 1,442.4 1,415.0 885 62 HD 266-89.
Pomme De Terre Lk............. MO Polk......... Pomme De Terre R F............... 407.2 874.0 839.0 15,980 7,890 PL 75-761.
FNPCAR.......... 241.6 839.0 750.0 7,890 0 HD 549-81, PL 83-
780.
Pomona Lk..................... KS Osage........ 110 Mile Cr..... F............... 176.8 1,003.0 974.0 8,520 400 PL 83-780.
FNMAR........... 70.6 974.0 912.0 4,000 0 HD 549-81.
Rathbun Lk.................... IA Appanoose.... Chariton R...... F............... 346.3 926.0 904.0 20,948 11,013 PL 83-780.
FNM............. 205.4 904.0 844.0 11,013 0 HD 561-81.
Smithville Lk................. MO Clay......... Little Platte R. F............... 101.8 876.2 864.2 9,995 7,192 PL 89-298.
FMCAR........... 144.6 864.2 799.0 7,192 0 HD 262-89.
[[Page 221]]
Spring Gulch Imbankment....... CO Douglas...... Spring Gulch.... F............... 1.8 5,600.00 5,535.0 88 0 PL 81-516, HD
669-80.
Stagecoach Lk & Dam 9......... NE Lancaster.... Hickman Br of F............... 4.7 1,285.0 1,271.1 490 196 PL 85-500.
Salt Cr.
FRC............. 1.9 1,271.1 1,246.0 196 0 HD 396-84.
Standing Bear Lk & Dam 16..... NE Douglas...... Trib Big F............... 3.7 1,121.0 1,104.0 302 137 PL 90-483.
Papillion Cr.
FRC............. 1.5 1,104.0 1,060.0 137 0 HD 349-90.
Stockton Lk................... MO Cedar........ Sac R........... F............... 779.6 892.0 867.0 38,288 24,777 PL 83-780.
FARPN........... 887.1 867.0 760.0 24,777 0 HD 549-89.
Tuttle Creek Lk............... KS Riley........ Big Blue R...... F............... 1,937.4 1,136.0 1,075.0 54,179 14,875 PL 75-761.
FN.............. 177.1 1,075.0 1,061.0 14,875 0 HD 842-76.
Twin Lakes & Dam 13........... NE Seward....... Middle Cr Salt F............... 5.3 1,355.0 1,341.0 505 255 PL 85-500.
Cr.
CFR............. 2.8 1,341.0 1,306.0 255 1 HD 396-84.
Wagon Train Lk & Dam 8........ NE Lancaster.... Hickman Br of F............... 6.8 1,302.0 1,287.8 660 303 PL 85-500.
Salt Cr.
FCR............. 2.5 1,287.8 1,260.0 303 4 HD 396-84.
Wehrspann Lk & Dam 20......... NE Sarpy........ Trib South F............... 6.1 1,113.1 1,096.0 493 246 PL 90-483.
Branch Papio.
FCAR............ 2.7 1,096.0 1,069.0 246 10 HD 349-90.
Wilson Lk..................... KS Russell...... Saline R........ F............... 530.7 1,554.0 1,516.0 19,980 9,040 PL 78-534.
FRC............. 247.8 1,516.0 1,440.0 9,040 0 SD 191-78, SD
247-78.
Yankee Hill Lk & Dam 10....... NE Lancaster.... Cardwell Br of F............... 5.6 1,262.0 1,244.9 475 208 PL 85-500.
Salt Cr.
FCR............. 2.0 1,244.9 1,218.0 208 0 HD 396-84.
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North Atlantic Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Almond Lake................... NY Steuben...... Canacadea Cr.... F............... 14.6 1,300.0 1,255.0 489 124 PL 74-738.
Alvin R. Bush Dam............. PA Clinton...... Kettle Cr....... F............... 73.4 937.0 840.0 1,430 160 FCA Sep 54.
Arkport Dam................... NY Steuben...... Canisteo R...... F............... 8.0 1,304.0 1,218.0 192 0 PL 74-738.
Aylesworth Cr Lk.............. PA Lackawanna... Aylesworth Cr... F............... 1.7 1,150.0 1,108.0 87 7 PL 87-874.
Beltzville Dam & Lk........... PA Carbon, Pohopoco Cr..... F............... 27.0 651.0 628.0 1,411 947 PL 87-874.
Monroe.
FMA............. 39.8 628.0 537.0 947 113 ................
Bloomington Lk................ MD Garret....... North Branch F............... 36.2 1,500.0 1,466.0 1,184 952 PL 87-874.
Potomac R.
FMA............. 92.0 1,466.0 1,255.0 952 42 ................
Blue Marsh Dam & Lk........... PA Lebanon Berks Tulpehocken CR.. F............... 27.1 307.0 290.0 2,159 1,147 PL 87-874.
FMA............. 19.9 290.0 261.0 1,147 323 ................
Cowanesque Lk................. PA Tioga........ Cowanesque R.... F............... 82.0 1,117.0 1,045.0 2,060 410 PL 85-500.
Curwensville Lk............... PA Clearfield... West Branch F............... 114.7 1,228.0 1,162.0 3,020 790 FCA Sep 54.
Susquehanna R.
East Sidney Lk................ NY Delaware..... Ouleout Cr...... F............... 30.2 1,203.0 1,150.0 1,100 210 PL 74-738.
Foster Joseph Sayers Dam...... PA Centre....... Bald Eagle Cr... F............... 70.2 657.0 630.0 3,450 1,730 FCA Sept 54.
Francis E. Walter Dam & Res... PA Carbon, Lehigh R........ F............... 107.8 1,450.0 1,300.0 1,830 80 PL 79-526.
Luzerne, Monroe.
Gathright Dam & Lk Moomaw..... VA Alleghany, Jackson R....... F............... 79.9 1,610.0 1,582.0 3,160 2,530 PL 79-526.
Bath.
AR.............. 60.7 1,582.0 1,554.0 2,530 1,780 ................
[[Page 222]]
General Edgar Jadwin Dam...... PA Wayne........ Dyberry Cr...... F............... 24.5 1,053.0 973.0 659 0 PL 80-858.
Prompton Dam & Res............ PA Wayne........ W Br Lackawaxen F............... 48.5 1,205.0 1,125.0 910 290 PL 80-858.
R.
Raystown Lk................... PA Huntingdon... Raystown Br..... F............... 248.0 812.0 786.0 10,800 8,300 PL 87-874.
FR.............. 514.0 786.0 622.8 8,300 150 ................
Stillwater Lk................. PA Susquehanna.. Lackawanna R.... F............... 11.6 1,621.0 1,572.0 422 83 PL 77-228.
Tioga-Hammond Lakes Hammond... PA Tioga........ Crooked Cr...... F............... 54.2 1,131.0 1,086.0 1,770 680 PL 85-500.
Tioga-Hammond Lakes Tioga..... PA Tioga........ Tioga R......... F............... 52.5 1,131.0 1,081.0 1,630 470 PL 85-500.
Whitney Piont Lk.............. NY Broome....... Otselic R....... F............... 66.5 1,010.0 973.0 3,340 1,200 PL 74-738.
York Indian Rock Dam.......... PA York......... Codorus Cr...... F............... 28.0 435.0 370.0 1,430 0 PL 74-738.
--------------------------------------------------------------------------------------------------------------------------------------------------------
North Central Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Badhill Dam & Res............. ND Barnes....... Sheyenne R...... FM.............. 68.6 1,266.0 1,257.2 5,430 4,430 FCA Dec 44.
Brandon Road L&D.............. IL Will......... Illinois R...... N............... 8.0 539.0 538.0 300 250 PL 71-126.
Cedars L&D.................... WI Outagamie.... Fox R........... N............... 1.8 703.6 698.7 255 140 RHA of 1882,
1885.
Coralville Dam & Res.......... IA Johnson...... Iowa R.......... F............... 439.0 712.0 680.0 24,800 3,580 PL 75-761.
C............... 40.3 680.0 652.0 3,580 0 PL 75-761.
Depree L&D.................... WI Brown........ Fox R........... N............... 9.4 591.0 586.7 926 0 PL 71-126.
Dresden Island L&D............ IL Grundy....... Illinois R...... N............... 1.0 505.0 504.0 1,690 1,550 FCA 1958.
Eau Galle Dam & Res........... WI Pierce....... Eau Galle R..... FCR............. 1.6 940.0 938.5 1,500 1,350 PL 78-534.
Farmdale Dam.................. IL Tazwell...... Farm Cr......... F............... 11.3 616.0 551.0 385 0 PL 78-534.
Fondulac Dam.................. IL Tazwell...... Fondulac Cr..... F............... 2.3 579.0 530.0 97 0 PL 78-534.
Gull Lk Dam & Res............. MN Cass......... Gull R.......... N............... 70.4 1,194.0 1,192.7 13,100 12,700 RHA 1899.
Highway 75 Dam & Res.......... MN Bigstone, Minnesota R..... FC.............. 11.1 952.3 947.3 2,790 910 FCA Oct 65.
Lacqui, Parle.
Homme Dam & Res............... ND Walsh........ Park R.......... FM.............. 3.7 1,080.0 1,074.0 190 176 FCA of 22 Dec
44.
L&D 1......................... MN Hennepin, Mississippi R... N............... 13.0 725.1 722.8 5,800 5,500 RHA 1910.
Ramsey.
L&D 2......................... MN Dakota, Wash. Mississippi R... N............... 8.0 687.2 686.5 11,810 11,000 RHA 1927.
L&D 3......................... MN Goodhue, Mississippi R... N............... 17.8 675.0 674.0 17,950 17,650 RHA 1930.
Pierce.
L&D 4......................... WI Wabasha, Mississippi R... N............... 18.0 667.0 666.5 38,820 36,600 RHA 1930.
Buffalo.
L&D 5......................... MN Winona, Mississippi R... N............... 6.2 660.0 659.5 12,680 12,000 RHA 1930.
Buffalo.
L&D 5A........................ MN Winona, Mississippi R... N............... 7.2 651.0 650.0 7,500 7,000 RHA 1930.
Buffalo.
L&D 6......................... MN Winona....... Mississippi R... N............... 8.4 645.5 644.5 8,870 8,000 RHA 1930.
[[Page 223]]
L&D 7......................... MN Winona....... Mississippi R... N............... 2.6 639.0 639.0 13,440 13,400 RHA 1930.
WI LaCrosse..... ................ ........ ........ ........ ........ ........ ................
L&D 8......................... MN Houston...... Mississippi R... N............... 20.4 631.0 630.0 20,800 20,000 RHA 1930.
WI Vernon....... ................ ........ ........ ........ ........ ........ ................
L&D 9......................... WI Crawford..... Mississippi R... N............... 28.7 620.0 619.0 29,125 28,300 RHA 1930.
IA Allamakee.... ................ ........ ........ ........ ........ ........ ................
L&D 10........................ IA Clayton...... Mississippi R... N............... 16.8 611.0 610.0 17,070 16,500 RHA 1930.
WI Grant........ ................ ........ ........ ........ ........ ........
L&D 11........................ IA Dubuque...... Mississippi R... N............... 19.1 603.1 602.0 21,100 20,000 PL 71-520.
L&D 12........................ IA Jackson...... Mississippi R... N............... 12.2 592.1 591.0 13,000 12,400 PL 71-520.
L&D 13........................ IL Whiteside.... Mississippi R... N............... 24.2 583.1 582.0 30,000 28,500 PL 71-520.
L&D 14........................ IA Scott........ Mississippi R... N............... 9.0 572.1 571.0 10,500 9,980 PL 71-520.
L&D 15........................ IL Rock Island.. Mississippi R... N............... 5.5 561.1 559.0 3,725 3,540 PL 71-520.
L&D 16........................ IL Rock Island.. Mississippi R... N............... 12.1 545.1 544.0 13,000 12,400 PL 71-520.
L&D 17........................ IL Mercer....... Mississippi R... N............... 7.5 537.1 536.0 7,580 7,200 PL 71-520.
L&D 18........................ IL Henderson.... Mississippi R... N............... 11.0 529.1 528.0 13,300 12,600 PL 71-520.
L&D 19........................ IA Lake......... Mississippi R... N............... 55.0 518.2 517.2 33,500 31,800 PL 71-520.
L&D 20........................ MO Lewis........ Mississippi R... N............... 5.8 481.5 476.5 7,960 7,550 PL 71-520.
L&D 21........................ IL Adams........ Mississippi R... N............... 8.6 470.1 469.6 9,390 8,910 PL 71-520.
L&D 22........................ MO Polke........ Mississippi R... N............... 8.4 459.6 459.1 8,660 8,230 PL 71-520.
Lac qui Parle Dam & Res....... MN Chippewa Minnesota R..... FC.............. 119.3 941.1 931.2 13,500 6,400 FCA of 22 Jun
Swift. 36.
Lagrange L&D.................. IL Brown........ Illinois R...... N............... 0.0 429.0 429.0 10,500 10,500 PL 73-184.
Leech Lake Dam & Res.......... MN Cass......... Leech R......... N............... 300.2 1,295.7 1,293.2 139,000 107,200 RHA of 1882
1895.
Little Kaukauna L&D........... WI Brown........ Fox R........... N............... 3.6 601.0 592.8 447 42.0 RHA of 1882
1885.
Little Chute L&D.............. WI Outagamie.... Fox R........... N............... 0.4 694.2 688.9 74 67 RHA of 1882
1885.
Lockport Lock................. IL Will......... Chicago San Ship FNP............. 2.7 579.0 577.5 1,850 1,800 RHA 1930.
Canal.
Lower Appleton L&D............ WI Outagamie.... Fox R........... N............... 0.2 710.9 706.3 43 40 RHA of 1882
1895.
Marseilles Lk & Dam........... IL LaSalle...... Illinois R...... N............... 0.7 483.0 482.8 1,400 1,320 PL 71-126.
Marsh Lake Dam & Res.......... MN Swift, Minnesota R..... FC.............. 23.9 941.1 937.6 8,650 5,150 FCA Jun 36.
Lacqui, Parle.
Menasha Dam Lk Winnebago...... WI Winnebago.... Fox R........... FN.............. 452.0 746.8 743.5 181,120 168,500 ................
Mount Morris Dam.............. NY Livingston... Genesee R....... F............... 337.4 760.0 585.0 3,300 0 PL 74-738.
O'Brien L&D................... IL Cook......... Calumet......... N............... 0.3 581.9 578.2 50 50 RHA of 1946.
Peoria L&D.................... IL Peoria....... Illinois R...... N............... 0.0 440.0 440.0 27,800 27,800 PL 73-184.
[[Page 224]]
Pine Dam & Res................ MN Crow Wing.... Pine R.......... N............... 40.4 1,230.3 1,227.3 13,900 13,000 RHA of 1899.
Pokegama Dam & Res............ MN Itasca....... Mississippi R... N............... 52.4 1,274.4 1,270.3 13,700 12,000 RHA of 1899.
Rapid Croche L&D.............. WI Outagamie.... Fox R........... N............... 3.4 608.5 602.1 568 0 RHA 1885.
Red Lake Dam & Res............ MN Clearwater... Red Lake R...... FA.............. 1,810.0 1,174.0 1,173.5 288,800 287,300 FCA Dec 44.
Red Rock Dam & Res............ IA Marion....... Des Monies R.... F............... 1,670.0 780.0 728.0 65,400 8,000 PL 75-761.
R............... 72.0 728.0 690.0 8,000 0 PL 75-761.
Reservation Control Res....... MN Traverse..... ................ FC.............. 58.8 981.0 976.0 12,400 10,950 FCA 1936.
SD Roberts......
Sandy Lake Dam & Res.......... MN Aitkin....... Sandy R......... N............... 37.5 1,218.3 1,214.3 10,600 8,200 RHA of 1899.
Saylorville Dam & Res......... IA Polk......... Des Moines R.... F............... 586.0 890.0 836.0 16,700 5,950 FCA 1936.
P............... 90.0 836.0 810.0 5,950 0 FCA.
St Anthony Falls Lwr L&D...... MN Hennepin..... Mississippi R... N............... 0.0 750.0 750.0 50 50 RHA of 1937
1945.
St Anthony Falls Upr L&D...... MN Hennepin..... Mississippi R... N............... 17.4 801.0 799.0 8,800 8,600 RHA of 1937
1945.
Starved Rock L&D.............. IL LaSalle...... Illinois R...... N............... 1.0 459.0 458.0 1,155 1,020 PL 69-100.
Upper Appleton L&D............ WI Outagamie.... Fox R........... N............... 7.4 738.7 735.4 1,171 1,040 RHA of 1882
1885.
Upper Kaukauna L&D............ WI Outagamie.... Fox R........... N............... 1.1 656.8 652.8 134 115 RHA of 1882
1885.
White Rock Dam & Res.......... MN Traverse..... Bois De Souix... FC.............. 78.6 981.0 972.0 10,500 4,000 FCA 1936.
SD Roberts......
Winnibigoshish Dam & Res...... MN Cass Itasca.. Mississippi R... N............... 98.7 1,300.9 1,296.9 98,700 62,000 RHA of 1899.
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New England Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ball Mountain Lk.............. VT Windham...... West R.......... F............... 52.4 1,017.0 830.5 810 20 PL 78-534, 83-
780.
Barre Falls Dam............... MA Worcester.... Ware R.......... F............... 24.0 807.0 761.0 1,400 0 PL 78-228.
Birch Hill Dam................ MA Worcester.... Millers R....... F............... 49.9 852.0 815.0 3,200 0 PL 75-761.
Black Rock Lk................. CT Litchfield... Branch Brook.... F............... 8.5 520.0 437.0 190 21 PL 86-45.
Blackwater Dam................ NH Merrimack.... Blackwater R.... F............... 46.0 566.0 515.0 3,280 0 PL 75-111.
Buffumville Lk................ MA Worcester.... Little R........ F............... 11.3 524.0 492.5 530 200 PL 77-228.
Colebrook River Lk............ CT Litchfield... West Branch..... F............... 50.2 761.0 708.0 1,185 750 PL 86-645.
MA Bekshire..... Farmington R....
Conant Brook Dam.............. MA Hampden...... Conant Brook.... F............... 3.7 757.0 694.0 158 0 PL 86-645.
East Brimfield Lk............. MA Hampden, Quinebaug R..... F............... 29.9 653.0 632.0 2,300 360 PL 77-228.
Worcester.
Edward MacDowell Lk........... NH HIllsboro.... Nubanusit Brook. F............... 12.8 946.0 911.0 840 165 PL 75-111.
[[Page 225]]
Everett Lk.................... NH Hillsboro, Piscataquog R... F............... 91.5 418.0 340.0 2,900 130 PL 75-761.
Merrimack.
Franklin Falls Dam............ NH Belknap, Pemigewasset R.. F............... 150.6 389.0 307.0 2,800 440 PL 75-111.
Merrimack.
Hancock Brook Lk.............. CT Litchfield... Hancock Brook... F............... 3.9 484.0 460.0 266 40 PL 86-645.
Hodges Village Dam............ MA Worcester.... French R........ F............... 13.3 501.0 465.5 740 0 PL 77-228.
Hop Brook Lk.................. CT New Haven.... Hop Brook....... F............... 6.9 364.0 310.0 270 21 PL 86-645.
Hopkinton Lk.................. NH Merrimack.... Contoocook R.... F............... 70.1 416.0 380.0 3,700 220 PL 75-761.
Knightville Dam............... MA Hampshire.... Westfield R..... F............... 49.0 610.0 480.0 960 0 PL 75-761.
Littleville Lk................ MA Hampden, Middle Br, F............... 23.0 576.0 518.0 510 275 PL 85-500.
Hampshire. Westfield R.
Mansfield Hollow Lk........... CT Tolland...... Natchaug R...... F............... 49.2 257.0 205.5 1,880 200 PL 77-228.
New Bedford-Fairhaven Hurr MA Bristol...... ................ F............... 0.0 0.0 0.0 0 0 PL 85-500.
Barrier.
North Hartland Lk............. VT Windsor...... Ottauquechee R.. F............... 68.8 546.5 425.0 1,100 215 PL 75-761.
North Springfield Lk.......... VT Windsor...... Black R......... F............... 50.0 545.5 467.0 1,200 100 PL 75-761.
Northfield Br Lk.............. CT Litchfield... Northfield Br... F............... 2.4 576.0 500.0 67 7 PL 86-645.
Otter Br Lk................... NH Cheshire..... Otter Brook..... F............... 17.6 781.0 701.0 374 70 PL 83-780.
Stamford Hurr Barrier......... CT Fairfield.... ................ F............... 0.0 0.0 0.0 0 0 PL 86-645.
Surry Mountain Lk............. NH Cheshire..... Ashuelot R...... F............... 31.7 550.0 500.0 970 260 PL 75-761.
Thomaston Dam................. CT Litchfield... Naugatuck R..... F............... 42.0 494.0 380.0 960 0 PL 78-534.
Townshend Lk.................. VT Windham...... West R.......... F............... 32.9 553.0 478.0 735 95 PL 78-534, PL 83-
780.
Tully Lk...................... MA Worcester.... East Br Tully R. F............... 20.5 668.0 636.0 1,130 78 PL 75-761.
Union Village Dam............. VT Orange....... Ompompanoosuc R. F............... 38.0 564.0 420.0 740 0 PL 74-738.
West Hill Dam................. MA Worcester.... West R.......... F............... 12.4 264.0 234.0 1,025 0 PL 78-534.
West Thomspon................. CT Windham...... Quinebaug R..... F............... 25.6 342.5 305.0 1,250 200 PL 86-645.
Westville Lake................ MA Worcester.... Quinebaug R..... F............... 11.0 572.0 525.0 913 23 PL 77-228.
--------------------------------------------------------------------------------------------------------------------------------------------------------
North Pacific Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Albeni Falls Dam, Lk Pend, ID Bonner....... Pend Oreille R.. FNP............. 1,155.0 2,062.5 2,049.7 95,000 86,000 PL 81-516.
Oreille.
Applegate Lk.................. OR Jackson...... Applegate R..... FIR............. 75.2 1,987.0 1,854.0 988 221 FCA 1962, PL 87-
874, PL 87-874.
Big Cliff Dam................. OR Marion, Linn. N Santiam R..... P............... 3.5 1,206.0 1,182.0 130 98 HD 544, PL 75-
761, PL 87-874.
[[Page 226]]
Blue River Lk................. OR Lane......... Blue R.......... F............... 6.5 1,357.0 1,350.0 975 940 HD 531.
FNI............. 78.8 1,350.0 1,180.0 940 133 PL 81-516.
Bonneville L&D Lk............. WA Skamania..... Columbia R...... NP.............. 138.0 77.0 70.0 20,800 19,850 RHA 1935.
Chena River Lakes............. AK North Star Chena R......... F............... 34.0 506.7 490.0 5,400 400 PL 90-483.
Burough.
Chief Joseph Dam Rufus Woods WA Douglas, Columbia R...... P............... 192.3 956.0 930.0 8,400 6,800 HD 693, PL 79-
Lk. Okanogan. 525.
Cottage Grove Lk.............. OR Lane......... Coast Fk, F............... 29.8 791.0 750.0 1,155 295 HD 544, PL 75-
Willamete R. 761.
Cougar Lk..................... OR Lane......... South Fk........ F............... 11.3 1,699.0 1,690.0 1,280 1,235 HD 531.
FNPI............ 143.9 1,690.0 1,532.0 1,235 635 PL 81-516.
P............... 9.9 1,532.0 1,516.0 635 602 PL 83-870.
Detroit Lk.................... OR Marion....... North Santiam... F............... 19.1 1,569.0 1,563.0 3,490 3,455 HD 544, PL 75-
761.
FNPI............ 281.6 1,563.5 1,450.0 3,455 1,725 ................
P............... 40.3 1,450.0 1,425.0 1,725 1,415 ................
Dexter Dam.................... OR Lane......... Middle Fk, FNPI............ 4.8 695.0 690.0 990 940 HD 544, PL 75-
Willamette R. 761.
Dorena Lk..................... OR Lane......... Cow R........... F............... 5.5 835.0 832.0 1,885 1,815 HD 544.
FNI............. 65.0 832.0 770.5 1,815 520 PL 75-761.
Dworshak Dam and Res.......... ID Clearwater... North Fk, FNP............. 2,016.0 1,600.0 1,445.0 17,090 9,050 HD 403, PL 87-
Clearwater R. 874.
Fall Cr Dam and Lk............ OR Lane......... Fall Cr......... F............... 7.5 834.0 830.0 1,865 1,760 HD 531.
FNI............. 107.5 830.0 728.0 1,760 460 PL 81-516
Fern Ridge Lk................. OR Lane......... Long Tom R...... F............... 15.7 375.1 373.5 10,305 9,340 HD 544.
FNI............. 93.9 373.5 353.0 9,340 1,515 PL 75-761
Foster Lake................... OR Linn......... South Santiam R. F............... 4.9 641.0 637.0 1,260 1,195 HD 544
FNPI............ 24.9 637.0 613.0 1,195 895 PL 86-645
Green Peter Lk................ OR Linn......... Middle Fk, F............... 18.3 1,015.0 1,010.0 3,705 3,605 HD 531.
Santiam R.
FNPI............ 249.9 1,010.0 992.0 3,605 2,072 PL 81-516, PL 83-
780.
Hills Creek Lk................ OR Lane......... Middle Fk, F............... 5.6 1,543.0 1,541.0 2,850 2,710 HD 531.
Willamette R.
FNPI............ 194.6 1,541.0 1,448.0 2,710 1,575 PL 81-516.
Howard Hanson Dam............. WA King......... Green R......... F............... 80.0 1,206.0 1,141.0 1,750 763 HD 531.
FA.............. 25.6 1,141.0 1,040.0 763 13 PL 81-516.
Ice Harbor Dam Lk Sacajawea... WA Walla, Walla, Snake R......... NP.............. 24.9 440.0 437.0 8,370 8,210 HD 704, PL 79-
Franklin. 14.
John Day Dam Lk Umatilla...... OR Sherman...... Columbia R...... F............... 158.0 268.0 265.0 55,000 52,000 HD 531.
FNP............. 150.0 265.0 262.0 52,000 49,000 PL 81-516.
F............... 192.0 262.0 257.0 49,000 42,000 ................
Libby Dam Lk Koocanusa........ MT Lincoln...... Kootenai R...... FP.............. 4,979.5 2,459.0 2,287.0 46,365 14,391 HD 531, PL 81-
516.
Little Goose L&D Lk Bryan..... WA Columbia, Snake R......... PN.............. 49.0 638.0 633.0 10,030 9,620 HD 704, PL 79-
Whitman. 14.
Lookout Point Lk.............. OR Lane......... Middle Fk, P............... 12.2 825.0 819.0 2,090 1,860 HD 544.
Willamette R.
FNPI............ 324.2 926.0 825.0 4,255 2,090 PL 75-761.
Lost Creek Lk................. OR Jackson...... Rogue R......... FPIR............ 315.0 1,872.0 1,751.0 3,430 1,800 HD 566, PL 87-
874.
[[Page 227]]
Lower Granite L&D............. WA Garfield, Snake R......... NPI............. 43.6 738.0 733.0 8,900 8,540 HD 704, PL 79-
Whitman. 14.
Lucky Peak Dam and Lk......... ID Ada.......... Boise R......... F............... 13.9 3,060.0 3,055.0 2,817 2,745 PL 79-526.
FI.............. 264.4 3,055.0 2,905.0 2,817 802 ................
Lwr Monumental L&D Lk HG West. WA Walla, Walla, Snake R......... NP.............. 20.0 540.0 537.0 6,700 6,550 HD 704, PL 79-
Franklin. 14.
McNary L&D, Dam Lk Wallula.... WA Benton....... Columbia R...... NP.............. 185.0 340.0 335.0 38,800 36,000 HD 704, PL 79-
14.
OR Umatilla..... ................ ................ ........ ........ ........ ........ ........ ................
Mill Creek Dam Lk............. WA Walla, Walla. Mill Cr......... F............... 7.5 1,265.0 1,205.0 225 53 HD 578, PL 75-
761.
Mud Mountain Dam.............. WA King, Pierce. White R......... F............... 106.3 1,215.0 895.0 963 0 PL 74-738.
The Dalles L&D Lk Celilo...... WA Klickitat.... Columbia R...... NP.............. 52.5 160.0 155.0 11,200 10,350 HD 531, PL 81-
516.
OR Wasco........ ................ ................ ........ ........ ........ ........ ........ ................
Willow Creek Lk............... OR Morrow....... Willow Cr....... F............... 11.6 2,113.5 2,047.0 269 96 PL 89-298.
Wynoochee Dam and Lk.......... WA Grays, Harbor Wynoochee R..... FMCA............ 65.4 800.0 700.0 1,170 193 HD 601, PL 93-
251.
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Ohio River Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Allegheny L&D 2............... PA Allegheny.... Allegheny R..... N............... 0.0 721.0 710.0 0 0 RHA 1935.
Allegheny L&D 3............... PA Allegheny.... Allegheny R..... N............... 0.0 734.5 721.0 0 0 RHA 1935.
Allegheny L&D 4............... PA Allegheny Allegheny R..... N............... 0.0 745.0 734.5 0 0 RHA 1912.
Westmoreland.
Allegheny L&D 5............... PA Armstrong.... Allegheny R..... N............... 0.0 756.8 745.0 0 0 RHA 1912
Allegheny L&D 6............... PA Armstrong.... Allegheny R..... N............... 0.0 769.0 756.8 0 0 RHA 1912.
Allegheny L&D 7............... PA Armstrong.... Allegheny R..... N............... 0.0 782.1 769.0 0 0 RHA 1912.
Allegheny L&D 8............... PA Armstrong.... Allegheny R..... N............... 0.0 800.0 782.1 0 0 RHA 1912, 1935.
Allegheny L&D 9............... PA Armstrong.... Allegheny R..... N............... 0.0 822.0 800.0 0 0 RHA 1935.
Allegheny Res Kinzua Dam...... PA Warren....... Allegheny R..... F............... 607.0 1,365.0 1,328.0 21,180 12,080 PL 74-738.
FPCAR........... 549.0 1,328.0 1,240.0 12,080 1,900 ................
Alum Cr Lk.................... OH Delaware..... Alum Cr......... F............... 53.1 901.0 888.0 4,852 3,387 PL 87-874.
FMCR............ 79.2 888.0 885.0 3,387 3,105 ................
Atwood Lk..................... OH Tuscarawas... Indian Fk Cr.... F............... 26.1 941.0 928.0 2,460 1,540 PW 1933.
FCR............. 7.6 928.0 922.5 1,540 1,250 ................
Barkley Dam Lk Barkley........ Ky Lyon, Livgst. Cumberland R.... F............... 1,213.0 375.0 359.0 93,430 57,920 PL 79-525.
FP.............. 259.0 359.0 354.0 57,920 45,210 ................
N............... 610.0 354.0 233.0 45,210 0 ................
Barren River Lk............... KY Allen, Barren Barren R........ F............... 558.8 590.0 552.0 20,150 10,000 PL 75-261.
FMR............. 190.3 552.0 525.0 10,000 4,340 ................
Beach City Lk................. OH Tuscarawas... Sugar Cr........ F............... 69.9 976.5 948.0 6,150 420 PW 1933.
FCR............. 0.0 0.0 0.0 0 420 ................
Beech Fk Lk................... WV Wayne........ Beech Fk Cr..... F............... 28.3 614.5 592.0 1,847 725 PL 87-874.
FCR............. 5.0 592.0 583.5 725 460 ................
[[Page 228]]
Belleville L&D................ WV Wood......... Ohio R.......... N............... 0.0 582.0 560.0 0 0 RHA 1909.
OH Meigs........ ................ ................ ........ ........ ........ ........ ........ ................
Berlin Lk..................... OH Mahoning, Mahoning R...... F............... 38.3 1,032.0 1,024.7 5,500 3,590 PL 75-761.
Portage.
FMCAR........... 56.6 1,024.7 1,016.5 3,590 2,200 ................
Bluestone Lk.................. WV Summers...... New R........... F............... 592.6 1,520.0 1,410.0 9,180 2,040 PL 74-738.
FCR............. 7.5 1,410.0 1,406.0 2,040 1,800 PL 75-761.
Bolivar Dam................... OH Stark, Sandy Cr........ F............... 149.6 962.0 895.0 6,500 0 PW 1933.
Tuscarawas.
Brookville Lk................. IN Franklin..... E Fork of FMR............. 128.4 748.0 713.0 5,260 2,430 PL 75-761.
Whitewater R.
Buckhorn Lk................... KY Leslie....... Middle Fk of F............... 135.8 840.0 782.0 3,610 1,230 PL 75-761.
Kentucky R.
FR.............. 21.8 782.0 757.0 1,230 550 ................
Burnsville Lk................. WV Braxton...... L Kanawha R..... F............... 51.5 825.0 789.0 1,902 965 PL 75-761.
FCAR............ 10.2 789.0 776.0 965 553 ................
CJ Brown Dam & Res............ OH Clark........ Buck Cr......... F............... 26.8 1,023.0 1,012.0 2,720 2,120 PL 87-874.
CM Harden Lk.................. IN Parke........ Raccoon Cr...... F............... 83.5 690.0 661.0 3,910 2,060 PL 75-761
FAR............. 33.1 661.0 640.0 2,060 1,100 ................
Caesar Cr Lk.................. OH Warren....... Caesar Cr....... F............... 140.2 883.0 849.0 6,110 2,830 PL 75-761.
FMAR............ 88.7 849.0 800.0 2,830 700 ................
Cagles Mill Lk................ IN Putman....... Mill Cr......... F............... 201.0 704.0 636.0 4,840 1,400 PL 75-761.
Cannelton L&D................. KY Hancock...... Ohio R.......... N............... 0.0 383.0 358.0 0 0 RHA 1909
IN Perry........ ................ ................ ........ ........ ........ ........ ........ ................
Carr Fk Lk.................... KY Knott........ Carr Cr......... F............... 25.1 1,055.0 1027.0 1,120 710 PL 87-874.
FAR............. 10.8 1,027.0 1009.0 710 530 ................
Cave Run Lk................... KY Rowan........ Licking R....... F............... 391.5 765.0 730.0 14,870 8,270 PL 74-738
FAR............. 75.3 730.0 720.0 8,270 6,790 ................
Center Hill Lk................ TN Dekalb....... Caney FK........ F............... 762.0 685.0 648.0 23,060 18,220 PL 75-761.
P............... 492.0 648.0 618.0 18,220 14,590 ................
Charles Mill Lk............... OH Ashland...... Black Fk........ F............... 80.6 1,020.0 997.0 6,050 1,350 PW 1933.
FCR............. 4.5 997.0 993.0 1,350 827 ................
Cheatham L&D.................. TN Cheatham..... Cumberland R.... P............... 19.8 385.0 382.0 7,450 5,630 RHA 1946, PL
396.
N............... 84.2 382.0 345.0 5,630 0 PL 396.
Clendening Lk................. OH Harrison..... Brush Fk........ F............... 27.5 910.5 898.0 2,620 1,800 PW 1933.
FCR............. 8.0 898.0 893.0 1,800 1,430 ................
Conemaugh River Lk............ PA Indiana, Conemaugh R..... F............... 270.0 975.0 880.0 6,820 300 PL 74-738, PL 75-
Westmoreland. 761.
Cordell Hull Dam & Res........ TN Smith........ Cumberland R.... PR.............. 17.8 504.5 499.0 12,200 9,820 RHA 1946.
NR.............. 0.0 499.0 424.0 9,820 0 ................
Crooked Cr Lk................. PA Armstrong.... Crooked Cr...... F............... 89.4 920.0 840.0 1,940 350 PL 74-738, PL 75-
761.
Dale Hollow Lk................ TN Clay......... Obey R.......... F............... 353.0 663.0 651.0 30,990 27,700 PL 75-761.
P............... 496.0 651.0 631.0 27,700 21,880 ................
Dashields L&D................. PA Allegheny.... Ohio R.......... N............... 0.0 692.0 682.0 0 0 RHA 1909.
Deer Cr Lk.................... OH Pickaway..... Deer Cr......... F............... 81.5 844.0 810.0 4,046 1,277 PL 75-761.
FCR............. 14.6 810.0 796.0 1,277 727 ................
Delaware Lk................... OH Delaware..... Olentangy R..... F............... 118.0 947.0 915.0 8,550 1,270 PL 75-761
FCAR............ 5.6 915.0 910.0 1,270 950 ................
Dewey Lk...................... KY Floyd........ Johns Cr........ F............... 76.1 686.0 650.0 3,340 1,100 PL 75-761
[[Page 229]]
FCR............. 4.9 650.0 645.0 1,100 880 ................
Dillon Lk..................... OH Muskingum.... Licking R....... F............... 256.5 790.0 737.0 10,280 1,560 PL 75-761.
FCR............. 4.4 737.0 734.0 1,560 1,330 ................
Dover Dam..................... OH Tuscarawas... Tuscarawas R.... F............... 203.0 916.0 858.0 10,100 0 PW 1933.
E Br Clarion River Lake....... PA Elk.......... E Br Clarion R.. F............... 19.0 1,685.0 1,670.0 1,370 1,160 PL 78-526.
FCAR............ 19.8 1,670.0 1,651.0 1,160 920 ................
E Fk Res Wm H Harsha Lk....... OH Clermont..... E Fk Little F............... 202.2 795.0 733.0 4,600 2,160 PL 75-761.
Miami R.
FMCAR........... 73.6 733.0 683.0 2,160 820 ................
East Lynn Lk.................. WV Wayne........ E Fk Twelvepole. F............... 65.3 701.0 662.0 2,351 1,005 PL 75-761.
FCR............. 5.5 662.0 656.0 1,005 823 ................
Emsworth L&D.................. PA Allegheny.... Ohio R.......... N............... 0.0 710.0 692.0 0 0 RHA 1909.
Fishtrap Lk................... KY Pike......... Levisa Fk....... F............... 126.7 825.0 757.0 2,681 1,131 PL 75-761.
FCAR............ 27.2 757.0 725.0 1,131 569 ................
Gallipolis L&D................ WV Mason........ Ohio R.......... N............... 0.0 538.0 515.0 0 0 RHA 1935.
OH Gallia....... ................ ................ ........ ........ ........ ........ ........ ................
Grayson Lk.................... KY Carter....... L Sandy R....... F............... 89.6 681.0 645.0 3,633 1,509 PL 86-645.
FCAR............ 10.7 645.0 637.0 1,509 1,159 ................
Green R L&D 1................. KY Henderson.... Green R......... N............... 0.0 349.1 337.3 0 0 RHA 1888.
Green R L&D 2................. KY McLean....... Green R......... N............... 0.0 363.4 349.1 0 0 RHA 1888.
Green River Lk................ KY Taylor....... Green R......... F............... 479.1 713.0 675.0 19,100 8,210 PL 75-761.
FAR............. 81.5 675.0 664.0 8,210 6,650 ................
Greenup L&D 3................. KY Greenup...... Ohio R.......... N............... 0.0 515.0 485.0 0 0 RHA 1909.
OH Scioto....... ................ ................ ........ ........ ........ ........ ........
Hannibal L&D.................. WV Wetzel....... Ohio R.......... N............... 0.0 623.0 602.0 0 0 RHA 1909.
OH Monroe....... ................ ................ ........ ........ ........ ........ ........ ................
Hildebrand L&D................ WV Monongalia... Monongahela..... N............... 0.0 835.0 814.0 0 0 RHA 1950.
Huntington Lk................. IN Hunt......... Wabash R........ F............... 140.6 798.0 749.0 7,900 900 PL 85-500.
FR.............. 8.4 749.0 737.0 900 500
J Percy Priest Dam & Res...... TN Davidson..... Stones R........ F............... 252.0 504.5 490.5 22,720 14,400 PL 75-761.
FP.............. 15.0 490.5 489.5 14,400 14,000 ................
FPR............. 0.0 489.5 483.0 14,000 11,630 ................
PR.............. 0.0 483.0 480.0 11,630 10,570 ................
JW Flannagan Dam & Res........ VA Dickenson.... Pound R......... F............... 78.6 1,446.0 1,396.0 2,098 1,143 PL 75-761.
FMCR............ 16.5 1,396.0 1,380.0 1,143 310 ................
Kentucky R L&D 1.............. KY Carroll...... Kentucky R...... N............... 0.0 430.0 421.8 0 0 RHA 1879.
Kentucky R L&D 2.............. KY Henry Owen... Kentucky R...... N............... 0.0 444.0 430.0 0 0 RHA 1879.
Kentucky R L&D 3.............. KY Henry Owen... Kentucky R...... N............... 0.0 457.1 444.0 0 0 RHA 1879.
Kentucky R L&D 4.............. KY Franklin..... Kentucky R...... N............... 0.0 470.4 457.1 0 0 RHA 1879.
Laurel River Lk............... KY Laurel, Laurel R........ P............... 185.0 1,018.5 982.0 6,060 4,200 PL 86-645.
Whitley.
R............... 250.6 982.0 760.0 4,200 0 ................
Leesvillie Lake............... OH Carroll...... McGuire Cr...... F............... 17.9 977.5 963.0 1,470 1,000 PW 1933.
FCR............. 5.5 963.0 957.0 1,000 829 ................
London L&D.................... WV Kanawha...... Kanawha R....... N............... 0.0 614.0 590.0 0 0 RHA 1930.
Loyalhanna Lk................. PA Westmoreland. Loyalhanna Cr... F............... 93.3 975.0 910.0 3,280 210 PL 74-738.
FC.............. 0.0 0.0 0.0 0 0 PL 75-761.
[[Page 230]]
M J Kirwan Dam & Res.......... OH Portage...... W. Br Mahoning R F............... 22.0 993.0 985.5 3,240 2,650 PL-74-738
FCAR............ 52.9 985.5 951.0 2,650 570 PL 75-761.
Mahoning Cr Lk................ PA Armstrong.... Mahoning Cr..... F............... 64.7 1,162.0 1,098.0 2,370 280 PL 74-738.
FRC............. 5.1 1,098.0 1,075.0 280 170 PL 75-761.
Markland L&D.................. IN Switzerland.. Ohio R.......... N............... 0.0 455.0 420.0 0 0 RHA 1909
KY Gallatin..... ................ ........ ........ ........ ........ ........ ................
Marmet L&D.................... WV Kanawha R.... Kanawha......... N............... 0.0 590.0 566.0 0 0 RHA 1930.
Martins Fk Lk................. KY Harlan....... Martins Fk of F............... 14.3 1,341.0 1,310.0 578 340 PL 89-298.
Clover R.
FAR............. 3.1 1,310.0 1,300.0 340 274 ................
R............... 3.7 1,300.0 1,265.0 274 0 ................
Maxwell L&D................... PA Fayette Monongahela R... N............... 0.0 763.0 743.5 0 0 RHA 1909.
Washington.
McAlpine L&D.................. KY Jefferson.... Ohio R.......... N............... 0.0 420.0 383.0 0 0 RHA 1909.
IN Clark........ ................ ........ ........ ........ ........ ........ ................
Meldahl L&D................... KY Bracken...... Ohio R.......... N............... 0.0 485.0 455.0 0 0 RHA 1909.
OH Clermont..... ................ ........ ........ ........ ........ ........ ................
Mississinewa Lk............... IN Miami........ MIssissinewa R.. F............... 293.2 779.0 737.0 12,830 3,180 PL 85-500.
FR.............. 51.9 737.0 712.0 3,180 1,280 .
Mohawk Dam.................... OH Coshocton.... Walhonding R.... F............... 285.0 890.0 799.2 7,950 0 PW 1933.
Mohicanville Dam.............. OH Ashland...... Lk Fork......... F............... 102.0 963.0 932.0 8,800 0 PW 1933.
Monongahela R L&D 2........... PA Allegheny.... Monongahela R... N............... 0.0 718.7 710.0 0 0 RHA 1902.
Monongahela R L&D 3........... PA Allegheny.... Monongahela R... N............... 0.0 726.9 718.7 0 0 RHA 1905.
Monongahela R L&R 4........... PA Washington Monongahela R... N............... 0.0 743.5 726.9 0 0 RHA 1909.
Westmoreland.
Monongahela R L&D 7........... PA Greene, Monongahela R... N............... 0.0 778.0 763.0 0 0 RHA 1922.
Fayette.
Monongahela R L&D 8........... PA Greene, Monongahela R... N............... 0.0 797.0 778.0 0 0 RHA 1922, 1950,
Fayette. 1973.
Monroe Lk..................... IN Monroe....... Salt Cr......... F............... 258.8 556.0 538.0 18,450 10,750 FCA 1958.
FMA............. 159.9 538.0 515.0 10,750 3,280 .
Montgomery Island L&D......... PA Beaver....... Ohio R.......... N............... 0.0 682.0 664.5 0 0 RHA 1909.
Morgantown L&D................ WV Monongalia N............... 0.0............. 814.0 797.0 0 0 RHA
Monongahela R. 1909.
Mosquito Cr Lk................ OH Trumbull..... Mosquito Cr..... F............... 21.7 904.0 901.4 8,900 7,850 PL 75-761.
FMCAR........... 80.4 901.4 899.9 7,850 7,220 ................
N Br Kokosing River Lk........ OH Knox......... North Br of F............... 13.9 1,146.0 1,121.0 1,140 154 PL 87-874.
Kokosing R.
N Fk Pound Lk................. VA Wise......... N Fk Pound R.... F............... 8.0 1,644.0 1,611.0 349 154 PL 86-645.
FMCR............ 1.3 1,611.0 1,601.0 154 106 .
New Cumberland L&D............ WV Hancock...... Ohio R.......... N............... 0.0 664.5 644.0 0 0 RHA 1909.
OH Jefferson.... ................ ........ ........ ........ ........ ........ ................
[[Page 231]]
Newburgh L&D.................. KY Henderson.... Ohio R.......... N............... 0.0 358.0 342.0 0 0 RHA 1909.
IN Warrick...... ................ ........ ........ ........ ........ ........ ................
Nolin Lk...................... KY Edmonson..... Nolin R......... F............... 439.2 560.0 515.0 14,530 5,790 PL 75-761.
FR.............. 106.4 515.0 490.0 5,790 2,890 ................
Ohio R L&D 52................. KY McCracken.... Ohio R.......... N............... 0.0 302.0 290.0 0 0 RHA 1909, 1910,
1918.
IL Massac....... ................ ........ ........ ........ ........ ........ ................
Ohio R L&D 53................. KY Ballard...... Ohio R.......... N............... 0.0 290.0 276.6 0 0 RHA 1909, 1910,
1918.
IL Pulaski...... ................ ........ ........ ........ ........ ........ ................
Old Hickory L&D............... TN Davidson Cumberland R.... P............... 63.0 445.0 442.0 22,500 19,550 RHA 1946.
Sumner.
N............... 357.0 442.0 375.0 19,550 0 ................
Opekiska L&D.................. WV Monongahela.. Monongahela R... N............... 0.0 857.0 835.0 0 0 RHA 1950.
Paint Cr Lk................... OH Ross, Paint Cr........ F............... 124.7 845.0 798.0 4,761 1,190 PL 75-761.
Highland.
FMCAR........... 11.4 798.0 787.5 1,190 770 ................
Paintsville Lk................ KY Johnson...... Paint Cr........ F............... 32.8 731.0 709.0 1,867 1,139 PL 89-298.
FCAR............ 36.3 709.0 650.0 1,139 261 ................
Patoka Lk..................... IN DuBois....... Patoka R........ F............... 121.1 548.0 536.0 11,300 8,880 PL 89-298.
FMCAR........... 167.3 536.0 506.0 8,880 2,010 ................
Piedmont Lk................... OH Harrison..... Stillwater Cr... F............... 32.2 924.6 913.0 3,170 2,310 PW 1933.
FCR............. 8.6 913.0 909.0 2,310 1,987 ................
Pike Island L&D............... WV Ohio......... Ohio R.......... N............... 0.0 644.0 623.0 0 0 RHA 1909.
OH Belmont...... ................ ........ ........ ........ ........ ........ ................
Pleasant Hill Lk.............. OH Ashland...... Clear Fk........ F............... 74.2 1,065.0 1,020.0 2,600 850 PW 1933.
FCR............. 5.5 1,020.0 1,012.5 850 627 ................
R D Bailey Lk................. WV Mingo, Guyandot R...... F............... 169.5 1,155.0 1,035.0 2,850 630 PL 87-874.
Wyoming.
FCAR............ 12.2 1,035.0 1,012.0 630 440 ................
Racine L&D.................... WV Mason........ Ohio R.......... N............... 0.0 560.0 538.0 0 0 RHA 1909.
OH Meigs........ ................ ........ ........ ........ ........ ........ ................
Rough River Lk................ Grayson, Rough R......... F............... 214.4 524.0 495.0 10,260 5,100 PL 75-761.
Breckinridge.
Ridge........... FMR............. 90.2 495.0 470.0 5,100 2,180 ................
Salamonie Lk.................. IN Wabash....... Salamonie R..... F............... 202.9 793.0 755.0 9,340 2,860 PL 85-500.
FR.............. 47.6 755.0 730.0 2,860 976 ................
Senecaville Lk................ OH Guernsey..... Seneca Fk....... F............... 45.1 842.5 832.2 5,170 3,550 PW 1933.
FCR............. 12.8 832.2 828.2 3,550 2,912 ................
Shenango River Lk............. PA Mercer....... Shenango R...... F............... 151.0 919.0 896.0 11,090 3,560 PL 75-761.
FCAR............ 29.9 896.0 885.0 3,560 1,910 ................
Smithland L&D................. KY Livingston... Ohio R.......... N............... 0.0 324.0 302.0 0 0 RHA 1909.
IL Pope......... ................ ........ ........ ........ ........ ........ ................
Summersville Lk............... WV Nicholas..... Gauley R........ F............... 221.9 1,710.0 1,1652.0 4,913 2,790 PL 75-761.
FRCA............ 161.8 1,652.0 1,535.0 2,790 514 ................
Sutton Lk..................... WV Braxton...... Elk R........... FCAR............ 60.0 925.0 850.0 1,520 270 PL 75-761.
Tappan Lk..................... OH Harrison..... L Stillwater Cr. F............... 26.5 909.0 899.3 3,100 2,350 PW 1933.
FCR............. 11.4 899.3 894.0 2,350 1,960 ................
Tionesta Lk................... PA Forest....... Tionesta Cr..... F............... 125.6 1,170.0 1,085.0 2,770 480 PL 74-738. PL 75-
761.
[[Page 232]]
Tom Jenkins Dam, Burr Oak, Lk. OH Athens....... E Br Sandy Cr... F............... 17.6 740.0 721.0 1,192 664 FCA 1944.
FRM............. 5.8 721.0 710.0 664 394 PL 78-534.
Tygart Lake................... WV Taylor....... Tygart R........ F............... 178.1 1,167.0 1,094.0 3,430 1,740 PWA 1934.
FMACR........... 99.9 1,094.0 1,010.0 1,740 620 ................
Union City Res................ PA Erie......... French Cr....... F............... 47.6 1,278.0 1,210.0 2,290 0 PL 87-874.
Uniontown L&D................. KY Union........ Ohio R.......... N............... 0.0 342.0 324.0 0 0 RHA 1909.
IN Posey........ ................ ........ ........ ........ ........ ........ ................
W FK of Mill Cr Winton Woods OH Hamilton..... W Fk Mill Cr.... F............... 9.8 702.0 675.0 557 183 PL 79-526.
Lk.
Willow Island L&D............. WV Pleasants.... Ohio R.......... N............... 0.0 602.0 582.0 0 0 RHA 1909.
OH Washington... ................ ........ ........ ........ ........ ........ ................
Wills Cr Lk................... OH Coshockton F............... 190.0 779.0 742.0 11,450 900 PW 1933.
Wills Cr,
Muskingum.
CR.............. 0.0 0.0 0.0 0 0 ................
Winfield L&D.................. WV Putnam....... Kanawha R....... N............... 0.0 566.0 538.0 0 0 RHA 1935.
Wolf Cr Dam, Lk Cumberland.... KY Russell...... Cumberland R.... P............... 2,142.0 723.0 673.0 50,250 35,820 ................
F............... 2,094.0 760.0 723.0 63,530 50,250 PL 75-761.
Woodcock Cr Lk................ PA Crawford..... Woodcock Cr..... F............... 15.0 1,209.0 1,181.0 775 325 FCA 1962.
FCAR............ 5.0 1,181.0 1,162.5 325 100 ................
Youghiogheny R Lk............. PA Fayette...... Youghiogheny R.. F............... 99.5 1,470.0 1,439.0 3,570 2,840 FCA 1938.
FCAR............ 149.3 1,439.0 1,419.0 2,840 2,300 ................
--------------------------------------------------------------------------------------------------------------------------------------------------------
South Atlantic Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Aberdeen L&D and Res......... MS Monroe....... Tombigbee R..... N............... 3.9 190.5 189.5 4,359 3,883 PL 79-525.
Aliceville Lock Dam & Res..... AL Pickens...... Tombigbee R..... N............... 7.6 136.5 135.5 8,655 7,945 PL 79-525.
Allatoona Dam & Res........... GA Bartow....... Etowah R........ F............... 302.6 860.0 840.0 19,201 11,862 PL 77-228.
PMAR............ 284.6 840.0 800.0 11,862 3,251 ................
B Everett Jordan Dam & Lk..... NC Chatham...... Haw R........... F............... 538.4 240.0 216.0 31,811 13,942 PL 88-253.
FMCAR........... 140.4 216.0 202.0 13,942 6,658 ................
Bay Springs Lock Dam & Res.... MS Tishomingo... Tombigbee R..... N............... 37.0 414.0 408.0 6,700 5,740 PL 79-525.
Buford Dam Lk, Sidney Lanier.. GA Forsyth, Chattahoochee R. F............... 598.8 1,085.0 1,071.0 47,182 38,542 PL 79-14.
Gwinnett. PNMR............ 1,087.6 1,071.0 1,035.0 38,542 22,442
Carters Dam & Res............. GA Murray....... Coosawattee R... F............... 89.2 1,099.0 1,074.0 3,880 3,275 PL 79-14.
PRA............. 41.4 1,074.0 1,022.0 3,275 2,196 ................
Claiborne Lock Dam & Res...... AL Monroe....... Alabama R....... N............... 16.6 35.0 32.0 5,930 5,210 PL 79-14.
Clarks Hill Dam & Lk.......... GA Columbia..... Savannah R...... F............... 390.0 335.0 330.0 78,500 71,100 PL 78-534.
SC McCormick.... ................ FP.............. 1,045.0 330.0 312.0 71,100 45,000 ................
Coffeeville Lock Dam & Res.... AL Clark, Tombigbee R..... N............... 19.9 32.5 30.0 8,500 7,500 PL 60-317.
Choctaw.
Columbus Lock Dam & Res....... MS Lowndes...... Tombigbee R..... N............... 8.5 163.5 162.5 9,400 8,500 PL 79-525.
Demopolis Lock Dam & Res...... AL Sumter, Tombigbee R..... N............... 0.0 73.0 73.0 10,000 10,000 PL 60-317.
Marengo.
[[Page 233]]
Falls Dam & Lk................ NC Wake......... Neuse R......... F............... 220.9 264.0 250.1 20,810 11,310 PL 89-298.
FMCAR........... 89.7 250.1 236.5 11,310 2,600 ................
G W Andrews L&D and Res....... AL Houston...... Chattahoochee R. N............... 8.2 102.0 96.0 1,540 1,190 PL 79-14.
GA Early........ ................ ................ ........ ........ ........ ........ ........ ................
Gainesville L&D and Res....... AL Sumter, Tombigbee R..... N............... 5.8 109.5 108.5 6,920 5,900 PL 79-525.
Greene.
Hartwell Dam & Lk............. GA Hart......... Savannah R...... F............... 293.0 665.0 660.0 61,400 55,950 PL 81-516.
SC Anderson..... ................ FP.............. 1,416.0 660.0 625.0 55,950 27,650 ................
Holt Lock Dam & Res........... AL Tuscaloosa... Black-Warrior R. NP.............. 3.3 187.0 186.0 3,296 3,252 PL 60-317.
Inglis Dam Lk Rousseau........ FL Levy, Marion, Cross FL Barge N............... 13.0 27.5 24.0 4,030 2,040 PL 77-675.
Citrus. Canal.
Jim Woodruf L&D............... FL Gadsden, Apalachicola R.. NP.............. 20.0 77.5 76.5 38,850 36,000 PL 79-14.
Jackson.
John H Kerr Dam & Res......... VA Mecklenburg.. Roanoke R....... F............... 1,281.4 320.0 300.0 83,200 48,900 PL 78-534.
FP.............. 1,027.0 300.0 268.0 48,900 19,700 ................
John Hollis Bankhead L&D and AL Tuscaloosa... Black-Warrior R. NP.............. 27.1 255.0 252.0 9,245 8,730 PL 60-168.
Res.
Lk Okeechobee................. FL Okeechobee, Central and FNIMC........... 2,859.0 17.5 10.5 454,900 326,000 PL 71-520, PL 75-
Glades, Hendry, Southern FL. 392, PL 79-14,
Palm Beach, PL 80-858, PL
Martin. 83-780, PL 90.
Lock A........................ MS Monroe....... Tombigbee R..... N............... 0.9 220.5 219.5 980 850 PL 79-525.
Lock B........................ MS Monroe....... Tombigbee R..... N............... 2.7 245.5 244.5 2,841 2,615 PL 79-525.
Lock C........................ MS Itawamba..... Tombigbee R..... N............... 1.6 270.5 269.5 1,699 1,586 PL 79-525.
Lock D........................ MS Itawamba..... Tombigbee R..... N............... 2.0 300.5 299.5 2,021 1,959 PL 79-525.
Lock E........................ MS Itawamba, Tombigbee R..... N............... 0.9 330.5 329.5 889 821 PL 79-525.
Prentiss.
Millers Ferry L&D............. AL Wilcox....... Alabama R....... NP.............. 16.7 80.0 79.0 17,201 16,160 PL 79-14.
Okatibbee Dam & Res........... MS Lauderdale... Okatibbee Cr.... F............... 46.5 352.0 343.0 6,580 3,800 PL 87-874.
Chickasawbay R.. RMA............. 34.3 343.0 328.0 3,800 1,275 ................
Philpott Dam & Lk............. VA Henry........ Smith R......... F............... 34.2 985.0 974.0 3,370 2,880 PL 78-534.
FP.............. 111.2 974.0 920.0 2,880 1,350 ................
R B Russell Dam and Lk........ GA Elbert....... Savannah R...... F............... 140.0 480.0 475.0 29,340 26,653 PL 89-789.
SC Abbeville.... ................ FP.............. 126.8 475.0 470.0 26,653 24,117 ................
Robert F Henry Lock Dam & Res. AL Autauga, Alabama R....... NP.............. 44.6 125.0 124.0 13,300 10,470 PL 79-14.
Lowndes.
Rodman Dam & Lk Ocklawaha..... FL Putman & Cross FL Barge N............... 48.0 23.2 20.0 17,350 12,950 PL 77-675.
Marion. Canal.
S-10 & Water Cons Area 1...... FL Palm Beach... Central and F............... 181.9 18.3 17.0 141,250 141,250 PL 80-858.
Southern FL.
FIMC............ 273.2 17.0 14.0 141,250 26,00 ................
[[Page 234]]
S-11 & Water Cons Area 2A..... FL Palm Beach Central and F............... 236.3 16.6 14.5 110,500 110,500 PL 80-858.
Broward. Southern FL.
FIMC............ 165.0 14.5 13.0 110,500 107,500 PL 83-780.
S-12 & Water Cons Area 3A..... FL Broward & Central and F............... 1,661.0 14.5 10.5 487,200 385,000 PL 80-858.
Dade. Southern FL.
FIMC............ 465.0 10.5 9.5 385,000 316,000 PL 83-780.
Selden Lock and Res........... AL Hale, Greene. Black-Warrior R. N............... 9.1 95.5 94.0 8,200 6,900 PL 60-317.
W Kerr Scott Dam & Res........ NC Wilkes....... Yadkin R........ F............... 112.0 1,075.0 1,030.0 4,000 1,475 PL 79-526.
FM.............. 33.0 1,030.0 1,000.0 1,475 675 ................
Walter F George L&D........... GA Clay......... Chattahoochee R. NP.............. 244.0 190.0 184.0 45,181 36,375 PL 81-516.
AL Henry........ ................ ................ ........ ........ ........ ........ ........ ................
West Point Dam & Res.......... GA Troup........ Chattahoochee R. NPMAR........... 306.1 635.0 620.0 25,864 15,512 PL 87-874.
William Bacon Oliver L&D and AL Tuscaloosa... Black Warrior R. N............... 0 122.9 122.9 790 790 PL 60-317.
Res.
--------------------------------------------------------------------------------------------------------------------------------------------------------
South Pacific Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Alamo Dam & Lk............... AZ Mohave, Yuma. Bill Williams R. F............... 1,046.2 1,235.0 1,174.0 13,307 7,045 PL 78-534.
Bear Dam...................... CA Mariposa..... Bear Cr......... F............... 7.7 413.5 344.0 265 0 PL 78-534.
Black Butte Lk................ CA Tehama....... Stony Cr........ FI.............. 137.1 473.5 414.6 4,453 577 PL 78-534.
Brea Dam & Res................ CA Orange....... Brea Cr......... F............... 4.0 279.0 208.0 163 0 FCA 1936.
Buchanan Dam H.V. Eastman Lk.. CA Madera....... Chowchilla R.... F............... 45.0 587.0 559.0 1,785 1,482 PL 78-874.
FI.............. 140.0 587.0 466.0 1,785 484 ................
Burns Dam..................... CA Merced....... Burns Cr........ F............... 6.8 300.0 266.0 662 0 PL 78-534.
Carbon Canyon Dam & Res....... CA Orange....... Carbon Cr....... F............... 6.6 475.0 403.0 225 0 PL 74-738.
Coyote Valley Dam Lk Mendocino CA Mendocino.... East Fork, F............... 50.1 764.8 737.5 1,922 1,740 PL 75-761.
Russian R.
IM.............. 72.3 737.5 637.0 1,740 20 ................
Dry Cr (Warm Springs) Lk & CA Sonoma....... Dry Cr.......... F............... 136.0 495.0 451.1 3,600 2,600 PL 87-874.
Channel.
MR.............. 225.0 451.1 291.0 2,600 500 ................
Farmington Dam................ CA San Joaquin, Littlejohn Cr... F............... 52.0 156.5 120.0 4,107 0 PL 78-534.
Stanislaus.
Fullerton Dam & Res........... CA Orange....... Fullerton Cr.... F............... 0.8 290.0 261.0 62 0 FCA 1936.
Hansen Dam Res................ CA Los Angeles.. Tujunga Wash.... F............... 25.4 1,060.0 990.0 781 0 FCA 1936.
Hidden Dam Hensley Lk......... CA Madera....... Fresno R........ F............... 65.0 540.0 485.8 1,567 811 PL 87-874.
FI.............. 85.0 540.0 448.0 1,567 280 ................
Isabella Lk................... CA Kern......... Kern R.......... FI.............. 568.1 2,605.5 2,470.0 11,454 26 PL 785-34.
Lopez Dam Res................. CA Los Angeles.. Pocoima Wash.... F............... 0.4 1,272.9 1,253.7 40 0 FCA 1936.
Mariposa Dam.................. CA Mariposa..... Mariposa Cr..... F............... 15.0 439.5 370.0 512 0 PL 78-534.
Martis Cr Lk.................. CA Nevada....... Martis Cr....... F............... 19.6 5,838.0 5,780.0 762 61 PL 87-874.
Mathews Canyon Dam & Res...... NV Lincoln...... Mathews Canyon.. F............... 6.3 5,461.0 5,420.0 300 0 PL 81-516.
[[Page 235]]
Mojave River Dam & Res........ CA San Mojave R........ F............... 89.7 3,134.0 2,988.0 1,978 0 PL 86-645.
Bernardino.
New Hogan Lk.................. CA Calaveras.... Calaveras R..... F............... 165.0 713.0 666.2 4,333 2,818 PL 78-534.
FI.............. 302.2 713.0 586.0 4,333 702 ................
Owens Dam..................... CA Mariposa..... Owens Cr........ F............... 3.6 407.5 347.0 174 0 PL 78-534.
Painted Roc Dam & Res......... AZ Maricopa..... Gila R.......... F............... 2,491.5 661.0 524.0 53,200 0 PL 81-516.
Pine Canyon Dam & Res......... NV Lincoln...... Pine Canyon..... F............... 7.8 5,675.0 5,604.0 254 0 PL 81-516.
Pine Flat Lk Kings R.......... CA Fresno....... Kings R......... F............... 1,000.0 951.5 565.5 5,956 0 PL 78-534.
Prado Dam & Res............... CA Riverside.... Santa Ana R..... F............... 196.2 543.0 460.0 6,630 0 FCA 1936.
San Antonio Dam & Res......... CA Los Angeles.. San Antonio Cr.. F............... 7.7 2,238.0 2,125.0 145 0 FCA 1936.
Santa Fe Dam & Res............ CA Los Angeles.. San Gabriel R... F............... 32.1 496.0 421.0 1,084 0 FCA 1936, 1941.
Sepolveda Dam & Res........... CA Los Angeles.. Los Angeles R... F............... 17.4 710.0 668.0 1,335 0 FCA 1936.
Success Lk.................... CA Tulare....... Tule R.......... FI.............. 75.0 652.5 588.9 2,477 409 PL 78-534.
Terminus Dam Lk Kaweah........ CA Tulare....... Kaweah R........ FI.............. 136.1 694.0 570.0 1,913 276 PL 78-534.
Whitlow Ranch Dam & Res....... AZ Pinal........ Queen Cr........ F............... 35.6 2,166.0 2,056.0 828 0 PL 79-526.
Whittler Marrows Dam & Res.... CA Los Angeles.. San Gabriel Rio F............... 34.9 228.5 184.0 2,411 0 FCA 1936.
Hondo R.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Southwestern Division
--------------------------------------------------------------------------------------------------------------------------------------------------------
Abiquiu Dam................... NM Rio Arriba... Rio Chama....... F............... 572.2 6,283.5 6,220.0 7,469 4,120 PL 80-858.
FM.............. 191.3 6,220.0 6,060.0 4,120 0 ................
Addicks Res................... TX Harris....... Buffalo Bayou... F............... 200.8 112.0 71.1 16,423 0 HD250-83-2.
Aquilla Lk.................... TX Hill......... Aquilla Cr...... F............... 161.4 564.5 537.5 8,980 3,280 PL 90-483.
MR.............. 93.6 537.5 478.6 3,280 26 ................
Arcadia Lk.................... OK Oklahoma..... Deep Fork R..... F............... 64.4 1,029.5 1,006.0 3,820 1,820 PL 91-611.
FMCR............ 27.4 1,006.0 970.0 1,820 20 ................
B A Steinhagen Lk............. TX Taylor, Neches R........ F............... 24.5 83.0 81.0 13,700 10,950 SD98-76-1.
Jasper.
Bardwell Lk................... TX Ellis........ Waxahachie Cr... F............... 79.6 439.0 421.0 6,040 3,570 PL 86-399.
M............... 42.8 421.0 372.6 3,570 0 ................
Barker Res.................... TX Harris Ft Buffalo Bayou... F............... 209.0 106.0 73.2 16,734 0 HD250-83-2, RHA
Bend. 1938.
Beaver Lk..................... AR Carrol, White R......... F............... 299.6 1,130.0 1,120.0 31,700 28,220 PL 83-780.
Benton,
Washington.
FPM............. 925.1 1,120.0 1,077.0 28,220 15,540 PL 85-500.
Belton Lk..................... TX Bell......... Leon R.......... F............... 640.0 631.0 594.0 23,600 12,400 PL 79-526.
MI.............. 372.7 594.0 470.0 12,400 42 HD88-81-1.
Benbrook Lk................... TX Tarrant, Clear Fk Trinity F............... 170.4 724.0 694.0 7,630 3,770 HD103-771.
Parker. R.
NM.............. 72.5 694.0 656.0 3,770 730 ................
Big Hill LK................... KN Labette...... Big HIll Cr..... F............... 13.1 867.5 858.0 1,520 1,240 PL 87-874.
FMR............. 27.2 858.0 814.0 1,240 70 HD572-87-2.
Birch Lk...................... OK Osage........ Birch Cr........ F............... 39.0 774.0 750.5 2,340 1,140 PL 87-874.
FMCAR........... 15.8 750.5 730.0 1,140 384 HD563-87-2.
Blue Mountain Lk.............. AR Yell, Logan.. Petit Jean R.... F............... 233.3 419.0 384.0 11,000 2,910 PA 75-761.
Broken Bow Lk................. OK McCurtain.... Mountain Fk R... F............... 450.2 627.5 599.5 18,000 14,200 PL 85-500.
[[Page 236]]
FRPMAC.......... 469.8 599.5 559.5 14,200 9,200 ................
Bull Shoals Lk................ AR Baxter, White R......... F............... 2,360.0 695.0 654.0 71,240 45,440 PL 77-228.
Marion, Boone.
MO Ozark, Taney. PF.............. 1,003.0 654.0 628.5 45,440 33,800 ................
Canton Lk..................... OK Blain........ N Canadian R.... F............... 265.8 1,638.0 1,615.4 15,710 7,910 PL 75-761.
FMI............. 97.2 1,615.4 1,596.5 7,910 2,710 HD56-/75-3.
Canyon Lk..................... TX Comal........ Guadalupe R..... F............... 346.4 934.0 909.0 12,890 8,240 PL 79-14.
M............... 366.4 909.0 75.0 8,240 0 ................
Clearwater Lk................. MO Reynolds, Black R......... F............... 391.8 567.0 494.0 10,400 1,630 PL 75-761.
Wayne.
Cochiti Lk.................... NM Sandoval, Rio Grande...... F............... 545.0 5,460.5 5,356.6 9,361 1,200 PL 86-645.
Sante Fe, Los
Alamos.
FRC............. 43.0 5,356.6 5,330.0 1,200 0 ................
Conchas Lk.................... NM San Miguel... Candian R....... F............... 198.8 4,218.0 4,201.0 13,664 9,692 HD 308-74.
FI.............. 259.6 4,201.0 4,155.0 9,692 3,000 ................
Copan Lk...................... OK Washington... L Caney R....... F............... 184.3 732.0 710.0 13,380 4,850 PL 87-874.
KS Chautauqua... ................ FMCA............ 42.8 710.0 687.5 4,850 110 HD563-87-2.
Council Grove Lk.............. KS Morris....... Neosho R........ F............... 63.8 1,289.0 1,274.0 5,400 3,230 PL 81-516.
FMAR............ 48.5 1,274.0 1,240.0 3,230 42 ................
DeQueen Lk.................... AR Sevier....... Rolling Fork R.. F............... 101.3 473.5 437.0 4,050 1,680 PL 85-500.
FMCRQ........... 25.5 437.0 415.0 1,680 710 ................
Dierks Lk..................... AR Sevier, Saline R........ F............... 67.1 557.5 526.0 2,970 1,360 PL 85-500.
Howard.
FMCR............ 15.1 526.0 512.0 1,360 810 ................
Eldorado Lk................... KS Butler....... Walnut R........ F............... 79.2 1,347.5 1,339.0 10,740 8,000 PL 89-298.
FMAR............ 154.0 1,339.0 1,296.0 8,000 420 HD232-89-1.
Elk City Lk................... KS Montgomery... Elk R........... F............... 239.5 825.0 796.0 13,150 4,450 HD440-76-1.
FMA............. 44.8 796.0 764.0 4,450 64 ................
Eufaula Lk.................... OK McIntosh, Candian R....... F............... 1,510.9 597.0 585.0 147,960 105,480 PL 79-525.
Pittsburg,
Haskell.
FNPM............ 1,463.0 585.0 565.0 105,480 46,120 ................
Fall River Lk................. KS Greenwood.... Fall R.......... F............... 234.5 987.5 948.5 10,400 2,350 HD440-76-1.
FA.............. 15.0 948.5 940.0 2,350 1,170 ................
Fort Gibson Lk................ OK Wagoner...... Neosho (Grand) R F............... 919.2 582.0 554.0 51,000 19,900 FEC 1941.
FP.............. 53.9 554.0 551.0 19,100 16,950 RHA 1946.
Fort Supply Lk................ OK Woodward..... Wolf Cr......... F............... 86.8 2,028.0 2,004.0 5,690 1,820 PL 74-738.
FM.............. 13.9 2,004.0 1,988.0 1,820 0 ................
Galisteo Dam.................. NM Santa Fe..... Galisteo Cr..... F............... 79.4 5,608.0 5,496.0 2,060 0 PL 86-645.
Georgetown Lk................. TX Williamson... N.F. San Gabriel F............... 87.6 834.0 791.0 3,220 1,310 PL 87-874.
R.
MC.............. 29.2 791.0 699.0 1,310 0 HD 591-82-2.
Gillham Lk.................... AR Howard, Polk. Cossatot R...... F............... 188.7 569.0 502.0 4,680 1,370 PL 85-500.
FMCQ............ 29.3 502.0 464.5 1,370 310 ................
Granger Lk.................... TX Williamson... San Gabriel R... F............... 162.2 528.0 504.0 11,040 4,400 PL 87-874.
[[Page 237]]
M............... 37.9 504.0 440.0 4,400 0 ................
Grapevine Lk.................. TX Denton, Denton Cr....... F............... 243.1 560.0 535.0 12,710 7,280 HD103-77-1.
Tarrant.
M............... 154.3 535.0 451.0 7,380 41 ................
Great Salt Plains Lk.......... OK Alfalfa...... Salt Fk......... F............... 240.0 1,138.5 1,125.0 27,730 8,693 PL 74-738.
Arkansas R...... FC.............. 31.4 1,125.0 1,115.0 8,690 0 ................
Greers Ferry Lk............... AR Cleburne, Van Little Red R.... F............... 934.0 487.0 461.0 40,480 31,460 PL 75-761.
Buren.
FP.............. 716.5 461.0 435.0 31,460 23,740 PL 83-780.
Heyburn Lk.................... OK Creek........ Polecat Cr...... F............... 48.4 784.0 761.5 3,700 917 PL 79-526.
FM.............. 3.8 761.5 55.5 917 394 ................
Hords Cr Lk................... TX Coleman...... Hords Cr........ F............... 16.7 1,920.0 1,900.0 1,260 510 PL 77-228.
M............... 5.8 1,900.0 1,848.0 510 0 ................
Hugo Lk....................... OK Choctaw...... Kiamichi R...... F............... 809.1 437.5 404.5 34,490 13,250 PL 79-526.
FMCAR........... 127.2 404.5 390.0 13,250 4,500 ................
Hulah Lk...................... OK Osage........ Caney R......... F............... 257.9 765.0 733.0 13,000 3,570 PL 74-738.
KS Chautaugua... ................ FMA............. 31.1 733.0 710.0 3,570 0 PL 84-843.
Jemez Canyon Dam.............. NM Sandoval..... Jemez R......... F............... 73.0 5,232.0 5,196.1 2,877 1,370 PL 80-858
PL 81-516.
Joe Pool Lk................... TX Dalla, Ellis, Mountain Cr..... F............... 1,238.0 536.0 522.0 10,940 7,470 PL 89-298.
Tarrant.
M............... 176.9 522.0 456.0 7,470 10 ................
John Martin Res............... CO Bent......... Arkansas R...... F............... 270.3 3,870.0 3,851.0 17,630 11,655 PL 74-738.
FRC............. 350.9 3,851.0 0.0 11,655 0 ................
John Redmond Dam & Res........ KS Coffee....... Neosho R........ F............... 559.0 1,068.0 1,039.0 31,700 9,300 PL 81-516.
FMAR............ 70.8 1,039.0 1,020.0 9,300 108 ................
Kaw Lk........................ OK Kay, Osage... Arkansas R...... F............... 919.4 1,044.5 1,010.0 38,020 17,040 PL 87-874.
KS Cowley....... ................ FMARC........... 343.5 1,010.0 978.0 17,040 5,590 ................
Keystone Lk................... OK Tulsa........ Arkansas R...... F............... 1,180.0 754.0 723.0 54,300 23,600 PL 81-516.
FNPMC........... 296.7 723.0 706.0 23,600 13,300 ................
L&D 01, Norrell............... AR Arkansas..... Arkansas Post N............... 0.0 142.0 142.0 140 140 HD 758-79, RHA
Canal. 1946.
L&D 02, Wilbur D. Mills Dam... AR Desha, Arkansas R...... N............... 18.7 162.3 160.5 10,700 9,400 HD 758-79, RHA
Arkansas. 1946.
L&D 03........................ AR Jefferson, Arkansas R...... N............... 8.3 182.3 180.0 3,750 3,180 HD 758-79, RHA
Lincoln. 1946.
L&D 04........................ AR Jefferson.... Arkansas R...... N............... 12.9 196.3 194.0 5,820 5,200 HD 758-79, RHA
1946.
L&D 05........................ AR Jefferson.... Arkansas R...... N............... 14.4 213.3 211.0 6,900 5,550 HD 758-79, RHA
1946.
L&D 06, David D. Terry........ AR Pulaski...... Arkansas R...... N............... 9.6 231.3 229.0 4,830 4,130 HD 758-79.
L&D 07, Murray................ AR Pulaski...... Arkansas R...... N............... 24.7 249.7 247.0 10,350 8,100 RHA 1946.
L&D 08, Toad Suck Ferry....... AR Faulkner, Arkansas R...... N............... 8.7 265.3 263.0 4,130 3,600 RHA 1946.
Perry.
L&D 09, Arthur V. Ormond L&D, AR Conway....... Arkansas R...... N............... 15.8 287.0 284.0 5,660 4,910 HD 758-79.
W. Rockefeller Lk.
L&D 10, Lk Dardanelle......... AR Pope Yell.... Arkansas R...... NP.............. 72.3 338.2 336.0 34,700 31,140 HD 758-79, RHA
1946.
L&D 11, Ozark-Jetta Taylor.... AR Franklin..... Arkansas........ NPR............. 25.3 372.5 370.0 11,100 8,800 RHA 1946, HD 758-
79.
L&D 13, James W. Trimble...... AR Sebastian, Arkansas R...... N............... 18.1 392.0 389.0 6,820 5,200 RHA 1946.
Crawford.
[[Page 238]]
L&D 14, W. D. Mayo............ OK Sequoyah, Arkansas R...... N............... 0.0 413.0 0.0 1,600 0 PL 79-525.
Leflore.
L&D 15, Robert S. Kerr Res.... OK Leflore, Arkansas R...... NP.............. 84.7 460.0 458.0 43,800 40,760 PL 79-525.
Sequoyah.
L&D 16, Webbers Falls Res..... OK Muskogee..... Arkansas R...... NP.............. 32.4 490.0 487.0 10,900 9,300 PL 79-525.
L&D 17, Chouteau.............. OK Wagoner...... Verdigris R..... N............... 0.0 511.0 511.0 2,270 2,270 PL 79-525, HD
758-79-2.
L&D 18, Newt Graham........... OK Wagoner...... Verdigris R..... N............... 0.0 532.0 532.0 1,490 1,490 PL 97-525.
Lake O' The Pines............. TX Marion....... Cypress Cr...... F............... 579.5 249.5 228.5 38,200 18,700 PL 79-526.
M............... 250.0 228.5 201.0 18,700 1,100 ................
Lavon Lk...................... TX Collin....... East Fork, F............... 275.6 503.5 492.0 29,450 21,400 HD 533-78-2.
Trinity R. M............... 380.0 492.0 433.0 21,400 2,87
Lewisville Lk Garza-Little Elm TX Denton....... Elm Fork Trinity F............... 525.2 532.0 515.0 39,080 23,280 HD 403-77-1.
Dam. R.
M............... 436.0 515.0 433.0 23,280 12 ................
Marion Lk..................... KS Marion....... Cottonwood R.... F............... 60.2 1,358.5 1,350.5 9,050 6,200 PL 81-516.
FMAR............ 83.3 1,350.5 1,320.0 6,200 170 ................
Millwood Lk................... AR Little R Little R........ F............... 1,650.0 287.0 259.2 95,200 29,200 PL 79-526.
Hempstead.
FMC............. 153.3 259.2 252.0 29,200 13,100 HD 785-79.
Navarro Mills Lk.............. TX Navarro Hill. Richland Cr..... F............... 143.2 443.0 424.5 11,700 5,070 HD 498-83-2.
M............... 53.2 424.5 375.3 5,070 0 ................
Nimrod Lk..................... AR Perry, Yell.. Fourche La Fave F............... 307.0 373.0 342.0 18,300 3,550 FCA 1938.
R.
Norfork Lk.................... AR Baxter, North Fork R.... F............... 731.8 580.0 552.0 30,700 21,990 PL 75-761.
Fulton.
MO Ozark........ ................ FP.............. 707.0 552.0 510.0 21.990 12,320 FCA 1941
North Fork Lk................. TX Williamson... N.F. San Gabriel F............... 87.6 834.0 791.0 3,220 1,310 PL 87-874.
R.
MC.............. 29.2 791.0 699.0 1,310 0 HD 591-82-2.
O. C. Fisher Lk............... TX Tom Green.... N. Concho R..... F............... 277.2 1,938.5 1,908.0 12,700 5,440 PL 77-228.
M............... 80.4 1,908.0 1,836.0 5,440 3 ................
Oologah Lk.................... OK Rogers....... Verdigris R..... F............... 965.6 661.0 638.0 56,800 29,460 PL 75-761.
FMN............. 544.1 638.0 592.0 29,460 1,120
Optima Lk..................... OK Texas........ N. Candian R.... F............... 100.5 2,779.0 2,763.5 7,640 5,340 PL 74-738.
FMRC............ 117.7 2,763.5 2,726.0 5,340 1,335 ................
Pat Mayse Lk.................. TX Lamar........ Sanders Cr...... F............... 64.6 460.5 451.0 7,680 5,993 PL 87-874.
FMCR............ 119.9 451.0 415.0 5,993 996 HD 88-71.
Pine Cr....................... OK McCurtain.... Little R........ F............... 388.1 480.0 443.5 17,230 4,980 PL 85-500.
FMAC............ 77.6 443.5 414.0 4,980 700 HD 170-85-1.
Proctor Lk.................... TX Comanche..... Leon R.......... F............... 310.1 1,197.0 1,162.0 14,010 4,610 PL 83-780, HD
535-81-2.
Sam Rayburn Res............... TX Jasper, San Angelina R...... F............... 1,099.4 173.0 164.4 142,700 114,500 HD 981-76-1.
Augustine,
Angelina.
PMC............. 1,446.2 164.4 149.0 114,500 74,040 ................
Santa Rosa.................... NM Guadalupe.... Pecos R......... F............... 340.0 4,746.2 4,776.5 10,740 3,823 PL 83-780.
FI.............. 160.0 4,776.5 4,746.2 7,115 3,823 ................
Sardis........................ OK Pushmatah.... Jackfork Cr..... F............... 122.6 607.0 599.0 16,960 13,610 HD 602-79-2.
FMR............. 274.2 599.0 542.0 13,610 40 ................
[[Page 239]]
Somerville Lk................. TX Washington, Yegua Cr........ F............... 337.7 258.0 238.0 24,400 11,460 PL 83-780.
Lee, Burleson.
M............... 143.9 238.0 200.0 11,460 0 ................
Stiatook...................... OK Osage........ Hominy Cr....... F............... 178.0 729.0 714.0 13,690 10,190 HD 563-87.
FMARC........... 311.6 714.0 657.0 10,190 1,430 ................
Stillhouse H. Lk.............. TX Bell......... Lampasas R...... F............... 390.6 666.0 622.0 11,830 6,430 PL 83-780.
M............... 204.9 622.0 498.0 6,430 0 ................
Table Rock Lk................. MO Taney, Stone, White R......... F............... 760.0 931.0 915.0 52,250 43,070 PL 77-228.
Barry.
AR Carroll, FP.............. 1,181.50 915.0 881.0 43,070 27,300 FCA 1938.
Boone.
Tenkiller Ferry Lk............ OK Cherokee, Illinois R...... F............... 576.7 667.0 632.0 20,800 12,900 RHA 1946.
Sequoyah.
FP.............. 371.0 632.0 594.5 12,900 7,370 ................
Texoma Lk, Denison Dam........ TX Marshall..... Red R........... F............... 2,669.0 640.0 617.0 144,000 88,000 PL 75-761.
OK Bryan, Cook, ................ FPM............. 1,612.0 617.0 590.0 88,000 41,000 ................
Grayson.
Toronto Lk.................... KS Woodson...... Verdigris R..... F............... 179.8 931.0 901.5 11,740 2,660 HD 440-76-1.
FMA............. 10.7 901.5 896.7 2,660 1,720 ................
Trinidad Lk................... CO Las Animas... Purgatorie R.... F............... 58.0 6,260.0 6,230.0 2,107 1,453 PL 85-500.
FI.............. 20.0 6,230.0 0.0 1,453 0
Two Rivers Dam................ NM Chaves....... Rio Hondo R..... F............... 150.0 4,032.0 3,945.0 4,806 0 PL 83-780.
Waco Lk....................... TX Mclennan..... Bosque R........ F............... 3.3 500.0 455.0 19,440 7,270 PL 83-780.
M............... 100.8 455.0 370.0 7,240 0 HD 535-81-2.
Waurika Lk.................... OK Jefferson.... Beaver Cr....... F............... 140.4 962.5 951.4 15,000 10,100 PL 88-253.
FMCAR........... 199.7 951.4 910.0 10,100 830 ................
Whitney Lk.................... TX Hill, Bosquel Brazos R........ F............... 1,372.0 571.0 533.0 49,820 23,560 PL 77-228.
PM.............. 381.9 533.0 425.0 23,560 475 HD 390-76-1.
Wister Lk..................... OK Leflore...... Pouteau R....... F............... 387.0 502.5 474.6 23,070 5,000 PL 75-761.
Wright Patman Lk.............. TX Bowie, Cass.. Sulphur R....... F............... 2,363.7 259.5 220.0 119,700 20,300 PL 79-526.
FM.............. 142.7 220.0 180.0 20,300 0 ................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Res--Reservoir; Lk--Lake; Div--Diversion: R--River; Cr--Creek; Fk--Fork; L&D--Lock & Dam; GIWW--Gulf Intercoastal Waterway; FG--Floodgate; CS--
Control Structure: DS--Drainage Structure; PS--Pump Station.
\2\ F--Flood Control; N--Navigation; P--Hydropower; I--Irrigation; M--Municipal and/or Industrial Water/Supply; C--Fish and Wildlife Conservation; R--
Recreation; A--Low Flow Augmentation or Pollution Abatement; Q--Quality or Silt Control.
\3\ PL--Public Law; HD--House Document; RHA--River & Harbor Act; PW--Public Works: FCA--Flood Control Act; WSA--Water Supply Act.
[47 FR 44544, Oct. 8, 1982, as amended at 52 FR 15804, Apr. 30, 1987; 52
FR 23816, June 25, 1987; 57 FR 35757, Aug. 11, 1992. Redesignated at 60
FR 19851, Apr. 21, 1995]
Sec. 222.6 National Program for Inspection of Non-Federal Dams.
(a) Purpose. This regulation states objectives, assigns
responsibilities and prescribes procedures for implementation of a
National Program for Inspection of Non-Federal Dams.
(b) Applicability. This regulation is applicable to all Divisions
and Districts having Civil Works functions.
(c) References. (1) The National Dam Inspection Act, Pub. L. 92-367,
8 August 1972.
(2) Freedom of Information Act, Pub. L. 87-487, 4 July 1967.
[[Page 240]]
(3) ER 500-1-1.
(d) Authority. The National Dam Inspection Act, Public Law 92-367, 8
August 1972 authorizes the Secretary of the Army, acting through the
Chief of Engineers, to carry out a national program of inspection of
non-Federal dams for the purpose of protecting human life and property.
(e) Scope. The program provides for:
(1) An update of the National Inventory of Dams.
(2) Inspection of the following non-Federal dams (the indicated
hazard potential categories are based upon the location of the dams
relative to developed areas):
(i) Dams which are in the high hazard potential category (located on
Federal and non-Federal lands).
(ii) Dams in the significant hazard potential category believed by
the State to represent an immediate danger to the public safety due to
the actual condition of the dam.
(iii) Dams in the significant hazard potential category located on
Federal lands.
(iv) Specifically excluded from the national inspection program are:
(A) Dams under the jurisdiction of the Bureau of Reclamation, the
Tennessee Valley Authority, the International Boundary and Water
Commission and the Corps of Engineers and
(B) Dams which have been constructed pursuant to licenses issued
under the authority of the Federal Power Act, and
(C) Dams which have been inspected within the 12-month period
immediately prior to the enactment of this act by a State agency and
which the Governor of such State requests be excluded from inspection.
(f) Objectives. The objectives of the program are:
(1) To update the National Inventory of Dams by 30 September 1980.
(2) To perform the initial technical inspection and evaluation of
the non-Federal dams described in paragraph 222.8(e) of this section to
identify conditions which constitute a danger to human life or property
as a means of expediting the correction of hazardous conditions by non-
Federal interests. The inspection and evaluation is to be completed by
30 September 1981.
(3) To obtain additional information and experience that may be
useful in determining if further Federal actions are necessary to assure
national dam safety.
(4) Encourage the States to establish effective dam safety programs
for non-Federal dams by 30 September 1981 and assist the States in the
development of the technical capability to carry out such a program.
(g) Program execution--(1) Responsibilities. (i) The owner has the
basic legal responsibility for potential hazards created by their
dam(s). Phase II studies, as described in Chapter 4, Appendix D, and
remedial actions are the owner's responsibility.
(ii) The State has the basic responsibility for the protection of
the life and property of its citizens. Once a dam has been determined to
be unsafe, it is the State's responsibility to see that timely remedial
actions are taken.
(iii) The Corps of Engineers has the responsibility for executing
the national program. The Federal program for inspection of dams does
not modify the basic responsibilities of the States or dam owners. The
Engineering Division of the Civil Works Directorate is responsible for
overall program goals, guidance, technical criteria for inspections and
inventory and headquarters level coordination with other agencies. The
Water Resources Support Center (WRSC) located at Kingman Building, Fort
Belvoir, Virginia 22060 is responsible for:
(A) Program Coordination of both the inventory and inspection
programs.
(B) Developing and defining functional tasks to achieve program
objectives.
(C) Determining resource requirements. (Budget)
(D) Compiling and disseminating progress reports.
(E) Monitoring and evaluating program progress and recommending
corrective measures as needed.
(F) Collecting and evaluating data pertaining to inspection reports,
dam owners' responses to inspection report recommendations, attitudes
and capabilities of State officials, State dam safety legislation,
Architect-Engineer
[[Page 241]]
performance, etc., for defining a comprehensive national dam safety
program.
(G) Responding to Congressional, media, scientific and engineering
organization and general public inquiries.
Division and District offices are responsible for executing the program
at the State level. Assignment of Division reponsibilities for States is
shown in appendix A.
(2) State participation. Where State capability exists, every effort
should be made to encourage the State to execute the inspection program
either with State personnel or with Architect-Engineer (A-E) contracts
under State supervision. If the State does not have the capability to
carry out the inspection program, the program will be managed by the
Corps of Engineers utilizing Corps employees or contracts with A-E firm.
(h) Update of National Inventory of Dams. (RCS-DAEN-CWE-17/OMB No.
49-RO421)
(1) The National Inventory of Dams should be updated and verified to
include all Federal and non-Federal dams covered by the Act. Those dams
are defined as all artificial barriers together with appurtenant works
which impound or divert water and which: (1) Are twenty-five feet or
more in height or (2) have an impounding capacity of fifty acre-feet or
more. Barriers which are six feet or less in height, regardless of
storage capacity or barriers which have a storage capacity at maximum
water storage elevation of fifteen acre-feet or less regardless of
height are not included.
(2) Inventory data for all dams shall be provided in accordance with
appendix B.
(3) The hazard potential classification shall be in accordance with
paragraph 2.1.2 Hazard Potential of the Recommended Guideline for Safety
Inspection of Dams (Appendix D to this section).
Table 2--Hazard Potential Classification
----------------------------------------------------------------------------------------------------------------
Category Urban development Economic loss
----------------------------------------------------------------------------------------------------------------
Low.................................... No permanent structure for human Minimal (Undeveloped to occasional
habitation. structures or agriculture).
Significant............................ No urban development and no more Appreciable (Notable agriculture,
than a small number of habitable industry or structures).
structures.
High................................... Urban development with more than a Excessive (Extensive community,
small number of habitable industry or agriculture).
structures.
----------------------------------------------------------------------------------------------------------------
(4) As in the original development of the inventory, the States
should be encouraged to participate in the work of completing, verifying
and updating the inventory. Also, when available, personnel of other
appropriate Federal agencies should be utilized for the inventory work
on a reimbursable basis. Work in any State may be accomplished:
(i) Under State supervision utilizing State personnel or Architect-
Engineers contracts.
(ii) Under Corps supervision utilizing Corps employees, employees of
other Federal agencies or Architect-Engineer contracts.
(5) A minimum staff should be assigned in Districts and Divisions to
administer and monitor the inventory activities. Generally, the work
should be accomplished by architect-engineers or other Federal agency
personnel under State or Corps supervision. Corps personnel should
participate in the inventory only to the extent needed to assure that
accurate data are collected.
(6) The National Inventory of Dams computerized data base in stored
on the Boeing Computer Services (BCS) EKS computer system in Seattle,
Washington. The data base uses Data Base Management System 2000 and is
accessible for query by all Corps offices.
(7) Appendix B indicates details on accessing and updating inventory
data.
(8) Appendix I describes the procedure for using NASA Land Satellite
(LANDSAT) Multispectral Scanner data along with NASA's Surface Water
Detection and Mapping (DAM) computer program to assist in updating
[[Page 242]]
and verifying and National Inventory of Dams.
(9) All inventory data for dams will be completed and verified
utilizing all available sources of information (including LANDSAT
overlay maps) and will include site visitation if required. It is the
responsibility of the District Engineer to insure that the inventory of
each State within his area of responsibility is accurate and contains
the information required by the General Instructions for completing the
forms for each Federal and non-Federal dam.
(i) [Reserved]
(j) Inspection Program. (RCS-DAEN-CWE-17 and OMB No. 49-RO421)
(1) Scheduling of inspections. The Governor of each State or his
designee will continue to be involved in the selection and scheduling of
the dams to be inspected. Priority will be given to inspection of those
dams considered to offer the greatest potential threat to public safety.
(i) No inspection of a dam should be initiated until the hazard
potential classification of the dam has been verified to the
satisfaction of the Corps. Dams in the significant hazard category
should be inspected only if requested by the State and only then if the
State can provide information to show that the dam has deficiencies that
pose an immediate danger to the public safety. Guidance for the
selection of significant category non-Federal dams on Federal lands will
be given in the near future.
(ii) Selection for inspection of non-Federal dams located on Federal
lands or non-Federal dams designed and constructed under the
jurisdiction of some Federal agency, should be coordinated with the
responsible Federal agency. The appropriate State or regional
representative of the Federal agency also should be contacted to obtain
all available data on the dam. Representatives of the agency may
participate in the inspection if they desire and should be given the
opportunity to review and comment on the findings and recommendations in
the inspection report prior to submission to the Governor and the dam
owner. Examples of such dams are: non-Federal dams built on lands
managed by National Forest Service, Bureau of Land Management, Fish and
Wildlife Service, etc.; non-Federal dams designed and constructed by the
Soil Conservation Service of the U.S. Department of Agriculture; high
hazard mine tailings and coal mine waste dams under the jurisdiction of
the Mine Safety and Health Administration, Department of Labor.
(iii) Indian-owned dams on trust lands are considered to be non-
Federal dams. All dams in the high hazard potential category will be
inspected. Privately-owned dams located on Indian lands are to be
included in the program, however BIA-owned dams on Indian lands are
Federal dams and are exempt.
(2) Procedures. The Division Engineer is responsible for the quality
of inspections and reports prepared by the District Engineer. Close
liaison between the District Engineer and the State agency or A-E firm
responsible for the inspections will be required in order to obtain a
dependable result. To avoid undesirable delays in the evaluation of
safety of individual dams, contracts with A-E's or agreements with
States which are managing the program will provide that reports be
completed and furnished to the District Engineer within a specified time
after completion of the on-site inspection of the dam.
(i) Inspection guidelines. The inspection should be conducted in
accordance with the Recommended Guidelines for Safety Inspection of Dams
(Appendix D to this section). Expanded Guidance for Hydrologic and
Hydraulic Assessment of Dams is provided in appendix C. The criteria in
the recommended guidelines are screening criteria to be used only for
initial determinations of the adequacy of the dam. Conditions found
during the investigation which do not meet the guideline recommendations
should be assessed as to their importance from the standpoint of the
degree of risk involved.
(ii) Coordinators. Experience has shown that coordination and
communications among technical disciplines, Public Affairs Office,
emergency officials, training officers, operations personnel, State
representatives and A-E firms has been best in those districts where one
person was delegated the
[[Page 243]]
responsiblity for coordinating the actions of all involved elements.
Each district should evaluate its overall coordination procedures to
insure that all involved elements have the best possible access to
necessary data.
(iii) Field investigations should be carried out in a systematic
manner. A detailed checklist or inspection form should be developed and
used for each dam inspection and appended to the inspection report. The
size of the field inspection team should be as small as practicable,
generally consisting of only one representative of each required
discipline in order to control the costs of the inspection without
sacrificing the quality of the inspection. The inspection team for the
smaller less complex dams should be limited to two or three
representatives from appropriate technical areas with additional
specialists used only as special conditions warrant. The larger more
complex projects may require inspection teams of three or four
specialists. Performance of overly detailed and precise surveys and
mapping should be avoided. Necessary measurement of spillway, dam
slopes, etc. can generally be made with measuring tapes and hand levels.
(iv) Additional engineering studies. Dam inspections should be
limited to Phase I investigations as outlined in Chapter 3 of appendix
D. However, if recommended by the investigating engineer and approved by
the District Engineer, some additional inexpensive investigations may be
performed when a reasonable judgment on the safety of the dam cannot be
made without additional investigation. Any further Phase II
investigation needed to prove or disprove the findings of the District
Engineer or to devise remedial measures to correct deficiencies are the
responsibility of the owner and will not be undertaken by the Corps of
Engineers.
(v) Assessment of the investigation. (A) The findings of the visual
inspection and review of existing engineering data for a dam shall be
assessed to determine its general condition. Dams assessed to be in
generally good condition should be so described in the inspection
report. Deficiencies found in a dam should be described and assessed as
to the degree of risk they present. The degree of risk should consider
only loss of life and/or property damage resulting from flooding due to
dam failure. Loss of project benefits i.e., municipal water supply,
etc., should not be considered. If deficiencies are assessed to be of
such a nature that, if not corrected, they could result in the failure
of the dam with subsequent loss of life and/or substantial property
damage, the dam should be assessed as ``Unsafe.'' If the probable
failure of an ``Unsafe'' dam is judged to be imminent and immediate
action is required to reduce or eliminate the hazard, the ``unsafe''
condition of the dam should be considered an ``emergency.'' If the
probable failure is judged not to be imminent, the ``unsafe'' condition
should be considered a ``non-emergency.''
(B) Adequacy of spillway. The ``Recommended Guidelines for Safety
Inspection of Dams,'' appendix D, provide current, acceptable inspection
standards for spillway capacity. Any spillway capacity that does not
meet the criteria in the ``Guidelines'' is considered inadequate. When a
spillway's capacity is so deficient that it is seriously inadequate, the
project must be considered unsafe. If all of the following conditions
prevail, the Governor of the State shall be informed that such project
is unsafe:
(1) There is high hazard to loss of life from large flows downstream
of the dam.
(2) Dam failure resulting from overtopping would significantly
increase the hazard to loss of life downstream from the dam over that
which would exist just before overtopping failure.
(3) The spillway is not capable of passing one-half of the probable
maximum flood without overtopping the dam and causing failure.
Classification of dams with seriously inadequate spillways as ``unsafe,
non-emergency'' is generally a proper designation of the urgency of the
unsafe condition. However, there may be cases where the spillway
capacity is unusually small and the consequences of dam overtopping and
failure would be catastrophic. In such cases, the unsafe dam should be
classified as an emergency situation.
(vi) All inspection reports will receive one level of independent
review
[[Page 244]]
by the Corps. If the reports are prepared by the Corps, the independent
review may be performed internally within the district office. However,
in cases which involve significant economic, social or political impacts
and technical uncertainties in evaluating the dams, advice may be
obtained from the staffs of the Division Engineer and the Office, Chief
of Engineers.
(3) Reports--(i) Preparation. A written report on the condition of
each dam should be prepared as soon as possible after the completion of
the field inspection and assessment. A suggested report format is
attached as appendix E. It is important that the inspection report be
completed in a timely manner. For inspections being done by Corps
employees, it is suggested that once an inspection team has been
assigned to a dam inspection it be allowed to complete the inspection
and report without interruption by other work.
(ii) Review and approval. The coordinating engineer should determine
which disciplines should review the report and establish a procedure to
accomplish the review in a timely manner. A review panel, made up of the
appropriate Division and Branch Chiefs has worked well in some
districts. Use of a review panel should be seriously considered by all
districts. All inspection reports shall be approved by the District
Engineer who will maintain a complete file of final approved reports.
Any State or Federal agency having jurisdiction over the dam or the land
on which the dam is built should be given the opportunity to review and
comment on the report prior to submission to the Governor or dam owner.
The District Engineer will transmit final approved reports to the
Governor of the State and the dam owner (or the Governor only, when
requested in writing by State officials). If the report is initially
furnished to the Governor only, a period of up to ten days may be
allowed before the report is furnished to the dam owner. If the Governor
or the owner indicates additional technical information is available
that might affect the assessment of the dam's condition, the District
Engineer will furnish the proposed final report to the Governor and the
owner and establish a definite time period for comments to be furnished
to the District Engineer prior to report approval.
(iii) In general the Governor will be responsible for public release
of an inspection report and for initiating any public Statements.
However, an approved report must be treated as any other document
subject to release upon request under the Freedom of Information Act.
The letters of transmittal to the Governor and owner should indicate
that under the provisions of the Freedom of Information Act, the
documents will be subject to release upon request after receipt by the
Governor. Proposed final reports will be considered as internal working
papers not subject to release under the Freedom of Information Act.
Corps personnel, A-E contractor personnel and others working under
supervision of the Corps will be cautioned to avoid public statements
about the condition of the dam until after the District Engineer has
approved the report. The Corps will respond fully to inquiries after the
Governor has received the approved report or been notified of an unsafe
dam. An information copy of the report should be sent to the District
office normally having jurisdiction if other than the District
responsible for the inspection.
(iv) Follow-up action. A Federal investment of the magnitude
anticipated for this inspection program makes it desirable that a
reporting system be established to keep the District Engineer abreast of
the implementation of the recommendations in the inspection reports. The
letters of transmittal to the Governor and owner will request that the
District Engineer be informed of the actions taken on the
recommendations in the inspection reports. However, the National Dam
Inspection Act only authorizes the initial inspection of certain dams;
therefore, once a report is completed no reinspection will be
undertaken.
(4) Unsafe dams. The investigating engineer will be required to
immediately notify the District Engineer when a dam is assessed as being
unsafe. He will also indicate if probable failure of the unsafe dam is
judged to be imminent
[[Page 245]]
and immediate action is required to reduce or eliminate the threat. The
District Engineer will evaluate the findings of the investigating team
and will immediately notify the Governor and the owner if the findings
are Unsafe Non-Emergency or Unsafe-Emergency. The appropriate State
agency and the Corps of Engineers officials having emergency operation
responsibility for the area in which the dam is located will also be
notified. The information provided in the unsafe dam notice shall be as
indicated in Appendix F. Any emergency procedures or remedial actions
deemed necessary by the District Engineer will be recommended to the
Governor who has the responsibility for any corrective actions. As
provided in ER 500-1-1, Corps assistance under Pub. L. 84-99 ``Advance
Measures,'' may be made available to complement the owner's and
Governor's action under certain conditions and subject to the approval
of the Director of Civil Works. The District Engineer's Emergency
Operation Officer will coordinate the advance measures request in
accordance with existing procedures. Coordination will be maintained
between the District responsible for emergency action under Pub. L. 84-
90 and the District responsible for the inspection.
(5) Emergency action plans. An emergency action plan should be
available for every dam in the high and significant hazard category.
Such plans should outline actions to be taken by the operator to
minimize downstream effects of an emergency and should include an
effective warning system. If an emergency action plan has not been
developed, the inspection report should recommend that the owner develop
such an action plan. However, the Corps has no authority to require an
emergency action plan.
(k) Progress reports. Progress reports should be submitted monthly
by the Division Engineer to WRSC. The reports shall include progress
through the last Saturday of the month and should be mailed by the
following Monday. The reports shall contain the information and be
typewritten in the format shown in appendix G. Copies of Unsafe Dam Data
Sheets will be submitted with the progress report. Copies of the
completed inspection report for Dams in the Unsafe-Emergency category
will be submitted also. (RCS-DAEN-CWE-19)
(l) Contracts--(1) Corps of Engineers supervision. Contracts for
performing inventory and inspection activities under supervision of the
Corps of Engineers shall be Fixed-Price Architect Engineer Contracts for
Services. A sample scope of work setting forth requirements is provided
in appendix H. Experience has shown that costs for individual dam
inspection have been lower when multiple inspections are included in one
contract. Therefore, each A-E contract should include multiple dam
inspections where practicable. Corps participation in A-E inspections
should be held to a minimum. Corps representatives should participate in
only enough A-E inspections to assure the equality of the inspections.
(2) State supervision. Contracts with States for performing
inventory and inspection activities under State supervision may be
either a Cost-Reimbursement type A-E Contract for Services or a Fixed-
Price type contract. The selection of Architect-Engineers by the State
should require approval of the Corps of Engineers Contracting Officer.
The negotiated price for A-E services under cost-reimbursement type
contracts with States will also require approval by the Contracting
Officer. Contracts with States should require timely submission of the
inspection reports to the District Engineer for review and approval. The
contract provisions should also prevent public release of or public
comment on the inspection report until the District Engineer has
reviewed and approved the report. Corps of Engineers participation in
State inspections should be limited to occasional selected inspections
to assure the quality of the State program.
(m) Training. As indicated in paragraph (f) of this section, one
objective of the inspection program for non-Federal Dams is to prepare
the States to provide effective dam safety programs. In many States this
will require training of personnel of State agencies in the technical
aspects of dam inspections. The Office, Chief of Engineers is studying
the need for and content of a
[[Page 246]]
comprehensive Corps-sponsored training program in dam inspection
technology. Pending the possible adoption of such a comprehensive plan,
division and district Engineers are encouraged to take advantage of
suitable opportunities to provide needed training in dam safety
activities to qualified employees of State agencies and, when
appropriate, to employees of architect-engineer firms engaged in the
program. The following general considerations should be observed in
providing such training:
(1) Priority must be placed on inspection of dams and updating the
national dam inventory; hence, diversion of resources to training
activities should not deter or delay these principle program functions.
(2) Salaries, per diem and travel expenses relating to training
activities of State employees will be a State expense. There will be no
tuition charge for State employees.
(3) Architect-Engineer firms will be required to pay expenses and
tuition costs for their employees participating in Corps-sponsored
training activities.
(4) Corps-sponsored training will require that each trainee is a
qualified engineer or geologist and will concentrate on engineering
technology related directly to dam safety. (This may require screening
of proposed candidates for training.)
(5) Under this program, the Corps will not sponsor training that is
intended primarily to satisfy requirements for a degree.
(6) Training by participation in actual dam inspections and/or
management of the inspection program should be encouraged.
Appendix A to Sec. 222.6--Division Assignments
To facilitate better coordination with the States, the Division
Engineers are responsible for the dam inspection program by States as
follows:
New England Division: Maine, Rhode Island, Connecticut, Vermont, New
Hampshire, Massachusetts
North Atlantic Division: New York, New Jersey, Pennsylvania, Delaware,
Maryland, Virginia, District of Columbia
Ohio River Division: West Virginia, Ohio, Kentucky, Tennessee, Indiana
South Atlantic Division: North Carolina, South Carolina, Georgia,
Florida, Alabama, Puerto Rico, Virgin Islands
Lower Mississippi Valley Division: Mississippi, Louisiana, Missouri
North Central Division: Michigan, Wisconsin, Illinois, Minnesota, Iowa
Southwestern Division: Arkansas, Oklahoma, Texas, New Mexico
Missouri River Division: Kansas, Nebraska, South Dakota, North Dakota,
Wyoming, Colorado
North Pacific Division: Oregon, Idaho, Montana, Washington, Alaska
South Pacific Division: Utah, California, Arizona, Nevada
Pacific Ocean Division: Hawaii, Trust Territories, American Samoa
Appendix B to Sec. 222.6--Inventory of Dams
(RCS-DAEN-CWE-17 and OMB No. 49-RO421)
1. The updating of the inventory will include the completion of all
items of data for all dams now included in the inventory, verification
of the data now included in the inventory, and inclusion of complete
data for all appropriate existing dams not previously listed. Data
completion, verification and updating will be scheduled over a three
year period.
2. The inventory data will be recorded on Engineering Form 4474 and
4474A (Exhibit 2). The general instructions for completing the forms are
printed on the back of the forms. Parts I and II of the forms are to be
fully completed. The instruction for completing Item 29, Line 5, Para.
II (Engr Form 4474A) is revised to conform identically with the hazard
potential classification contained in the recommended guidelines for
safety inspection of dams. Additional data has been added to designate
Corps districts in which the dam is located, Federal agency owned dams,
Corps owned dams, Federal agency regulated dams, dams constructed with
technical or financial assistance of the U.S. Soil Conservation Service,
and privately owned dams located on Federal property.
3. All inventory data will be verified utilizing all available
sources of information and will include site visitation if required.
4. The Inventory Data Base is stored on the Boeing Computer Services
(BCS) EKS System in Seattle, Washington. The data is available to all
Corps offices for queries using Data Base Management System 2000 (S2K).
a. To access the National Data Base log on BCS and type the
following:
GET,DAMS/UN = CECELB
CALL,DAMS
b. For current information and changes to the National Inventory
Data Base, type:
OLD,HOTDAM/UN = CEC1AT
LIST
5. The inventory update data will be furnished and the National Data
Base will be
[[Page 247]]
updated on a monthly basis. The monthly submission will cover all dams
whose inventory data were completed since the last report. The update
data will be loaded directly onto the Boeing Computer by the field
office.
a. The procedure for loading the data on the Boeing Computer can be
printed by accessing the Boeing Computer and listing the information
file ``HOTDAM.'' (See paragraph 4b. above.)
b. It is the responsibility of the submitting office to edit the
data prior to furnishing it for the update. Editing will be accomplished
by processing the data using the Inventory Edit Computer program
developed by the Kansas City District. This procedure is described in
the ``HOTDAM'' file.
6. Federal agencies will be uniformly designated by major and minor
abbreviations according to the following list whenever applicable to
Items 46 through 53. Abbreviations are to be left justified within the
field with one blank separating major and minor abbreviations.
------------------------------------------------------------------------
Major Minor
------------------------------------------------------------------------
a. International Boundary and Water IBWC
Commission.
b. U.S. Department of Agriculture:
(1) Soil Conservation Service....... USDA SCS
(2) Forest Service.................. USDA FS
c. U.S. Department of Energy Federal DOE FERC
Energy Regulatory Commission.
d. Tennessee Valley Authority......... TVA
e. U.S. Department of Interior:
(1) Bureau of Sport Fisheries and DOI BSFW
Wildlife.
(2) Geological Survey............... DOI GS
(3) Bureau of Land Management....... DOI BLM
(4) Bureau of Reclamation........... DOI USBR
(5) Bureau of Indian Affairs........ DOI BIA
f. U.S. Department of Labor: (1) Mine DOL MSHA
Safety and Health Administration.
g. Corps of Engineers:
(1) Lower Mississippi Valley
Division:
(a) Memphis District.............. DAEN LMM
(b) New Orleans District.......... DAEN LMN
(c) St. Louis District............ DAEN LMS
(d) Vicksburg District............ DAEN LMK
(2) Missouri River Division:
(a) Kansas City District.......... DAEN MRK
(b) Omaha District................ DAEN MRO
(3) New England Division............ DAEN NED
(4) North Atlantic Division:........
(a) Baltimore District............ DAEN NAB
(b) New York District............. DAEN NAN
(c) Norfolk District.............. DAEN NAO
(d) Philadelphia District......... DAEN NAP
(5) North Central Division:
(a) Buffalo District.............. DAEN NCB
(b) Chicago District.............. DAEN NCC
(c) Detroit District.............. DAEN NCE
(d) Rock Island District.......... DAEN NCR
(e) St. Paul District............. DAEN NCS
(6) North Pacific Division:
(a) Alaska District............... DAEN NPA
(b) Portland District............. DAEN NPP
(c) Seattle District.............. DAEN NPS
(d) Walla Walla District.......... DAEN NPW
(7) Ohio River Division:
(a) Huntington District........... DAEN ORH
(b) Louisville District........... DAEN ORL
(c) Nashville District............ DAEN ORN
(d) Pittsburgh District........... DAEN ORP
(8) Pacific Ocean Division.......... DAEN POD
(9) South Atlantic Division:
(a) Charleston District........... DAEN SAC
(b) Jacksonville District......... DAEN SAJ
(c) Mobile District............... DAEN SAM
(d) Savannah District............. DAEN SAS
(e) Wilmington District........... DAEN SAW
(10) South Pacific Division:
(a) Los Angeles District.......... DAEN SPL
(b) Sacramento District........... DAEN SPK
(c) San Franciso District......... DAEN SPN
(11) Southwestern Division:
(a) Albuquerque District.......... DAEN SWA
(b) Fort Worth District........... DAEN SWF
(c) Galveston District............ DAEN SWG
(d) Little Rock District.......... DAEN SWL
(e) Tulsa District................ DAEN SWT
------------------------------------------------------------------------
7. Procedures for Revising and Updating the Inventory of Dams Master
File.
a. To Change Correct or Add an Item. Submit a change card that
contains the identification assigned to the dams (Columns 1 thru 7), the
proper card code (Column 80) and only the item or items changed,
corrected or added. Data on the master file is added or replaced on an
item for item basis.
b. To Delete an Item. Submit a change card that contains the
identification assigned to the dam, (Columns 1 thru 7), the proper card
code (Column 80), and an asterisk (*) in the left most column of the
item or items to be deleted. More than one item can be changed,
corrected, added on or deleted from the same card.
c. To Delete the Entire Data for a Dam from the Master File. Submit
a zero (0) card punched as follows:
Columns 1 thru 7--Item 1 identification assigned to the dam
Columns 8 thru 10--Item 2, Division Code
Columns 11 thru 16--The word DELETE
Columns 17 thru 79--Blank Spaces
Column 80--A zero
8. Keypunch Instructions and Punched Card Formats.
a. Table 1 describes the character set to be used for keypunch cards
of Engr. Forms 4474 and 4474A.
b. Exhibit 1 is the EDPC keypunch instructions and punch card
formats defining the data fields (Items) and card columns to be used in
preparing punched cards in compliance with the requirements of this
regulation.
c. Exhibit 2 are prints of Engr. Forms 4474 and 4474A which are laid
out in punch card format to facilitate punching cards directly from the
completed forms.
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Appendix C to Sec. 222.6--Hydrologic and Hydraulic Assessment of Dams
1. Phase I inspections are not intended to provide detailed
hydrologic and hydraulic analyses of dam and reservoir capabilities.
However, when such analyses are available, they should be evaluated for
reliability and completeness. If a project's ability to pass the
appropriate flood (see Table 3, page D-12 of Recommended Guidelines) can
be determined from available information of a brief study, such an
assessment should be made. It should be noted that hydrologic and
hydraulic analyses connected with the Phase I inspections should be
based on approximate methods or systematized computer programs that take
minimal effort. The Hydrologic Engineering Center (HEC) has developed a
special computer program for hydrologic and hydraulic analyses to be
used with the Phase I inspection program. Other Field Operating Agencies
have developed similar computer programs or generalized procedures which
are acceptable for use. All such efforts should be completed with
minimum resources.
2. A finding that a dam will not safely pass the flood indicated in
the Recommended Guidelines does not necessarily indicate that the dam
should be classified as unsafe. The degree of inadequacy of the spillway
to pass the appropriate flood and the probable adverse impacts of dam
failure because of overtopping must be considered in making such
classification. The following criteria have
[[Page 260]]
been selected which indicate when spillway capacity is so seriously
inadequate that a project must be classified as unsafe. All of the
following conditions must prevail before designating a dam unsafe:
a. There is high hazard to loss of life from large flows downstream
of the dam.
b. Dam failure resulting from overtopping would significantly
increase the hazard to loss of life downstream from the dam from that
which would exist just before overtopping failure.
c. The spillway is not capable of passing one-half of the probable
maximum flood without overtopping the dam and causing failure.
3. The above criteria are generally adequate for evaluating most
non-Federal dams. However, in a few cases the increased hazard potential
from overtopping and failure is so great as to result in catastrophic
consequences. In such cases, the evaluation of condition 2c should
utilize a flood more closely approximating the full probable maximum
flood rather than one-half the flood. An example of such a situation
would be a large dam immediately above a highly populated flood plain,
with little likelihood of time for evacuation in the event of an
emergency.
4. Conditions 2a and 2b require an approximation of housing location
in relation to flooded areas. Resources available in Phase I inspections
do not permit detailed surveys or time-consuming studies to develop such
relationships. Therefore, rough estimates will generally be made from
data obtained during the inspection and from readily available maps and
drawings. Brief computer routings such as the HEC-1 dam break analysis,
using available data, are recommended in marginal cases. The HEC-1, dam
break version, is available on the Boeing Computer Services or may be
obtained from the Hydrologic Engineering Center, Davis, California.
Available resources do not permit detailed studies or investigations to
establish the amount of overtopping that would cause a dam to fail, as
designated in condition 2c. Professional judgment and available
information will have to be used in these determinations. When detailed
investigations and studies are required to make a reasonable judgment of
the conditions which designate an unsafe dam, the inspection report
should recommend that such studies be the responsibility of the dam
owner.
5. During the inspection of a dam, consideration should be given to
impacts on other dams located downstream from the project being
inspected. When failure of a dam would be likely to cause failure of
another dam(s) downstream, its designation as an unsafe dam could result
in multiple impacts. Therefore, the information should be explicitly
described in the inspection report. Such information may be vital to the
priorities established by State Governors for dam improvements.
Similarly, when the failure of an upstream dam (classified as unsafe)
could cause failure of the dam being inspected, this information should
be prominently displayed in the inspection report.
6. The criteria established in paragraph 2 for designating unsafe
dams because of seriously inadequate spillways are considered reasonable
and prudent. They provide a consistent bases for declaring unsafe dams
and also serve as an effective compromise between the Recommended
Guidelines and unduly low standards suggested by special interests and
individuals unfamiliar with flood hazard potential.
7. The Hydrometeorological Branch (HMB) of the National Weather
Service has reviewed some 500 experienced large storms in the United
States. The purpose of the review was to ascertain the relative
magnitude of experienced large storms to probable maximum precipitation
(PMP) and their distribution throughout the country. Their review
reveals that about 25 percent of the major storms have exceeded 50
percent of the probable maximum precipitation for one or more
combinations of area and duration. In fact some storms have very closely
approximated the PMP values. Exhibits C-1 thru C-5 indicate locations
where experienced storms have exceeded 50 percent of the PMP.
8. There are several options to consider when selecting mitigation
measures to avoid severe consequences of a dam failure from overtopping.
The following measures may be required by a Governor when sufficient
legal authority is available under State laws and a dam presents a
serious threat to loss of life.
a. Remove the dam.
b. Increase the height of dam and/or spillway size to pass the
probable maximum flood without overtopping the dam.
c. Purchase downstream land that would be adversely impacted by dam
failure and restrict human occupancy.
d. Enhance the stability of the dam to permit overtopping by the
probable maximum flood without failure.
e. Provide a highly reliable flood warning system (generally does
not prevent damage but avoids loss of life).
[[Page 261]]
Table 1--Storms With Rainfall =150% of PMP, U.S. East of the 105th Meridian (for 10 mi\2\, 6 Hours;
200 mi\2\, 24 Hours and/or 1,000 mi\2\, 48 Hours)
----------------------------------------------------------------------------------------------------------------
Corps assignment Storm center
Storm date Index No. (if ------------------------------------ Latitude Longitude
No. available) Town State
----------------------------------------------------------------------------------------------------------------
July 26, 1819................ 1 ................ Catskill........ NY.............. 42[deg]1 73[deg]53
2[min] [min]
Aug. 5, 1843................. 2 ................ Concordville.... PA.............. 39[deg]5 75[deg]32
3[min] [min]
Sept. 10-13, 1878............ 3 OR 9-19......... Jefferson....... OH.............. 41[deg]4 80[deg]46
5[min] [min]
Sept. 20-24, 1882............ 4 NA 1-3.......... Paterson........ NJ.............. 40[deg]5 74[deg]10
5[min] [min]
June 13-17, 1886............. 5 LMV 4-27........ Alexandria...... LA.............. 31[deg]1 92[deg]33
9[min] [min]
June 27-July 11, 1899........ 6 GM 3-4.......... Turnersville.... TX.............. 30[deg]5 96[deg]32
2[min] [min]
Aug. 24-28, 1903............. 7 MR 1-10......... Woodburn........ IA.............. 40[deg]5 93[deg]35
7[min] [min]
Oct. 7-11, 1903.............. 8 GL 4-9.......... Paterson........ NJ.............. 40[deg]5 74[deg]10
5[min] [min]
July 18-23, 1909............. 9 UMV 1-11B....... Ironwood........ MI.............. 46[deg]2 90[deg]11
7[min] [min]
July 18-23, 1909............. 10 UMV 1-11A....... Beaulieu........ MN.............. 47[deg]2 95[deg]48
1[min] [min]
July 22-23, 1911............. 11 ................ Swede Home...... NB.............. 40[deg]2 96[deg]54
2[min] [min]
July 19-24, 1912............. 12 GL 2-29......... Merrill......... WI.............. 45[deg]1 89[deg]41
1[min] [min]
July 13-17, 1916............. 13 SA 2-9.......... Altapass........ NC.............. 35[deg]3 82[deg]01
3[min] [min]
Sept. 8-10, 1921............. 14 GM 4-12......... Taylor.......... TX.............. 30[deg]3 97[deg]18
5[min] [min]
Oct. 4-11, 1924.............. 15 SA 4-20......... New Smyrna...... FL.............. 29[deg]0 80[deg]55
7[min] [min]
Sept. 17-19, 1926............ 16 MR 4-24......... Boyden.......... IA.............. 43[deg]1 96[deg]00
2[min] [min]
Mar. 11-16, 1929............. 17 UMV 2-20........ Elba............ AL.............. 31[deg]2 86[deg]04
5[min] [min]
June 30-July 2, 1932......... 18 GM 5-1.......... State Fish TX.............. 30[deg]0 99[deg]07
Hatchery. 1[min] [min]
Sept. 16-17, 1932............ 19 ................ Ripogenus Dam... ME.............. 45[deg]5 69[deg]09
3[min] [min]
July 22-27, 193.............. 20 LMV 2-26........ Logansport...... LA.............. 31[deg]5 94[deg]00
8[min] [min]
Apr. 3-4 1934................ 21 SW 2-11......... Cheyenne........ OK.............. 35[deg]3 99[deg]40
7[min] [min]
May 30-31, 1935.............. 22 MR 3-28A........ Cherry Creek.... CO.............. 39[deg]1 104[deg]3
3[min] 2[min]
May 31, 1935................. 23 GM 5-20......... Woodward........ TX.............. 29[deg]2 99[deg]28
0[min] [min]
July 6-10, 1935.............. 24 NA 1-27......... Hector.......... NY.............. 42[deg]3 76[deg]53
0[min] [min]
Sept. 2-6, 1935.............. 25 SA 1-26......... Easton.......... MD.............. 38[deg]4 76[deg]01
6[min] [min]
Sept. 14-18, 1936............ 26 GM 5-7.......... Broome.......... TX.............. 31[deg]4 100[deg]5
7[min] 0[min]
June 19-20, 1939............. 27 ................ Snyder.......... TX.............. 32[deg]4 100[deg]5
4[min] 5[min]
July 4-5, 1939............... 28 ................ Simpson......... KY.............. 38[deg]1 83[deg]22
3[min] [min]
Aug. 19, 1939................ 29 NA 2-3.......... Manahawkin...... NJ.............. 39[deg]4 74[deg]16
2[min] [min]
June 3-4, 1940............... 30 MR 4-5.......... Grant Township.. NB.............. 42[deg]0 96[deg]53
1[min] [min]
Aug. 6-9, 1940............... 31 LMV 4-24........ Miller Isl...... LA.............. 29[deg]4 92[deg]10
5[min] [min]
Aug. 10-17, 1940............. 32 SA 5-19A........ Keysville....... VA.............. 37[deg]0 78[deg]30
3[min] [min]
Sept. 1, 1940................ 33 NA 2-4.......... Ewan............ NJ.............. 39[deg]4 75[deg]12
2[min] [min]
Sept. 2-6, 1940.............. 34 SW 2-18......... Hallet.......... OK.............. 36[deg]1 96[deg]36
5[min] [min]
Aug. 28-31, 1941............. 35 UMV 1-22........ Haywood......... WI.............. 46[deg]0 91[deg]28
0[min] [min]
Oct. 17-22, 1941............. 36 SA 5-6.......... Trenton......... FL.............. 29[deg]4 82[deg]57
8[min] [min]
July 17-18, 1942............. 37 OR 9-23......... Smethport....... PA.............. 41[deg]5 78[deg]25
0[min] [min]
Oct. 11-17, 1942............. 38 SA 1-28A........ Big Meadows..... VA.............. 38[deg]3 78[deg]26
1[min] [min]
May 6-12, 1943............... 39 SW 2-20......... Warner.......... OK.............. 35[deg]2 95[deg]18
9[min] [min]
May 12-20, 1943.............. 40 SW 2-21......... Nr. Mounds...... OK.............. 35[deg]5 96[deg]04
2[min] [min]
July 27-29, 1943............. 41 GM 5-21......... Devers.......... TX.............. 30[deg]0 94[deg]35
2[min] [min]
Aug. 4-5, 1943............... 42 OR 3-30......... Nr. Glenville... WV.............. 38[deg]5 80[deg]50
6[min] [min]
June 10-13, 1944............. 43 MR 6-15......... Nr. Stanton..... NB.............. 41[deg]5 97[deg]03
2[min] [min]
Aug. 12-15, 1946............. 44 MR 7-2A......... Cole Camp....... MO.............. 38[deg]4 93[deg]13
0[min] [min]
Aug. 12-16, 1946............. 45 MR 7-2B......... Nr. Collinsville IL.............. 38[deg]4 89[deg]59
0[min] [min]
Sept. 26-27, 1946............ 46 GM 5-24......... Nr. San Antonio. TX.............. 29[deg]2 98[deg]29
0[min] [min]
June 23-24, 1948............. 47 ................ Nr. Del Rio..... TX.............. 29[deg]2 100[deg]3
2[min] 7[min]
Sept. 3-7, 1950.............. 48 SA 5-8.......... Yankeetown...... FL.............. 29[deg]0 82[deg]42
3[min] [min]
June 23-28, 1954............. 49 SW 3-22......... Vic Pierce...... TX.............. 30[deg]2 101[deg]2
2[min] 3[min]
Aug. 17-20, 1955............. 50 NA 2-22A........ Westfield....... MA.............. 42[deg]0 72[deg]45
7[min] [min]
May 15-16, 1957.............. 51 ................ Hennessey....... OK.............. 36[deg]0 97[deg]56
2[min] [min]
June 14-15, 1957............. 52 ................ Nr. E. St. Louis IL.............. 38[deg]3 90[deg]24
7[min] [min]
June 23-24, 1963............. 53 ................ David City...... NB.............. 41[deg]1 97[deg]05
4[min] [min]
June 13-20, 1965............. 54 ................ Holly........... CO.............. 37[deg]4 102[deg]2
3[min] 3[min]
June 24, 1966................ 55 ................ Glenullin....... ND.............. 47[deg]2 101[deg]1
1[min] 9[min]
Aug. 12-13, 1966............. 56 ................ Nr. Greely...... NB.............. 41[deg]3 98[deg]32
3[min] [min]
Sept. 19-24, 1967............ 57 SW 3-24......... Falfurrias...... TX.............. 27[deg]1 98[deg]12
6[min] [min]
July 16-17, 1968............. 58 ................ Waterloo........ IA.............. 42[deg]3 92[deg]19
0[min] [min]
July 4-5, 1969............... 59 ................ Nr. Wooster..... OH.............. 40[deg]5 82[deg]00
0[min] [min]
Aug. 19-20, 1969............. 60 NA 2-3.......... Nr. Tyro........ VA.............. 37[deg]4 79[deg]00
9[min] [min]
June 9, 1972................. 61 ................ Rapid City...... SD.............. 44[deg]1 103[deg]3
2[min] 1[min]
June 19-23, 1972............. 62 ................ Zerbe........... PA.............. 40[deg]3 76[deg]31
7[min] [min]
July 21-22, 1972............. 63 ................ Nr. Cushing..... MN.............. 46[deg]1 94[deg]30
0[min] [min]
Sept. 10-12, 1972............ 64 ................ Harlan.......... IA.............. 41[deg]4 95[deg]15
3[min] [min]
Oct. 10-11, 1973............. 65 ................ Enid............ OK.............. 36[deg]2 97[deg]52
5[min] [min]
----------------------------------------------------------------------------------------------------------------
[[Page 262]]
Table 2--Storms With Rainfall =50% of PMP, U.S. West of Continental Divide (for 10 mi \2\ 6 Hours or
1,000 mi\2\ for One Duration Between 6 and 72 Hours)
----------------------------------------------------------------------------------------------------------------
Storm center Duration
Index ----------------------------------------- for
Storm date No. Latitude Longitude 1,000
Town State mi\2\
----------------------------------------------------------------------------------------------------------------
Aug. 11, 1890................... 1 Palmetto........... NV................ 37[deg]2 117[deg]4 ........
7[min] 2[min]
Aug. 12, 1891................... 2 Campo.............. CA................ 32[deg]3 116[deg]2 ........
6[min] 8[min]
Aug. 28, 1898................... 3 Ft. Mohave......... AZ................ 35[deg]0 114[deg]3 ........
3[min] 6[min]
Oct. 4-6, 1911.................. 4 Gladstone.......... CO................ 37[deg]5 107[deg]3 ........
3[min] 9[min]
Dec. 29, 1913-Jan. 3, 1914...... 5 ................... CA................ 39[deg]5 121[deg]2 ........
5[min] 5[min]
Feb. 17-22, 1914................ 6 Colby Ranch........ CA................ 34[deg]1 118[deg]0 ........
8[min] 7[min]
Feb. 20-25, 1917................ 7 ................... CA................ 37[deg]3 119[deg]3 ........
5[min] 6[min]
Sept. 13, 1918.................. 8 Red Bluff.......... CA................ 40[deg]1 122[deg]1 ........
0[min] 4[min]
Feb. 26-Mar 4, 1938............. 9 ................... CA................ 34[deg]1 117[deg]1 ........
4[min] 1[min]
Mar. 30-Apr. 2, 1931............ 10 ................... ID................ 46[deg]3 114[deg]5 24
0[min] 0[min]
Feb. 26, 1932................... 11 Big Four........... WA................ 48[deg]0 121[deg]3 ........
5[min] 0[min]
Nov. 21, 1933................... 12 Tatoosh Is......... WA................ 48[deg]2 124[deg]4 ........
3[min] 4[min]
Jan. 20-25, 1935................ 13 ................... WA................ 47[deg]3 123[deg]3 6
0[min] 0[min]
Jan. 20-25, 1935................ 14 ................... WA................ 47[deg]0 122[deg]0 72
0[min] 0[min]
Feb. 4-8, 1937.................. 15 Cyamaca Dam........ CA................ 33[deg]0 116[deg]3 ........
0[min] 5[min]
Dec. 9-12, 1937................. 16 ................... CA................ 38[deg]5 122[deg]4 ........
1[min] 3[min]
Feb. 27-Mar. 4, 1938............ 17 ................... AZ................ 34[deg]5 111[deg]4 12
7[min] 4[min]
Jan. 19-24, 1943................ 18 ................... CA................ 37[deg]3 119[deg]2 18
5[min] 5[min]
Jan. 19-24, 1943................ 19 Hoegee's Camp...... CA................ 34[deg]1 118[deg]0 ........
3[min] 2[min]
Jan. 30-Feb. 3, 1945............ 20 ................... CA................ 37[deg]3 119[deg]3 ........
5[min] 0[min]
Dec. 27, 1945................... 21 Mt. Tamalpias...... CA................ 37[deg]5 122[deg]3 ........
4[min] 4[min]
Nov. 13-21, 1950................ 22 ................... CA................ 36[deg]3 118[deg]3 24
0[min] 0[min]
Aug. 25-30, 1951................ 23 ................... AZ................ 34[deg]0 112[deg]2 72
7[min] 1[min]
July 19, 1955................... 24 Chiatovich Flat.... CA................ 37[deg]4 118[deg]1 ........
4[min] 5[min]
Aug. 16, 1958................... 25 Morgan............. UT................ 41[deg]0 111[deg]3 ........
3[min] 8[min]
Sept. 18, 1959.................. 26 Newton............. CA................ 40[deg]2 122[deg]1 ........
2[min] 2[min]
June 7-8, 1964.................. 27 Nyack Ck........... MT................ 48[deg]3 113[deg]3 12
0[min] 8[min]
Sept. 3-7, 1970................. 28 ................... UT................ 37[deg]3 109[deg]0 6
8[min] 4[min]
Sept. 3-7, 1970................. 29 ................... AZ................ 33[deg]4 110[deg]5 6
9[min] 6[min]
June 7, 1972.................... 30 Bakersfield........ CA................ 35[deg]2 119[deg]0 ........
5[min] 3[min]
Dec. 9-12, 1937................. 31 ................... CA................ 39[deg]4 121[deg]3 48
5[min] 0[min]
----------------------------------------------------------------------------------------------------------------
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Appendix D to Sec. 222.6--Recommended Guidelines for Safety Inspection
of Dams
Department of the Army--Office of the Chief of Engineers
Preface
The recommended guidelines for the safety inspection of dams were
prepared to outline principal factors to be weighed in the determination
of existing or potential hazards and to define the scope of activities
to be undertaken in the safety inspection of dams. The establishment of
rigid criteria or standards is not intended. Safety must be evaluated in
the light of peculiarities and local conditions at a particular dam and
in recognition of the many factors involved, some of which may not be
precisely known. This can only be done by competent, experienced
engineering judgment, which the guidelines are intended to supplement
and not supplant. The guidelines are intended to be flexible, and the
proper flexibility must be achieved through the employment of
experienced engineering personnel.
Conditions found during the investigation which do not meet
guideline recommendations should be assessed by the investigator as to
their import from the standpoint of the involved degree of risk. Many
deviations will not compromise project safety and the investigator is
expected to identify them in this manner if that is the case. Others
will involve various degrees of risk, the proper evaluation of which
will afford a basis for priority of subsequent attention and possible
remedial action.
The guidelines present procedures for investigating and evaluating
existing conditions for the purpose of identifying deficiencies and
hazardous conditions. The two phases of investigation outlined in the
guidelines are expected to accomplish only this and do not encompass in
scope the engineering which will be required to perform the design
studies for corrective modification work.
It is recognized that some States may have established or will adopt
inspection criteria incongruous in some respects with these guidelines.
In such instances assessments of project safety should recognize the
State's requirements as well as guideline recommendations.
The guidelines were developed with the help of several Federal
agencies and many State agencies, professional engineering
organizations, and private engineers. In reviewing two drafts of the
guidelines they have contributed many helpful suggestions. Their
contributions are deeply appreciated and have made it possible to evolve
a document representing a consensus of the engineering fraternity. As
experience is gained with use of the guidelines, suggestions for future
revisions will be generated. All such suggestions should be directed to
the Chief of Engineers, U.S. Army, DAEN-CWE-D, Washington, D.C. 20314.
Recommended Guidelines for Safety Inspection of Dams
Table of Contents
Preface
Chapter 1--Introduction
Para.
1.1 Purpose.
1.2 Applicability.
1.3 Authority.
Chapter 2--General Requirements
2.1 Classification of dams.
2.1.1 Size.
2.1.2 Hazard potential.
2.2 Selection of dams to be investigated.
2.3 Technical investigations.
2.4 Qualifications of investigators.
2.5 Reports.
Chapter 3--Phase I Investigation
3.1 Purpose.
3.2 Scope.
3.3 Engineering data.
3.4 Field inspections.
3.5 Evaluation of hydraulic and hydrologic features.
3.5.1 Design data.
3.5.2 Experience data.
3.6 Evaluation of structural stability.
3.6.1 Design and construction data.
3.6.2 Operating records.
3.6.3 Post contruction changes.
3.6.4 Seismic stability.
Chapter 4--Phase II Investigation
4.1 Purpose.
4.2 Scope.
4.3 Hydraulic and hydrologic analysis.
4.3.1 Maximum water surface based on SDF peak inflow.
4.3.1.1 Peak for 100-year flood.
4.3.1.2 Peak for PMF or fraction thereof.
4.3.2 Maximum water surface based on SDF hydrograph.
4.3.3 Acceptable procedures.
4.3.4 Freeboard allowances.
4.4 Stability investigations.
4.4.1 Foundation and material investigations.
4.4.2 Stability assessment.
4.4.2.1 Seismic stability.
4.4.2.2 Clay shale foundation.
4.4.3 Embankment dams.
4.4.3.1 Liquefaction.
4.4.3.2 Shear failure.
4.4.3.3 Loading conditions.
4.4.3.4 Safety factors.
4.4.3.5 Seepage failure.
4.4.3.6 Seepage analyses.
[[Page 269]]
4.4.4 Concrete dams and appurtenant structures.
4.4.4.1 Requirements for stability.
4.4.4.2 Loads.
4.4.4.3 Stresses.
4.4.4.4 Overturning.
4.4.4.5 Sliding.
4.4.4.5.1 Sliding resistance.
4.4.4.5.2 Downstream resistance.
4.4.4.5.3 Safety factor.
Chapter 5--Reports
5.1 General.
5.2 Preparation of report.
5.2.1 Phase I reports.
5.2.2 Phase II reports.
Tables
Table
1 Size classification.
2 Hazard potential classification.
3 Hydrologic evaluation guidelines.
4 Factors of safety (embankment dams).
Figures
Fig.
1 Seismic zone map of contiguous States.
2 Seismic zone map of California, Nevada and Arizona.
3 Seismic zone map of Alaska.
4 Seismic zone map of Hawaii.
5 Design envelope for Case I (Table 4).
6 Design envelope for Cases II and III (Table 4).
Appendixes
Appendix I to App. D--Engineering data
Appendix II to App. D--Inspection items
Appendix III to App. D--Pub. L. 92-367
Chapter 1--Introduction
1.1. Purpose. This document provides recommended guidelines for the
inspection and evaluation of dams to determine if they constitute
hazards to human life or property.
1.2. Applicability. The procedures and guidelines outlined in this
document apply to the inspection and evaluation of all dams as defined
in the National Dam Inspection Act, Public Law 92-367. Included in this
program are all artificial barriers together with appurtenant works
which impound or divert water and which (1) are twenty-five feet or more
in height or (2) have an impounding capacity of fifty acre-feet or more.
Not included are barriers which are six feet or less in height,
regardless of storage capacity, or barriers which have a storage
capacity at maximum water storage elevation of fifteen acre-feet or less
regardless of height.
1.3. Authority. The Dam Inspection Act, Public Law 92-367 (Appendix
III), authorized the Secretary of the Army, through the Corps of
Engineers, to initiate a program of safety inspection of dams throughout
the United States. The Chief of Engineers issues these guidelines
pursuant to that authority.
Chapter 2--General Requirements
2.1. Classification of dams. Dams should be classified in accordance
with size and hazard potential in order to formulate a priority basis
for selecting dams to be included in the inspection program and also to
provide compatibility between guideline requirements and involved risks.
When possible the initial classifications should be based upon
information listed in the National Inventory of Dams with respect to
size, impoundment capacity and hazard potential. It may be necessary to
reclassify dams when additional information becomes available.
2.1.1. Size. The classification for size based on the height of the
dam and storage capacity should be in accordance with Table 1. The
height of the dam is established with respect to the maximum storage
potential measured from the natural bed of the stream or watercourse at
the downstream toe of the barrier, or if it is not across a stream or
watercourse, the height from the lowest elevation of the outside limit
of the barrier, to the maximum water storage elevation. For the purpose
of determining project size, the maximum storage elevation may be
considered equal to the top of dam elevation. Size classification may be
determined by either storage or height, whichever gives the larger size
category.
Table 1--Size Classification
------------------------------------------------------------------------
Impoundment
Category ---------------------------------------
Storage (ac-ft) Height (ft)
------------------------------------------------------------------------
Small........................... <1,000 and =50. eq>=25.
Intermediate.................... =1,000 =40 and
and <50,000. <100.
Large........................... =50,000 =100.
------------------------------------------------------------------------
2.1.2. Hazard Potential. The classification for potential hazards
should be in accordance with Table 2. The hazards pertain to potential
loss of human life or property damage in the area downstream of the dam
in event of failure or misoperation of the dam or appurtenant
facilities. Dams conforming to criteria for the low hazard potential
category generally will be located in rural or agricultural areas where
failure may damage farm buildings, limited agricultural land, or
township and country roads. Significant hazard potential category
structures will be those located in predominantly rural or agricultural
areas where failure may damage isolated homes, secondary highways or
minor railroads or cause interruption of use or service of relatively
important public utilities. Dams in the high hazard potential category
will be those located where failure may cause serious damage to homes,
extensive agricultural, industrial and commercial facilities, important
public utilities, main highways, or railroads.
[[Page 270]]
Table 2--Hazard Potential Classification
----------------------------------------------------------------------------------------------------------------
Loss of life (extent of Economic loss (extent of
Category development) development)
----------------------------------------------------------------------------------------------------------------
Low.................................... None expected (No permanent Minimal (Undeveloped to occasional
structures for human habitation). structures or agriculture).
Significant............................ Few (No urban developments and no Appreciable (Notable agriculture,
more than a small number of industry or structures).
inhabitable structures).
High................................... More than few...................... Excessive (Extensive community,
industry or agriculture).
----------------------------------------------------------------------------------------------------------------
2.2. Selection of dams to be investigated. The selection of dams to
be investigated should be based upon an assessment of existing
developments in flood hazard areas. Those dams possessing a hazard
potential classified high or significant as indicated in Table 2 should
be given first and second priorities, respectively, in the inspection
program. Inspection priorities within each category may be developed
from a consideration of factors such as size classification and age of
the dam, the population size in the downstream flood area, and potential
developments anticipated in flood hazard areas.
2.3. Technical Investigations. A detailed, systematic, technical
inspection and evaluation should be made of each dam selected for
investigation in which the hydraulic and hydrologic capabilities,
structural stability and operational adequacy of project features are
analyzed and evaluated to determine if the dam constitutes a danger to
human life or property. The investigation should vary in scope and
completeness depending upon the availability and suitability of
engineering data, the validity of design assumptions and analyses and
the condition of the dam. The minimum investigation will be designated
Phase I, and an in-depth investigation designated Phase II should be
made where deemed necessary. Phase I investigations should consist of a
visual inspection of the dam, abutments and critical appurtenant
structures, and a review of readily available engineering data. It is
not intended to perform costly explorations or analyses during Phase I.
Phase II investigations should consist of all additional engineering
investigations and analyses found necessary by results of the Phase I
investigation.
2.4. Qualifications of investigators. The technical investigations
should be conducted under the direction of licensed professional
engineers experienced in the investigation, design, construction and
operation of dams, applying the disciplines of hydrologic, hydraulic,
soils and structural engineering and engineering geology. All field
inspections should be conducted by qualified engineers, engineering
geologists and other specialists, including experts on mechanical and
electrical operation of gates and controls, knowledgeable in the
investigation, design, construction and operation of dams.
Chapter 3--Phase I Investigation
3.1. Purpose. The primary purpose of the Phase I investigation
program is to identify expeditiously those dams which may pose hazards
to human life or property.
3.2. Scope. The Phase I investigation will develop an assessment of
the general condition with respect to safety of the project based upon
available data and a visual inspection, determine any need for emergency
measures and conclude if additional studies, investigation and analyses
are necessary and warranted. A review will be made of pertinent existing
and available engineering data relative to the design, construction and
operation of the dam and appurtenant structures, including electrical
and mechanical operating equipment and measurements from inspection and
performance instruments and devices; and a detailed systematic visual
inspection will be performed of those features relating to the stability
and operational adequacy of the project. Based upon findings of the
review of engineering data and the visual inspection, an evaluation will
be made of the general condition of the dam, including where possible
the assessment of the hydraulic and hydrologic capabilities and the
structural stability.
3.3. Engineering data. To the extent feasible the engineering data
listed in Appendix I relating to the design, construction and operation
of the dam and appurtenant structures, should be collected from existing
records and reviewed to aid in evaluating the adequacy of hydraulic and
hydrologic capabilities and stability of the dam. Where the necessary
engineering data are unavailable, inadequate or invalid, a listing
should be made of those specific additional data deemed necessary by the
engineer in charge of the investigation and included in the Phase I
report.
3.4. Field inspections. The field inspection of the dam, appurtenant
stuctures, reservoir area, and downstream channel in the vicinity of the
dam should be conducted in a systematic manner to minimize the
possibility of any significant feature being overlooked. A detailed
checklist should be developed and followed for each dam inspected to
document
[[Page 271]]
the examination of each significant structural and hydraulic feature
including electrical and mechanical equipment for operation of the
control facilities that affect the safety of the dam.
3.4.1. Particular attention should be given to detecting evidence of
leakage, erosion, seepage, slope instability, undue settlement,
displacement, tilting, cracking, deterioration, and improper functioning
of drains and relief wells. The adequacy and quality of maintenance and
operating procedures as they pertain to the safety of the dam and
operation of the control facilities should also be assessed.
3.4.2. Photographs and drawings should be used freely to record
conditions in order to minimize descriptions.
3.4.3. The field inspection should include appropriate features and
items, including but not limited to those listed in Appendix II, which
may influence the safety of the dam or indicate potential hazards to
human life or property.
3.5. Evaluation of hydraulic and hydrologic Features.
3.5.1. Design data. Original hydraulic and hydrologic design
assumptions obtained from the project records should be assessed to
determine their acceptability in evaluating the safety of the dam. All
constraints on water control such as blocked entrances, restrictions on
operation of spillway and outlet gates, inadequate energy dissipators or
restrictive channel conditions, significant reduction in reservoir
capacity by sediment deposits and other factors should be considered in
evaluating the validity of discharge ratings, storage capacity,
hydrographs, routings and regulation plans. The discharge capacity and/
or storage capacity should be capable of safely handling the recommended
spillway design flood for the size and hazard potential classification
of the dam as indicated in Table 3. The hydraulic and hydrologic
determinations for design as obtained from project records will be
acceptable if conventional techniques similar to the procedures outlined
in paragraph 4.3. were used in obtaining the data. When the project
design flood actually used exceeds the recommended spillway design
flood, from Table 3, the project design flood will be acceptable in
evaluating the safety of the dam.
Table 3--Hydrologic Evaluation Guidelines
[Recommended spillway design floods]
------------------------------------------------------------------------
Spillway design
Hazard Size flood (SDF) \1\
------------------------------------------------------------------------
Low............................. Small............. 50 to 100-yr
frequency.
Intermediate...... 100-yr to \1/2\
PMF.
Large............. \1/2\ PMF to PMF.
Significant..................... Small............. 100-yr to \1/2\
PMF.
Intermediate...... \1/2\ PMF to PMF.
Large............. PMF.
High............................ Small............. \1/2\ PMF to PMF.
Intermediate...... PMF.
Large............. PMF.
------------------------------------------------------------------------
\1\ The recommended design floods in this column represent the magnitude
of the spillway design flood (SDF), which is intended to represent the
largest flood that need be considered in the evaluation of a given
project, regardless of whether a spillway is provided; i.e., a given
project should be capable of safely passing the appropriate SDF. Where
a range of SDF is indicated, the magnitude that most closely relates
to the involved risk should be selected.
1000-yr = 100-Year Exceedence Interval. The flood magnitude expected to
be exceeded, on the average, of once in 100 years. It may also
be expressed as an exceedence frequency with a one-percent
chance of being exceeded in any given year.
PMF = Probable Maximum Flood. The flood that may be expected from the
most severe combination of critical meteorologic and
hydrologic conditions that are reasonably possible in the
region. The PMF is derived from probable maximum precipitation
(PMP), which information is generally available from the
National Weather Service, NOAA. Most Federal agencies apply
reduction factors to the PMP when appropriate. Reductions may
be applied because rainfall isohyetals are unlikely to conform
to the exact shape of the drainage basin and/or the storm is
not likely to center exactly over the drainage basin. In some
cases local topography will cause changes from the generalized
PMP values, therefore it may be advisable to contact Federal
construction agencies to obtain the prevailing practice in
specific areas.
3.5.2. Experience data. In some cases where design data are lacking,
an evaluation of overtopping potential may be based on watershed
characteristics and rainfall and reservoir records. An estimate of the
probable maximum flood may also be developed from a conservative,
generalized comparison of the drainage area size and the magnitude of
recently adopted probable maximum floods for damsites in comparable
hydrologic regions. Where the review of such experience data indicates
that the recommended spillway design flood would not cause overtopping
additional hydraulic and hydrologic determinations will be unnecessary.
3.6. Evaluation of structural stability. The Phase I evaluations of
structural adequacy of project features are expected to be based
principally on existing conditions as revealed by the visual inspection,
together with available design and construction information and records
of performance. The objectives are to determine the existence of
conditions which are hazardous, or which
[[Page 272]]
with time might develop into safety hazards, and to formulate
recommendations pertaining to the need for any additional studies,
investigations, or analyses. The results of this phase of the inspection
must rely very substantially upon the experience and judgment of the
inspecting engineer.
3.6.1. Design and construction data. The principal design
assumptions and analyses obtained from the project records should be
assessed. Original design and construction records should be used
judiciously, recognizing the restricted applicability of such data as
material strengths and permeabilities, geological factors and
construction descriptions. Original stability studies and analyses
should be acceptable if conventional techniques and procedures similar
to those outlined in paragraph 4.4 were employed, provided that review
of operational and performance data confirm that the original design
assumptions were adequately conservative. The need for such analyses
where either none exist or the originals are incomplete or
unsatisfactory will be determined by the inspecting engineer based upon
other factors such as condition of structures, prior maximum loadings
and the hazard degree of the project. Design assumptions and analyses
should include all applicable loads including earthquake and indicate
the structure's capability to resist overturning, sliding and
overstressing with adequate factors of safety. In general seepage and
stability analyses comparable to the requirements of paragraph 4.4
should be on record for all dams in the high hazard category and large
dams in the significant hazard category. This requirement for other dams
will be subject to the opinion of the inspecting engineer.
3.6.2. Operating records. The performance of structures under prior
maximum loading conditions should in some instances provide partial
basis for stability evaluation. Satisfactory experience under loading
conditions not expected to be exceeded in the future should generally be
indicative of satisfactory stability, provided adverse changes in
physical conditions have not occurred. Instrumentation observations of
forces, pressures, loads, stresses, strains, displacements, deflections
or other related conditions should also be utilized in the safety
evaluation. Where such data indicate abnormal behavior, unsafe movement
or deflections, or loadings which adversely affect the stability or
functioning of the structure, prompt reporting of such circumstances is
required without the delay for preparation of the official inspection
report.
3.6.3. Post construction changes. Data should be collected on
changes which have occurred since project construction that might
influence the safety of the dam such as road cuts, quarries, mining and
groundwater changes.
3.6.4. Seismic stability. An assessment should be made of the
potential vulnerability of the dam to seismic events and a
recommendation developed with regard to the need for additional seismic
investigation. In general, projects located in Seismic Zones 0, 1 and 2
may be assumed to present no hazard from earthquake provided static
stability conditions are satisfactory and conventional safety margins
exist. Dams in Zones 3 and 4 should, as a minimum, have on record
suitable analyses made by conventional equivalent static load methods.
The seismic zones together with appropriate coefficients for use in such
analyses are shown in Figures 1 through 4. Boundary lines are
approximate and in the event of doubt about the proper zone, the higher
zone should be used. All high hazard category dams in Zone 4 and high
hazard dams of the hydraulic fill type in Zone 3 should have a stability
assessment based upon knowledge of regional and local geology,
engineering seismology, in situ properties of materials and appropriate
dynamic analytical and testing procedures. The assessment should include
the possibility of physical displacement of the structures due to
movements along active faults. Departure from this general guidance
should be made whenever in the judgment of the investigating engineer
different seismic stability requirements are warranted because of local
geological conditions or other reasons.
Chapter 4--Phase II Investigation
4.1. Purpose. The Phase II investigation will be supplementary to
Phase I and should be conducted when the results of the Phase I
investigation indicate the need for additional in-depth studies,
investigations or analyses.
4.2. Scope. The Phase II investigation should include all additional
studies, investigations and analyses necessary to evaluate the safety of
the dam. Included, as required, will be additional visual inspections,
measurements, foundation exploration and testing, materials testing,
hydraulic and hydrologic analysis and structural stability analyses.
4.3. Hydraulic and hydrologic analysis. Hydraulic and hydrologic
capabilities should be determined using the following criteria and
procedures. Depending on the project characteristics, either the
spillway design flood peak inflow or the spillway design flood
hydrograph should be the basis for determining the maximum water surface
elevation and maximum outflow. If the operation or failure of upstream
water control projects would have significant impact on peak flow or
hydrograph analyses, the impact should be assessed.
4.3.1. Maximum water surface based on SDF peak inflow. When the
total project discharge capability at maximum pool exceeds the peak
inflow of the recommended SDF, and
[[Page 273]]
operational constraints would not prevent such a release at controlled
projects, a reservoir routing is not required. The maximum discharge
should be assumed equal to the peak inflow of the spillway design flood.
Flood volume is not controlling in this situation and surcharge storage
is either absent or is significant only to the extent that it provides
the head necessary to develop the release capability required.
4.3.1.1. Peak for 100-year flood. When the 100-year flood is
applicable under the provisions of Table 3 and data are available, the
spillway design flood peak inflow may be determined by use of ``A
Uniform Technique for Determining Flood Frequencies,'' Water Resources
Council (WRC), Hydrology Committee, Bulletin 15, December 1967. Flow
frequency information from regional analysis is generally preferred over
single station results when available and appropriate. Rainfall-runoff
techniques may be necessary when there are inadequate runoff data
available to make a reasonable estimate of flow frequency.
4.3.1.2. Peak for PMF or fraction thereof. When either the Probable
Maximum Flood peak or a fraction thereof is applicable under the
provisions of Table 3, the unit hydrograph--infiltration loss technique
is generally the most expeditious method of computing the spillway
design flood peak for most projects. This technique is discussed in the
following paragraph.
4.3.2. Maximum water surface based on SDF hydrograph. Both peak and
volume are required in this analysis. Where surcharge storage is
significant, or where there is insufficient discharge capability at
maximum pool to pass the peak inflow of the SDF, considering all
possible operational constraints, a flood hydrograph is required. When
there are upstream hazard areas that would be imperiled by fast rising
reservoirs levels, SDF hydrographs should be routed to ascertain
available time for warning and escape. Determination of probable maximum
precipitation or 100-year precipitation, which ever is applicable, and
unit hydrographs or runoff models will be required, followed by the
determination of the PMF or 100-year flood. Conservative loss rates
(significantly reduced by antecedent rainfall conditions where
appropriate) should be estimated for computing the rainfall excess to be
utilized with unit hydrographs. Rainfall values are usually arranged
with gradually ascending and descending rates with the maximum rate late
in the storm. When applicable, conservatively high snowmelt runoff rates
and appropriate releases from upstream projects should be assumed. The
PMP may be obtained from National Weather Service (NWS) publications
such as Hydrometeorological Report (HMR) 33. Special NWS publications
for particular areas should be used when available. Rainfall for the
100-year frequency flood can be obtained from the NWS publication
``Rainfall Frequency Atlas of the United States,'' Technical Paper No.
40; Atlas 2, ``Precipitation Frequency Atlas of Western United States;''
or other NWS publications. The maximum water surface elevation and
spillway design flood outflow are then determined by routing the inflow
hydrograph through the reservoir surcharge storage, assuming a starting
water surface at the bottom of surcharge storage, or lower when
appropriate. For projects where the bottom of surcharge space is not
distinct, or the flood control storage space (exclusive of surcharge) is
appreciable, it may be appropriate to select starting water surface
elevations below the top of the flood control storage for routings.
Conservatively high starting levels should be estimated on the basis of
hydrometeorological conditions reasonably characteristic for the region
and flood release capability of the project. Necessary adjustment of
reservoir storage capacity due to existing or future sediment or other
encroachment may be approximated when accurate determination of
deposition is not practicable.
4.3.3. Acceptable procedures. Techniques for performing hydraulic
and hydrologic analyses are generally available from publications
prepared by Federal agencies involved in water resources development or
textbooks written by the academic community. Some of these procedures
are rather sophisticated and require expensive computational equipment
and large data banks. While results of such procedures are generally
more reliable than simplified methods, their use is generally not
warranted in studies connected with this program unless they can be
performed quickly and inexpensively. There may be situations where the
more complex techniques have to be employed to obtain reliable results;
however, these cases will be exceptions rather than the rule. Whenever
the acceptability of procedures is in question, the advice of competent
experts should be sought. Such expertise is generally available in the
Corps of Engineers, Bureau of Reclamation and Soil Conservation Service.
Many other agencies, educational facilities and private consultants can
also provide expert advice. Regardless of where such expertise is based,
the qualification of those individuals offering to provide it should be
carefully examined and evaluated.
4.3.4. Freeboard allowances. Guidelines on specific minimum
freeboard allowances are not considered appropriate because of the many
factors involved in such determinations. The investigator will have to
assess the critical parameters for each project and develop its minimum
requirement. Many projects are reasonably safe without freeboard
allowance because they are designed for overtopping, or other factors
minimize possible overtopping. Conversely,
[[Page 274]]
freeboard allowances of several feet may be necessary to provide a safe
condition. Parameters that should be considered include the duration of
high water levels in the reservoir during the design flood; the
effective wind fetch and reservoir depth available to support wave
generation; the probability of high wind speed occurring from a critical
direction; the potential wave runup on the dam based on roughness and
slope; and the ability of the dam to resist erosion from overtopping
waves.
4.4 Stability investigations. The Phase II stability investigations
should be compatible with the guidelines of this paragraph.
4.4.1 Foundation and material investigations. The scope of the
foundation and materials investigation should be limited to obtaining
the information required to analyze the structural stability and to
investigate any suspected condition which would adversely affect the
safety of the dam. Such investigations may include borings to obtain
concrete, embankment, soil foundation, and bedrock samples; testing
specimens from these samples to determine the strength and elastic
parameters of the materials, including the soft seams, joints, fault
gouge and expansive clays or other critical materials in the foundation;
determining the character of the bedrock including joints, bedding
planes, fractures, faults, voids and caverns, and other geological
irregularities; and installing instruments for determining movements,
strains, suspected excessive internal seepage pressures, seepage
gradients and uplift forces. Special investigations may be necessary
where suspect rock types such as limestone, gypsum, salt, basalt,
claystone, shales or others are involved in foundations or abutments in
order to determine the extent of cavities, piping or other deficiencies
in the rock foundation. A concrete core drilling program should be
undertaken only when the existence of significant structural cracks is
suspected or the general qualitative condition of the concrete is in
doubt. The tests of materials will be necessary only where such data are
lacking or are outdated.
4.4.2. Stability assessment. Stability assessments should utilize in
situ properties of the structure and its foundation and pertinent
geologic information. Geologic information that should be considered
includes groundwater and seepage conditions; lithology, stratigraphy,
and geologic details disclosed by borings, ``as-built'' records, and
geologic interpretation; maximum past overburden at site as deduced from
geologic evidence; bedding, folding and faulting; joints and joint
systems; weathering; slickensides, and field evidence relating to
slides, faults, movements and earthquake activity. Foundations may
present problems where they contain adversely oriented joints,
slickensides or fissured material, faults, seams of soft materials, or
weak layers. Such defects and excess pore water pressures may contribute
to instability. Special tests may be necessary to determine physical
properties of particular materials. The results of stability analyses
afford a means of evaluating the structure's existing resistance to
failure and also the effects of any proposed modifications. Results of
stability analyses should be reviewed for compatibility with performance
experience when possible.
4.4.2.1. Seismic stability. The inertial forces for use in the
conventional equivalent static force method of analysis should be
obtained by multiplying the weight by the seismic coefficient and should
be applied as a horizontal force at the center of gravity of the section
or element. The seismic coefficients suggested for use with such
analyses are listed in Figures 1 through 4. Seismic stability
investigations for all high hazard category dams located in Seismic Zone
4 and high hazard dams of the hydraulic fill type in Zone 3 should
include suitable dynamic procedures and analyses. Dynamic analyses for
other dams and higher seismic coefficients are appropriate if in the
judgment of the investigating engineer they are warranted because of
proximity to active faults or other reasons. Seismic stability
investigations should utilize ``state-of-the-art'' procedures involving
seismological and geological studies to establish earthquake parameters
for use in dynamic stability analyses and, where appropriate, the
dynamic testing of materials. Stability analyses may be based upon
either time-history or response spectra techniques. The results of
dynamic analyses should be assessed on the basis of whether or not the
dam would have sufficient residual integrity to retain the reservoir
during and after the greatest or most adverse earthquake which might
occur near the project location.
4.4.2.2. Clay shale foundation. Clay shale is a highly
overconsolidated sedimentary rock comprised predominantly of clay
minerals, with little or no cementation. Foundations of clay shales
require special measures in stability investigations. Clay shales,
particularly those containing montmorillonite, may be highly susceptible
to expansion and consequent loss of strength upon unloading. The shear
strength and the resistance to deformation of clay shales may be quite
low and high pore water pressures may develop under increase in load.
The presence of slickensides in clay shales is usually an indication of
low shear strength. Prediction of field behavior of clay shales should
not be based solely on results of conventional laboratory tests since
they may be misleading. The use of peak shear strengths for clay shales
in stability analyses may be unconservative because of nonuniform stress
distribution and possible progressive failures. Thus the available shear
resistance may be less than if the peak shear strength
[[Page 275]]
were mobilized simultaneously along the entire failure surface. In such
cases, either greater safety factors or residual shear strength should
be used.
4.4.3. Embankment dams.
4.4.3.1. Liquefaction. The phenomenon of liquefaction of loose,
saturated sands and silts may occur when such materials are subjected to
shear deformation or earthquake shocks. The possibility of liquefaction
must presently be evaluated on the basis of empirical knowledge
supplemented by special laboratory tests and engineering judgment. The
possiblitity of liquefaction in sands diminishes as the relative density
increases above approximately 70 percent. Hydraulic fill dams in Seismic
Zones 3 and 4 should receive particular attention since such dams are
susceptible to liquefaction under earthquake shocks.
4.4.3.2. Shear failure. Shear failure is one in which a portion of
an embankment or of an embankment and foundation moves by sliding or
rotating relative to the remainder of the mass. It is conventionally
represented as occurring along a surface and is so assumed in stability
analyses, although shearing may occur in a zone of substantial
thickness. The circular arc or the sliding wedge method of analyzing
stability, as pertinent, should be used. The circular arc method is
generally applicable to essentially homogeneous embankments and to soil
foundations consisting of thick deposits of fine-grained soil containing
no layers significantly weaker than other strata in the foundation. The
wedge method is generally applicable to rockfill dams and to earth dams
on foundations containing weak layers. Other methods of analysis such as
those employing complex shear surfaces may be appropriate depending on
the soil and rock in the dam and foundation. Such methods should be in
reputable usage in the engineering profession.
4.4.3.3. Loading conditions. The loading conditions for which the
embankment structures should be investigated are (I) Sudden drawdown
from spillway crest elevation or top of gates, (II) Partial pool, (III)
Steady state seepage from spillway crest elevation or top of gate
elevation, and (IV) Earthquake. Cases I and II apply to upstream slopes
only; slopes; and Case IV applies to both upstream and downstream Case
III applies to downstream slopes. A summary of suggested strengths and
safety factors are shown in Table 4.
Table 4--Factors of Safety \1\
----------------------------------------------------------------------------------------------------------------
Factor
Case and loading condition of Shear \2\ strength Remarks
safety
----------------------------------------------------------------------------------------------------------------
I Sudden drawdown from spillway crest or \3\ 1.2 Minimum composite of R and Within the drawdown zone
top of gates to minimum drawdown S shear strengths. See submerged unit weights of
elevation. Figure 5. materials are used for
computing forces resisting
sliding and saturated unit
weights are used for computing
forces contributing to sliding.
II Partial pool with assumed horizontal 1.5 R + S/2 for RS........ of R and
S shear strengths. See Figure
6.
III Steady seepage from spillway crest 1.5 Same as Case II............
or top of gates with Kh/Kv = 9 assumed
\4\.
IV Earthquake (Cases II and III with 1.0 (\5\ )..................... See Figures 1 through 4 for
seismic loading). Seismic Coefficients.
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable to embankments on clay shale foundation. Experience has indicated special problems in
determination of design shear strengths for clay shale foundations and acceptable safety factors should be
compatible with the confidence level in shear strength assumptions.
\2\ Other strength assumptions may be used if in common usage in the engineering profession.
\3\ The safety factor should not be less than 1.5 when drawdown rate and pore water pressure developed from flow
nets are used in stability analyses.
\4\ Kh/Kv is the ratio of horizontal to vertical permeability. A minimum of 9 is suggested for use in compacted
embankments and alluvial sediments.
\5\ Use shear strength for case analyzed without earthquake. It is not necessary to analyze sudden drawdown for
earthquake loading. Shear strength tests are classified according to the controlled drainage conditions
maintained during the test. R tests are those in which specimen drainage is allowed during consolidation (or
swelling) under initial stress conditions, but specimen drainage is not allowed during application of shearing
stresses. S tests allow full drainage during initial stress application and shearing is at a slow rate so that
complete specimen drainage is permitted during the complete test.
4.4.3.4. Safety factors. Safety factors for embankment dam stability
studies should be based on the ratio of available shear strength to
developed shear strength, SD:
[GRAPHIC] [TIFF OMITTED] TC15NO91.000
Where:
C = Cohesion
[phis] = Angle of internal friction
[sigma] = Normal stress
The factors of safety listed in Table 4 are recommended as minimum
acceptable. Final accepted factors of safety should depend upon the
degree of confidence the investigating engineer has in the engineering
data
[[Page 276]]
available to him. The consequences of a failure with respect to human
life and property damage are important considerations in establishing
factors of safety for specific investigations.
4.4.3.5. Seepage failure. A critical uncontrolled underseepage or
through seepage condition that develops during a rising pool can quickly
reduce a structure which was stable under previous conditions, to a
total structural failure. The visually confirmed seepage conditions to
be avoided are (1) the exit of the phreatic surface on the downstream
slope of the dam and (2) development of hydrostatic heads sufficient to
create in the area downstream of the dam sand boils that erode materials
by the phenomenon known as ``piping'' and (3) localized concentrations
of seepage along conduits or through pervious zones. The dams most
susceptible to seepage problems are those built of or on pervious
materials of uniform fine particle size, with no provisions for an
internal drainage zone and/or no underseepage controls.
4.4.3.6. Seepage analyses. Review and modifications to original
seepage design analyses should consider conditions observed in the field
inspection and piezometer instrumentation. A seepage analysis should
consider the permeability ratios resulting from natural deposition and
from compaction placement of materials with appropriate variation
between horizontal and vertical permeability. An underseepage analysis
of the embankment should provide a critical gradient factor of safety
for the maximum head condition of not less than 1.5 in the area
downstream of the embankment.
[GRAPHIC] [TIFF OMITTED] TC15NO91.001
Where:
ic = Critical gradient
i = Design gradient
H = Uplift head at downstream toe of dam measured above tailwater
Hc = The critical uplift
Db = The thickness of the top impervious blanket at the
downstream toe of the dam
[gamma]m = The estimated saturated unit weight of the
material in the top impervious blanket
[gamma]w = The unit weight of water
Where a factor of safety less than 1.5 is obtained the provision of
an underseepage control system is indicated. The factor of safety of 1.5
is a recommended minimum and may be adjusted by the responsible engineer
based on the competence of the engineering data.
4.4.4. Concrete dams and appurtenant structures.
4.4.4.1. Requirements for stability. Concrete dams and structures
appurtenant to embankment dams should be capable of resisting
overturning, sliding and overstressing with adequate factors of safety
for normal and maximum loading conditions.
4.4.4.2. Loads. Loadings to be considered in stability analyses
include the water load on the upstream face of the dam; the weight of
the structure; internal hydrostatic pressures (uplift) within the body
of the dam, at the base of the dam and within the foundation; earth and
silt loads; ice pressure, seismic and thermal loads, and other loads as
applicable. Where tailwater or backwater exists on the downstream side
of the structure it should be considered, and assumed uplift pressures
should be compatible with drainage provisions and uplift measurements if
available. Where applicable, ice pressure should be applied to the
contact surface of the structure of normal pool elevation. A unit
pressure of not more than 5,000 pounds per square foot should be used.
Normally, ice thickness should not be assumed greater than two feet.
Earthquake forces should consist of the inertial forces due to the
horizontal acceleration of the dam itself and hydrodynamic forces
resulting from the reaction of the reservoir water against the
structure. Dynamic water pressures for use in a conventional methods of
analysis may be computed by means of the ``Westergaard Formula'' using
the parabolic approximation (H.M. Westergaard, ``Water Pressures on Dams
During Earthquakes,'' Trans., ASCE, Vol 98, 1933, pages 418-433), or
similar method.
4.4.4.3. Stresses. The analysis of concrete stresses should be based
on in situ properties of the concrete and foundation. Computed maximum
compressive stresses for normal operating conditions in the order of \1/
3\ or less of in situ strengths should be satisfactory. Tensile stresses
in unreinforced concrete should be acceptable only in locations where
cracks will not adversely affect the overall performance and stability
of the structure. Foundation stresses should be such as to provide
adequate safety against failure of the foundation material under all
loading conditions.
4.4.4.4. Overturning. A gravity structure should be capable of
resisting all overturning forces. It can be considered safe against
overturning if the resultant of all combinations of horizontal and
vertical forces, excluding earthquake forces, acting above any
horizontal plane through the structure or at its base is located within
the middle third of the section. When earthquake is included the
resultant should fall within the limits of the plane or base, and
foundation pressures must be acceptable. When these requirements for
location of the resultant are not satisfied the investigating engineer
should assess the importance to stability of the deviations.
4.4.4.5. Sliding. Sliding of concrete gravity structures and of
abutment and foundation rock masses for all types of concrete dams
[[Page 277]]
should be evaluated by the shear-friction resistance concept. The
available sliding resistance is compared with the driving force which
tends to induce sliding to arrive at a sliding stability safety factor.
The investigation should be made along all potential sliding paths. The
critical path is that plane or combination of planes which offers the
least resistance.
4.4.4.5.1. Sliding resistance. Sliding resistance is a function of
the unit shearing strength at no normal load (cohesion) and the angle of
friction on a potential failure surface. It is determined by computing
the maximum horizontal driving force which could be resisted along the
sliding path under investigation. The following general formula is
obtained from the principles of statics and may be derived by resolving
forces parallel and perpendicular to the sliding plane:
[GRAPHIC] [TIFF OMITTED] TC15NO91.002
Where:
RR = Sliding Resistance (maximum horizontal driving force
which can be resisted by the critical path)
[phis] = Angle of internal friction of foundation material or, where
applicable, angle of sliding friction
V = Summation of vertical forces (including uplift)
c = Unit shearing strength at zero normal loading along potential
failure plane
A = Area of potential failure plane developing unit shear strength ``c''
[alpha] = Angle between inclined plane and horizontal (positive for
uphill sliding)
For sliding downhill the angle [alpha] is negative and Equation (1)
becomes:
[GRAPHIC] [TIFF OMITTED] TC15NO91.003
When the plane of investigation is horizontal, and the angle [alpha]
is zero and Equation (1) reduced to the following:
[GRAPHIC] [TIFF OMITTED] TC15NO91.004
4.4.4.5.2. Downstream esistance. When the base of a concrete
structure is embedded in rock or the potential failure plane lies below
the base, the passive resistance of the downstream layer of rock may
sometimes be utilized for sliding resistance. Rock that may be subjected
to high velocity water scouring should not be used. The magnitude of the
downstream resistance is the lesser of (a) the shearing resistance along
the continuation of the potential sliding plane until it daylights or
(b) the resistance available from the downstream rock wedge along an
inclined plane. The theoretical resistance offered by the passive wedge
can be computed by a formula equivalent to formula (3):
[GRAPHIC] [TIFF OMITTED] TC15NO91.005
Where:
Pp = Passive resistance of rock wedge
W = Weight (buoyant weight if applicable) of downstream rock wedge above
inclined plane of resistance, plus any superimposed loads
[phis] = Angle of internal friction or, if applicable, angle of sliding
friction
[alpha] = Angle between inclined failure plane and horizontal
c = Unit shearing strength at zero normal load along failure plane
A = Area of inclined plane of resistance
When considering cross-bed shear through a relatively shallow,
competent rock strut, without adverse jointing or faulting, W and
[alpha] may be taken at zero and 45[deg], respectively, and an estimate
of passive wedge resistance
[[Page 278]]
per unit width obtained by the following equation:
[GRAPHIC] [TIFF OMITTED] TC15NO91.006
Where:
D = Thickness of the rock strut
4.4.4.5.3. Safety factor. The shear-friction safety factor is
obtained by dividing the resistance RR by H, the summation of
horizontal service loads to be applied to the structure:
[GRAPHIC] [TIFF OMITTED] TC15NO91.007
When the downstream passive wedge contributes to the sliding
resistance, the shear friction safety factor formula becomes:
[GRAPHIC] [TIFF OMITTED] TC15NO91.008
The above direct superimposition of passive wedge resistance is
valid only if shearing rigidities of the foundation components are
similar. Also, the compressive strength and buckling resistance of the
downstream rock layer must be sufficient to develop the wedge
resistance. For example, a foundation with closely spaced, near
horizontal, relatively weak seams might not contain sufficient buckling
strength to develop the magnitude of wedge resistance computed from the
cross-bed shear strength. In this case wedge resistance should not be
assumed without resorting to special treatment (such as installing
foundation anchors). Computed sliding safety factors approximating 3 or
more for all loading conditions without earthquake, and 1.5 including
earthquake, should indicate satisfactory stability, depending upon the
reliability of the strength parameters used in the analyses. In some
cases when the results of comprehensive foundation studies are
available, smaller safety factors may be acceptable. The selection of
shear strength parameters should be fully substantiated. The bases for
any assumptions; the results of applicable testing, studies and
investigations; and all pre-existing, pertinent data should be reported
and evaluated.
Chapter 5--Reports
5.1. General. This chapter outlines the procedures for reporting the
results of the technical investigations. Hazardous conditions should be
reported immediately upon detection to the owner of the dam, the
Governor of the State in which the dam is located and the appropriate
regulatory agency without delay for preparation of the formal report.
5.2. Preparation of report. A formal report should be prepared for
each dam investigated for submission to the regulatory agency and the
owner of the dam. Each report should contain the information indicated
in the following paragraphs. The signature and registration
identification of the professional engineer who directed the
investigation and who was responsible for evaluation of the dam should
be included in the report.
5.2.1. Phase I reports. Phase I reports should contain the following
information:
5.2.1.1. Description of dam including regional vicinity map showing
location and plans, elevations and sections showing the essential
project features and the size and hazard potential classifications.
5.2.1.2. Summary of existing engineering data, including geologic
maps and information.
5.2.1.3. Results of the visual inspection of each project feature
including photographs and drawings to minimize descriptions.
5.2.1.4. Evaluation of operational adequacy of the reservoir
regulation plan and maintenance of the dam and operating facilities and
features that pertain to the safety of the dam.
5.2.1.5. Description of any warning system in effect.
5.2.1.6. Evaluation of the hydraulic and hydrologic assumptions and
structural stability.
5.2.1.7. An assessment of the general condition of the dam with
respect to safety based upon the findings of the visual inspection and
review of engineering data. Where data on the original design indicate
significant departure from or non-conformance with guidelines contained
herein, the engineer-in-charge of the investigation will give his
opinion of the significance, with regard to safety, of such factors. Any
additional studies, investigations and analyses considered essential to
assessment of the safety of the dam should be listed, together with an
opinion about the urgency of such additional work.
5.2.1.8. Indicate alternative possible remedial measures or
revisions in operating and maintenance procedures which may (subject to
further evaluation) correct deficiencies and hazardous conditions found
during the investigation.
5.2.2. Phase II reports. Phase II reports should describe the
detailed investigations and should supplement Phase I reports. They
should contain the following information:
5.2.2.1. Summary of additional engineering data obtained to
determine the hydraulic and hydrologic capabilities and/or structural
stability.
5.2.2.2. Results of all additional studies, investigations, and
analyses performed.
5.2.2.3. Technical assessment of dam safety including deficiences
and hazardous conditions found to exist.
5.2.2.4. Indicate alternative possible remedial measures or revision
in maintenance and operating procedures which may (subject
[[Page 279]]
to further evaluation) correct deficiencies and hazardous conditions
found during the investigation.
[GRAPHIC] [TIFF OMITTED] TC31OC91.017
[[Page 280]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.018
[[Page 281]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.019
[[Page 282]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.020
[[Page 283]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.021
Appendix I to App. D to Sec. 222.6--Engineering Data
This appendix lists engineering data which should be collected from
project records and, to the extent available, included in the
[[Page 284]]
Phase I investigation report. The list is intended to serve as a
checklist and not to establish rigid data requirements. Such a
compilation should also facilitate future inspections and
investigations. Only data readily available will be included in Phase I
reports, but data lacking and deemed necessary for an adequate safety
evaluation should be identified.
1. General Project Data.
a. Regional Vicinity Map showing the location of the dam, the
upstream drainage area and the downstream area subject to potential
damage due to failure of the dam and misoperation or failure of the
operating equipment.
b. As-Built Drawings indicating plans, elevations and sections of
the dam and appurtenant structures including the details of the
discharge facilities such as outlet works, limited service and emergency
spillways, flashboards, fuse plugs and operating equipment.
2. Hydrologic and Hydraulic Data including the following:
a. Drainage area and basin runoff characteristics (indicating
pending changes).
b. Elevation of top of conservation pool or normal upper retention
water surface elevation, as applicable (base level of any flood
impoundment).
c. Storage capacity including dead or inactive storage,
corresponding to top of conservation or normal upper retention level
(cumulative, excluding flood control and surcharge storage).
d. Elevation of the top of flood control pool.
e. Storage capacity of flood control zone (incremental).
f. Elevation of maximum design pool (corresponding to top of
surcharge storage or spillway design flood).
g. Storage capacity of surcharge zone (incremental, above top of
flood control pool or, above normal upper retention level if flood
control space not provided).
h. Height of freeboard (distance between maximum design flood water
surface and top of dam).
i. Elevation of top of dam (lowest point of embankment or non-
overflow structure).
j. Elevation of crest, type, width, crest length and location of
spillways (number, size and type of gates if controlled).
k. Type, location, entrance and exit inverts of outlet works and
emergency drawdown facilities (number, size and shape of conduits and
gates, including penstocks and sluices).
l. Location, crest elevation, description of invert and abutments
(concrete, rock, grass, earth) and length of limited service and
emergency spillways.
m. Location and dscription of flashboards and fuse plugs, including
hydraulic head (pool elevation) and other conditions required for
breaching, along with the assumed results of breaching.
n. Location and top elevation of dikes and floodwalls (overflow and
non-overflow) affected by reservoir. Include information on low reaches
of reservoir rim.
o. Type, location, observations and records of hydrometeorological
gages appurtenant to the project.
p. Maximum non-damaging discharge, or negligible damage rate, at
potential damage locations downstream.
3. Foundation Data and Geological Features including logs of
borings, geological maps, profiles and cross sections, and reports of
foundation treatment.
4. Properties of Embankments and Foundation Materials including
results of laboratory tests, field permeability tests, construction
control tests, and assumed design properties for materials.
5. Concrete Properties including the source and type of aggregate,
cement used, mix design data and the results of testing during
construction.
6. Electrical and Mechanical Equipment type and rating of normal and
emergency power supplies, hoists, cranes, valves and valve operator,
control and alarm systems and other electrical and mechanical equipment
and systems that could affect the safe operation of the dam.
7. Construction History including diversion scheme, construction
sequence, pertinent construction problems, alterations, modifications
and maintenance repairs.
8. Water Control Plan including regulation plan under normal
conditions and during flood events or other emergency conditions. The
availability of dam tenders, means of communication between dam tenders
and authority supervising water control, and method of gate operation
(manual, automatic, or remote control) should be included. Flood warning
systems should be described in sufficient detail to enable assessment of
their reduction in the flood hazard potential.
9. Operation Record.
a. Summary of past major flood events including any experiences that
presented a serious threat to the safety of the project or to human life
or property. The critical project feature, date and duration of event,
causative factor, peak inflow and outflow, maximum elevation of water
surface, wind and wave factors if significant, issuance of alert or
evacuation warnings and adequacy of project feature involved should be
included in the summary of past experience of serious threat to the
safety of the project.
b. Records of performance observations including instrumentation
records.
c. List of any known deficiencies that pose a threat to the safety
of the dam or to human life or property.
d. History of previous failures or deficiencies and pending remedial
measures for
[[Page 285]]
correcting known deficiencies and the schedule for accomplishing
remedial measures should be indicated.
10. Earthquake History including a summary of the seismic data of
significant recorded earthquakes in the vicinity of the dam and
information on major damage in the vicinity of the dam from both
recorded and unrecorded earthquakes. Regional geologic maps and other
documents showing fault locations should be collected.
11. Inspection History including the results of the last safety
inspection, the organization that performed the inspection, the date
inspection performed and the authority for conducting the inspection.
12. Principal Design Assumptions and Analyses.
a. Hydrologic and Hydraulic Determinations.
(1) Quantity, time and area distribution, and reference source of
depth-area-duration data of spillway design storm precipitation (point
precipitation if applicable).
(2) Maximum design flood inflow hydrograph including loss rates
(initial and average for design flood conditions) and time of runoff
concentration of reservior watershed (peak inflow only when applicable).
(3) Maximum design flood outflow hydrograph (maximum outflow only
when applicable).
(4) Discharge-frequency relationship, preferably at damsite,
including estimated frequency of spillway design flood for small dams,
when appropriate.
(5) Reservior area and storage capacity versus water surface
elevation (table or curves).
(6) Rating curves (free flow and partial gate openings) for all
discharge facilities contributing to the maximum design flood outflow
hydrograph. Also a composite-rating of all contributing facilities, if
appropriate.
(7) Tailwater rating curve immediately below damsite including
elevation corresponding to maximum design flood discharge and
approximate nondamaging channel capacity.
(8) Hydrologic map of watershed above damsite including reservior
area, watercourse, elevation contours, and principal stream-flow and
precipitation gaging stations.
b. Stability and Stress Analysis of the dam, spillway and
appurtenant structures and features including the assumed properties of
materials and all pertinent applied loads.
c. Seepage and Settlement Analyses. The determination of
distribution, direction and magnitude of seepage forces and the design
and construction measures for their control. Settlement estimates and
steps adopted to compensate for total settlement and to minimize
differential settlements.
Appendix II to App. D to Sec. 222.6--Inspection Items
This appendix provides guidance for performing field inspections and
may serve as the basis for developing a detailed checklist for each dam.
1. Concrete Structures in General.
a. Concrete Surfaces. The condition of the concrete surfaces should
be examined to evaluate the deterioration and continuing serviceability
of the concrete. Descriptions of concrete conditions should conform with
the appendix to ``Guide for Making a Condition Survey of Concrete in
Service,'' American Concrete Institute (ACI) Journal, Proceedings Vol.
65, No. 11, November 1968, page 905-918.
b. Structural Cracking. Concrete structures should be examined for
structural cracking resulting from overstress due to applied loads,
shrinkage and temperature effects or differential movements.
c. Movement--Horizontal and Vertical Alignment. Concrete structures
should be examined for evidence of any abnormal settlements, heaving,
deflections, or lateral movements.
d. Junctions. The conditions at the junctions of the structure with
abutments or embankments should be determined.
e. Drains--Foundation, Joint, Face. All drains should be examined to
determine that they are capable of performing their design function.
f. Water Passages. All water passages and other concrete surfaces
subject to running water should be examined for erosion, cavitation,
obstructions, leakage or significant structural cracks.
g. Seepage or Leakage. The faces, abutments and toes of the concrete
structures should be examined for evidence of seepage or abnormal
leakage, and records of flow of downstream springs reviewed for
variation with reservoir pool level. The sources of seepage should be
determined if possible.
h. Monolith Joints--Construction Joints. All monolith and
construction joints should be examined to determine the condition of the
joint and filler material, any movement of joints, or any indication of
distress or leakage.
i. Foundation. Foundation should be examined for damage or possible
undermining of the downstream toe.
j. Abutments. The abutments should be examined for sign of
instability or excessive weathering.
2. Embankment Structures.
a. Settlement. The embankments and downstream toe areas should be
examined for any evidence of localized or overall settlement,
depressions or sink holes.
b. Slope Stability. Embankment slopes should be examined for
irregularities in
[[Page 286]]
alignment and variances from smooth uniform slopes, unusual changes from
original crest alignment and elevation, evidence of movement at or
beyond the toe, and surface cracks which indicate movement.
c. Seepage. The downstream face of abutments, embankment slopes and
toes, embankment--structure contacts, and the downstream valley areas
should be examined for evidence of existing or past seepage. The sources
of seepage should be investigated to determine cause and potential
severity to dam safety under all operating conditions. The presence of
animal burrows and tree growth on slopes which might cause detrimental
seepage should be examined.
d. Drainage Systems. All drainage systems should be examined to
determine whether the systems can freely pass discharge and that the
discharge water is not carrying embankment or foundation material.
Systems used to monitor drainage should be examined to assure they are
operational and functioning properly.
e. Slope Protection. The slope protection should be examined for
erosion-formed gullies and wave-formed notches and benches that have
reduced the embankment cross-section or exposed less wave resistant
materials. The adequacy of slope protection against waves, currents, and
surface runoff that may occur at the site should be evaluated. The
condition of vegetative cover should be evaluated where pertinent.
3. Spillway Structures. Examination should be made of the structures
and features including bulkheads, flashboards, and fuse plugs of all
service and auxiliary spillways which serve as principal or emergency
spillways for any condition which may impose operational constraints on
the functioning of the spillway.
a. Control Gates and Operating Machinery. The structural members,
connections, hoists, cables and operating machinery and the adequacy of
normal and emergency power supplies should be examined and tested to
determine the structural integrity and verify the operational adequacy
of the equipment. Where cranes are intended to be used for handling
gates and bulkheads, the availability, capacity and condition of the
cranes and lifting beams should be investigated. Operation of control
systems and protective and alarm devices such as limit switches, sump
high water alarms and drainage pumps should be investigated.
b. Unlined Saddle Spillways. Unlined saddle spillways should be
examined for evidence of erosion and any conditions which may impose
constraints on the functioning of the spillway. The ability of the
spillway to resist erosion due to operation and the potential hazard to
the safety of the dam from such operation should be determined.
c. Approach and Outlet Channels. The approach and outlet channels
should be examined for any conditions which may impose constraints on
the functioning of the spillway and present a potential hazard to the
safety of the dam.
d. Stilling Basin (Energy Dissipators). Stilling basins including
baffles, flip buckets or other energy dissipators should be examined for
any conditions which may pose constraints on the ability of the stilling
basin to prevent downstream scour or erosion which may create or present
a potential hazard to the safety of the dam. The existing condition of
the channel downstream of the stilling basin should be determined.
4. Outlet Works. The outlet works examination should include all
structures and features designed to release reservoir water below the
spillway crest through or around the dam.
a. Intake Structure. The structure and all features should be
examined for any conditions which may impose operational constraints on
the outlet works. Entrances to intake structure should be examined for
conditions such as silt or debris accumulation which may reduce the
discharge capabilities of the outlet works.
b. Operating and Emergency Control Gates. The structural members,
connections, guides, hoists, cables and operating machinery including
the adequacy of normal and emergency power supplies should be examined
and tested to determine the structural integrity and verify the
operational adequacy of the operating and emergency gates, valves,
bulkheads, and other equipment.
c. Conduits, Sluices, Water Passages, Etc. The interior surfaces of
conduits should be examined for erosion, corrosion, cavitation, cracks,
joint separation and leakage at cracks or joints.
d. Stilling Basin (Energy Dissipator). The stilling basin or other
energy dissipator should be examined for conditions which may impose any
constraints on the ability of the stilling basin to prevent downstream
scour or erosion which may create or present a potential hazard to the
safety of the dam. The existing condition of the channel downstream of
the stilling basin should be determined by soundings.
e. Approach and Outlet Channels. The approach and outlet channels
should be examined for any conditions which may impose constraints on
the functioning of the discharge facilities of the outlet works, or
present a hazard to the safety of the dam.
f. Drawdown Facilities. Facilities provided for drawdown of the
reservoir to avert impending failure of the dam or to facilitate repairs
in the event of stability or foundation problems should be examined for
any conditions which may impose constraints on their functioning as
planned.
5. Safety and Performance Instrumentation. Instruments which have
been installed to measure behavior of the structures should be
[[Page 287]]
examined for proper functioning. The available records and readings of
installed instruments should be reviewed to detect any unusual
performance of the instruments or evidence of unusual performance or
distress of the structure. The adequacy of the installed instrumentation
to measure the performance and safety of the dam should be determined.
a. Headwater and Tailwater Gages. The existing records of the
headwater and tailwater gages should be examined to determine the
relationship between other instrumentation measurements such as stream
flow, uplift pressures, alignment, and drainage system discharge with
the upper and lower water surface elevations.
b. Horizontal and Vertical Alignment Instrumentation (Concrete
Structures). The existing records of alignment and elevation surveys and
measurements from inclinometers, inverted plumb bobs, gage points across
cracks and joints, or other devices should be examined to determine any
change from the original position of the structures.
c. Horizontal and Vertical Movement, Consolidation, and Pore-Water
Pressure Instrumentation (Embankment Structures). The existing records
of measurements from settlement plates or gages, surface reference
marks, slope indicators and other devices should be examined to
determine the movement history of the embankment. Existing piezometer
measurements should be examined to determine if the pore-water pressures
in the embankment and foundation would under given conditions impair the
safety of the dam.
d. Uplift Instrumentation. The existing records of uplift
measurements should be examined to determine if the uplift pressures for
the maximum pool would impair the safety of the dam.
e. Drainage System Instrumentation. The existing records of
measurements of the drainage system flow should be examined to establish
the normal relationship between pool elevations and discharge quantities
and any changes that have occurred in this relationship during the
history of the project.
f. Seismic Instrumentation. The existing records of seismic
instrumentation should be examined to determine the seismic activity in
the area and the response of the structures of past earthquakes.
6. Reservoir. The following features of the reservoir should be
examined to determine to what extent the water impounded by the dam
would constitute a danger to the safety of the dam or a hazard to human
life or property.
a. Shore line. The land forms around the reservoir should be
examined for indications of major active or inactive landslide areas and
to determine susceptibility of bedrock stratigraphy to massive
landslides of sufficient magnitude to significantly reduce reservoir
capacity or create waves that might overtop the dam.
b. Sedimentation. The reservoir and drainage area should be examined
for excessive sedimentation or recent developments in the drainage basin
which could cause a sudden increase in sediment load thereby reducing
the reservoir capacity with attendant increase in maximum outflow and
maximum pool elevation.
c. Potential Upstream Hazard Areas. The reservoir area should be
examined for features subject to potential backwater flooding resulting
in loss of human life or property at reservoir levels up to the maximum
water storage capacity including any surcharge storage.
d. Watershed Runoff Potential. The drainage basin should be examined
for any extensive alterations to the surface of the drainage basin such
as changed agriculture practices, timber clearing, railroad or highway
construction or real estate developments that might extensively affect
the runoff characteristics. Upstream projects that could have impact on
the safety of the dam should be identified.
7. Downstream Channel. The channel immediately downstream of the dam
should be examined for conditions which might impose any constraints on
the operation of the dam or present any hazards to the safety of the
dam. Development of the potential flooded area downstream of the dam
should be assessed for compatibility with the hazard classification.
8. Operation and Maintenance Features.
a. Reservoir Regulation Plan. The actual practices in regulating the
reservoir and discharges under normal and emergency conditions should be
examined to determine if they comply with the designed reservoir
regulation plan and to assure that they do not constitute a danger to
the safety of the dam or to human life or property.
b. Maintenance. The maintenance of the operating facilities and
features that pertain to the safety of the dam should be examined to
determine the adequacy and quality of the maintenance procedures
followed in maintaining the dam and facilities in safe operating
condition.
Appendix III to App. D to Sec. 222.6--Pub. L. 92-367
[[Page 288]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.022
[[Page 289]]
[GRAPHIC] [TIFF OMITTED] TC31OC91.023
Appendix E to Sec. 222.6--Suggested Outline
Inspection Report--National Dam Inspection Program (RCS-DAEN-CWE-17 and
OMB No. 49-R0421)
Title Sheet
Name of Dam
ID Number from Inventory
State, County and River or Stream where dam is located
Owner
Size and Hazard Classification
Names of Inspectors
Names of Review Board
Approval Signature of District Engineer
Table of Contents
General Assessment
Give brief assessment of general condition of dam with respect to
safety, including a listing of deficiencies, and recommendations
indicating degree of urgency.
1. Introduction
a. Authority
b. Purpose and Scope of Inspection
2. Project Information
a. Site Information
b. Description of Structures--Dam, Outlet, Spillway and other
principal features.
c. Purpose of Dam
d. Design, Construction and Operating History
3. Field Inspection
Briefly describe physical condition of the dam and appurtenant
structures as they were observed during the field inspection. (If field
inspection form is appended, only present summary.) Describe operational
procedures, including any warning system, condition of operating
equipment, and provision for emergency procedures. Describe any
pertinent observations of the reservoir area and downstream channel
adjacent to dam.
[[Page 290]]
4. Evaluation
a. Structural and Geotechnical
(1) General
(2) Embankment and/or Foundation Condition
(3) Stability--Briefly discuss pertinent information such as design,
construction and operating records. Assess stability under maximum
loading on basis of the record data, together with observations of field
inspection and results of any additional, brief calculations performed
by inspectors. If additional, detailed stability analyses are considered
necessary, recommend that the owner engage a qualified engineer or firm
to provide the analysis.
b. Hydrologic and Hydraulic
(1) Spillway Adequacy--Briefly describe pertinent record information
such as hydrologic and hydraulic design data, flood of record, and
previous analyses. Describe any hydraulic and hydrologic analyses made
for this inspection. Present conclusion with respect to adequacy of
spillway to pass the recommended spillway design flood without
overtopping dam. If overtopping would occur, and if available from the
type of analysis used, give maximum depth over top of dam and duration
of overtopping, assuming the dam does not fail. Also indicate the
largest flood, as a percentage of the probable maximum flood which can
be passed without overtopping.
(2) Effects of overtopping--If dam is overtopped by the recommended
spillway design flood, provide assessment as to whether or not dam would
likely fail, and if, in case of failure, the hazard to loss of life
downstream of the dam would be substantially increased over that which
would exist without failure. If information upon which to base a
reasonable assessment is insufficient, so state and describe the needed
data, and recommend that the necessary studies be performed by engineers
engaged by the owner.
c. Operation and Maintenance
Assess operating equipment and procedures, emergency power for gate
operation, and Emergency Action Plan. Assess quality of maintenance as
it pertains to dam safety.
5. Conclusions
Provide conclusions on condition of dam and list all deficiencies.
If dam is considered unsafe, so state and give reason.
6. Recommendations
List all recommended actions, including additional studies,
installation of new surveillance procedures and devices, development of
Emergency Action Plans, and remedial work. Recommend that a qualified
engineering firm be retained to accomplish any recommended additional
investigations and studies and also to design and supervise remedial
works.
Appendixes
a. Inspection Checklist (if available)
b. Other Illustrations as follows:
(1) Include a map showing location of the dam. Usually a portion of
a USGS quadrangle sheet can be used which will show the topography of
the area, location of the dam, exent of the lake and drainage basin, and
perhaps indicate the downstream development.
(2) If available, include a plan and section of the dam.
(3) General photographs of the dam and downstream channel should be
included.
(4) Color photographs of deficiencies should be included. These
should be held to the minimum required to illustrate the deficiencies.
(5) Available engineering data including Hydrologic/Hydraulic
calculation and physical test results that might be available.
Appendix F to Sec. 222.6
Instructions for Unsafe Dam Data Sheet (RCS-DAEN-CWE-17 and OMB No. 49-
R0421)
The indicated information shall be provided in the format shown on
Pg F-3 for each dam assessed to be unsafe during the reporting period. A
separate data sheet should be provided for each unsafe dam. The
information supplied should conform to the following.
a. Name--Name of dam.
b. Id. No.--Dam inventory identity number.
c. Location--List state county, river or stream and nearest D/S city
or town where the dam is located.
d. Height--Maximum hydraulic height of dam.
e. Maximum Impoundment Capacity--List the capacity of the reservior
at maximum attainable water surface elevation including any surcharge
loading.
f. Type--Type of dam, i.e., earth, rockfill, gravity, combination
earth-gravity, etc.
g. Owner--Owner of dam.
h. Date Governor Notified of Unsafe Condition--The date and method
of notification, such as, by telegram, letter, report, etc.
i. Condition of Dam Resulting in Unsafe Assessment--Brief
description of the deficiencies discovered which resulted in the unsafe
assessment.
j. Description of Danger Involved--Downstream (D/S) hazard potential
category and a brief description of the danger involved.
k. Recommendations Given to Governor--Brief description of the
actions recommended to Governor at time of notification of unsafe
condition to eliminate or reduce the danger.
l. Urgency Category--State whether the unsafe condition of the dam
is an emergency or non-emergency situation. An emergency situation
should be considered to exist if the failure of the dam is judged to be
imminent
[[Page 291]]
and requires immediate action to eliminate or reduce the danger.
m. Emergency Actions Taken--In case of an emergency situation, list
the actions taken. For non-emergency situation, put NA for ``not
applicable.''
n. Remedial Action Taken--For non-emergency situations list remedial
actions taken.
o. Remarks--For other pertinent information.
Format for Unsafe Dam Data Sheet (RCS-DAEN-CWE-17 and OMB No. 49-R0421
National Program of Inspection of Non-Federal Dams--Unsafe Dam Data
Sheet
a. Name:
b. Type:
c. Height:
d. Id. No.
e. Location:
State: County:
Nearest D/S City, Town or Village:
River or Stream:
f. Owner:
g. Date Governor Notified of Unsafe Condition:
h. Condition of Dam Resulting in Unsafe Assessment:
i. Description of Danger Involved:
j. Recommendations Given to Governor:
k. Urgency Category:
l. Emergency Actions Taken:
m. Remarks:
Appendix G to Sec. 222.6
National Program for Inspection of Non-Federal Dams--Monthly Progress
Report (RCS-DAEN-CWE-19)
I. Instructions for Monthly Progress Report. The indicated information
shall be provided in the format shown on page G-2.
1. Division Reporting:
2. Date:
3. Information Required for Each State Regarding Total Number of
Inspections Performed (AE Inspections included) (Cumulative):
3.1. Number of Inspections Initiated by on-site inspection or the
review of engineering data from project records. \1\
---------------------------------------------------------------------------
\1\ Each of the initiated inspections reported should be planned for
completion within a reasonable period of time (30 days.)
---------------------------------------------------------------------------
3.2. Number of Inspections Competed (The number of inspection
reports which have been submitted to the District Engineer for review
and approval).
3.3 Number of Dams Reported to the Governor as Unsafe. \2\
---------------------------------------------------------------------------
\2\ An unsafe dam is defined as a dam with deficiencies of such a
nature that if not corrected could result in the failure of the dam with
subsequent loss of lives or substantial property damage.
---------------------------------------------------------------------------
3.4. Number of Approved Inspection Reports Submitted to the
Governor.
4. Information Required for Each State Regarding Inspections
Performed Under AE Contracts (Cumulative):
4.1. Number of Dams Contracted for Inspection by AE's with State or
Corps.
4.2. Number of Inspections Initiated by AE's by on-site inspection
or the review of engineering data from project records. \1\
---------------------------------------------------------------------------
\1\ See footnote on previous page.
---------------------------------------------------------------------------
4.3. Number of Inspections Completed by AE's (The number of
inspection reports which have been submitted to the District Engineer
for review and approval).
4.4. Number of Approved Inspection Reports Prepared by AE's
Submitted to the Governor.
II. Formation for Monthly Progress Report.
National Program for Inspection of Non-Federal Dams--Monthly Progress
Report
1. Division Reporting:
2. Date:
3. Information Required for Each State Regarding Total Number of
Inspections Performed (Cumulative):
------------------------------------------------------------------------
Unsafe
Inspection Inspection Dams Approved
State Initiated Completed Reported Reports
(3.1) (3.2) (3.3) (3.4)
------------------------------------------------------------------------
===========================================
Total.......................
------------------------------------------------------------------------
4. Information Required for Each State Regarding Inspections
Performed Under A/E Contracts (Cumulative):
----------------------------------------------------------------------------------------------------------------
Dams
Under A/ A/E A/E A/E
State E Inspections Inspections Reports
Contract Initiated Completed Approved
(4.1) (4.2) (4.3) (4.4)
----------------------------------------------------------------------------------------------------------------
=============================================
Totals............................................................
----------------------------------------------------------------------------------------------------------------
Appendix H to Sec. 222.6
Suggested Scope of Work Contract for Architect-Engineer Services for
Safety Inspection of Dams Within the State of ____
1. General Description of Scope of Work. The services to be rendered
by the Architect-Engineer (AE) under the proposed contract
[[Page 292]]
shall include all engineering functions, hereinafter described, as
needed to inspect the dams listed in Appendix A of this contract for the
purpose of evaluating their risk of failure. A report which (a)
describes the assessed condition of the dam, (b) provides conclusions as
to which particular conditions could cause failure, (c) makes
recommendations on remedial measures believed necessary, and (d) makes
recommendations on whether and what type of future investigation should
be conducted shall be provided for each inspected dam. The work shall
proceed in accordance with Phase I of the Recommended Guidelines for
Safety Inspection of Dams established by the Office of the Chief of
Engineers (OCE) and the supplemented requirements listed in paragraph 3
below. The OCE guidelines are listed in Appendix B of this contract.
2. Information and Services To Be Furnished by the Government. The
Contracting Officer will furnish the following information and services
to the AE:
a. All information pertaining to each dam to be inspected as
contained in the National Inventory of Dams.
b. Copies of recommended format for preparation of inspection
report, engineering data check list and visual inspection check list.
c. All available pertinent information pertaining to the Dam
Inspection Program and previous investigations having a bearing on
inspections to be performed under this contract.
d. Right-of-entry for access to each dam site.
3. Services To Be Rendered by the Architect-Engineer. The principal
services, subject to the optional provisions of the contract, to be
rendered by the AE are itemized below:
a. Technical Investigations.
(1) Engineering Data Collection. To the extent feasible, the
engineering data listed in Appendix I of the OCE guidelines relating to
the design, construction and operation of the dam and appurtenant
structures, should be collected from existing records and reviewed to
aid in evaluating the general condition of each dam, including an
assessment of the hydraulic and hydrologic features and structural
stability of the dam. Where the necessary engineering data are
unavailable, inadequate or invalid, a listing shall be made of those
specific additional data deemed necessary by the engineer in charge of
the investigation and included in the inspection report. The engineering
data checklist provided by the Contracting Officer shall be used as a
guide to compile this data.
(2) Field Inspections. The field inspection of each dam shall
include examination of the items listed in Appendix II of the OCE
guidelines, electrical and mechanical equipment for operation of the
control facilities, reservoir area, downstream channel in the vicinity
of the dam and any other significant feature to determine how these
features affect the risk of failure of the dam. The inspection shall be
conducted in a systematic manner to minimize the possibility of any
significant feature being overlooked. The visual inspection checklist
provided by the Contracting Officer shall be used as a guide to document
the examination of each significant feature.
Particular attention shall be given to detecting evidence of
leakage, erosion, seepage, slope instability, undue settlement,
displacement, tilting, cracking, deterioration, and improper functioning
of drains and relief wells. The degree and quality of maintenance and
regulating procedures for operation of the control facilities shall be
assessed. The design and existing condition of such control facilities
(i.e., spillway, outlet works, etc.) shall be evaluated. An assessment
of the degree of siltation that is evident and its effect on the dam's
reservoir shall be performed. Photographs and drawings should be used to
record conditions in order to minimize written descriptions.
(3) Engineering Analyses.
(a) Evaluation of Hydraulic and Hydrologic (H&H) Features.
Evaluation of the hydraulic and hydrological features of each dam shall
be based on criteria set forth in the OCE guidelines. If it is
determined that the available H&H data are insufficient, the Contracting
Officer must be so informed and may exercise an option of requiring the
AE to perform an overtopping analysis at additional agreed-upon
compensation. The methodology to be used by the AE for this analysis
will be based on the OCE guidelines and subject to the approval of the
Contracting Officer.
(b) Evaluation of Structural Stability. The evaluation of structural
stability of each dam is to be based principally on existing conditions
as revealed by the visual inspection, available design and construction
information, and records of performance. The objectives are to determine
the existence of conditions, identifiable by visual inspection or from
records, which may pose a high risk of failure and to formulate
recommendations pertaining to the need for any remedial improvements,
additional studies, investigations, or analysis. The results of this
phase of the inspection must rely substantially upon the experience and
judgment of the inspecting engineer. Should it be determined that
sufficient data are not available for a reasonable evaluation of the
structural stability of a dam and appurtenances, the Contracting Officer
should be informed which information is required prior to attempting to
evaluate the risk of failure of the dam.
(c) Evaluation of Operational Features. Where critical mechanical/
electrical operating equipment is used in controlling the
[[Page 293]]
reservoir of a dam, an evaluation of the operational characteristics of
this equipment from the standpoint of risk of failure must be performed.
(d) Evaluation of Reservoir Regulation Plan and Warning System. The
operational characteristics of each dam's existing reservoir regulation
plan and warning system in event of a threatened failure shall be
investigated.
b. Emergency Situations. The Contracting Officer must be immediately
notified of any observed condition which is deemed to require immediate
remedial action. After being notified, the Contracting Officer will
contact the appropriate State personnel and will meet the AE at the site
to determine the appropriate course of action. This will not relieve the
AE of his responsibility to prepare a comprehensive inspection report at
the earliest practicable date.
c. Qualifications of Investigators. The technical investigations
shall be conducted by licensed professional engineers with a minimum of
five years experience after licensing in the investigation, design and
contruction of earthfill, rockfill and concrete dams and/or in making
risk of failure evaluations of completed dams. These engineers must be
knowledgeable in the disciplines of hydrology, hydraulics, geotechnical,
electrical, mechanical and structural engineering, as necessary. All
field inspections should be conducted by engineers, engineering
geologists and other specialists who are knowledgeable in the
investigation, design, construction and operation of dams, including
experts on mechanical and electrical operation of gates and controls,
where needed.
d. Preparation of Report. A formal report shall be prepared for each
dam inspected for submission to the Contracting Officer. Each report
should contain the information specified in OCE guidelines and any other
pertinent information. The recommended format provided by the
Contracting Officer shall be used to document each report. The signature
and registration identification of the professional engineer who
directed the investigation and who was responsible for evaluation of the
dam should be included in the report.
4. Supervision and Approval of Work. All work performed under this
contract shall be subject to the review and approval of the Contracting
Officer or his designee. Meetings will be held on a regular basis in the
District office, during which the progress of inspections will be
discussed and questions relating to inspection reports previously
received by the Contracting Officer will be addressed. Reports will be
revised as necessary when required by the Contracting Officer.
5. Coordination. During the progress of work, the AE shall maintain
liaison with the *____ and other local authorities through the
Contracting Officer as required to assure the orderly progression of the
inspection. Copies of all correspondence with such authorities shall be
provided to the Contracting Officer.
---------------------------------------------------------------------------
* Note: Write in the designated State Authority.
---------------------------------------------------------------------------
6. Submission of Report.
a. Each inspection report will be submitted for review to the
Contracting Officer. Reports will be revised as required by the
Contracting Officer. After all revisions have been made, the original
and __ copies of each inspection report shall be submitted to the
Contracting Officer.
b. Text of all reports shall be typewritten and printed on both
sides of 8 x 10\1/2\ paper. All notes, inspection
forms, sketches or similar matter shall be legible, distinct and
suitable for reproduction.
7. Period of Services.
a. All inspections and reports included under this contract shall be
completed within __ days from date of Notice to Proceed.
b. If the option for performing an H&H analysis for any particular
site is exercised, the AE shall complete such analysis within __ days
from date of Notice to Proceed. However, the overall completion time
stated in paragraph 7a above shall not change.
Appendix I to Sec. 222.6
Procedure for Using NASA Land Satellite Multispectral Scanner Data for
Verification and Updating the National Inventory of Dams
1. Purpose. This appendix states the objective, defines the scope,
prescribes procedures, and assigns responsibilities for using NASA Land
Satellite (LANDSAT) Multispectral Scanner data along with NASA's Surface
Water Detection And Mapping (DAM) Computer program to assist in
verification and updating the National Inventory of Dams.
2. Applicability. This appendix is applicable to all divisions and
districts having Civil Works responsibilities except POD.
3. Reference. NASA, DETECTION AND MAPPING PACKAGE, Users Manuals,
Volumes 1, 2a, 2b, and 3 dated June 1976, published by the Johnson Space
Center, Houston, Texas.
4. Objectives. Provide a uniform method, nation-wide, to help insure
that all dams subject to Public Law 92-367, 8 August 1972 are properly
identified and located in the National Inventory of Dams.
5. Scope. The computer printer overlay maps produced by the
procedure described in reference 3b will be used by district and/or
state or contractor personnel as a tool to assist in verification and
updating of the National Inventory of Dams.
[[Page 294]]
6. Exceptions. a. If a Division/District attempts the use of the
procedure for a given region within their area of responsibility and
finds the overlay maps cannot be used to assist in verification and
updating the National Inventory of Dams, they may request an exception
for a selected region. A selected region may include areas where
conditions can reasonably be assumed to be the same as the region where
the procedure was tried.
b. Request for exceptions should be documented to include firm
boundary definitions and appropriate justification to demonstrate why
the procedure cannot be used. This request should be submitted to WRSC
WASH DC 20314, through the normal engineering chain of command.
c. Map overlays will be produced for all areas of the Continental
United States even if they are not used in a few selected regions. This
processing is required for a future Computer Water Body Change Detection
system.
7. Procedures. Acquisition of LANDSAT data, registration of
satellite coordinates to earth latitude and longitude and computer
processing to produce overlay maps will be accomplished by two Regional
Centers. Nashville District and Seattle District have been designated as
the Regional Centers, with each responsible for processing maps by state
based on Divisional assignments in Appendix A. Regional Centers will
support divisions as follows:
------------------------------------------------------------------------
Regional Center Division
------------------------------------------------------------------------
Nashville District New England
North Atlantic
South Atlantic
Ohio River
Lower Mississippi Valley
North Central
Seattle District Southwestern
Missouri River
North Pacific
South Pacific
------------------------------------------------------------------------
8. Responsibilities. a. The Water Resources Support Center at Fort
Belvoir has overall responsibility for coordination and monitoring of
this activity between NASA, Division Offices, and Regional Centers, and
for providing Regional Center funding.
b. Regional Centers are responsible for:
(1) Acquiring proper LANDSAT data tape from EROS Data Center (Sioux
Falls, South Dakota). Actual data scene selection will be coordinated
with Division and/or District to insure proper consideration is given to
local priorities and seasonal coverage.
(2) Arranging computer processing support using NASA's DAM package.
(3) Establishing proper control between satellite scanner-oriented
coordinates and earth latitude/longitude.
(4) Producing total coverage of map overlays at a scale of 1:24,000
and/or smaller scales as required by Divisions and/or Districts.
(5) Instructing District, State, or contractor personnel in the
assembly and use of map overlays.
c. Divisions/Districts are responsible for:
(1) Designating one person from each Division and District as the
point of contact with the Regional Center and provide this person's name
and phone number to the Regional Center.
(2) Providing the Regional Center with map coverage of their area of
responsibility. This will include state indexes and 7\1/2\ minute
quadrangle sheets (scale 1:24,000) where available.
(3) Coordinating with the Regional Center in selecting LANDSAT data
tapes.
(4) Providing information to Regional Center on scale and priorities
of desired computer produced map overlays.
(5) Assembling computer print-outs into overlay maps, and using as
appropriate to assist in verification and updating the National
Inventory of Dams.
9. Points of Contact. The points of contact in the Regional Centers
for this program are as follows:
Name, Office Symbol, and Telephone
Jim Cook--DAEN-ORNED, (615) 251-7366; FTS 852-7366.
Jack Erlandson--DAEN-NPSEN, (206) 764-3535; FTS 399-3535.
[44 FR 55336, Sept. 26, 1979, as amended at 45 FR 18925, Mar. 24, 1980.
Redesignated at 60 FR 19851, Apr. 21, 1995]
PART 223_BOARDS, COMMISSIONS, AND COMMITTEES--Table of Contents
Sec. 223.1 Mississippi River Water Control Management Board.
(a) Purpose. This regulation establishes and prescribes the
objectives, composition, responsibilities and authority of the
Mississippi River Water Control Management Board.
(b) Applicability. This regulation is applicable to the Board
members and to all field operating agencies concerned with water control
management within the Mississippi River Basin.
(c) Objectives. The objectives of the Board are:
(1) To provide oversight and guidance during the development of
basin-wide management plans for Mississippi River Basin projects for
which the U.S. Army Corps of Engineers has operation/regulation
responsibilities.
[[Page 295]]
(2) To serve as a forum for resolution of water control problems
among U.S. Army Corps of Engineers Divisions within the Mississippi
River Basin when agreement is otherwise unobtainable.
(d) Composition. The Mississippi River Water Control Management
Board is a continuing board consisting of the Director of Civil Works
and Division Engineers serving in LMVD, MRD, ORD, NCD and SWD. The
Director of Civil Works serves as permanent chairperson.
(e) Responsibilities. The Board functions under the general
direction of the Chief of Engineers and is responsible for:
(1) Oversight of procedures for maintaining and improving inter-
divisional coordination of water control management activities within
the Mississippi River Basin.
(2) Oversight of the development and use of facilities (physical and
computer models, Automatic Data Processing Equipment, and communications
and information dissemination networks) needed to provide the best
obtainable water control system for the entire Mississippi River Basin,
utilizing the coordinated capabilities of projects now in operation and
scheduled to be placed in operation in the reasonably near future.
(3) Oversight of basin-wide operating/regulation plans for U.S. Army
Corps of Engineers projects in the Mississippi River Basin.
(4) Periodic reports to the Chief of Engineers regarding the Board's
activities and its plans.
(f) Procedures. The procedures used by the board to carry out its
responsibilities are as follows:
(1) The Board meets periodically to review past activities and
project operations, and to discuss new or revised basin-wide operating/
regulation plans.
(2) The Board acts on all proposals for (temporary or permanent)
deviation from approved basin-wide operating plans.
(3) The Board provides instructions to committees under its
jurisdiction and reviews their recommendations for improvements in
basin-wide water control management.
(g) Board authority. The Mississippi River Water Control Management
Board is delegated authority to establish continuing or ad hoc inter-
divisional operating or study committees comprised of U.S. Army Corps of
Engineers personnel to facilitate the work of the Board.
(h) Funding. Routine activities of the Mississippi River Water
Control Management Board and its committees, such as travel and meeting
expenses, will be funded by the separate members' offices using General
Expense funds otherwise available. Major expenses connected with special
studies or activities will be funded through the normal budgetary
process. Budget requests will be supported by appropriate justification
material.
(Act of Congress approved 1 March 1917, (33 U.S.C. 701) and sec. 2 of
the Act of Congress approved 28 June 1938 as amended (33 U.S.C. 701c-1))
[43 FR 52236, Nov. 9, 1978]
PART 230_PROCEDURES FOR IMPLEMENTING NEPA--Table of Contents
Sec.
230.1 Purpose.
230.2 Applicability.
230.3 References.
230.4 Definitions.
230.5 Responsible officials.
230.6 Actions normally requiring an EIS.
230.7 Actions normally requiring an Environmental Assessment (EA) but
not necessarily an EIS.
230.8 Emergency actions.
230.9 Categorical exclusions.
230.10 Environmental Assessments (EA).
230.11 Finding of No Significant Impact (FONSI).
230.12 Notice of intent and scoping.
230.13 Environmental Impact Statement (EIS).
230.14 Record of decision and implementation.
230.15 Mitigation and monitoring.
230.16 Lead and cooperating agencies.
230.17 Filing requirements.
230.18 Availability.
230.19 Comments.
230.20 Integration with State and local procedures.
230.21 Adoption.
230.22 Limitations on actions during the NEPA process.
230.23 Predecision referrals.
230.24 Agency decision points.
[[Page 296]]
230.25 Environmental review and consultation requirements.
230.26 General considerations in preparing Corps EISs.
Appendix A to Part 230--Processing Corps NEPA Documents
Appendix B to Part 230 [Reserved]
Appendix C to Part 230--Notice of Intent To Prepare a Draft EIS
Authority: National Environmental Policy Act (NEPA) (42 U.S.C. 4321
et seq.); E.O. 11514, Protection and Enhancement of Environmental
Quality, March 5, 1970, as amended by E.O. 11991, May 24, 1977; and CEQ
Regulations Implementing the Procedural Provisions of NEPA (40 CFR
1507.3).
Source: 53 FR 3127, Feb. 3, 1988, unless otherwise noted.
Sec. 230.1 Purpose.
This regulation provides guidance for implementation of the
procedural provisions of the National Environmental Policy Act (NEPA)
for the Civil Works Program of the U.S. Army Corps of Engineers. It
supplements Council on Environmental Quality (CEQ) regulations 40 CFR
parts 1500 through 1508, November 29, 1978, in accordance with 40 CFR
1507.3, and is intended to be used only in conjunction with the CEQ
regulations. Whenever the guidance in this regulation is unclear or not
specific the reader is referred to the CEQ regulations. Appendix A
provides guidance on processing NEPA documents except for those
concerning regulatory actions. Appendix C (formally ER 200-2-1) has been
added to provide guidance on preparing and processing a notice of intent
to prepare an EIS for publication in the Federal Register for all types
of Corps actions. 33 CFR part 325, Appendix B provides procedural
guidance for preparing and processing NEPA documents for regulatory
actions.
Sec. 230.2 Applicability.
This regulation is applicable to all HQUSACE elements and all Field
Operating Activities (FOAs) having responsibility for preparing and
processing environmental documents in support of Civil Works functions.
Sec. 230.3 References.
(a) Executive Order 12291, Federal Regulation, February 17, 1981 (46
FR 13193, February 19, 1981).
(b) Executive Order 12114, Environmental Effects Abroad of Major
Federal Actions, January 4, 1979 (44 FR 1957, January 9, 1979).
(c) Clean Water Act (formerly known as the Federal Water Pollution
Control Act) 33 U.S.C. 1344 (hereinafter referred to as section 404).
(d) Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 et
seq.
(e) Environmental Effects Abroad of Major Department of Defense
Actions; Policies and Procedures 32 CFR part 197 (44 FR 21786-92, April
12, 1979).
(f) Fish and Wildlife Coordination Act, 16 U.S.C. 661 et seq.
(g) National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 et seq.
(h) National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470 et seq.
(i) ``Regulations for Implementing the Procedural Provisions of the
National Environmental Policy Act of 1969,'' (40 CFR parts 1500 through
1508, November 29, 1978), Council on Environmental Quality.
(j) Economic and Environmental Principles and Guidelines for Water
and Related Land Resource Implementation Studies (48 CFR parts 10249
through 10258, March 10, 1983).
(k) Regulatory Programs of the Corps of Engineers 33 CFR parts 320
through 330, and 334.
(l) CEQ Information Memorandum to Agencies Containing Answers to 40
Most Asked Questions on NEPA Regulations (46 FR 34263-68, July 28,
1983).
(m) ER 310-1-5. Federal Register Act Requisitioning.
(n) ER 1105-2-10 thru 60. Planning Regulations.
Sec. 230.4 Definitions.
Refer to 40 CFR part 1508; other definitions may be found in the
references given above.
Sec. 230.5 Responsible officials.
The district commander is the Corps NEPA official responsible for
compliance with NEPA for actions within district boundaries. The
district commander also provides agency views on other agencies'
environmental impact statements (EIS). The Office of Environmental
Policy HQUSACE (CECW-
[[Page 297]]
RE) WASH DC 20314-1000 (phone number 202-272-0166) is the point of
contact for information on Corps NEPA documents, NEPA oversight
activities, review of other agencies' EISs and NEPA documents about
legislation, regulations, national program proposals or other major
policy issues. The Assistant Chief Counsel for Environmental Law and
Regulatory Programs, HQUSACE (CECC-E) WASH DC 20314-1000, is the point
of contact for legal questions involving environmental matters. Requests
for information on regulatory permit actions should be directed to
HQUSACE (CECW-OR) WASH DC 20314-1000.
Sec. 230.6 Actions normally requiring an EIS.
Actions normally requiring an EIS are:
(a) Feasibility reports for authorization and construction of major
projects;
(b) Proposed changes in projects which increase size substantially
or add additional purposes; and
(c) Proposed major changes in the operation and/or maintenance of
completed projects.
District commanders may consider the use of an environmental
assessment (EA) on these types of actions if early studies and
coordination show that a particular action is not likely to have a
significant impact on the quality of the human environment.
Sec. 230.7 Actions normally requiring an Environmental Assessment (EA)
but not necessarily an EIS.
Actions normally requiring an EA, but not an EIS, are listed below:
(a) Regulatory Actions. Most permits will normally require only an
EA.
(b) Authorized Projects and Projects Under Construction. Changes
which may be approved under the discretionary authority of the Secretary
of the Army.
(c) Continuing Authorities Program. Projects recommended for
approval of the Chief of Engineers under the following authorities:
(1) Section 205, Small Flood Control Authority;
(2) Section 208, Snagging and Clearing for Flood Control Authority;
(3) Section 107, Small Navigation Project Authority;
(4) Section 103, Small Beach Erosion Control Project Authority; and
(5) Section 111, Mitigation of Shore Damages Attributable to
Navigation Projects.
(d) Construction and Operations and Maintenance. Changes in
environmental impacts which were not considered in the project EIS or
EA. Examples are changes in pool level operations, use of new disposal
areas, location of bank protection works, etc.
(e) Real Estate Management and Disposal Actions. (1) Disposal of a
Civil Works project or portions of project properties not reported as
excess to the General Services Administration.
(2) Disposal of real property for public port and industrial
purposes.
(3) Grants of leases or easements for other than minor oil and gas
transmission lines, electric power transmission lines, road and highway
rights-of-way, and sewage or water treatment facilities and land fills.
Sec. 230.8 Emergency actions.
In responding to emergency situations to prevent or reduce imminent
risk of life, health, property, or severe economic losses, district
commanders may proceed without the specific documentation and procedural
requirements of other sections of this regulation. District commanders
shall consider the probable environmental consequences in determining
appropriate emergency actions and when requesting approval to proceed on
emergency actions, will describe proposed NEPA documentation or reasons
for exclusion from documentation. NEPA documentation should be
accomplished prior to initiation of emergency work if time constraints
render this practicable. Such documentation may also be accomplished
after the completion of emergency work, if appropriate. Emergency
actions include Flood Control and Coastal Emergencies Activities
pursuant to Pub. L. 84-99, as amended, and projects constructed under
sections 3 of the River and Harbor Act of 1945 or 14 of the Flood
Control Act of 1946 of the Continuing Authorities Program. When
possible, emergency actions considered major in
[[Page 298]]
scope with potentially significant environmental impacts shall be
referred through the division commanders to HQUSACE (CECW-RE) for
consultation with CEQ about NEPA arrangements.
Sec. 230.9 Categorical exclusions.
Actions listed below when considered individually and cumulatively
do not have significant effects on the quality of the human environment
and are categorically excluded from NEPA documentation. However,
district commanders should be alert for extraordinary circumstances
which may dictate the need to prepare an EA or an EIS. Even though an EA
or EIS is not indicated for a Federal action because of a ``categorical
exclusion'', that fact does not exempt the action from compliance with
any other Federal law. For example, compliance with the Endangered
Species Act, the Fish and Wildlife Coordination Act, the National
Historic Preservation Act, the Clean Water Act, etc., is always
mandatory, even for actions not requiring an EA or EIS.
(a) For a period of one year from the effective date of these
regulations, district commanders should maintain an information list on
the type and number of categorical exclusion actions which due to
extraordinary circumstances triggered the need for an EA and finding of
no significant impact (FONSI) or an EIS. If a district commander
determines that a categorical exclusion should be modified, the
information will be furnished to the division commander, who will review
and analyze the actions and circumstances to determine if there is a
basis for recommending a modification to the list of categorical
exclusions. HQUSACE (CECW-RE) will review recommended changes for Corps-
wide consistency and revise the list accordingly. See 33 CFR part 325,
appendix B for categorical exclusions for regulatory actions.
(b) Activities at completed Corps projects which carry out the
authorized project purposes. Examples include routine operation and
maintenance actions, general administration, equipment purchases,
custodial actions, erosion control, painting, repair, rehabilitation,
replacement of existing structures and facilities such as buildings,
roads, levees, groins and utilities, and installation of new buildings
utilities, or roadways in developed areas.
(c) Minor maintenance dredging using existing disposal sites.
(d) Planning and technical studies which do not contain
recommendations for authorization or funding for construction, but may
recommend further study. This does not exclude consideration of
environmental matters in the studies.
(e) All Operations and Maintenance grants, general plans,
agreements, etc., necessary to carry out land use, development and other
measures proposed in project authorization documents, project design
memoranda, master plans, or reflected in the project NEPA documents.
(f) Real estate grants for use of excess or surplus real property.
(g) Real estate grants for Government-owned housing.
(h) Exchanges of excess real property and interests therein for
property required for project purposes.
(i) Real estate grants for rights-of-way which involve only minor
disturbances to earth, air, or water:
(1) Minor access roads, streets and boat ramps.
(2) Minor utility distribution and collection lines, including
irrigation.
(3) Removal of sand, gravel, rock, and other material from existing
borrow areas.
(4) Oil and gas seismic and gravity meter survey for exploration
purposes.
(j) Real estate grants of consent to use Government-owned easement
areas.
(k) Real estate grants for archeological and historical
investigations compatible with the Corps Historic Preservation Act
responsibilities.
(l) Renewal and minor amendments of existing real estate grants
evidencing authority to use Government-owned real property.
(m) Reporting excess real property to the General Services
Administration for disposal.
(n) Boundary line agreements and disposal of lands or release of
deed restrictions to cure encroachments.
(o) Disposal of excess easement interest to the underlying fee
owner.
[[Page 299]]
(p) Disposal of existing buildings and improvements for off-site
removal.
(q) Sale of existing cottage site areas.
(r) Return of public domain lands to the Department of the Interior.
(s) Transfer and grants of lands to other Federal agencies.
Sec. 230.10 Environmental Assessments (EA).
(a) Purpose. An EA is a brief document which provides sufficient
information to the district commander on potential environmental effects
of the proposed action and, if appropriate, its alternatives, for
determining whether to prepare an EIS or a FONSI (40 CFR 1508.9). The
district commander is responsible for making this determination and for
keeping the public informed of the availability of the EA and FONSI.
(b) Format. While no special format is required, the EA should
include a brief discussion of the need for the proposed action, or
appropriate alternatives if there are unresolved conflicts concerning
alternative uses of available resources, of the environmental impacts of
the proposed action and alternatives and a list of the agencies,
interested groups and the public consulted. The document is to be
concise for meaningful review and decision.
(c) Integration with Corps Reports. In the case of planning and/or
engineering reports not requiring an EIS, the EA may be combined with or
integrated into the report. The same guidance on combining or
integrating an EIS within the report shall apply equally to an EA. Where
the EA is combined with a Corps report or prepared as a separate
document in the case of construction, operating projects and real estate
actions requiring an EA, the EA normally should not exceed 15 pages.
Sec. 230.11 Finding of No Significant Impact (FONSI).
A FONSI shall be prepared for a proposed action, not categorically
excluded, for which an EIS will not be prepared. The FONSI will be a
brief summary document as noted in 40 CFR 1508.13. In the case of
feasibility, continuing authority, or special planning reports and
certain planning/engineering reports, the draft FONSI and EA should be
included within the draft report and circulated for a minimum 30-day
review to concerned agencies, organizations and the interested public
(40 CFR 1501.4(e)(2)). In the case of operation and maintenance
activities involving the discharge of dredged or fill material requiring
a public notice, the notice will indicate the availability of the EA/
FONSI. For all other Corps project actions a notice of availability of
the FONSI will be sent to concerned agencies, organizations and the
interested public (40 CFR 1501.4(e)(1)).
Sec. 230.12 Notice of intent and scoping.
As soon as practicable after a decision is made to prepare an EIS or
supplement, the scoping process for the draft EIS or supplement will be
announced in a notice of intent. Guidance on preparing a notice of
intent to prepare an EIS for publication in the Federal Register is
discussed in Appendix C. Also, a public notice will be widely
distributed inviting public participation in the scoping process. As
described in 40 CFR 1501.7 and reference 3(m), this process is the key
to preparing a concise EIS and clarifying the significant issues to be
analyzed in depth. Public concerns on issues, studies needed,
alternatives to be examined, procedures and other related matters will
be addressed during scoping.
Sec. 230.13 Environmental Impact Statement (EIS).
An EIS for feasibility or continuing authority reports and certain
planning/engineering reports may be combined with or integrated into the
report in accordance with 40 CFR 1500.4(o) and 1506.4. An EIS combined
with the report shall follow the format in 40 CFR 1502.10, follow the
main report, use colored paper and not be an attachment or appendix. An
EIS integrated within the report may follow the instructions in the last
paragraph of 40 CFR 1502.10. Additional guidance on combining and
integrating EISs is located in ER 1105-2-60. Where the EIS is not
combined with or integrated into the project document, the EIS shall be
a separate document and follow the format in 40 CFR 1502.10. CEQ
regulations suggest maximum lengths for the text of an EIS at
[[Page 300]]
40 CFR 1502.07. An effort should be exerted to cover the substantive
topics simply and concisely to the extent practicable, and consistent
with producing a legally and technically adequate EIS. Normally, the CEQ
page limits should be met.
(a) Draft and final EISs. Guidance on EISs prepared for planning and
certain planning/engineering studies is contained in ER 1105-2-10 thru
60. 33 CFR part 325, appendix B contains guidance for regulatory
actions. For final EISs which are not combined with or integrated into
the report, the final EIS may take the form of an ``abbreviated''
document described in 40 CFR 1503.4(c). An abbreviated final EIS should
consist of a new title page, summary, errata or correction sheet(s) and
comments and responses. In filing the abbreviated final EIS with EPA
(Washington Office), five copies of the draft EIS shall be included in
the transmittal. District commanders shall be responsible for
determining the type of final EIS to prepare.
(b) Supplements. A supplement to the draft or final EIS should be
prepared whenever required as discussed in 40 CFR 1502.09(c). A
supplement to a draft EIS should be prepared and filed in the same
manner as a draft EIS and should be titled ``Supplement I'',
``Supplement II'', etc. The final EIS should address the changes noted
in the supplement and substantive comments received as a result of
circulation of the document. A supplement to a final EIS should be
prepared and filed first as a draft supplement and then as a final
supplement. Supplements will be filed and circulated in the same manner
as a draft and final EIS (including the abbreviated procedure discussed
in 13a. above). Supplements to a draft or final EIS filed before 30 July
1979 may follow the format of the previously filed EIS. Supplements to a
draft EIS filed after this date will follow the format outlined in 40
CFR 1502.10. References to the draft or final EIS being supplemented
should be used to eliminate repetitive discussions in order to focus on
the important issues and impacts. The transmittal letter to EPA as well
as the cover sheet should clearly identify the title and purpose of the
document as well as the title and filing date of the previous EIS being
supplemented and how copies can be obtained. The decision may be made on
the proposed action by the appropriate Corps official no sooner than 30
days after the final supplement has been on file. A record of decision
will be signed when the decision is made.
(c) Tiering. Tiering is discussed in 40 CFR 1502.20 and 1508.28 and
should be used in appropriate cases. The initial broad or programmatic
EIS must present sufficient information regarding overall impacts of the
proposed action so that the decision-makers can make a reasoned judgment
on the merits of the action at the present stage of planning or
development and exclude from consideration issues already decided or not
ready for decision. The initial broad EIS should also identify data gaps
and discuss future plans to supplement the data and prepare and
circulate site specific EISs or EAs as appropriate.
(d) Other reports. District commanders may also publish periodic
fact sheets and/or other supplemental information documents on long-term
or complex EISs to keep the public informed on the status of the
proposed action. These documents will not be filed officially with EPA.
Sec. 230.14 Record of decision and implementation.
A record of decision shall be prepared by the district commander, in
accordance with 40 CFR 1505.2, for the signature of the final
decisionmaker as prescribed by applicable Corps regulations. Procedures
implementing the decision are discussed in 40 CFR 1505.3. Incoming
letters of comment on the final EIS will be furnished for review by the
decisionmaker who signs the record of decision. For example, the record
of decision for feasibility reports will be signed by the ASA(CW) at the
time the report is transmitted to Congress for authorization.
Sec. 230.15 Mitigation and monitoring.
See 40 CFR 1505.2(c) and 1505.3. District commanders shall, upon
request from interested agencies or the public, provide reports on the
progress and status of required mitigation and other provisions of their
decisions on Corps
[[Page 301]]
projects. The term monitoring will be interpreted as that oversight
activity necessary to ensure that the decision, including required
mitigation measures, is implemented.
Sec. 230.16 Lead and cooperating agencies.
Lead agency, joint lead agency, and cooperating agency designation
and responsibilities are covered in 40 CFR 1501.5 and 1501.6. The
district commander is authorized to enter into agreements with regional
offices of other agencies as required by 40 CFR 1501.5(c). District or
division commanders will consult with HQUSACE (CECW-RE), WASH DC 20314-
1000 prior to requesting resolution by CEQ as outlined by 40 CFR 1501.5
(e) and (f).
(a) Lead Agency. The Corps will normally be lead agency for Corps
civil works projects and will normally avoid joint lead agency
arrangements. Lead agency status for regulatory actions will be
determined on the basis of 40 CFR 1501.5(c).
(b) Corps as a Cooperating Agency. For cooperating agency
designation the Corps area of expertise or jurisdiction by law is
generally flood control, navigation, hydropower and Corps regulatory
responsibilities. See Appendix II of CEQ regulations (49 FR 49750,
December 21, 1984).
Sec. 230.17 Filing requirements.
Five copies of draft, final and supplement EISs should be sent to:
Director, Office of Federal Activities (A-104), Environmental Protection
Agency, 401 M Street SW., Washington, DC 20460. District commanders
should file draft EISs and draft supplements directly with EPA. Final
EISs and final supplements should be filed by appropriate elements
within HQUSACE for feasibility and reevaluation reports requiring
Congressional authorization. Division commanders should file final EISs
and final supplements for all other Corps actions except for final EISs
or final supplements for permit actions which should be filed by the
district commander after appropriate reviews by division and the
incorporation of division's comments in the EIS. HQUSACE and/or division
will notify field office counterparts when to circulate the final EIS or
final supplement and will file the final document with EPA after
notified that distribution of the document has been accomplished.
(a) Timing requirements. Specific timing requirements regarding the
filing of EISs with EPA are discussed in 40 CFR 1506.10. District
commanders will forward any expedited filing requests with appropriate
supporting information through channels to CECW-RE. Once a decision is
reached to prepare an EIS or supplement, district commanders will
establish a time schedule for each step of the process based upon
considerations listed in 40 CFR 1501.8 and upon other management
considerations. The time required from the decision to prepare an EIS to
filing the final EIS normally should not exceed one year (46 FR 18037,
March 23, 1981). For feasibility, continuing authority, or reevaluation
studies, where the project's study time is expected to exceed 12 months,
the timing of the EIS should be commensurate with the study time. In
appropriate circumstances where the costs of completing studies or
acquiring information for an EIS (i.e., cost in terms of money, time, or
other resources) would be exorbitant, the district commander should
consider using the mechanism described in 40 CFR 1502.22, as amended. In
all cases, however, it is the district commander's responsibility to
assure that the time-limit established for the preparation of an EIS or
supplement is consistent with the purposes of NEPA.
(b) Timing requirements on supplements. Minimum review periods will
be observed for draft and final supplements covering actions not having
a bearing on the overall project for which a final EIS has been filed.
Such supplements should not curtail other ongoing or scheduled actions
on the overall project which have already complied with the procedural
requirements of NEPA.
Sec. 230.18 Availability.
Draft and final EISs and supplements will be available to the public
as provided in 40 CFR 1502.19 and 1506.6. A summary may be circulated in
lieu of the EIS, as provided in 40 CFR 1502.19,
[[Page 302]]
if the statement is unusually long. These documents will normally be
made available without charge except that, in unusual circumstances,
reproduction costs may be recovered in accordance with 40 CFR 1506.6(f)
from recipients other than those required by CEQ to receive the complete
EIS.
Sec. 230.19 Comments.
District commanders shall request comments as set forth in 40 CFR
1503 and 1506.6. A lack of response may be presumed to indicate that the
party has no comment to make.
(a) Time extensions. District commanders will consider and act on
requests for time extensions to review and comment on an EIS based on
timeliness of distribution of the document, prior agency involvement in
the proposed action, and the action's scope and complexity.
(b) Public meetings and hearings. See 40 CFR 1506.6(c). Refer to
paragraph 12, 33 CFR part 325, appendix B for regulatory actions.
(c) Comments received on the draft EIS. See 40 CFR 1503.4. District
commanders will pay particular attention to the display in the final EIS
of comments received on the draft EIS. In the case of abbreviated final
EISs, follow 40 CFR 1503.4(c). For all other final EISs, comments and
agency responses thereto will be placed in an appendix in a format most
efficient for users of the final EIS to understand the nature of public
input and the district commander's consideration thereof. District
commanders will avoid lengthy or repetitive verbatim reporting of
comments and will keep responses clear and concise.
(d) Comments received on the final EIS. Responses to comments
received on the final EIS are required only when substantive issues are
raised which have not been addressed in the EIS. In the case of
feasibility reports where the final report and EIS, Board of Engineers
for Rivers and Harbors (CEBRH) or Mississippi River Commission (CEMRC)
report, and the proposed Chief's report are circulated for review,
incoming comment letters will normally be answered, if appropriate, by
CECW-P. After the review period is over, CECW-P will provide copies of
all incoming comments received in HQUSACE to the district commander for
use in preparing the draft record of decision. For all other Corps
actions except regulatory actions (See 33 CFR part 325, appendix B), two
copies of all incoming comment letters (even if the letters do not
require an agency response) together with the district commander's
responses (if appropriate) and the draft record of decision will be
submitted through channels to the appropriate decision authority. In the
case of a letter recommending a referral under 40 FR part 1504,
reporting officers will notify CECW-RE and request further guidance. The
record of decision will not be signed nor any action taken on the
proposal until the referral case is resolved.
(e) Commenting on other agencies' EISs. See 40 CFR 1503.2 and
1503.3. District commanders will provide comments directly to the
requesting agency. CECW-RE will provide comments about legislation,
national program proposals, regulations or other major policy issues to
the requesting agency. See appendix III of CEQ regulations. When the
Corps is a cooperating agency, the Corps will provide comments on
another Federal agency's draft EIS even if the response is no comment.
Comments should be specific and restricted to areas of Corps
jurisdiction by law and special expertise as defined in 40 CFR 1508.15
and 1508.26, generally including flood control, navigation, hydropower,
and regulatory responsibilities. See appendix II of CEQ regulations.
Sec. 230.20 Integration with State and local procedures.
See 40 CFR 1506.2.
Sec. 230.21 Adoption.
See 40 CFR 1506.3. A district commander will normally adopt another
Federal agency's EIS and consider it to be adequate unless the district
commander finds substantial doubt as to technical or procedural adequacy
or omission of factors important to the Corps decision. In such cases,
the district commander will prepare a draft and final supplement noting
in the draft supplement why the EIS was considered inadequate. In all
cases, except
[[Page 303]]
where the document is not recirculated as provided in 40 CFR 1506.3 (b)
or (c), the adopted EIS with the supplement, if any, will be processed
in accordance with this regulation. A district commander may also adopt
another agency's EA/FONSI.
Sec. 230.22 Limitations on actions during the NEPA process.
See 40 CFR 1506.1.
Sec. 230.23 Predecision referrals.
See 40 CFR part 1504. If the district commander determines that a
predecision referral is appropriate, the case will be sent through
division to reach CECW-RE not later than 15 days after the final EIS was
filed with EPA. Corps actions referred to CEQ by another Federal agency
shall be transmitted to CECW-RE for further guidance. See paragraph 19,
33 CFR part 325, appendix B, for guidance on predecision referrals
affecting regulatory permit actions.
Sec. 230.24 Agency decision points.
The timing and processing of NEPA documents in relation to major
decision points are addressed in paragraphs 11 and 14 and appendix A for
studies and projects and 33 CFR part 320 through 330 for regulatory
actions.
Sec. 230.25 Environmental review and consultation requirements.
See 40 CFR 1502.25.
(a) For Federal projects, NEPA documents shall be prepared
concurrently with and utilize data from analyses required by other
environmental laws and executive orders. A listing of environmental laws
and orders is contained in table 3.4.3 of Economic and Environmental
Principles and Guidelines for Water and Related Land Resources
Implementation Studies. Reviews and consultation requirements, analyses,
and status of coordination associated with applicable laws, executive
orders and memoranda will be summarized in the draft document. The
results of the coordination completed or underway pursuant to these
authorities will be summarized in the final document. Where the results
of the ongoing studies are not expected to materially affect the
decision on the proposed action, the filing of the final EIS need not be
delayed.
(b) Executive Order 12114, Environmental Effects Abroad of Major
Federal Actions, 4 January 1979. For general policy guidance, see
Federal Register of April 12, 1979, 32 CFR part 197. Procedural
requirements for Civil Works studies and projects are discussed below.
(1) The district commander through the division commander will
notify CECW-PE, PN, PS or PW as appropriate, of an impending action
which may impact on another country and for which environmental studies
may be necessary to determine the extent and significance of the impact.
The district commander will inform CECW-P whether entry into the country
is necessary to study the base condition.
(2) CECW-P will notify the State Department, Office of Environment
and Health (OES/ENH) of the district commander's concern, and whether a
need exists at this point to notify officially the foreign nation of our
intent to study potential impacts. Depending on expected extent and
severity of impacts, or if entry is deemed necessary, the matter will be
referred to the appropriate foreign desk for action.
(3) As soon as it becomes evident that the impacts of the proposed
actions are considered significant, CECW-P will notify the State
Department. The State Department will determine whether the foreign
embassy needs to be notified, and will do so if deemed appropriate,
requesting formal discussions on the matter. When the International
Joint Commission (IJC) or the International Boundary and Water
Commission, United States and Mexico (IBWC) is involved in a study, the
State Department should be consulted to determine the foreign policy
implications of any action and the proper course of action for formal
consultations.
(4) Prior to public dissemination, press releases or reports dealing
with impact assessments in foreign nations should be made available to
the appropriate foreign desk at the State Department for clearance and
coordination with the foreign embassy.
[[Page 304]]
Sec. 230.26 General considerations in preparing Corps EISs.
(a) Interdisciplinary preparation. See (40 CFR 1502.6).
(b) Incorporation by reference. To the maximum extent practicable,
the EIS should incorporate material by reference in accordance with 40
CFR 1502.21. Footnotes should be used only where their use greatly aids
the reader's understanding of the point discussed. Citation in the EIS
of material incorporated by reference should be made by indicating an
author's last name and date of the reference in parentheses at the
appropriate location in the EIS. The list of references will be placed
at the end of the EIS. Only information sources actually cited in the
text should appear in the reference list. The reference list should
include the author's name, the date and title of the publication,
personal communications and type of communication (e.g., letter,
telephone, interview, etc.).
Sec. Appendix A to Part 230--Processing Corps NEPA Documents
NEFA documents for Civil Works activities other than permits will be
processed in accordance with the instructions contained in this appendix
and applicable paragraphs in the regulation.
Table of Contents
Title
1. Feasibility Studies
2. Continuing Authorities Program Studies
3. Projects in Preconstruction Engineering, and Design, Construction,
and Completed Projects in an Operations and Maintenance
Category
4. Other Corps Projects
1. Feasibility Studies
a. Preparation and Draft Review. During the reconnaissance phase,
the district commander should undertake environmental studies along with
engineering, economic and other technical studies to determine the
probable environmental effects of alternatives and the appropriate NEPA
document to accompany the feasibility report. This environmental
evaluation should be continued in the feasibility phase, and if the need
for an EIS develops the district commander will issue a notice of intent
as early in the feasibility phase as possible. Following the guidance in
ER 1105-2-10 through 60, the district commander will prepare a draft
feasibility report combining or integrating the draft EIS or EA and
draft FONSI (as appropriate), or a separate NEPA document and circulate
it to agencies, organizations and members of the public known to have an
interest in the study. Five copies of the draft EIS and report will be
mailed to Director, Office of Federal Activities (A-104), Environmental
Protection Agency, 401 M Street SW., Washington, DC 20460 for filing
after distribution has been accomplished. After receipt and evaluation
of comments received, the district commander will prepare the final
report and EIS or EA and FONSI and submit it to the division commander
for review.
b. Division Review. After review, the division commander will issue
a public notice of report issuance and transmit the report to the CEBRH.
On Mississippi River and Tributaries projects, the district commander
will issue a public notice and submit the report to the CEMRC. For the
purpose of this regulation, only the acronym CEBRH will be used since
the review functions of CEMRC and CEBRH are similar. The notice will
provide a 30-day period for comments to be submitted to CEBRH on the
report and EIS. Although the EIS in the report is identified as
``final'' at this stage of processing, it should be made clear to all
those requesting a copy that it is an ``Interim Document under Agency
Review--Subject to Revision'' and will become the agency's final EIS
when it is filed after CEBRH review.
c. CEBRH Review. CEBRH will review the EIS at the same time it
reviews the final feasibility report. The report and EIS should be
compatible. If the CEBRH review requires minor revisions (with
insignificant impacts) to the plan as recommended by the division and
district commanders, these changes and impacts shall be noted in the
CEBRH report. If the CEBRH action results in major revisions to the
recommended plan and revisions are variants of the plan or are within
the range of alternatives considered and discussed in the draft EIS, an
addendum to the final EIS will be prepared by CEBRH (with assistance
from the district commander, as required). This addendum ``package''
will be identified as an ``Addendum to the Final EIS--Environmental
Consequences of the Modifications Recommended by the Board of Engineers
for Rivers and Harbors--project name.'' The format shall include an
abstract on the cover page; recommended changes to the division/district
commander's proposed plan; rationale for the recommended changes;
environmental consequences of the recommended changes; and the name,
expertise/discipline, experience, and role of the principal preparer(s)
of the addendum. Letters received during CEBRH review which provide new
pertinent information having a bearing on the modifications recommended
by CEBRH will be attached to the addendum. If CEBRH proposes to
recommend a major
[[Page 305]]
revision or a new alternative to the plan recommended by the division
and district commanders with significant impacts which were not
discussed in the draft EIS, a supplement to the draft EIS will be
required. After consultation with CEBRH and the division commander, the
district commander will prepare and circulate the supplement to the
draft EIS in accordance with paragraph 13(b). The supplement together
with incoming letters of comment and Corps responses to substantive
issues shall be incorporated into the existing final report and EIS with
a minimum of page changes or revisions to reflect the modified or new
proposed plan. CEBRH will review its proposed action in light of the
comments received prior to taking final action on the report and EIS.
d. Departmental Review. The report and final EIS, together with the
proposed report of the Chief of Engineers and the CEBRH report, will be
filed with EPA at about the same time as it is circulated for the 90-day
departmental review by Federal agencies at the Washington level and the
concerned state(s). District commanders will circulate the proposed
Chief's report, CEBRH report, and the report and final EIS to parties on
the project mailing list not contacted by HQUSACE (groups and
individuals known to have an interest in the study or who provided
comments on the draft EIS) allowing the normal 30-day period of review.
HQUSACE will provide a standard letter for the district to use to
transmit these documents which explains the current status of the report
and EIS and directs all comments to be sent to HQUSACE (CECW-P). Copies
of the report appendices circulated with the draft need not be
circulated with the report and final EIS. All letters of comment
received on the report and final EIS together with HQUSACE responses and
the draft record of decision (to be provided by the district commander)
will be included with other papers furnished at the time the final
Chief's report is transmitted to ASA(CW) for further review and
processing.
e. Executive Reviews. After completion of review, the Chief of
Engineers will sign his final report and transmit the report and
accompanying documents to ASA(CW). After review ASA(CW) will transmit
the report to OMB requesting its views in relation to the programs of
the President. After OMB provides its views, ASA(CW) will sign the
record of decision (ROD) and transmit the report to Congress. In
situations where Congress has acted to authorize construction of a
project prior to receiving ASA(CW) recommendations, the Director of
Civil Works is the designated official to sign the ROD. In this case the
ROD should only address the project as authorized by the Congress and
not attempt to provide any additional justification of the Congressional
action.
2. Continuing Authorities Program Studies
a. Preparation and Draft Review. During the reconnaissance phase,
the district commander should undertake environmental studies along with
engineering, economic and other technical studies to determine the
probable environmental effects of alternatives and the appropriate NEPA
document to accompany the detailed project report (DPR). If the results
of the reconnaissance phase warrant preparation of an EIS, the district
commander will issue a notice of intent early in the ensuing feasibility
study. Following the guidance in ER 1105-2-10 through 60 the district
commander will prepare the draft DPR incorporating the EA and draft
FONSI or draft EIS (as appropriate), and circulate it to agencies,
organizations and members of the public known to have an interest in the
study. If an EIS is prepared, five copies of the draft EIS and report
will be mailed to Director, Office of Federal Activities (A-104),
Environmental Protection Agency, 401 M Street SW, Washington, DC 20460
for filing after distribution has been accomplished.
b. Agency Review. After receipt and evaluation of comments the
district commander will prepare the final DPR and EA/FONSI or final EIS
and submit eight (8) copies to the division commander for review and
approval. After review, the division commander will file five (5) copies
of the final DPR and EIS with the Washington office of EPA. The division
commander will not file the final EIS until notified by the district
commander that distribution has been accomplished.
c. Final Review. Letters of comment on the final DPR including the
final EIS will be answered by the district commander on an individual
basis if appropriate. Two (2) copies of all incoming letters and the
district commander's reply together with five copies of the final DPR
and EIS and a draft of the record of decision will be submitted through
division to the appropriate element within CECW-P. After review of the
DPR and NEPA documents, the Director of Civil Works or Chief, Planning
Division will approve the project and sign the record of decision if an
EIS was prepared for the DPR.
3. Projects in Preconstruction Engineering and Design, Construction, and
Completed Projects in an Operations and Maintenance Category
a. General. District commanders will review the existing NEPA
document(s) to determine if there are new circumstances or significant
impacts which warrant the preparation of a draft and final supplement to
the EIS. If the proposed changes and new impacts are not significant an
EA and FONSI may be used.
b. Preparation and Draft Review. As soon as practicable after the
district commander makes a determination to prepare an EIS or
[[Page 306]]
supplement for the proposed project, a notice of intent will be issued.
The district commander will, in accordance with 40 CFR 1506.6, prepare
and circulate the draft EIS or supplement for review and comment to
agencies, groups and individuals known who may be interested or
affected. Five (5) copies will be sent to Director, Office of Federal
activities (A-104), Environmental Protection Agency, 401 M Street SW.,
Washington, DC 20460 for filing after distribution has been
accomplished.
c. Agency Review. The district commander will prepare the final EIS
or supplement after receipt and evaluation of comments. Eight (8) copies
will be transmitted to the division commander for review. After review
the division commander will file five (5) copies with the Washington
office of EPA. A copy of the final EIS or supplement and transmittal
letter to EPA will be provided to the appropriate counterpart office
within HQUSACE. The division commander will file the final EIS when the
district commander has made distribution.
d. Final Review. Letters of comment on the final EIS or supplement
will be answered by the district commander on an individual basis as
appropriate. Two (2) copies of the incoming letters and the district
commander's reply together with two copies of the final EIS or
supplement and a draft of the record of decision will be submitted to
the appropriate Corps official having approval authority. After review
of the NEPA documents and letters, the appropriate approving official
will sign the record of decision.
4. Other Corps Projects. Draft and final EISs for other Civil Works
projects or activities having significant environmental impacts which
may be authorized by Congress without an EIS having been previously
filed and for certain real estate management and disposal actions which
may require an EIS should be processed in a manner similar to that
discussed in paragraph 3 of this appendix except that CERE-MC will be
the coordinating office within HQUSACE for real estate actions.
Sec. Appendix B to Part 230 [Reserved]
Sec. Appendix C to Part 230--Notice of Intent To Prepare a Draft EIS
1. Purpose. This appendix provides guidance on the preparation and
processing of a notice of intent to prepare a draft EIS for publication
in the Federal Register. A notice of intent to prepare a draft EIS or a
draft supplement is discussed in 40 CFR 1508.22.
2. Procedure. District commanders shall publish a notice of intent
in the Federal Register as soon as practicable after a decision is made
to prepare a draft EIS or draft supplement. See 40 CFR 1507.3(e) for
timing of notice of intent for Corps feasibility studies. Guidance on
the format and content of the notice in the form of a sample notice of
intent is contained in paragraph 4 of this appendix. District commanders
shall also follow this guidance when publishing a notice of intent to
withdraw a notice of intent when a decision has been made to terminate
the EIS process.
3. Publishing Documents in the Federal Register. The following
information is furnished for preparation and publication of notices of
intent in the Federal Register:
a. A brief transmittal letter inclosing three (3) signed copies of
the notice of intent should be processed through local Chief,
Information Management channels to: HQDA, SFIS-APP, ATTN: Department of
the Army Liaison Officer with the Office of the Federal Register,
Alexandria, VA 22331-0302. This office will review and correct (if
needed) all documents prior to publication in the Federal Register.
b. The notice must be signed by the official issuing the document
along with the signer's typed name, rank and position title for military
officials or name and position title for civilian officials. A signer
cannot sign ``as acting'' or ``for'' if another name is shown in the
signature block. All three copies sent forward must be signed in ink. A
xerox copy of the signature is not allowed.
c. A six-digit billing code number must be typed or handwritten in
ink at the top of the first page on all three copies of a notice. This
billing code number can be found on GPO bills, GPO Form 400, in the
upper left corner opposite the address. The billing code number will be
indicated as 3710-XX. FOAs must submit an open-end printing and binding
requisition, Standard Form 1, each fiscal year to cover Federal Register
printing costs (reference 3(n)). Completed requisitions (SF-1) must be
forwarded to reach HQUSACE (CEIM-SP) WASH DC 20314-1000 by 1 June of
each year. Consult the local chief, Information Management for
Assistance.
4. Sample Notice of Intent. The following is a sample notice of
intent to be used by district commanders:
Department of Defense
Corps of Engineer, Department of the Army, 3710-XX (Use Local
Billing Code Number)
Intent To Prepare A Draft Environment Impact Statement (DEIS) For a
Proposed (Name and location of project, permit or activity).
Agency: U.S. Army Corps of Engineers, DoD.
Action: Notice of Intent.
Summary: The summary should briefly state in simple language what
action is being taken, why the action is necessary, and the intended
effect of the action. Extensive discussion belongs under the
Supplementary Information caption.
[[Page 307]]
For Further Information Contact: Questions about the proposed action
and DEIS can be answered by: (Provide name, telephone number, and
address of the person in the district or division who can answer
questions about the proposed action and the DEIS).
Supplementary Information: The Supplementary Information should
contain the remainder of the necessary information of the document. It
should contain any authority citation, Federal Register citation to a
previously published document, or CFR citation when appropriate and
include a discussion of the following topics:
1. Briefly describe the proposed action.
2. Briefly describe reasonable alternatives.
3. Briefly describe the Corps' scoping process which is reasonably
foreseeable for the DEIS under consideration. The description:
a. Shall discuss the proposed public involvement program and invite
the participation of affected Federal, state and local agencies,
affected Indian tribes, and other interested private organizations and
parties.
b. Shall identify significant issues to be analyzed in depth in the
DEIS.
c. May discuss possible assignments for input into the EIS under
consideration among the lead and cooperating agencies.
d. Shall identify other environmental review and consultation
requirements.
4. Indicate whether or not a scoping meeting will be held. Indicate
time, date and location if a meeting is scheduled.
5. Provide an estimated date when the DEIS will be made available to
the public.
(Provide date)
________________________________________________________________________
(Signature)
________________________________________________________________________
See par. 3.b. for instructions on signature
Note
Text to be double-spaced. Use block format.
Place local billing code number at the top of the
first page on all three copies.
Margins--one inch on top, bottom and right side;
and one and one-half inches on the left side.
Pages must be numbered consecutively.
Text should be typed on one side only.
Use 8\1/2\ by 11 inch bond paper or photocopy
paper.
PART 236_WATER RESOURCE POLICIES AND AUTHORITIES: CORPS OF ENGINEERS
PARTICIPATION IN IMPROVEMENTS FOR ENVIRONMENTAL QUALITY--Table of Contents
Sec.
236.1 Purpose.
236.2 Applicability.
236.3 References.
236.4 Background.
236.5 Policy and procedure.
236.6 Other agencies EQ measures.
Authority: Pub. L. 738, 74th Cong.; Pub. L. 89-72; Pub. L. 91-190.
Source: 45 FR 28714, Apr. 30, 1980, unless otherwise noted.
Sec. 236.1 Purpose.
This regulation provides guidance for including Environmental
Quality (EQ) measures in Corps of Engineers water resource development
plans.
Sec. 236.2 Applicability.
This regulation is applicable to all OCE elements and field
operating activities having Civil Works responsibilities.
Sec. 236.3 References.
(a) PL 89-72
(b) ER 1105-2-10
(c) ER 1105-2-200
Sec. 236.4 Background.
(a) The role of the Corps of Engineers in the development of water
and related land resources has gradually broadened over the past
century. Starting with the development of navigation on the Mississippi
River in 1824, the Corps role has grown to encompass, among others,
flood control, beach erosion control and hurricane protection,
hydroelectric power, recreation, water supply, water quality, fish and
wildlife and low-flow augmentation. Laws, executive orders, and national
policies promulgated in the past decade require that the quality of the
environment be protected and, where possible, enhanced as the nation
grows. As a result, the Federal role in EQ, including the Corps, has
continued to broaden. Balancing economic and environmental interests is
a major requirement to be considered in the planning of all Corps
projects.
(b) Enhancement of the environment is an objective of Federal water
resource programs to be considered in the planning, design,
construction, and operation and maintenance of projects. Opportunities
for enhancement of the environment are sought through each
[[Page 308]]
of the above phases of project development. Specific considerations may
include, but are not limited to, actions to preserve or enhance critical
habitat for fish and wildlife; maintain or enhance water quality;
improve streamflow; preservation and restoration of certain cultural
resources, and the preservation or creation of wetlands.
(c) The 1105-2-200 series of Engineer Regulations describe the
procedures to be followed in developing water resource plans. These
procedures require the establishment of planning objectives (generally
encompassing a combination of National Economic Development (NED) and EQ
outputs), and evaluation of alternative plans to meet those objectives
to differing degrees. With respect to the recommendation of measures for
Corps implementation, ER 1105-2-200 states that, ``If the selected plan
or a portion thereof is not within existing Corps implementation
authority, but is responsive to the planning objectives established for
the study, the reporting officer may recommend Federal (Corps)
participation.'' The ER further states that the basis for and extent of
such participation is to be specified, including the precedent setting
aspects of the recommendation, and further, that such recommendations
are to be coordinated through DAEN-CWP before commitments are made to
states or local interests. This regulation expands upon that policy and
provides operational policies and criteria which will allow the field to
recommend authorization for implementation of certain EQ measures.
Sec. 236.5 Policy and procedure.
The following policies and procedures set forth criteria to be
applied in determining when EQ measures may be recommended for
implementation by the Corps.
(a) Policy--(1) Achievement of specified, study authority planning
objectives. Recommended plans must include measures for accomplishment
of the primary purposes authorized by Congress.
(2) Relationship of EQ measures to a Corps water resource
development. Measures proposed for EQ must enhance, preserve or restore
the environment of the study area. EQ opportunities created as a result
of meeting study authority purposes should be pursued and, as
appropriate, included in plans for Corps implementation. In addition,
the recommended plan may also include separable EQ measures to meet
established planning objectives. Such separable EQ measures for Corps
implementation must be related to, or take advantage of, opportunities
created by a water resource development to be recommended for
implementation by the Corps of Engineers.
(3) Justification. Recommended plans must be justified on the basis
that combined beneficial NED and EQ effects outweigh combined adverse
NED and EQ effects.
(4) Cost sharing. Some features of plans required to foster EQ
objectives in the Corps of Engineers program have well-defined laws or
policies which establish cost sharing requirements. For instance, Pub.
L. 89-72, as amended, defines cost sharing requirements for fish and
wildlife enhancement. However, there are other features which may not be
defined by law or policy. In those instances, cost sharing will be based
on an analogy with established cost sharing policies or other similar
Federal programs as described in the Catalog of Federal Domestic
Assistance. Cost sharing for EQ measures for which the Corps has no
standard policy will be approved by HQDA (DAEN-CWP-E, C or W), WASH DC
20314, prior to proposing cost sharing to local interests.
(b) Procedures for approval--(1) Without advance OCE approval. The
reporting officer may recommend separable EQ measures that satisfy any
one of the following criteria:
(i) Implemented on lands required for the water resource
development;
(ii) Required to complete or more fully develop proposed EQ measures
partly on lands, including mitigation lands, required for the water
resource development;
(iii) More cost effective to implement or manage when directly
integrated with the implementation or management of the water resource
development.
(2) With advance approval. Other separable EQ measures may be
recommended with advance approval of the Director of Civil Works through
[[Page 309]]
the intensive management program (ER 1105-2-10). The appropriateness for
including such measures will be based upon a consideration of factors
which may include, but are not limited to:
(i) Level of significance of the EQ resource.
(ii) Proximity to the proposed water resource development.
(iii) Acceptability and support for Corps implementation.
(iv) Certainty of the pending loss or significant degradation of the
EQ resource in the absence of implementing the proposed EQ measure.
(v) Relationship of the EQ measures to implementing the proposed
water resources development.
(vi) Relationship of the EQ measures to assigned missions of other
agencies and the capability for timely implementation by these agencies.
(vii) Cost effectiveness.
Sec. 236.6 Other agencies EQ measures.
The selected plan may include EQ measures not proposed for Corps
implementation, but to be accomplished through other Federal programs or
by local interests. Planning reports including such measures will
discuss how they would impact on the recommended plan, and how they may
be implemented by the appropriate Federal agency or the local interests.
However, implementation of such measures will not be required as local
cooperation for the works proposed for Corps implementation.
PART 238_WATER RESOURCES POLICIES AND AUTHORITIES: FLOOD DAMAGE REDUCTION
MEASURES IN URBAN AREAS--Table of Contents
Sec.
238.1 Purpose.
238.2 Applicability.
238.3 References.
238.4 Definitions.
238.5 Comprehensive planning.
238.6 General policy.
238.7 Decision criteria for participation.
238.8 Other participation.
238.9 Local cooperation.
238.10 Coordination with other Federal agencies.
Authority: Pub. L. 738, 74th Congress, 33 U.S.C. 701a.
Source: 45 FR 71801, Oct. 30, 1980, unless otherwise noted.
Sec. 238.1 Purpose.
This regulation provides policies and guidance for Corps of
Engineers participation in urban flood damage reduction projects and
establishes criteria to distinguish between improvements to be
accomplished by the Corps under its flood control authorities and storm
sewer systems to be accomplished by local interests.
Sec. 238.2 Applicability.
This regulation is applicable to all OCE elements and all field
operating acitivities having Civil Works responsibilities.
Sec. 238.3 References.
(a) Executive Order 11988--Floodplain Management, dated 24 May 1977.
(b) U.S. Water Resources Council, Floodplain Management Guidelines,
(43 FR 6030), to February 1978.
(c) ER 1105-2-811.
(d) ER 1140-2-302.
(e) ER 1140-2-303.
(f) EP 1165-2-2.
Sec. 238.4 Definitions.
For purposes of this regulation the following definitions apply:
(a) Urban areas are cities, towns, or other incorporated or
unincorporated political subdivisions of States that:
(1) Provide general local government for specific population
concentrations, and,
(2) Occupy an essentially continuous area of developed land,
containing such structures as residences, public and commercial
buildings, and industrial sites.
(b) Flood damage reduction works in urban areas are the adjustments
in land use and the facilities (structural and non-structural) designed
to reduce flood damages in urban areas from overflow or backwater due to
major storms and snowmelt. They include structural and other engineering
modifications to natural streams or to previously modified natural
waterways. Flood damage reduction works are designed to modify flood
behavior typified by temporary conditions of inundation of normally dry
land from the
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overflow of rivers and streams or from abnormally high coastal waters
due to sever storms.
(c) Storm sewer systems are the facilities in urban areas designed
to collect and convey runoff from rainfall or snowmelt in the urban area
to natural water courses or to previously modified natural waterways.
They include storm drains, inlets, manholes, pipes, culverts, conduits,
sewers and sewer appurtenances, on-site storage and detention basins,
curbs and gutters, and other small drainageways that remove or help to
manage runoff in urban areas. Storm sewer systems are designed to solve
storm drainage problems, which are typified by excessive accumulation of
runoff in depressions; overland sheet flow resulting from rapid snowmelt
or rainfall; and excessive accumulation of water at the facilities
listed in this paragraph because of their limited capacity.
Sec. 238.5 Comprehensive planning.
Coordinated comprehensive planning at the regional or river basin
level, or for an urban or metropolitan area, can help to achieve
solutions to flood problems that adequately reflect future changes in
watershed conditions, and help to avoid short-sighted plans serving only
localized situations. This planning is particularly important in areas
where significant portions of a watershed are expected to be urbanized
in the future. Changes in land use may result in major alterations of
the runoff characteristics of the watershed. Hydrologic changes must be
projected for the period of analysis. In this effort, responsible local
planning organizations should provide information and assist the Corps
in development of projected land uses and expected practices for
collection and conveyance of runoff over the period of analysis.
Conversely, the Corps may be able to provide non-Federal interests with
valuable information about water related consequences of alternative
land uses and drainage practices.
Sec. 238.6 General policy.
(a) Satisfactory resolution of water damage problems in urban areas
often involves cooperation between local non-Federal interests and the
Federal flood control agencies. In urban or urbanizing areas, provision
of a basic drainage system to collect and convey the local runoff to a
stream is a non-Federal responsibility. This regulation should not be
interpreted to extend the flood damage reduction program into a system
of pipes traditionally recognized as a storm drainage system. Flood
damage reduction works generally address discharges that represent a
serious threat to life and property. The decision criteria outlined
below therefore exclude from consideration under flood control
authorities small streams and ditches with carrying capacities typical
of storm sewer pipes. Location of political boundaries will not be used
as a basis for specifying project responsibility. Project
responsibilities can be specified as follows:
(1) Flood damage reduction works, as defined in this regulation, may
be accomplished by the Corps of Engineers.
(2) Construction of storm sewer systems and components thereof will
be a non-Federal responsibility. Non-Federal interests have a
responsibility to design storm sewer systems so that residual damages
are reduced to an acceptable level.
(b) Consideration will be given to the objectives and requirements
of Executive Order 11988 (reference Sec. 238.3(a)) and the general
guidelines therefor by the U.S. Water Resources Council (reference Sec.
238.3(b)).
Sec. 238.7 Decision criteria for participation.
(a) Urban flood control. (1) Urban water damage problems associated
with a natural stream or modified natural waterway may be addressed
under the flood control authorities downstream from the point where the
flood discharge of such a stream or waterway within an urban area is
greater than 800 cubic feet per second for the 10-percent flood (one
chance in ten of being equalled or exceeded in any given year) under
conditions expected to prevail during the period of analysis. Those
drainage areas which lie entirely within the urban area (as established
on the basis of future projections, in accordance with Sec. 238.5 of
this part), and which are less than 1.5 square miles in
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area, shall be assumed to lack adequate discharge to meet the above
hydrologic criteria. Those urban streams and waterways which receive
runoff from land outside the urban area shall not be evaluated using
this 1.5 square mile drainage area criterion.
(2) A number of conditions within a drainage area may limit
discharges for the 10-percent flood, without proportionately reducing
discharges for larger floods, such as the one-percent flood. Examples
include the presence of extremely pervious soils, natural storage
(wetlands) or detention basins or diversions with limited capacity.
Other conditions could result in a hydrological disparity between the
10- and one-percent flood events.
(3) Division Engineers, except for NED and POD, are authorized to
grant exceptions to the 800 cfs, 10-percent flood discharge criterion
specified in this Sec. 238.7(a)(1) whenever both of the following
criteria are met:
(i) The discharge for the one-percent flood exceeds 1800 cfs; and
(ii) The reason that the 10-percent flood discharge is less than 800
cfs is attributable to a hydrologic disparity similar to those described
in Sec. 238.7(a)(2).
Requests for exceptions to the hydrologic criterion contained in Sec.
238.7(a)(1) from NED and POD should be submitted to HQDA (DAEN-CWP) WASH
DC 20314.
(4) Flood damage reduction works must conform to the definition in
Sec. 238.4(b) and must be justified based on Corps of Engineers
evaluation procedures in use at the time the evaluation is made. Flood
reduction measures, such as dams or diversions, may be located upstream
of the particular point where the hydrologic criteria (and area
criterion, if appropriate) are met, if economically justified by
benefits derived within the stream reach which does qualify for flood
control improvement. Similarly, the need to terminate flood control
improvements in a safe and economical manner may justify the extension
of some portions of the improvements, such as levee tiebacks, into areas
upstream of the precise point where Federal flood control authorities
become applicable.
(b) Storm sewer system. Water damage problems in urban areas not
consistent with the above criteria for flood control will be considered
to be a part of local storm drainage to be addressed as part of the
consideration of an adequate storm sewer system. The purpose of this
system is to collect and convey to a natural stream or modified natural
waterway the runoff from rainfall or snowmelt in the urbanized area.
(c) Man-made conveyance structures. (1) Man-made conveyance
structures will be assumed to be a part of storm sewer systems except
when: (i) A natural stream has been or is to be conveyed in the man-made
structure; or (ii) The man-made structure is a cost-effective
alternative to improvement of a natural stream for flood damage
reduction purposes or is an environmentally preferable and economically
justified alternative. Water damage associated with inadequate carrying
capacity of man-made structures should be designated as a flood problem
or a local drainage problem in a manner consistent with the structure's
classification as flood damage reduction works or a part of a storm
sewer system.
(2) Man-made structures that convey sanitary sewage or storm runoff,
or a combination of sanitary and storm sewage, to a treatment facility
will not be classified as flood damage reduction works. Flows discharged
into a natural or previously modified natural waterway for the purpose
of conveying the water away from the urbanized area will be assumed to
be a part of the flow thereof regardless of quality characteristics.
(d) Joint projects. Certain conditions may exist whereby the Corps
of Engineers and the Department of Housing and Urban Development (HUD),
or another Federal agency, could jointly undertake a project that would
be impractical if one agency were to undertake it alone. The Corps may,
for example, under provisions of Section 219 of the Flood Control Act of
1965, design or construct a project that is part of a larger HUD plan
for an urban area (see ER 1140-2-302). Such efforts should be undertaken
only when requirements cannot be handled better by one agency
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acting alone. If a joint effort is preferable, then the Corps may
participate as required.
(e) Disagreements. If a disagreement arises between the Corps and
another Federal agency that cannot be resolved at the field level, the
matter will be forwarded to HQDA (DAEN-CWR) WASH DC 20314 for guidance.
Sec. 238.8 Other participation.
In addition to providing flood damage reduction works in urban
areas, the Corps may provide related services to State and local
governments on a reimbursable basis. Under Title III of the Inter-
governmental Cooperation Act of 1968, specialized or technical services
for which the Corps has specific expertise may be furnished only when
such services cannot be procured reasonably and expeditiously from
private firms (see ER 1140-2-303).
Sec. 238.9 Local cooperation.
(a) Cost sharing and other provisions of local cooperation shall be
in conformity with applicable regulations for structural and non-
structural flood damage reduction measures.
(b) Responsible non-Federal entities will be required to provide
satisfactory assurances that they will adopt, enforce, and adhere to a
sound, comprehensive plan for flood plain management for overflow areas
of communities involved. To this end, District Engineers will inform
HUD, and other concerned Federal and non-Federal planning and governing
agencies, of flood plain management services available under Section 206
of the Flood Control Act of 1960, as amended (33 U.S.C. 709a).
Sec. 238.10 Coordination with other Federal agencies.
In conducting flood damage reduction studies, reporting officers
shall comply with the 1965 Agreement between the Soil Conservation
Service and the Corps (contained in EP 1165-2-2) in determining the
responsible Federal agency. Corps personnel should also keep abreast of
the public works programs administered by other Federal agencies, such
as the Environmental Protection Agency, the Department of Housing and
Urban Development, Farmers Home Administration and the Department of
Commerce, in order to coordinate flood control improvements with storm
sewer system improvements and to avoid program overlap. Coordination of
planning activities with A-95 clearinghouses will help to achieve this
objective (see ER 1105-2-811).
PART 239_WATER RESOURCES POLICIES AND AUTHORITIES: FEDERAL PARTICIPATION
IN COVERED FLOOD CONTROL CHANNELS--Table of Contents
Sec.
239.1 Purpose.
239.2 Applicability.
239.3 References.
239.4 Policy.
239.5 Engineering considerations.
239.6 Level of protection.
239.7 Separation of flood control works from urban drainage.
239.8 Cost sharing.
239.9 Effective date.
Authority: Pub. L. 738, 74th Congress 33 U.S.C. 701a.
Source: 43 FR 47470, Oct. 13, 1978; 44 FR 36175, June 21, 1979,
unless otherwise noted.
Sec. 239.1 Purpose.
This regulation establishes policy for determining the extent of
Federal participation in covered flood control channels.
Sec. 239.2 Applicability.
This regulation applies to all OCE elements and all field operating
agencies having civil works responsibilities.
Sec. 239.3 References.
(a) Executive Order 11988, Floodplain Management, 24 May 1977.
(b) ER 1105-2-200.
(c) ER 1165-2-21.
Sec. 239.4 Policy.
Projects will be formulated and evaluated in accordance with the
policies and procedures described in ER 1105-2-200. If, during the
planning process, it appears that covered flood control channels are
desirable, reporting officers may evaluate them and include them when
they best serve the public interest. Selection of the plan which
[[Page 313]]
best serves the public interest is based upon the ability of the plan to
meet planning objectives, the contributions which the plan makes to the
National Economic Development (NED), Environmental Quality (EQ),
Regional Development (RD) and Social Well Being (SWB) accounts, and the
public response to alternative plans. Thus, covered flood control
channels may be proposed if they are desired by the public and (a)
increase net EQ and/or NED benefits; or, (b) reduce adverse effects on
RD or SWB without incurring an unjustified loss in net NED or EQ
benefits.
Sec. 239.5 Engineering considerations.
Reports on proposals to provide covered channels shall include a
discussion of the following matters.
(a) Impacts of sudden reduction in discharge and increased upstream
channel stages when the channel entrance is submerged. This discussion
shall include the effects resulting from the SPF.
(b) Dangers of rupture resulting from pressurization.
(c) Features provided to prevent human ingress and their impact on
project functions.
(d) Effect of the cover on inspection and maintenance costs.
(e) Features provided for pressure release and air venting.
(f) Need for a storm warning system.
(g) Facilities provided to divert flows exceeding the design flow.
Sec. 239.6 Level of protection.
Evaluation of the above items may indicate that submergence of
entrances to covered channels may have significant impacts on the level
of flooding. The requirements of EO 11988 and the significance of the
resulting flood damage may require that the covered portion of the
channel be enlarged to provide capacity to pass the SPF. If inclusion of
SPF capacity on the covered portions of the project cannot be justified,
the added capacity may be reduced to the extent that the project will
not increase upstream stages resulting from the SPF when compared to the
without-project condition. If this capacity is still not feasible,
covered channels shall not be recommended.
Sec. 239.7 Separation of flood control works from urban drainage.
Covered channels are likely to be considered in boundary areas
demarking urban drainage and flood control. Reporting officers shall
apply the policies given in ER 1165-2-21 to separate flood control
facilities from urban drainage facilities.
Sec. 239.8 Cost sharing.
At local protection projects local interests are required to provide
all lands, easements, rights-of-way and all alterations and relocations
of utilities, streets, bridges, buildings, storm drains and other
structures and improvements; hold and save the United States free from
damages due to the construction works except damages due to the fault or
negligence of the United States or its contractor; and assume operation
and maintenance of the works after completion. In addition, local
interests are required to provide additional cost sharing to reflect
special local benefits or betterments. Such additional special cost
sharing will not be required for covered channels when the addition of
the cover increases net NED flood control benefits when compared to the
open channel or when they are provided for safety in schoolyards,
playgrounds, or other known play areas for juveniles. However, the
separable cost of providing covers for mitigating SWB or RD impacts or
to provide areas for public or private uses such as parking, or the
provision of areas for recreation development, etc., will be assigned to
local interests. The separable cost of recreational facilities to be
constructed on or adjacent to the cover, i.e., picnic facilities, etc.,
are eligible for Federal participation in accordance with cost-sharing
policies for recreation facilities at local protection projects. Cost-
sharing policies for project features which are included to make
positive contributions to the EQ account are being developed. Until such
policies are developed, proposals to cover channels on this basis will
be coordinated with HQDA (DAEN-CWP), Washington, D.C. 20314.
[[Page 314]]
Sec. 239.9 Effective date.
These regulations are applicable to all projects not approved by OCE
prior to the date of this regulation.
PART 240_GENERAL CREDIT FOR FLOOD CONTROL--Table of Contents
Sec.
240.1 Purpose.
240.2 Applicability.
240.3 Reference.
240.4 Legislative provisions.
240.5 Discussion.
240.6 General policy.
240.7 Credit criteria for projects authorized on or before 17 November
1986.
240.8 Credit criteria for projects authorized after 17 November 1986.
240.9 Procedures.
Appendix A to Part 240 [Reserved]
Appendix B to Part 240--Formulas for Determining Amount of Allowable
Credit
Authority: Section 104, Water Resources Development Act of 1986
(Pub. L. 99-662); 33 U.S.C. 2214.
Source: 52 FR 44113, Nov. 18, 1987, unless otherwise noted.
Sec. 240.1 Purpose.
This establishes guidelines and procedures for Department of the
Army application of the provisions of section 104 of Pub. L. 99-662.
Sec. 240.2 Applicability.
Policies and procedures contained herein apply to all HQUSACE
elements and field operating agencies of the Corps of Engineers having
Civil Works responsibilities.
Sec. 240.3 Reference.
Section 104 of Pub. L. 99-662.
Sec. 240.4 Legislative provisions.
Section 104 authorizes and directs the development of guidelines
which include criteria for determining whether work carried out by local
interests is compatible with a project for flood control. Compatible
work which was carried out prior to project authorization, before 17
November 1986 but after 17 November 1981, may be considered part of the
project and credited against the non-Federal share of the cost of
project, if the local sponsor applied for consideration of such work not
later than 31 March 1987. Local work to be carried out after 17 November
1986 must receive Army approval prior to construction to be eligible for
credit, taking into account the economic and environmental feasibility
of the project. (Such approval can only be given on the basis of the
guidelines required to be issued pursuant to section 104(a); hence, the
law is silent with respect to work performed between 17 November 1986
and the effective date of the guidelines.) The credit will not relieve
the non-Federal sponsor of the requirement to pay 5 percent of the
project costs in cash during construction of the remainder of the
project. This legislative authority also provides that benefits and
costs of compatible work will be considered in the economic evaluation
of the Federal project. This includes the costs and benefits of
compatible local work which was carried out after 17 November 1981 or
within the 5 years prior to the initial obligation of reconnaissance
study funds if that should establish a later date.