[Code of Federal Regulations]

[Title 33, Volume 3]

[Revised as of July 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 33CFR207.300]



[Page 60-67]

 

                TITLE 33--NAVIGATION AND NAVIGABLE WATERS

 

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

                                 DEFENSE

 

PART 207_NAVIGATION REGULATIONS--Table of Contents

 

Sec.  207.300  Ohio River, Mississippi River above Cairo, Ill., and 

their tributaries; use, administration, and navigation.



    (a) Authority of lockmasters--(1) Locks staffed with Government 

personnel. The provisions of this paragraph apply to all waterways in 

this section except for Cordell Hull Lock located at Mile 313.5 on the 

Cumberland River in Tennessee. The lockmaster shall be charged with the 

immediate control and management of the lock, and of the area set aside 

as the lock area, including the lock approach channels. He/she shall see 

that all laws, rules, and regulations for the use of the lock and lock 

area are duly complied with, to which end he/she is authorized to give 

all necessary orders and directions in accordance therewith, both to 

employees of the government and to any and every person within the 

limits of the lock and lock area, whether navigating the lock or not. No 

one shall cause any movement of any vessel, boat, or other floating 

thing in the lock or approaches except by or under the direction of the 

lockmaster or his/her assistants. In the event of an emergency, the 

lockmaster may depart from these regulations as he deems necessary. The 

lockmasters shall also be charged with the control and management of 

federally constructed mooring facilities.

    (2) Locks staffed with contract personnel. The provisions of this 

paragraph apply to Cordell Hull Lock located at Mile 313.5 on the 

Cumberland River in Tennessee. Contract personnel shall give all 

necessary orders and directions for operation of the lock. No one shall 

cause any movement of any vessel, boat or other floating thing in the 

locks or approaches except by or under the direction of the contract 

lock operator. All duties and responsibilities of the lockmaster set 

forth in this section shall be performed by the contract lock operator 

except that responsibility for enforcing all laws, rules, and 

regulations shall be vested in a government employee designated by the 

Nashville District Engineer. The district engineer will notify waterway 

users and the general public through appropriate notices and media 

concerning the location and identity of the designated government 

employee.



[[Page 61]]



    (b) Safety rules for vessels using navigation locks. The following 

safety rules are hereby prescribed for vessels in the locking process, 

including the act of approaching or departing a lock:

    (1) Tows with flammable or hazardous cargo barges, loaded or empty. 

(i) Stripping barges or transferring cargo is prohibited.

    (ii) All hatches on barges used to transport flammable or hazardous 

materials shall be closed and latched, except those barges carrying a 

gas-free certificate.

    (iii) Spark-proof protective rubbing fenders (``possums'') shall be 

used.

    (2) All vessels. (i) Leaking vessels may be excluded from locks 

until they have been repaired to the satisfaction of the lockmaster.

    (ii) Smoking, open flames, and chipping or other spark-producing 

activities are prohibited on deck during the locking cycle.

    (iii) Painting will not be permitted in the lock chamber during the 

locking cycle.

    (iv) Tow speeds shall be reduced to a rate of travel such that the 

tow can be stopped by checking should mechanical difficulties develop. 

Pilots should check with the individual lockmasters concerning 

prevailing conditions. It is also recommended that pilots check their 

ability to reverse their engines prior to beginning an approach. Engines 

shall not be turned off in the lock until the tow has stopped and been 

made fast.

    (v) U.S. Coast Guard regulations require all vessels to have on 

board life saving devices for prevention of drowning. All crew members 

of vessels required to carry work vests (life jackets) shall wear them 

during a lockage, except those persons in an area enclosed with a 

handrail or other device which would reasonably preclude the possibility 

of falling overboard. All deckhands handling lines during locking 

procedure shall wear a life jacket. Vessels not required by Coast Guard 

regulations to have work vests aboard shall have at least the prescribed 

life saving devices, located for ready access and use if needed. The 

lockmaster may refuse lockage to any vessel which fails to conform to 

the above.

    (c) Reporting of navigation incidents. In furtherance of increased 

safety on waterways the following safety rules are hereby prescribed for 

all navigation interests:

    (1) Any incident resulting in uncontrolled barges shall immediately 

be reported to the nearest lock. The report shall include information as 

to the number of loose barges, their cargo, and the time and location 

where they broke loose. The lockmaster or locks shall be kept informed 

of the progress being made in bringing the barges under control so that 

he can initiate whatever actions may be warranted.

    (2) Whenever barges are temporarily moored at other than commercial 

terminals or established fleeting areas, and their breaking away could 

endanger a lock, the nearest lock shall be so notified, preferably the 

downstream lock.

    (3) Sunken or sinking barges shall be reported to the nearest lock 

both downstream and upstream of the location in order that other traffic 

passing those points may be advised of the hazards.

    (4) In the event of an oil spill, notify the nearest lock 

downstream, specifying the time and location of the incident, type of 

oil, amount of spill, and what recovery or controlling measures are 

being employed.

    (5) Any other activity on the waterways that could conceivably 

endanger navigation or a navigation structure shall be reported to the 

nearest lock.

    (6) Whenever it is necessary to report an incident involving 

uncontrolled, sunken or sinking barges, the cargo in the barges shall be 

accurately identified.

    (d) Precedence at locks. (1) The vessel arriving first at a lock 

shall normally be first to lock through, but precedence shall be given 

to vessels belonging to the United States. Licensed commercial passenger 

vessels operating on a published schedule or regularly operating in the 

``for hire'' trade shall have precedence over cargo tows and like craft. 

Commercial cargo tows shall have precedence over recreational craft, 

except as described in paragraph (f) of this section.

    (2) Arrival posts or markers may be established ashore above and/or 

below



[[Page 62]]



the locks. Vessels arriving at or opposite such posts or markers will be 

considered as having arrived at the locks within the meaning of this 

paragraph. Precedence may be established visually or by radio 

communication. The lockmaster may prescribe such departure from the 

normal order of precedence as in his judgment is warranted to achieve 

best lock utilization.

    (e) Unnecessary delay at locks. Masters and pilots must use every 

precaution to prevent unnecessary delay in entering or leaving locks. 

Vessels failing to enter locks with reasonable promptness when signalled 

to do so shall lose their turn. Rearranging or switching of barges in 

the locks or in approaches is prohibited unless approved or directed by 

the lockmaster. This is not meant to curtail ``jackknifing'' or set-

overs where normally practiced.

    (f) Lockage of recreational craft. In order to fully utilize the 

capacity of the lock, the lockage of recreational craft shall be 

expedited by locking them through with commercial craft: Provided, That 

both parties agree to joint use of the chamber. When recreational craft 

are locked simultaneously with commercial tows, the lockmaster will 

direct, whenever practicable, that the recreational craft enter the lock 

and depart while the tow is secured in the lock. Recreational craft will 

not be locked through with vessels carrying volatile cargoes or other 

substances likely to emit toxic or explosive vapors. If the lockage of 

recreational craft cannot be accomplished within the time required for 

three other lockages, a separate lockage of recreational craft shall be 

made. Recreational craft operators are advised that many locks have a 

pull chain located at each end of the lock which signals the lockmaster 

that lockage is desired. Furthermore, many Mississippi River locks 

utilize a strobe light at the lock to signal recreational type vessels 

that the lock is ready for entry. Such lights are used exclusively to 

signal recreational craft.

    (g) Simultaneous lockage of tows with dangerous cargoes. 

Simultaneous lockage of other tows with tows carrying dangerous cargoes 

or containing flammable vapors normally will only be permitted when 

there is agreement between the lockmaster and both vessel masters that 

the simultaneous lockage can be executed safely. He shall make a 

separate decision each time such action seems safe and appropriate, 

provided:

    (1) The first vessel or tow in and the last vessel or tow out are 

secured before the other enters or leaves.

    (2) Any vessel or tow carrying dangerous cargoes is not leaking.

    (3) All masters involved have agreed to the joint use of the lock 

chamber.

    (h) Stations while awaiting a lockage. Vessels awaiting their turn 

to lock shall remain sufficiently clear of the structure to allow 

unobstructed departure for the vessel leaving the lock. However, to the 

extent practicable under the prevailing conditions, vessels and tows 

shall position themselves so as to minimize approach time when signaled 

to do so.

    (i) Stations while awaiting access through navigable pass. When 

navigable dams are up or are in the process of being raised or lowered, 

vessels desiring to use the pass shall wait outside the limits of the 

approach points unless authorized otherwise by the lockmaster.

    (j) Signals. Signals from vessels shall ordinarily be by whistle; 

signals from locks to vessels shall be by whistle, another sound device, 

or visual means. when a whistle is used, long blasts of the whistle 

shall not exceed 10 seconds and short blasts of the whistle shall not 

exceed 3 seconds. Where a lock is not provided with a sound or visual 

signal installation, the lockmaster will indicate by voice or by the 

wave of a hand when the vessel may enter or leave the lock. Vessels must 

approach the locks with caution and shall not enter nor leave the lock 

until signaled to do so by the lockmaster. The following lockage signals 

are prescribed:

    (1) Sound signals by means of a whistle. These signals apply at 

either a single lock or twin locks.

    (i) Vessels desiring lockage shall on approaching a lock give the 

following signals at a distance of not more than one mile from the lock;

    (a) If a single lockage only is required: One long blast of the 

whistle followed by one short blast.



[[Page 63]]



    (b) If a double lockage is required: One long blast of the whistle 

followed by two short blasts.

    (ii) When the lock is ready for entrance, the lock will give the 

following signals:

    (a) One long blast of the whistle indicates permission to enter the 

lock chamber in the case of a single lock or to enter the landward 

chamber in the case of twin locks.

    (b) Two long blasts of the whistle indicates permission to enter the 

riverward chamber in the case of twin locks.

    (iii) Permission to leave the locks will be indicated by the 

following signals given by the lock:

    (a) One short blast of the whistle indicates permission to leave the 

lock chamber in the case of a single lock or to leave the landward 

chamber in the case of twin locks.

    (b) Two short blasts of the whistle indicates permission to leave 

the riverward chamber in the case of twin locks.

    (iv) Four or more short blasts of the lock whistle delivered in 

rapid succession will be used as a means of attracting attention, to 

indicate caution, and to signal danger. This signal will be used to 

attract the attention of the captain and crews of vessels using or 

approaching the lock or navigating in its vicinity and to indicate that 

something unusual involving danger or requiring special caution is 

happening or is about to take place. When this signal is given by the 

lock, the captains and crews of vessels in the vicinity shall 

immediately become on the alert to determine the reason for the signal 

and shall take the necessary steps to cope with the situation.

    (2) Lock signal lights. At locks where density of traffic or other 

local conditions make it advisable, the sound signals from the lock will 

be supplemented by signal lights. Flashing lights (showing a one-second 

flash followed by a two-second eclipse) will be located on or near each 

end of the land wall to control use of a single lock or of the landward 

lock of double locks. In addition, at double locks, interrupted flashing 

lights (showing a one-second flash, a one-second eclipse and a one-

second flash, followed by a three-second eclipse) will be located on or 

near each end of the intermediate wall to control use of the riverward 

lock. Navigation will be governed as follows:

    (i) Red light. Lock cannot be made ready immediately. Vessel shall 

stand clear.

    (ii) Amber light. Lock is being made ready. Vessel may approach but 

under full control.

    (iii) Green light. Lock is ready for entrance.

    (iv) Green and amber. Lock is ready for entrance but gates cannot be 

recessed completely. Vessel may enter under full control and with 

extreme caution.

    (3) Radio communications. VHF-FM radios, operating in the FCC 

authorized Maritime Band, have been installed at all operational locks 

(except those on the Kentucky River and Lock 3, Green River). Radio 

contact may be made by any vessel desiring passage. Commercial tows are 

especially requested to make contact at least one half hour before 

arrival in order that the pilot may be informed of current river and 

traffic conditions that may affect the safe passage of his tow.

    (4) All locks monitor 156.8 MHz (Ch. 16) and 156.65 MHz (Ch. 13) and 

can work 156.65 MHz (Ch. 13) and 156.7 MHz (Ch. 14) Ch. 16 is the 

authorized call, reply and distress frequency, and locks are not 

permitted to work on this frequency except in an emergency involving the 

risk of immediate loss of life or property. Vessels may call and work 

Ch. 13, without switching, but are cautioned that vessel to lock traffic 

must not interrupt or delay Bridge to Bridge traffic which has priority 

at all times.

    (k) Rafts. Rafts to be locked through shall be moored in such manner 

as not to obstruct the entrance of the lock, and if to be locked in 

sections, shall be brought to the lock as directed by the lockmaster. 

After passing the lock the sections shall be reassembled at such 

distance beyond the lock as not to interfere with other vessels.

    (l) Entrance to and exit from locks. In case two or more boats or 

tows are to enter for the same lockage, their order of entry shall be 

determined by the lockmaster. Except as directed by the lockmaster, no 

boat shall pass another in the lock. In no case will boats be



[[Page 64]]



permitted to enter or leave the locks until directed to do so by the 

lockmaster. The sides of all craft passing through any lock shall be 

free from projections of any kind which might injure the lock walls. All 

vessels shall be provided with suitable fenders, and shall be used to 

protect the lock and guide walls until it has cleared the lock and guide 

walls.

    (m) Mooring--(1) At locks. (i) All vessels when in the locks shall 

be moored as directed by the lockmaster. Vessels shall be moored with 

bow and stern lines leading in opposite directions to prevent the vessel 

from ``running'' in the lock. All vessels will have one additional line 

available on the head of the tow for emergency use. The pilothouse shall 

be attended by qualified personnel during the entire locking procedure. 

When the vessel is securely moored, the pilot shall not cause movement 

of the propellers except in emergency or unless directed by the 

lockmaster. Tying to lock ladders is strictly prohibited.

    (ii) Mooring of unattended or nonpropelled vessels or small craft at 

the upper or lower channel approaches will not be permitted within 1200 

feet of the lock.

    (2) Outside of locks. (i) No vessel or other craft shall regularly 

or permanently moor in any reach of a navigation channel. The 

approximate centerline of such channels are marked as the sailing line 

on Corps of Engineers' navigation charts. Nor shall any floating craft, 

except in an emergency, moor in any narrow or hazardous section of the 

waterway. Furthermore, all vessels or other craft are prohibited from 

regularly or permanently mooring in any section of navigable waterways 

which are congested with commercial facilities or traffic unless it is 

moored at facilities approved by the Secretary of the Army or his 

authorized representative. The limits of the congested areas shall be 

marked on Corps of Engineers' navigation charts. However, the District 

Engineer may authorize in writing exceptions to any of the above if, in 

his judgment, such mooring would not adversely affect navigation and 

anchorage.

    (ii) No vessel or other craft shall be moored to railroad tracks, to 

riverbanks in the vicinity of railroad tracks when such mooring 

threatens the safety of equipment using such tracks, to telephone poles 

or power poles, or to bridges or similar structures used by the public.

    (iii) Except in case of great emergency, no vessel or craft shall 

anchor over revetted banks of the river, and no floating plant other 

than launches and similar small craft shall land against banks protected 

by revetment except at regular commercial landings. In all cases, every 

precaution to avoid damage to the revetment works shall be exercised. 

The construction of log rafts along mattressed or paved banks or the 

tying up and landing of log rafts against such banks shall be performed 

in such a manner as to cause no damage to the mattress work or bank 

paving. Generally, mattress work extends out into the river 600 feet 

from the low water line.

    (iv) Any vessel utilizing a federally constructed mooring facility 

(e.g., cells, buoys, anchor rings) at the points designated on the 

current issue of the Corps' navigation charts shall advise the 

lockmaster at the nearest lock from that point by the most expeditious 

means.

    (n) Draft of vessels. No vessel shall attempt to enter a lock unless 

its draft is at least three inches less than the least depth of water 

over the guard sills, or over the gate sills if there be no guard sills. 

Information concerning controlling depth over sills can be obtained from 

the lockmaster at each lock or by inquiry at the office of the district 

engineer of the district in which the lock is located.

    (o) Handling machinery. No one but employees of the United States 

shall move any lock machinery except as directed by the lockmaster. 

Tampering or meddling with the machinery or other parts of the lock is 

strictly forbidden.

    (p) Refuse in locks. Placing or discharging refuse of any 

description into the lock, on lock walls or esplanade, canal or canal 

bank is prohibited.

    (q) Damage to locks or other work. To avoid damage to plant and 

structures connected with the construction or repair of locks and dams, 

vessels passing



[[Page 65]]



structures in the process of construction or repair shall reduce their 

speed and navigate with special caution while in the vicinity of such 

work. The restrictions and admonitions contained in these regulations 

shall not affect the liability of the owners and operators of floating 

craft for any damage to locks or other structures caused by the 

operation of such craft.

    (r) Trespass of lock property. Trespass on locks or dams or other 

U.S. property pertaining to the locks or dams is strictly prohibited 

except in those areas specifically permitted. Parties committing any 

injury to the locks or dams or to any part thereof will be responsible 

therefor. Any person committing a willful injury to any U.S. property 

will be prosecuted. No fishing will be permitted from lock walls, guide 

walls, or guard walls of any lock or from any dam, except in areas 

designated and posted by the responsible District Engineer as fishing 

areas. Personnel from commercial and recreational craft will be allowed 

on the lock structure for legitimate business reasons; e.g., crew 

changes, emergency phone calls, etc.

    (s) Restricted areas at locks and dams. All waters immediately above 

and below each dam, as posted by the respective District Engineers, are 

hereby designated as restricted areas. No vessel or other floating craft 

shall enter any such restricted area at any time. The limits of the 

restricted areas at each dam will be determined by the responsible 

District Engineer and market by signs and/or flashing red lights 

installed in conspicuous and appropriate places.

    (t) [Reserved]

    (u) Operations during high water and floods in designated vulnerable 

areas. Vessels operating on these waters during periods when river 

stages exceed the level of ``ordinary high water,'' as designated on 

Corps of Engineers' navigation charts, shall exercise reasonable care to 

minimize the effects of their bow waves and propeller washes on river 

banks; submerged or partially submerged structures or habitations; 

terrestrial growth such as trees and bushes; and man-made amenities that 

may be present. Vessels shall operate carefully when passing close to 

levees and other flood protection works, and shall observe minimum 

distances from banks which may be prescribed from time to time in 

Notices to Navigation Interests. Pilots should exercise particular care 

not to direct propeller wash at river banks, levees, revetments, 

structures or other appurtenances subject to damage from wave action.

    (v) Navigation lights for use at all locks and dams except on the 

Kentucky River and Lock 3, Green River. (1) At locks at all fixed dams 

and at locks at all movable dams when the dams are up so that there is 

no navigable pass through the dam, the following navigation lights will 

be displayed during hours of darkness:

    (i) Three green lights visible through an arc of 360[deg] arranged 

in a vertical line on the upstream end of the river (guard) wall unless 

the intermediate wall extends farther upstream. In the latter case, the 

lights will be placed on the upstream end of the intermediate wall.

    (ii) Two green lights visible through an arc of 360[deg] arranged in 

a vertical line on the downstream end of the river (guard) wall unless 

the intermediate wall extends farther downstream. In the latter case, 

the lights will be placed on the downstream end of the intermediate 

wall.

    (iii) A single red light, visible through an arc of 360[deg] on each 

end (upstream and downstream) of the land (guide) wall.

    (2) At movable dams when the dam has been lowered or partly lowered 

so that there is an unobstructed navigable pass through the dam, the 

navigation lights indicated in the following paragraphs will be 

displayed during hours of darkness until lock walls and weir piers are 

awash.

    (i) Three red lights visible through an arc of 360[deg] arranged in 

a vertical line on the upstream end of the river (guard) wall.

    (ii) Two red lights visible through an arc of 360[deg] arranged in a 

vertical line on the downstream end of the river (guard) wall.

    (iii) A single red light visible through an arc of 360[deg] on each 

end (upstream and downstream) of the land (guide) wall.



[[Page 66]]



    (3) After lock walls and weir piers are awash they will be marked as 

prescribed in paragraph (x) of this section.

    (4) If one or more bear traps or weirs are open or partially open, 

and may cause a set in current conditions at the upper approach to the 

locks, this fact will be indicated by displaying a white circular disk 5 

feet in diameter, on or near the light support on the upstream end of 

the land (guide) wall during the hours of daylight, and will be 

indicated during hours of darkness by displaying a white (amber) light 

vertically under and 5 feet below the red light on the upstream end of 

the land (guide) wall.

    (5) At Locks No. 1 and 2, Green River, when the locks are not in 

operation because of high river stages, a single red light visible 

through an arc of 360[deg] will be displayed on each end (upstream and 

downstream) of the lock river (guard) will at which time the lights 

referred to above will not be visible.

    (w) Navigation lights for use at locks and dams on the Kentucky 

River and Lock 3, Green River. A single red light visible through an arc 

of 360[deg] shall be displayed during hours of darkness at each end of 

the river wall or extending guard structures until these structures are 

awash.

    (x) Buoys at movable dams. (1) Whenever the river (guard) wall of 

the lock and any portion of the dam are awash, and until covered by a 

depth of water equal to the project depth, the limits of the navigable 

pass through the dam will be marked by buoys located at the upstream and 

downstream ends of the river (guard) wall, and by a single buoy over the 

end or ends of the portion or portions of the dam adjacent to the 

navigable pass over which project depth is not available. A red nun-type 

buoy will be used for such structures located on the left-hand side 

(facing downstream) of the river and a black can-type buoy for such 

structures located on the right-hand side. Buoys will be lighted, if 

practicable.

    (2) Where powerhouses or other substantial structures projecting 

considerably above the level of the lock wall are located on the river 

(guard) wall, a single red light located on top of one of these 

structures may be used instead of river wall buoys prescribed above 

until these structures are awash, after which they will be marked by a 

buoy of appropriate type and color (red nun or black can buoy) until 

covered by a depth of water equal to the project depth. Buoys will be 

lighted, if practicable.

    (y) Vessels to carry regulations. A copy of these regulations shall 

be kept at all times on board each vessel regularly engaged in 

navigating the rivers to which these regulations apply. Copies may be 

obtained from any lock office or District Engineer's office on request. 

Masters of such vessels are encouraged to have on board copies of the 

current edition of appropriate navigation charts.



                                  Notes



    1. Muskingum River Lock & Dam 1 has been removed. Ohio River 

slackwater provides navigable channel for recreational craft to Lock 2 

near Devola, Ohio. Muskingum River Locks 2 thru 11 inclusive have been 

transferred to the State of Ohio and are operated during the 

recreational boating season by the Ohio Department of Natural Resources. 

Inquiries regarding Muskingum River channel conditions and lock 

availability should be directed to the aforementioned Department.

    2. Little Kanawha River Lock and Dam 1 has been removed, thus 

permitting recreational craft to navigate up to Lock 2 near Slate, W. 

Va. Operation of Locks 2 thru 5 on the Little Kanawha River has been 

discontinued.

    3. Big Sandy River: Lock 1 has been removed, thus permitting 

recreational craft to navigate to Lock 2, near Buchanan, Ky. Operation 

of Lock 2 and Lock 3 near Fort Gay, W. Va. has been discontinued. 

Operation of Lock and Dam 1 on Levisa Fork near Gallup, Ky., and Lock 

and Dam 1 on Tug Fork near Chapman, Ky. has been discontinued.

    4. Operation of the following Green River Locks has been 

discontinued: Lock 4 near Woodbury, Ky., Lock 5 near Glenmore, Ky., and 

Lock 6 near Brownsville, Ky.

    5. Operation of Barren River Lock and Dam No. 1 near Richardsville, 

Ky. has been discontinued.

    6. Operation of Rough River Lock and Dam No. 1 near Hartford, Ky. 

has been discontinued.

    7. Operation of Osage River Lock and Dam 1 near Osage City, Mo., has 

been discontinued.

    8. Operation of the 34 locks in the Illinois and Mississippi 

(Hennepin) Canal, including the feeder section, has been discontinued.



[[Page 67]]



    9. Operation of the Illinois and Michigan Canal has been 

discontinued.



[40 FR 32121, July 31, 1975, as amended at 50 FR 37580, Sept. 18, 1985; 

56 FR 13765, Apr. 4, 1991]