CECW-OD

Pamphlet No.

1130-2-520

Department of the Army

U.S. Army Corps of Engineers

Washington, DC 20314-1000

EP 1130-2-520

29 Nov 96

Engineering and Design

NAVIGATION AND DREDGING OPERATIONS

AND MAINTENANCE GUIDANCE AND

PROCEDURES

Distribution Restriction Statement

Approved for public release; distribution is unlimited.
i

DEPARTMENT OF THE ARMY EP 1130-2-520

U.S. Army Corps of Engineers

CECW-OD Washington, D.C. 20314-1000

Pamphlet

No. 1130-2-520 29 November 1996

Project Operations

NAVIGATION AND DREDGING OPERATIONS AND

MAINTENANCE GUIDANCE AND PROCEDURES

TABLE OF CONTENTS

Paragraph Page

CHAPTER 1 - Introduction

Purpose 1-1 1-1

Applicability 1-2 1-1

References 1-3 1-1

Glossary 1-4 1-4

CHAPTER 2 - Aids to Navigation, Navigation Charts, and Related Data

Purpose 2-1 2-1

Background 2-2 2-1

Guidance 2-3 2-1

Cooperation with Coast Guard 2-4 2-3

Navigation Aids of the Corps of Engineers 2-5 2-3

Special Reports 2-6 2-6

Information Pamphlets, Maps

Brochures and Other Material 2-7 2-10

CHAPTER 3 - Protection of Public Health and Safety at Jetties, Groins, and Breakwaters

Purpose 3-1 3-1

Applicability 3-2 3-1

Background 3-3 3-1

Guidance 3-4 3-1

Providing other Minimum Facilities 3-5 3-1

 for Public Health and Safety

Program Implementation 3-6 3-2

CHAPTER 4 - Removal of Wrecks and Other Obstructions

Purpose 4-1 4-1

Applicability 4-2 4-1
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Paragraph Page

Background 4-3 4-1

Guidance 4-4 4-2

Coordination with Coast Guard 4-5 4-4

Notification/Reports 4-6 4-6

Funding 4-7 4-6

Legal Actions 4-8 4-7

CHAPTER 5 - Waterborne Commerce Statistics

Purpose 5-1 5-1

Terminology 5-2 5-1

Background and Responsibilities 5-3 5-1

Enforcement of Reporting Policy 5-4 5-2

Data Collection and Reports 5-5 5-3

Violation Procedures 5-6 5-10

Release of Data 5-7 5-10

Release Statement 5-8 5-11

Data Retention 5-9 5-11

Approval Required to Add, Modify, or

Delete Tables from the Waterborne

Commerce of the United States 5-10 5-11

CHAPTER 6 - Lock Performance Monitoring System

Reserved. 6-1 

CHAPTER 7 - Uniforms for Lock and Floating Plant Operations and Maintenance Personnel

Purpose 7-1 7-1

Guidance 7-2 7-1

Guidance - Uniform Procurement 7-3 7-2

Guidance - Appearance 7-4 7-2

CHAPTER 8 - Dredging

Purpose 8-1 8-1

Applicability 8-2 8-1

General 8-3 8-1

Definitions 8-4 8-1

Performance of Dredging 8-5 8-1

Dredging Contracts 8-6 8-2

Navigation Channel Conditions 8-7 8-4

Corps of Engineers Reserve Fleet 8-8 8-6

Corps of Engineers Minimum Dredge Fleet 8-9 8-6

Small Business Dredging Program 8-10 8-7

Inspection of Dredging Operations 8-11 8-7

Plant Operations Reports (Reports

Control Symbol ENG CW-O-13) 8-12 8-8
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Paragraph Page

CHAPTER 9 - Convention on the Prevention of Marine Pollution by Dumping of Wastes 

and Other Matter - Dredge Material Ocean Disposal 9-1

Reserved.

CHAPTER 10 - Restricted Areas for Hazardous Waters at Dams and Other Civil Works

Structures

Purpose 10-1 10-1

Boundary Determination 10-2 10-1

Implementation 10-3 10-1

APPENDIX A - References A-1

APPENDIX B - ENG Form 4020-R B-1

APPENDIX C - ENG Form 4021-R C-1

APPENDIX D - Mailing Addresses (NOS, DMA, USCG) D-1

APPENDIX E - Special Reports Matrix E-1

APPENDIX F - Notice to Navigation Interests F-1

APPENDIX G - Chart Symbols G-1

APPENDIX H - Sample Chart Detail H-1

APPENDIX I - Sample Profile Drawings I-1

APPENDIX J - USCG Districts J-1

APPENDIX K - Sample Letter: Notification of Corps removal K-1

APPENDIX L - Sample Letter: Acknowledgment of Abandonment L-1

APPENDIX M - Sample Letter: Owner duty to mark or remove M-1

APPENDIX N - Sample Letter: Bill for reimbursement N-1

APPENDIX O - Definition of Terms O-1

APPENDIX P - Coding Procedures P-1

APPENDIX Q - Compilation of Navigation Statistics Q-1

APPENDIX R - Reporting Offenses and Violations R-1
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Paragraph Page

APPENDIX S - Class A Dress (Full) Uniform S-1

APPENDIX T - Class B Duty (Full) Uniform T-1

APPENDIX U - Class C Work Uniform U-1

APPENDIX V - Maternity Uniforms V-1

APPENDIX W - Uniform Patches and Insignia W-1

APPENDIX X - Uniform Allowances X-1

APPENDIX Y - Dredging Diagrams Y-1

APPENDIX Z - CERF Guidelines Z-1

APPENDIX AA - Determination of the Hydraulic Line AA-1

APPENDIX AB - Operational Considerations AB-1
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CHAPTER 1 - INTRODUCTION

1-1. Purpose. This pamphlet establishes the guidance for navigation and dredging operation and

maintenance (O&M) activities of the U.S. Army Corps of Engineers and supplements Engineer

Regulation (ER) 1130-2-520. If any conflict exists between this guidance and the Federal Acquisition

System, the latter governs.

1-2. Applicability. This guidance applies to all USACE commands having responsibility for civil

works functions.

1-3. References. See Appendix A.

1-4. Glossary.

a. Active CERF Fleet. Consists of those contractor's hopper dredge(s) which are

currently performing under contracts of the U. S. Army Corps of Engineers and those dredges

whose owners have completed a BOA for Corps of Engineers Reserve Fleet (CERF), have not

completed a notice of non-availability, and have not forwarded the notice to HQUSACE, CECWOD. These dredges are available, operational, and ready for use.

b. BOA Contracting Officer. The person executing the BOA on behalf of the

government. Only this individual or successor has the authority to modify the terms and

conditions of the basic ordering agreement. The Commander of the New Orleans District is the

designated Contracting Officer for executing the BOA for CERF.

c. CERF Basic Ordering Agreement (BOA). A BOA is a written instrument of

understanding with a method for determining prices for service. The BOA provides for an

assured response to emergency and national defense dredging requirements through the vehicle of

delivery orders. A BOA is not a contract.

d. CERF Emergency. A determination by the Director of Civil Works for CONUS

dredging operations or the Commander, USACE for OCONUS dredging operations that Federal

dredges are not available or suitable, that regular contractual procedures are not practical, and

that CERF dredges must be activated.

e. CERF Fleet. Hopper dredges, whose owners have executed a current BOA for

emergency and national defense dredging, and are not currently under an ongoing Federal

dredging contract, and have not completed a notice of nonavailability. These dredges are

available, operational, ready for use.

f. CERF Participating Contractors. Contractors who have voluntarily entered into it

possess current basic ordering agreements providing for the placement of orders for emergency

and national defense dredging requirements and have not notified HQUSACE, CECW-OD of

unavailability.

g. CONUS. The 48 contiguous states.

h. Emergency Dredging. Dredging performed in response to unexpected situations

requiring an immediate action to protect property or human life or to maintain or restore 
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navigation or flood control channels to provide for safe and efficient usage of the waterways,

within the 48 contiguous States, Alaska, Hawaii, Puerto Rico, the Virgin Islands, or U. S. Trust

Territories.

i. Hazardous Waters. For the purpose of this regulation, those waters in which

turbulence and/or underlying currents create a potentially life-threatening environment.

j. Hydraulic Line. The line upstream and downstream of a structure established by

hydraulic data and procedures described in Appendix AA.

k. Minimum Federal Fleet. Federally owned dredges.

l. National Defense Dredging. Dredging performed in response to requests from the

Office, Secretary of Defense (OSD) or any other Federal entity related to defense needs.

m. OCONUS (Outside CONUS). Includes Alaska, Hawaii, Puerto Rico, the Virgin

Islands, or U. S. Trust Territories.

n. Operational Considerations. Those aspects outlined in Appendix AB to be considered

when determining if the Restricted Area boundary should be set farther from the structure than at

the Hydraulic line.

o. Ordering Contracting Officer. The person executing orders under the terms of the

BOA at U. S. Army Corps of Engineers Districts and Operating Divisions after appropriate

approval by the Commander, USACE for OCONUS or the Director of Civil Works for CONUS.

p. Physical Barriers. Barriers which are structural in nature and placed in such a manner

as not to allow entrance into a restricted area.

q. Restricted Area. For the purpose of this regulation, that area of water adjacent to civil

works structures, as established by the hydraulic line plus operational considerations, that is off

limits to the public.
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CHAPTER 2 - AIDS TO NAVIGATION, NAVIGATION CHARTS, AND RELATED DATA

2-1. Purpose. This chapter establishes the procedures on aids to navigation, chart data, and

publication of information on related USACE civil works water resources activities.

2-2. Background.

a. The USACE - by virtue of its lead role in construction, operations, and maintenance -

often has primary source data for direct use by the marine industry as well as input to other

agencies for use in carrying out their navigation missions. Besides construction and maintenance

work itself, the USACE performs hydrographic surveys, publishes navigation charts for inland

waters, evaluates and approves permit applications for Sec.10/404 work, and issues navigation

regulations.

b. The U.S. Coast Guard (USCG) maintains the U.S. aids to navigation system and has

mission responsibilities for management of vessel traffic. The USCG publishes the USCG Light

List, and weekly Local Notices to Mariners (LNTM) with summary information on hazards,

restrictions, aids to navigation changes, and National Ocean Service (NOS) chart updates. The

USCG also broadcasts more time-sensitive Notices to Mariners by VHF-FM radio broadcast.

c. The National Ocean Service (NOS), under the National Oceanic and Atmospheric

Administration (NOAA), prepares and publishes nautical charts for coastal (tidal) waters, the

intracoastal waterways, and the Great Lakes; and publishes the U.S. Coast Pilot for these same

areas for more detailed navigational information.

d. MSC/district commanders are responsible for preparing navigation charts for the inland

waterways (those maintained by the USACE) which are not charted by the National Ocean

Service (NOS).

e. Defense Mapping Agency (DMA) prepares worldwide nautical charts for Department

of Defense use; for U. S. waters, coverage is essentially the same as NOS, and DMA works

closely with NOS to share chart data. DMA also issues periodic Notices to Mariners for

correction and update of DMA and NOS charts.

2-3. Guidance.

a. The USACE will provide information to the responsible agencies and minimize

redundant publication of separate navigation information.

b. District commanders shall prepare channel survey/ condition reports from the results of

each controlled survey, using ENG Forms 4020-R and 4021-R prescribed in Appendixes B and C

for tabular reports. For coastal areas, a copy of the tabular reports and survey drawings/tracings

will be forwarded within 60 days after completion to (see Appendix D for addresses):

(1) National Ocean Service (NOS)

(2) Defense Mapping Agency (DMA) - drawings only
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(3) USCG District Aids to Navigation Office

c. Special reports shall be provided to the USCG and/or NOS for situations as outlined in

Appendix E. Reports to the USCG will ordinarily be by telephone (within 24 hours - followed by

hard-copy backup) where the information is time-sensitive for navigational use. Reports to NOS

will ordinarily be by letter within 10 days.

d. Notices to Navigation Interests (NTNI) will use a distinctive format (see sample at

Appendix F), and will highlight the waterway/state(s) affected.

(1) NTNI will be distributed by mail to appropriate USCG offices; other affected USACE

elements; other affected Federal, state, or local agencies; port authorities; shipping companies and

vessel operators; and other affected industry and public entities requesting copies. A

limited/reasonable number of copies for each addressee will be distributed free of charge.

(2) A mailing list for NTNI will be maintained and updated at least annually.

e. The prompt dissemination of the latest detailed information concerning channel

conditions is of utmost importance. Necessary measures will be taken to insure that such

information is reported without delay simultaneously to the U.S. Naval Oceanographic Office, the

USCG, the NOS and DMA. When a dangerous shoaling is found during the progress of a survey,

information thereon will be furnished immediately to the abovementioned 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.

f. District commanders having charge of improvements of harbors and waterways shown

on charts of the DMA or of the NOS 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 NOS in such a way 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.

g. When any survey of areas covered by charts of the DMA or the NOS is completed, a

print of each tracing will be sent direct to both the DMA and the NOS. 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

the source of the map, will be sufficient.

h. 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 
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regularly using the waterway. This will be done through issuing bulletins or notices by district

commanders.

2-4. Cooperation with Coast Guard.

a. District commanders will consult with the USCG District Commander during design of

channel and harbor improvement projects to discuss the aids to navigation requirements and all

other facets of the projects that involve USCG responsibility. Project material furnished direct to

USCG commanders will include: (1) 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; (2) The proposed operations on such projects during the next fiscal year, to be

furnished annually on the release of the budget estimates; (3) Plans showing the final location of

the channel limits or structures to be furnished at the time work is undertaken.

b. 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 USCG District

Commander. The Commander will be promptly informed as to the approval of such changes and

the probable date of completion of the work.

c. USACE district commanders will furnish direct to the various USCG 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 USCG 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. It is recognized that, in some locations, the USACE does provide aids to

navigation support to the USCG pursuant to formal MOU’s between the two agencies.

d. If work involving harbor or channel improvements directly affects any existing aids to

navigation or any structures of the USCG, USACE districts commanders will, when practicable,

give notice to the USCG District Commander sufficiently in advance to permit taking steps

deemed necessary by the USCG. If the USCG District Commander specifically requests that the

affected structure be replaced, the USACE District Commander should inform the Commander,

USCG of the estimated cost and the anticipated commencement and completion dates and the

USACE District Commander will proceed with the work if so authorized by the Commander,

USACE. On completion of the work, the USACE District Commander will promptly furnish the

USCG District Commander, for settlement, an account of the expense incurred.

2-5. Navigation Aids of the Corps of Engineers

a. 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 USACE District Commander pending the installation of permanent aids by the USCG. The 

USCG desires that information regarding aids to navigation installed or maintained by USACE

district commanders in connection with harbor or channel improvement be furnished promptly. 

Such information is needed for inclusion in Notice to Mariners published by the USCG, on charts

of the waters concerned, where desirable.

b. USACE district commanders will notify the USCG District Commander in every case

where aids to navigation for marking works of harbor 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 
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or unimportant character, or of importance only to the USACE. 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.

c. In placing aids to navigation in connection with harbor or channel improvement works,

USACE district commanders should see that they do not conflict in character or otherwise with

other aids to navigation in the vicinity. USACE district commanders should confer with the

USCG District Commander on this subject.

d. The USCG shall be furnished information, for publication, concerning markers installed

as temporary aids to navigation, for new improvements, in advance of permanent aids, and other

markers that may be established in connection with operations that may serve as important aids to

navigation. Care will be exercised to see that all markers established are not misleading to general

navigation and do not interfere with aids to navigation established by the USCG.

e. The necessary blank forms for reporting information regarding USACE aids will be

furnished upon request by the USCG District Commander.

f. Colors of Dredging Buoys Established by USACE.

(1) In order to distinguish buoys placed and maintained by the USACE for dredging

purposes from aids to navigation placed by the USCG, USACE working buoys will be white with

the top two feet painted light green. The buoys need not be painted to achieve the proper color

markings.

(2) If buoys with special markings are needed to indicate the different sides of the

navigable channel, prior arrangements will be made with the USCG District Commander having

jurisdiction.

(3) Information and regulatory marks are not considered aids to navigation. They shall

conform to USCG standards where practical, however USACE standards in the Sign Standards

Manual shall take precedence.

g. Information to be Furnished by the Corps of Engineers.

(1) District commanders responsible for harbors and waterways shown on charts of the

NOS, will report the channel conditions promptly (as soon as possible), and as ascertained, using

standard tabular forms to:

Director, Defense Mapping Agency

Navigation Information & Services

ST D44

4600 Sangamore Road

Bethesda, MD 20816-5003

National Ocean Service

Distribution Branch (N/CG33)

Riverdale, MD 20737-1199
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District Commanders

U.S. Coast Guard

(2) Channel survey drawings furnished to the USCG are to include:

(a) Either NAD 83 or State Plane grids.

(b) Plots of the positions of aids to navigation.

(c) Written notations of the coordinates in NAD 83 or State Plane Coordinates of the

fixed aids to navigation found during the survey.

(d) Soundings should be referenced to mean lower low water (MLLW) or other datum as

appropriate.

(3) The standard tabular forms with illustrated data follow:

(a) For channels 400 feet wide and greater (ENG FORM 4020-R).

 

__________________HARBOR _____(State) Minimum depth in each-1/4 width of channel entering from seaward

 Mid-channel 

Left Left Right Right Name of Channel Date Project outside inside inside outside

 Survey Feet Miles Feet quarter quarter quarter quarter

 width length depth feet feet feet feet 

Tybee Range-- 6-58 500 1.64 30 30 31 28 23

Bloody Point-- 6-58 500 2.81 30 30 30 29 25

ENG FORM 4020-R(Nov 90)

 

(b) For channels 100 to 400 feet wide (ENG FORM 4021-R).

__________________HARBOR _____(State) Minimum depths in channel

entering from seaward

 Left Mid- Right

Name of Channel Date Project outside channel outside

 Survey Feet Miles Feet quarter for half quarter

 width length depth feet project feet 

 

Kings Island Channel 6-58 300 1.14 26 24 23 26

Whitehall Channel 6-58 200 1.81 26 27 26 25

ENG FORM 4021-R(Nov 90)

 

(c) 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.
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(d) 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 charted 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.

h. Charts will be updated and re-published on a regular basis. Update intervals will be

based on the nature of the waterway and extent of changes, but will not exceed every seven years.

i. A NTNI will be disseminated approximately six months in advance of availability of a

revised chart edition.

2-6. Special Reports.

a. Changes affecting navigation will be made promptly whenever information of

immediate concern to navigation becomes known. Refer to ER 1130-2-520 for the circumstances

requiring special reports. Items of information especially desired are: (1) channel condition as

revealed by surveys; (2) changes in channel conditions, either by natural causes or by dredging or

other work; (3) changes in approved projects for improvement with statements of results expected

from proposed-operations; (4) descriptions of proposed dredging or other Federal work of

improvement such as breakwater, pier, and revetment construction or alterations; (5) descriptions

of proposed or completed municipal or private improvements in or affecting navigable waters; (6)

accidents or equipment failures at USACE locks and dams or along navigable waterways, that will

result in closure of the lock or waterway for 24 hours or more, or will result in a significant

impact to navigation. For item (6), district commanders are to forward an incident report to

HQUSACE (CECW-OD) through their MSC office as soon as possible following the incident. 

Reporting of navigation incidents to CECW-OD is required even though the districts may be

sending situation reports to the HQ Emergency Operations Center during natural disasters or

more regional or localized events.

b. 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; 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 mere 

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. In the case of dredging, extent of the area to be dredged and the depth expected will 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.
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c. Format.

(1) Charts will be prepared in booklet form, with separate booklets for each major

waterway (e.g., Lower Mississippi River, McClellan-Kerr). Additionally, booklets may be

prepared for sale by reach or pool.

(2) Page size will be suitable for navigational use, and may vary depending on scale and

detail appropriate to the waterway.

d. Content. Each chart booklet will contain:

(1) A general section at the front including, at a minimum:

(a) index

(b) legend of chart symbols and abbreviations

(c) general notes on waterway/chart usage

(d) copy of relevant navigation regulations (33 CFR)

(e) reference to USCG regulations for drawbridges

(f) reference to USCG Light List for characteristics

(g) chart availability information - address, cost

(h) update information - method of publishing changes

(i) date of next scheduled revision

(2) A graphic overview of the waterway, marked with rectangles to reference chart pages.

(3) Chart Pages, in conformance with "Charted features" and "Chart standards" below.

(See Appendixes G and H.)

(4) Profile drawings for each bridge, lock/dam, and overhead crossing (except where a

large number within a short distance makes this impractical to show) on the page opposite the

relevant chart section. Profile drawings will include vertical and horizontal clearances for each

bridge and overhead crossing, unless such clearances are identified beside the charted features. 

(See Appendix I.)

e. Charted features. Charts shall be drafted to depict necessary and useful features for

navigation, avoiding excessive clutter with extraneous information. Each chart page will include

the waterway name, scale, and direction of north. Charted features will include:

(1) Topography - shorelines (at selected datum), shoreline features, tributary rivers or

creeks, location of cities and towns, selected railroads and highways. Levees and floodwalls

significant to the USACE.
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(2) Structures - lock/dams, bridges, overhead crossings (pipelines, power, communication

lines), major shore structures (towers, tanks, radio towers, large buildings), docks and piers,

selected waterfront facilities, mooring and protection cells. Sewage facilities and raw water

intakes or outfalls.

(3) Obstructions and dangers - obstructions which are of a permanent or continuing

nature (fixed location), including known wrecks and bars, pilings, submerged rocks, regulating

structures (e.g., wing dams or dikes).

(4) Aids to navigation - navigation lights, daybeacons and daymarks (as established by the

USCG and listed in the USCG Light List), permanent (lighted) buoys (as shown in the USCG

Light List), and selected private aids to navigation (especially if lighted).

NOTE: Temporary (unlighted) buoys shall NOT be marked on charts, since their frequent

change in number and position make them unreliable for establishing vessel position. Exception

for pooled waters: unlighted buoys may be shown on charts, if accompanied (on each page where

they are shown) with a special note that "Unlighted buoys are shown in common or typical

locations, however their number and position are changed frequently where needed. The position

of unlighted buoys shown on this chart should not be used by the navigator for locating his

position."

(5) Other navigational information - sailing lines, river mileposts, river gages, direction of

river flow (arrow).

(6) Limits and special operating areas - restricted areas submerged pipelines, submarine

cable crossings, barge fleeting areas.

f. Chart Standards.

(1) A scale of 1"= 2000' will ordinarily be used, except where larger or smaller scale is

more appropriate for the level of detail needed or size of area covered.

(2) Choice of colors should be consistent with NOAA Chart No. 1 colors. These colors

have been tested and proven to work in all navigation conditions.

(3) Chart symbols will follow the U.S. standards as shown in NOAA Chart No. 1 and the

USCG Light List. A copy of the more relevant symbols is provided in Appendix G.

(4) Lettering should be clear and consistent, using different size and/or type for different

types of information. Lettering should generally be outside the channel area, if practicable.

(5) Abbreviations for light characteristics will conform to the USCG Light List.

(6) Level of detail for topography and structures (e.g., how many highways or buildings

to show) will depend on how much detail there is to show within a reach, and how much is

needed for general orientation. Excessive clutter should be avoided.

(7) Datum - Shorelines and obstructions which may be partially or occasionally

submerged will be drawn at mean river stage. Vertical clearances will be shown with reference to

stated elevation, river stage, or zero gage, as appropriate.
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g. Distribution.

(1) Charts are provided to the industry and general public at a cost not less than the cost

of printing/duplication.

(2) Charts will be provided free of charge (upon request) to other Federal agencies with

operational requirements, and to other public service agencies such as local rescue squads or state

conservation officers.

(3) Automatic distribution will include, at a minimum:

(a) HQUSACE (CECW-OD) - 2 copies

(b) Commandant (G-NSR-3) - 1 copy

U.S. Coast Guard 

2100 Second Street SW

Washington, DC 20593-0001

(c) USCG District (see Appendix J for addresses) - copies for each office or unit with an

operational interest for the area covered, including:

1. District Aids to Navigation Office

2. Aids to Navigation Units/Buoytenders

3. Marine Safety Offices

h. Corrections/Revisions. Significant changes or corrections to a chart will be published

by means of a Notice to Navigation Interests. The Notice will provide sufficient detail to permit

the chart users to correct the chart, or will provide an overlay for correction of the affected area

on the chart. A separate request will be made for a Local Notice to Mariners, advising mariners

where they can obtain the chart correction.

i. Conversion of existing charts. Existing charts will be revised to conform with these

standards when the maximum update interval has been reached (seven years since the last edition),

or when the nature and extent of changes require re-publication sooner than seven years.

j. Catalog of USACE Charts.

(1) Within 90 days of the publication date of this pamphlet, affected MSCs or districts

shall submit to HQUSACE (CECW-OD) a copy of the most current chart for each waterway,

price information for each chart, mailing address and phone number for requests from other

agencies/public, and a schedule for publication of the next complete update.

(2) HQUSACE (CECW-OD) will maintain a current listing of all USACE charts, and will

publish an annual catalog with information on cost, availability (source), and next planned update.
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2-7. Information Pamphlets, Maps, Brochures and Other Material.

a. PL 85-480, approved 2 July 1958, authorizes the Commander, USACE 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 that may be

of value to the general public. This authority is limited to the facilities under jurisdiction of the

Commander, USACE. Specific guidance on brochure format can be found in EP 310-1-6

Graphics Standards Manual. Brochure/pamphlet creation/revision should be in accordance with

that manual and should be a coordinated effort including Operations, Public Affairs, and

Information Management elements.

b. This public law authorizes the Commander, HQUSACE to provide for the sale of any

material prepared under authority of the act of publications, charts, or other material prepared

under direction of the Commander, HQUSACE pursuant to other legislative authorization or

appropriation, and to charge therefor a sum of not less than the cost of reproduction.

c. District commanders are authorized to publish the material covered in paragraph 2-7a

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.

d. 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 represent the results of surveys made on the

dates indicated and can only be considered as indicating the general conditions

existing at that time."
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CHAPTER 3 - PROTECTION OF PUBLIC HEALTH AND SAFETY AT JETTIES, GROINS,

AND BREAKWATERS

3-1. Purpose. This chapter establishes guidance on determining the appropriate level of

protection to be provided for public health and safety at USACE-maintained jetties, groins, and

breakwaters in the absence of cost sharing for recreation.

3-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works navigation functions and structures within the navigable waters of the United States.

3-3. Background.

a. The USACE currently operates and maintains 667 jetties, groins, and breakwaters in

the coastal and Great Lakes regions of the United States. Approximately one-half (318) of these

USACE structures are used by the public for recreation. This pamphlet will provide national

consistency in the procedure for determining needs for public health and safety at all USACE

jetties, groins, and breakwaters.

b. The physical nature and setting of jetties, groins, and breakwaters makes them

inherently dangerous for general public use and at the same time, attractive to fishermen and

recreationists.

3-4. Guidance. Three alternatives are provided to meet health and safety needs at USACEmaintained jetties, groins, and breakwaters. MSC commanders shall determine which alternative

or combination of alternatives to select based upon site specific rationale.

a. No action. This “do nothing” alternative provides the lower end of a range of options,

and may be appropriate for instances where negligible safety hazards exist or public access is not

readily provided.

b. Post warning signs. Under this alternative, warning signs would be posted, regularly

inspected, and replaced as often as necessary to inform and alert the public of hazardous

conditions related to the jetty, groin, or breakwater. All signing will be in accordance with the

Sign Standards Manual, EP 310-1-6a and b. This alternative provides safety warning for public

visitors while not encouraging public use of these structures.

c. Deny entry or access. This alternative requires installation of a fence, barricade, or

other suitable construction that precludes entry or access onto jetties, groins, and breakwaters. 

Before entry or access is closed to the public, consideration should be given to the extent of

public use and determination of potential hazards. Such an option, on an individual basis, may be

necessary in dealing with a particularly dangerous jetty, groin, or breakwater.

3-5. Providing other Minimum Facilities for Public Health and Safety. The policy for the

protection of public health and safety at jetties, groins, and breakwaters precludes the

construction of minimum facilities such as walkways, handrails, and sanitary facilities since these

provisions tend to encourage public use and might increase the risk to safety of the visiting public. 

Where this is impractical, any such facilities will require approval by CECW-OD and 

CESO.
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3-6. Program Implementation. MSC commanders will analyze and select one or more of the

above alternatives to provide health and safety at USACE jetties, groins, and breakwaters. In

determining the appropriate management, MSC commanders should consider visitation, health

and safety problems including preparing an Activity Hazards Analysis, state and local laws and

regulations, participation of local authorities, Federal liability with and without facilities, and the

general public safety. MSC commanders shall complete a Hazard Analysis of all USACE jetties,

groins, and breakwaters. This analysis should be reviewed periodically to determine the relative

degree of hazard at each structure and the need for increased emphasis of public health and safety. 

Costs for health and safety will be allocated to project purposes and shared with project sponsors

on the same basis as those purposes. Costs for the alternatives can be programmed using O&M,

General funds or FC, MR&T, Maintenance funds as appropriate through normal budgeting

procedures. However, at structures for which local cooperation agreements or contracts for cost

sharing have been consummated, or were not required, non-Federal sponsors may be asked to

provide or participate in the signing, fencing, etc., but cannot be required to do so. 
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CHAPTER 4 - REMOVAL OF WRECKS AND OTHER OBSTRUCTIONS

4-1. Purpose. This chapter establishes guidance on removing wrecks and other obstructions to

navigation on waterways under the jurisdiction of the USACE.

4-2. Applicability. This chapter applies to all USACE commands having responsibility for civil

works navigation functions and the removal of sunken vessels within the navigable waters of the

United States. Wrecks which predate the Water Resources Development Act of 1986 (PL 99-

662) are subject to the same policy, except where specifically noted otherwise. This chapter does

not apply to obstructions other than vessels, which may be subject to removal under other

statutory authorities and procedures.

4-3. Background.

a. Over the years, several significant court cases have circumscribed the scope of the law

by defining "navigable channel," "abandonment," the owner's duty to mark/remove, the Corps'

duty to protect navigation, and legal liability generally. The U.S. Code (Annotated) provides

citations and summaries of several key cases for further reference. The agency's nationwide

policies take the overall case history into consideration, but are not bound by the results of every

individual case.

b. Coordination problems between the Corps of Engineers and the U.S. Coast Guard

were highlighted by the National Transportation Safety Board (NTSB) in its 1978 report on the

M/V DAUNTLESS COLOCOTRONIS Grounding. The NTSB recommended coordination

between the Corps and the Coast Guard in better defining what constitutes a hazard to navigation,

and periodic reviews (with the Coast Guard) of existing hazards to navigation. In October 1985,

the Corps and the Coast Guard signed a Memorandum of Agreement to address these issues.

c. Funding priorities require us to take a conservative approach with respect to the

removal of wrecks and other obstructions in our role of protecting and preserving navigable

waters. Because of funding restraints, an administrative decision was made that for the general

case, the geographic limit for the exercise of our authority need not be extended to cover the

entire navigable river bed.

d. Enforcement Problems. One of the levers for effective enforcement is the ability to

remove the wreck under Federal authority and then recover costs from the responsible party. In

the past, the Corps' ability to enforce removal by the owner was seriously constrained by the

requirement to prove negligence (in the sinking) and, sometimes, by difficulty in tracing a

financially-viable owner. The Water Resources Development Act of 1986 (PL 99-662) eliminated

the prerequisite of negligence and extended financial liability to vessel operators and lessees for

wrecks occurring after November 17, 1986.

e. Insufficient cost controls have often limited our ability to recover Federal costs in

removal. Challenges to the "reasonableness" of our expenditures can usually be traced to either

excessive use of resources (where the cost really isn't reasonable) or inadequate documentation

and accounting (where the costs are reasonable but we don't justify them well).
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4-4. Guidance.

a. Hazard determination. Generally, anything that restricts or obstructs general

navigation within a defined channel, or creates a similar restriction in a fairway, or has reasonably

high potential for moving into any area of general navigation, can be considered a hazard to

navigation. Other situations are considered on a case-by-case basis, where a hazard is defined in

terms of specially significant factors. The determination is a judgment call by the District

Commander, coordinated with the Coast Guard district.

(1) Those obstructions which affect only private wharves or canals (i.e., public access is

restricted) do not fall within the scope of restricting "general navigation," and will not ordinarily

be removed by the Corps. Similarly, wrecks alongside commercial docks, or obstructing local

access channels to such docks, will not ordinarily justify the expenditure of Federal funds for

removal.

(2) Obstructions which present only a minor inconvenience to marine traffic (e.g., outside

the main channel, limiting the number of places where large tows can leave the channel for

passing, but where nearby alternatives exist) will not ordinarily be removed.

(3) Obstructions which have a high potential for moving should be given special

consideration, since any unexpected movement could create a special hazard to mariners.

(4) Where timeliness is not a critical factor, a court judgment to compel removal is the

preferred first course of action before undertaking Corps removal. Before seeking a judgment,

however, some attempt should be made to determine if the owner is likely to have the financial

means to undertake removal.

b. Requests for HQUSACE approval (where contract costs for removal are estimated to exceed $100,000) shall be transmitted by letter through the MSC Commander to CECW-OD, and

shall include a copy of the existing case file documentation as outlined below. Advance

coordination by telephone is authorized and encouraged.

c. Documentation. (1) Case file. The case file for each reported obstruction shall include the following

information (items (i)-(m) apply only when Corps removal is undertaken):

(a) Location (shown on large-scale chart)

(b) Method of locating

(c) Description of the obstruction

(d) Identification of vessel (if ascertainable)

- name, flag, vessel type, documentation

- dimensions, construction (steel, wood, etc.)

- cargo
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(e) Date/description of incident/sinking (if known)

(f) Identification of owner, operator or lessee

(g) Summary of consultation with Coast Guard

- Coast Guard point of contact

- notes re: all hazard-to-navigation factors

- remedial actions done/planned

- rationale for decisions

(h) Signature of decision-authority (Corps)

(i) Documentation establishing abandonment

(j) Authority cite (section 19 or 20)

(k) Cost estimate/schedule

(l) Procurement documentation

(m) Final disposition - date, cost, disposal

(2) Cost/expense records. Any case which results in Corps removal is potentially a case

for reimbursement, even if the owner (or other responsible party) is not known at the time of

removal. In all such cases, records shall be maintained to account for all Corps hired labor

involved in the process, detailing for each individual the time spent by task (e.g., writing

plans/specs for removal, monitoring contractor, etc.).

d. Choosing the responsible party. Historically, the owner has a special obligation for

wreck removal, even while PL 99-662 extends jurisdiction to operators or lessees. In all cases

where the owner can be identified and reached, the Corps will pursue removal by the owner,

regardless of which party may have been responsible for the wreck/incident. (Note: owners cannot

delegate liability or relieve themselves of liability by selling, transferring ownership or abandoning

the wreck.) When the owner is not determinable or available (and the wreck occurred after

November 17, 1986), the operator or lessee may be compelled to remove the wreck, again

regardless of negligence or responsibility for the incident.

e. Abandonment issues.

(1) Abandonment is an owner's giving up the exclusive right to salvage.

(2) The lapse of 30 days with no action is sufficient legally to establish abandonment,

however, Corps policy is to provide 30 days after notification to the owner of their legal

obligation.
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(3) After the Corps establishes abandonment (in cases where the Corps will undertake

removal), a letter will be sent to the owner (or operator/lessee) as notification. Appendix K is a

sample letter, which may be tailored to individual cases.

(4) A declaration of abandonment from the owner is sufficient to establish abandonment

in less than 30 days. A declaration from any other party does not constitute a valid abandonment,

since abandonment relates to title in the vessel. Before establishing abandonment on the basis of a

declaration, the District Commander should ensure that the person being represented as the owner

is in fact the legal owner.

(5) Any declaration or offer of abandonment shall be acknowledged in writing. The reply

shall not indicate in any way that the Corps is "accepting" abandonment or accepting

responsibility/ liability for the wreck. The sample letter at Appendix L shall be used in such cases. 

If the letter was received from a party other than the legal owner, the reply should additionally

recognize that fact.

(6) An abandonment, once established, generally cannot be retracted by the owner. The

advice of counsel should be sought in such cases.

(7) Salvage by a third party (before or after abandonment) does not affect the obligation

of the original owner to mark and remove the wreck.

f. Emergency removal authority under "Section 20" of the River and Harbor Act of 1899,

as amended (33 USC 409, 411-415) should be used only when an expedited removal is necessary

for the protection of life or property, or when an obstruction seriously impedes navigation. 

Emergency removals may involve a taking of private property by the Federal Government, with a

potential for legal liability if not sufficiently justified by the circumstances. The exercise of this

authority is always a special case, and therefore requires special notifications to HQUSACE when

invoked.

g. Delegation limits. The authority to undertake removal up to $100,000 (contract cost)

is delegated to district commanders (and MSC commanders for operating divisions). Further

delegation is authorized, but must be in writing (either specifying individual name or job position). 

Delegation of emergency removal authority (Section 20 removals) may not be made below the

level of the Chief, Construction-Operations Division (or Operations Division). Note: Emergency

actions to prevent loss of life or significant property damage shall NEVER be delayed on the basis

of estimated cost or lack of cost estimate.

4-5. Coordination with Coast Guard.

a. Coast Guard evaluations not binding. The MOA charges each agency with pursuing a

joint determination of whether an obstruction constitutes a hazard to navigation. District

commanders should not simply defer to the Coast Guard in this decision process. They should

assess the situation from the Corps perspective, make a judgment, and attempt to reconcile that

judgment with the Coast Guard district. It is anticipated that most determinations can be agreed

upon at that level, but some may require referral up the chain of command, or to HQUSACE. 

The District Commander should also keep in mind that a hazard determination does not by itself

dictate need for removal. The degree of hazard can, in some cases, be mitigated by other

response actions.
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b. Corps assistance with marking. The District Commander may, upon request, provide

assistance to the Coast Guard in locating and/or marking a wreck; assistance shall be provided if

resources are available and if the Corps has a special capability in the particular case. Such

assistance is normally not reimbursable from the Coast Guard, unless the Coast Guard recovers

marking costs from the responsible party as addressed in 33 CFR 64 - Marking of Sunken

Obstructions. In all cases, cost records should be maintained for the possibility of later

reimbursement (see 33 CFR 74).

c. Marking enforcement. When an owner or other responsible party undertakes removal,

the Corps shall monitor the operation, including the maintenance of marking. The Corps shall

not, however, enforce marking requirements. Marking problems shall be referred to the Coast

Guard for enforcement.

d. USCG help in identifying responsible parties. The Coast Guard maintains a

computerized Marine Safety Information System (MSIS), which can provide quick access to

ownership and operator data for virtually all foreign vessels entering U.S. ports, and for most

U.S. vessels which are documented, inspected or boarded by the Coast Guard or which have been

involved in a reportable marine casualty. MSIS is accessible from every Marine Safety Office,

Captain of the Port office, Marine Inspection Office, and district office.

e. Notifications to owner. The Corps and the Coast Guard shall consult to determine

which agency will take the lead in notifying the owner (or other party) of their responsibility to

mark and remove a wreck. This is a local decision, and may be made on a case-by-case basis or

subject to a more general agreement. When the District Commander defers to the Coast Guard

for notification to the owner, the Commander shall ensure that all the relevant elements of

Appendix M are addressed. Separate notifications may be made, but are discouraged as not

reflecting well on federal coordination.

f. Interagency notifications/correspondence. District commanders shall keep the Coast

Guard district informed of status/progress of removal actions, any changes in status/ situation

regarding the factors which were considered in determining hazard and remedial actions, any

problems with marking as observed by the Corps, any pollution observed, and any other

circumstances which may impact on navigational safety.

g. Coast Guard removals. In cases involving substantial threat to the human environment

from pollution, the Coast Guard may exercise its own authority to remove or destroy a vessel. 

Some of these cases may also involve a hazard to navigation (triggering Corps jurisdiction) and

some may not. When circumstances would permit removal by either agency, the decision as to

which agency will take the lead shall be made locally, if possible. The Coast Guard will always

make the final decision whether to invoke its authority for removal under 33 CFR 153 (Control of

Pollution by Oil and Hazardous Substances Discharge Removal). However, the Corps may not

invoke its emergency removal authority under Section 20 (33 USC 415) when the sole purpose of

removal is for mitigating a pollution threat. Section 20 removal must always be tied to navigation

impacts.

h. Annual reconciliation of cases. Status of all existing hazards to navigation shall be

compared with the Coast Guard district at least annually. District commanders shall coordinate

locally with the Coast Guard for appropriate format, schedule, etc.
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4-6

4-6. Notifications/Reports.

a. Emergency removals. In all cases of emergency removal, district commanders shall

ensure immediate telephone notification to their MSC and headquarters (CECW-OD), followed

by message within 24 hours reporting the situation and actions taken/planned. Telephone

notifications to HQUSACE after-hours shall be made through the Army Operations Center (703-

695-2769), directed to a CECW-OD representative.

b. Significant cases. In all non-emergency cases involving a potential national-level

interest by the public or media, or special interest groups, district commanders shall insure prompt

notification to their MSC and CECW-OD by telephone or message, as appropriate. 

c. Requests for HQUSACE approval. Where contract costs for removal are estimated to exceed $100,000, requests shall be transmitted by letter through the MSC Commander to CECWOD, and shall include a copy of the existing case file documentation as outlined in paragraph 4-4

above. Advance coordination by telephone is authorized and encouraged.

d. Notifications to Coast Guard are covered in paragraph 4-5.

4-7. Funding.

a. Charging/accounting procedure. Funding for all Corps removal efforts under $100,000

shall initially be charged to the revolving fund. After completion of removal, the district shall

submit a request through the MSC to CECW-OD for reimbursement from O&M, General. For

cases over $100,000, instructions for funding may be provided with the approval from CECWOD.

b. Reimbursable costs (those which are recoverable from the owner/operator/lessee) shall

be all "reasonable" costs associated with removal, including:

(1) preparation of plans/specifications

(2) contract preparation

(3) contract administration (Corps personnel)

(4) cost to locate the wreck

(5) direct removal costs (by contractor or Corps)

(6) cost to maintain site safety during removal

(7) overhead (for all hired labor) and equipment

(8) disposal

c. Non-reimbursable costs are any which exceed the "reasonable" (i.e., necessary)

removal cost in a given situation, and any of the agency's administrative costs not directly related

to the removal including:
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(1) investigation of obstruction

(2) consultation with Coast Guard

(3) resolution of dispute with Coast Guard

(4) internal Corps notifications and situation reports

d. Cost recovery from the owner/operator/lessee shall be initiated by letter

correspondence (see sample letter at Appendix N). Review of cost documentation by counsel,

before submission to the responsible party for payment, is encouraged.

4-8. Legal Actions.

a. Criminal actions. Generally, the pursuit of criminal penalties should be reserved for

cases where:

(1) the case involves either gross negligence or willfulness,

(2) the individual to be prosecuted has not acted responsibly or diligently in removing the

wreck, and

(3) other legal recourse does not provide sufficient remedy.

b. Civil actions. The Corps may, however, pursue a civil judgment against an

owner/operator/lessee to compel removal, and may file suit to recover any loss or damages to the

Corps.

c. License suspension or revocation. Any master, mate, engineer, pilot or operator

holding a Coast Guard license may be subject to suspension and revocation proceedings

concerning their involvement in the incident which resulted in the wreck. The local Coast Guard

Marine Safety/Marine Inspection Office would normally initiate an investigation in such cases

where there is evidence of misconduct, negligence, incompetence or violation of certain U.S.

laws.

d. Collections. When an owner/operator/lessee does not respond within 30 days to a

letter seeking reimbursement of removal costs, the case may be referred to counsel for collection

through the courts.
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5-1

CHAPTER 5 - WATERBORNE COMMERCE STATISTICS

5-1. Purpose. This chapter establishes guidance governing the Navigation Data Center (NDC)

programs, their implementation and responsibilities, including the collection, compilation,

publication, and dissemination of Waterborne Commerce Statistics and the collection,

compilation, and reporting of data on waterway traffic through locks and regulated canals (e.g.,

the Chesapeake and Delaware Canal and the Cape Cod Canal).

5-2. Terminology. In order to facilitate the use of this pamphlet, terminology unique to the

Waterborne Commerce Statistics Program are provided in Appendix O.

5-3. Background and Responsibilities. The Navigation Data Center (NDC) located at Fort

Belvoir, Virginia is responsible for the Federal water transportation statistical programs including

waterborne commerce statistics, port and waterway facilities, lock performance monitoring, and

dredging statistics. The NDC is under the direction of the Director, Water Resources Support

Center (WRSC) who has authority over three main interrelated areas comprising (1) planning,

developing, and evaluating navigation data collection and processing systems; (2) ensuring that

national and regional data bases are adequately integrated and efficiently operated and maintained;

and (3) assessing the efficiency of data dissemination technology and procedures. Outlined below

are the management responsibilities of NDC components:

a. The Waterborne Commerce Statistics Center (WCSC), located in New Orleans,

Louisiana, is responsible for the following:

(1) Data collection, compilation, printing, and distribution of all domestic waterborne

commerce statistics. Coding procedures are discussed in Appendix P. The WCSC discharges

these functions by publishing the data collected on ENG Forms 3925, 3925B, 3925P or an

authorized automated equivalent in the annual publication, Waterborne Commerce of the United

States and the data collected on ENG Forms 3931 and 3932 in the annual publication,

Waterborne Transportation Lines of the United States. A description of the publications and tonmile computation methods is contained in Appendix Q.

(2) Continuous monitoring of data collection and recommending changes, as necessary, to

the Chief of Engineers through the Director, WRSC.

(3) Handling special requests for waterborne commerce statistics. The WCSC will

respond to special requests from USACE offices, other government agencies, and the general

public as resources are available within the WCSC. Special requests that require substantial effort

to produce will be handled on a cost reimbursable basis.

b. The Ports and Waterways Division of NDC is responsible for the collection, review,

analysis, preparation, and publication of data on the physical and internodal characteristics of the

coastal, Great Lakes, and inland ports and waterways in the United States.

c. The NDC, through the Lock Performance Monitoring System, has responsibility for the

collection, editing, maintenance, and analysis of data collected at channelized waterways,

regulated man-made canals, and all Corps-owned and operated locks. These data are collected 

on ENG Forms 3102b, 3102c, and 3102d as prescribed by ER 1130-2-520, Chapter 6. The 
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amount of information to be collected from vessel operators is to be held to a minimum,

consistent with the essential needs of the U.S. Army Corps of Engineers, including data to meet

valid requests of the public.

d. The NDC, through the Dredging Statistics Program, has the responsibility of

collection, management, and distribution of data on Corps dredging contract activities. This

includes data on bid schedules, location of contract, dredge type, and cubic yards.

5-4. Enforcement of Reporting Policy. The USACE considers compliance with all reporting

requirements established in conjunction with this regulation of the utmost importance and will use

every means at its disposal to enforce it.

a. Section 11 of the Rivers and Harbors Appropriation Act of 1922 (42 Stat. 1043), as

amended, is codified in 33 USC 555 and provides the following:

 Owners, agents, masters, and clerks of vessels and other craft plying upon the

navigable waters of the United States, and all individuals and corporations engaged in

transporting their own goods upon the navigable waters of the United States, shall furnish

such statements relative to vessels, passengers, freight, and tonnage as may be required by

the Secretary of the Army: Provided, That this provision shall not apply to those rafting

logs except upon a direct request upon the owner to furnish specific information.

 Every person or persons offending against the provisions of this section shall, for each

and every offense, 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. in addition, the

Secretary may assess a civil penalty of up to $2,500, per violation, against any person or

entity that fails to provide timely, accurate statements required to be submitted pursuant to

this section by the Secretary.

b. To identify vessel operating companies that should be reporting waterborne commerce

data, the Corps will make use of, but will not be limited to, the following sources:

(1) Data on purchase and sale of vessels.

(2) U.S. Coast Guard vessel documentation and reports.

(3) Data collected at locks, canals, and other facilities operated by the Corps.

(4) Data provided by terminals on ENG Form 3926, Record of Arrivals and Departures

of Vessels at Marine Terminals.

(5) Data provided by the other Federal agencies including the Internal Revenue Service,

Customs Service, Maritime Administration, Department of Transportation, and Department of

Commerce.

(6) Data provided by ports, local facilities, and state or local governments.

(7) Data from trade journals and publications.
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(8) Site visits and inspections.

5-5. Data Collection and Reports. The Waterborne Commerce Statistics Center (WCSC) located

in New Orleans, Louisiana, is responsible for the collection of waterborne commerce information. 

The waterborne traffic movements are reported to the USACE by all vessel operators of record

on ENG Forms 3925 and 3925B, 3925P or an authorized automated equivalent approved by the

Office of Management and Budget under the Paperwork Reduction Act of 1995, Public Law 104-

13, May 22, 1995, 109 Stat. 163 (44 USC 3501-3520). To facilitate this data collection program,

vessel operators are classified by domicile within Corps districts. With the exception of vessel

operators domiciled within the Ohio River Division (Pittsburgh, Huntington, Louisville, and

Nashville Districts) all vessel operation reports are to be filed with the USACE at the address

specified below:

U. S. Army Corps of Engineers

Waterborne Commerce Statistics Center

P. 0. Box 61280

New Orleans, LA 70161-1280

a. "Ohio River Division (ORD)." Vessel operators with domicile within ORD (Pittsburgh,

Huntington, Louisville, and Nashville Districts) are required to file vessel operation reports with

the Huntington District at the address specified below:

District Commander

U. S. Army Engineer District, Huntington

Corps of Engineers

Attn: CEORH-PD-C

502 Eighth Street

Huntington, WV 25701-9959

b. For movements with cargo, the point of loading and the point of unloading of each

individual commodity must be delineated.

c. Cargo moved for the military agencies in commercial vessels is reported as ordinary

commercial cargo; military cargo moved in Department of Defense vessels is not collected.

d. Filing Requirements. Implementation of the waterborne commerce statistics provisions

of the River and Harbor Act of 1922, as amended by the Water Resources Development Act of

1986 (PL 99-662) mandates the following:

(1) Except as provided in paragraph 5-5d(2)(c),(d),(e), of this manual, 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 filed in a timely manner.

(a) 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.

(b) The vessel owner, or his designated agent, is always the responsible party for ensuring

that all commercial activity of the vessel is reported in a timely manner.
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(2) The "Vessel Operation Reports (VORs)" are to include the following information:

(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) Movements of supplies, materials, and crews to or from the construction site must be

reported in a timely manner. Movements of vessels exclusively engaged in construction (e.g.,

pile drivers and crane barges) need not be reported.

(d) Vessel and dredge movements of dredged material (shell, sand, or gravel) dredged

exclusively for sale or for beneficial purposes (e.g., land development, beach nourishment) must

be reported to WCSC. Movements of dredged material resulting from routine channel

maintenance or new construction and the movement of dredges to and from the dredging site

need not be reported.

(e) Movement of recreational vessels, fire, police, patrol vessels, and those granted

written exception by WCSC need not report.

(3) ENG Forms 3925, 3925B, 3925P or an authorized automated equivalent shall be

completed and filed by vessel operating companies each month for all voyages or vessel

movements completed during the month; (e.g., trip started 29 January and completed 10 February

should be included for the month of February and filed before 31 March). Vessels that did not

complete a move during the month shall be reported as idle or in transit.

(4) The vessel operating company may request a waiver from the Army Corps of

Engineers, and upon written approval by WCSC, the company may be allowed to provide the

requisite VORs on an authorized automated equivalent such as computer printouts, magnetic

tape, diskettes, or alternate medium approved by the WCSC.

(5) Harbor Maintenance Tax information is required 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 (PL 99-662).

(a) The name of the shipper of the commodity, and the shipper's Taxpayer Identification

Number (TIN) or Social Security Number (SSN), must be reported on the form.

(b) 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.

e. Reporting situation. A commercial vessel movement by an operator is required to be

reported. Typical examples are listed in the instructions on the various ENG Forms. The

following are five typical vessel movements that are required to be reported by vessel operating

companies where Company A is the barge owner, and the barge transports corn from

Minneapolis, Minnesota, to New Orleans, Louisiana, with fleeting at Cairo, Illinois:
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(1) 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.

(2) 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.

(3) 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.

(4) RE-CONSIGNMENT: Barge is re-consigned to Mobile, Alabama. Company A

reports the movements as originating in Minneapolis and terminating in Mobile. The point from

which barge is re-consigned is not reported, only points of loading and unloading.

(5) FLEETING: Barge is deposited at a New Orleans fleeting area by Company A and

towed by Company B from the 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.

f. Towboat Reporting. A towboat operated between fixed points may be reported in

terms of the total number of round trips completed during the month. For a towboat not operated

between fixed points, its movements are reported in each direction during the calendar month. 

Note especially, however, that only those movements which have been completed in each

direction during the calendar month are to be reported for that month. To avoid crediting a

waterway with double the number of trips actually made, a towboat moving in a given direction

which has not reached its final or planned destination at the end of the month should not be

reported until the following month. For example, if a towboat traversed half the distance of a

waterway stretch by the end of January and was reported for January and then again picked up in

the February report for remainder of the stretch, two trips would be reported for this waterway

when actually only one trip occurred.

g. Reporting Forms.

(1) ENG Form 3925 - Vessel Operation Report. Statement of Freight and Passengers

Carried, submitted principally by operators of deep-draft vessels. The type of information

collected monthly on this form includes the following:

(a) VESSEL DATA

1 - TRIP NUMBER

2 - YEAR

3 - TYPE OF VESSEL
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4 - NAME AND NUMBER OF VESSEL

5 - NET REGISTERED TONS (NRT)

6 - FLAG

(b) CARGO DATA - LOADED AT AND DISCHARGED AT: (Fleeting areas should

not be reported unless a vessel is loaded or unloaded at a fleeting area. If a loaded barge is left at

a fleeting area for a future move to unload at a terminal, give the terminal as the destination. If a

barge is loaded at a terminal and then moved to a fleeting area for future pick up, give the loading

terminal as the origin.)

1 - PORT OR LOCALITY

2 - DOCK

3 - DATE

4 - ACTUAL DRAFT

(c) UNLOADED CARGO DATA - COMMODITY INFORMATION:

1 - COMMODITY - if the commodity is passengers the

units field will indicate the number of passengers being

transported.

2 - QUANTITY

3 - UNIT

4 - WEIGHT PER UNIT

5 - NET TONS

(d) HARBOR MAINTENANCE TAX INFORMATION: Vessel operating

companies reporting domestic movements of commodities on a vessel transiting channels in U. S.

Customs, ports subject to the Harbor Maintenance Tax (HMT) must also report the shipper

information (name of shipper and the shipper's IRS or SSN, or an exemption code). Reference

the Water Resources Development Act of 1986, PL 99-662 Title 14; 19 CFR Parts 3, 24, 146,

and 178 (U. S. Customs). (Also see Corps Federal Register Announcement dated 25 March 1987;

U. S. Customs Service Federal Register Announcement dated 30 March 1987 and amended in a

Federal Register Announcement dated 14 July 1987). The HMT information must be provided

for each commodity carried. If the commodity movement is exempt from the fee because of one

of the exemptions given with directions to complete the forms, the applicable exemption code

must be entered in the last column of the form and the name of the shipper and the shipper's IRS

number (or SSN) may be omitted. If the commodity movement is not exempt, then the shipper's

name and IRS number (or SSN) must be entered on the form.
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NOTE: The "shipper" is defined as the company or person paying the freight charges to the vessel

operating company. The shipper should provide the vessel operating company all information

necessary to fill in the user fee information items.

(e) ALTERNATE CHANNELS: When more than one route is possible, the vessel

operator is required to identify alternate channels used.

(2) ENG Form 3925B - Vessel Operation Report. Optional Form for Use by Inland

Waterways Operators in lieu of ENG Form 3925, submitted monthly by inland and intracoastal

operators. ENG 3925B allows the operator to report vessel movements of several vessels (up to

10) on one form. Multiple trips for the same vessel may also be recorded on one line of this form

provided the origin, destination, commodity, and alternate channels used are the same. The type

of information collected on this form includes the following:

(a) VESSEL DATA:

1 - NUMBER OF TRIPS

2 - VESSEL NAME

3 - COAST GUARD NUMBER

4 - VESSEL TYPE

(b) VESSEL ORIGIN/DESTINATION INFORMATION:

1 - PORT NAME

2 - DOCK NAME

3 - RIVER, MILE, AND BANK

4 - DATE (MONTH/YEAR)

(c) SERVICE - For each cargo movement the service code will be provided in this field. 

The service codes are defined below:

1 - if carriage is regulated by the Interstate Commerce Commission.

2 - if carriage is for compensation but exempt from regulation by the Interstate

Commerce Commission.

3 - if carriers, goods are being transported in their own vessels.

4 - if unknown

(d) CARGO DATA:

1 - COMMODITY
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2 - TONS

3 - ALTERNATE WATERWAYS: When more than one route is possible, the

vessel operator is asked to identify the alternate channels used.

(e) CONTAINERS AND CONTAINERIZED CARGO - The cargo being transported in

containers must be delineated by commodity type and tonnage. If empty containers are being

transported the entry under commodity type will be "Empty Containers" and the weight of the

empty containers will appear in the tonnage field.

(3) ENG Form 3925P - Vessel Operation Report. Optional Form for use by Passenger

Operators, in lieu of ENG Form 3925, submitted monthly by passenger vessel operators. ENG

Form 3925P is designed to facilitate the completion of the required information by passenger

vessel operators. The vessel type “1", commodity code “00040" and the service code “2" are

printed on the form. The vessel operator is not required to enter these data. The form will allow

the submission of multiple moves for the same vessel to and from a turn around point. The type

of information collected on this form includes the following:

(a) VESSEL DATA:

1 - YEAR

2 - VESSEL TYPE - Encoded as “1"

3 - NAME AND NUMBER OF VESSEL

4 - NET REGISTERED TONS (NRT)

5 - COAST GUARD NUMBER

(b) CARGO DATA:

1 - NUMBER OF TRIPS

2 - PORT OR LOCALITY NAME

3 - DOCK NAME

4 - DATE (MONTH AND DAY)

5 - ACTUAL DRAFT

6 - TURN AROUND POINT

7 - SERVICE - Encoded as “2" (Exempt, for hire)

(c) PASSENGER DATA

1 - COMMODITY CODE - Encoded as “00040: for passengers
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2 - NUMBER OF PASSENGERS

3 - ALTERNATE WATERWAYS - When more than one route is possible, the

vessel operator is asked to identify the alternate channel used.

(d) HARBOR MAINTENANCE TAX INFORMATION: Same as ENG Form 3925

(4) ENG Form 3926 - Record of Arrival and Departure of Vessels at Marine Terminals. 

Submitted by dock or wharf operators upon request of WCSC on a voluntary basis. Submission

of this form will be requested only when and if essential to ensure adequate and correct coverage

of vessel movements in United States harbors and channels.

(a) WHARF OR DOCK - The name of the facility making the report to WCSC.

(b) PORT OR LOCALITY - The location or port name where the facility is located.

(c) NAME OF VESSEL - Self-explanatory.

(d) TYPE OF VESSEL - Defined in directions

(e) VESSEL ARRIVAL/DEPARTURE

(1) DATE - The month and year that the vessel arrived or

departed.

(2) UNLOADED/LOADED CARGO - The entry for this field is either a "YES" or "NO"

to indicate that the vessel unloaded and/or loaded cargo at the facility.

(3) FOREIGN, DOMESTIC, OR BOTH - Indicate the type of cargo handled.

(f) REMARKS - This field is usually used to provide the tonnage of cargo handled.

h. Waterborne Transportation Lines Survey. The WCSC will conduct an annual survey

of vessel operators within the United States. ENG Forms 3931 and 3932 described below will be

used to conduct the survey. The data collected are designed to take a snapshot picture of the

status of the domestic vessel fleet as of the last day of each calendar year and to provide a quality

control feature for the verification of the filing requirements of ENG Forms 3925 and 3925B, and

3925P or an authorized automated equivalent. ENG Forms 3931 and 3932 should be filed in

accordance with the procedures set forth in paragraph 5-5, page 5-3.

(1) ENG Form 3931 - Description of Vessels. The following information is collected

annually on this form:

(a) OPERATOR NAME, TELEPHONE NUMBER, AND ADDRESS - This should be

the individual, company, or corporation operating the vessel or vessels.

(b) VESSEL NAME OR NUMBER AND COAST GUARD NUMBER - The vessel

name or number listed in this block should be identical to that shown on the vessels, or on

registration papers.
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(c) VTCC CODE - The VTCC Code that most appropriately describes the vessel is given

here. The VTCC Code represents the alphanumeric code for the vessel type, construction, and

characteristics. The definitions and explanations of vessel type, construction, and characteristics

(VTCC Code) are listed on ENG Form 3932 (Description of Operations). For example, if the

type of vessel is a self-propelled tanker, constructed of steel and was characterized as a liquid bulk

tanker, the VTCC Code would be 2A22.

(d) NET REGISTERED TONNAGE - The net registered tonnage for each vessel is

provided here. This information is provided on the registration papers; otherwise, it may be

determined as the volume of space available for the accommodation of passengers and the

stowage of cargo expressed in units of 100 cubic feet per each net registered ton.

(e) LENGTH, BREADTH, AND DRAFT - The dimensions, registered and overall, and

the drafts, loaded and light, of the vessel should be reported in feet to the nearest tenth, (e.g.,

155.2; 8.1; 2.9; etc.).

(f) HORSEPOWER - The horsepower as given in Merchant Vessels of the United States. 

If not listed therein, this represents the rated horsepower as given on the official Certificate of

Documentation (U.S. Coast Guard).

(g) CARGO CAPACITY - The fully loaded capacity in short tons (2,000 lbs.) is provided

where practicable. Otherwise, the commodity carried, capacity of the vessel in the commodity

unit of measurement (gallons, bushels, etc.), and weight per unit of measurement may be

provided.

(h) HIGHEST FIXED POINT ON VESSEL - This is given as the distance between the

waterline of the vessel, when light, and the highest fixed point on the vessel. If the highest point

of the vessel is a hinged stack or retractable pilothouse, then it is given as distance to hinge or top

of pilothouse in lowered position.

(i) CARGO HANDLING EQUIPMENT - Permanent fixtures are given such as cranes,

derricks, hoists, pumps, etc. Also given are the handling capacity and type of power used to

operate the equipment such as steam, electric, diesel, etc.

(j) VESSEL OPERATING BASE - This is the name of the city or

locality which is the operating headquarters of the vessel.

(k) YEAR BUILT OR REBUILT - This will indicate the year in

which the vessel was built. If the vessel was rebuilt, the year rebuilt will be followed by an

asterisk (*).

(2) ENG Form 3932 - Description of Operations. The following information is collected

on this form:

(a) OPERATOR NAME, TELEPHONE NUMBER, AND ADDRESS - This should

identify the individual, company, or corporation operating the vessel or vessels.

(b) SERVICE - Use Code:

1 - if carriage is regulated by the Interstate Commerce Commission.
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5-11

2 - if carriage is for compensation but exempt from regulation by the Interstate

Commerce Commission.

3 - if carriers' goods are being transported in their own vessels.

9 - if unknown

(c) PRINCIPAL COMMODITIES CARRIED - This should identify the commodities

carried by vessels being operated.

(d) POINTS OR LOCALITIES AND WATERWAY ON WHICH VESSEL

MOVEMENTS TAKE PLACE - This identifies the general area in which activity is conducted.

5-6. Violation Procedures. Appendix R delineates explicitly that which constitutes an offense and

violation of this reporting requirement. In the event of a reporting violation, the Director, WCSC,

will bring it to the attention of 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 grace period, appropriate civil or

criminal actions may be undertaken by the Army Corps of Engineers, up to and including the

proposal of civil or criminal penalties for non-compliance. 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 Director, WCSC. For the vast majority, however,

penalties incurred as a result of a violation are civil action penalties. The Director, WCSC,

assesses their gravity and consequences. Assessment and processing procedures involve the

following:

a. Authorization to assess a civil penalty. The Director, WCSC, assesses a civil penalty in

accordance with the Class I penalty provisions of 33 CFR Part 326. Provided, however, that the

procedures in the CFR Part 326 specifically implementing the Clean Water Act [33 USC

1319(g)(4)], public notice, comment period, and state coordination, shall not apply.

b. Initiation of a civil penalty order. Upon assessment of a civil penalty, the Director,

WCSC, prepares a proposed civil penalty order, including a statement on the assessed penalty, the

rationale leading to it, and the application provisions of 33 CFR Part 326.

c. Recourse available to the recipient of a civil penalty order. The recipient of a proposed

civil penalty may prepare a written request for a hearing or other provision, in accordance with 33

CFR Part 326, addressed to the Director, WRSC, Casey Building, Fort Belvoir, VA 22060-5586. 

Following the hearing or other review of the case, the Director, WRSC will act according to what

has transpired. In all cases, the Director is expected to provide the violator a reasonable

opportunity to redress or explain the violation. Thereafter, the Director, WRSC, will issue a final

order.

d. Authorization to initiate criminal action order. The Director, WRSC has the authority

to refer certain violations to the local U.S. Attorney for prosecution, penalty collection,

injunction, or other appropriate action.

5-7. Release of Data.

a. The USACE policy on the release of waterborne commerce statistics can be found in

33 CFR 209.320 and will be followed throughout the collection and publication process of these 
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5-12

data bases. Data released by the Corps to state and local government agencies, private

companies, and the general public are done in accordance with the Freedom of Information Act (5

USC 552) and the Paperwork Reduction Act (44 USC 3501-3520).

b. The WCSC will not release any data or information furnished by vessel operators and

others with the understanding that it will not be disclosed, except in compilation form. Any

request for information or data not in compilation form which could identify the commercial

activity of specific companies or persons that supplied the data to the USACE will be handled in

accordance with the procedures pertaining to release of information under the Freedom of

Information Act (5 USC 552) and the Paperwork Reduction Act (44 USC 3501-3520) giving due

regard to the proprietary nature of this information.

c. All exchanges of data by the WCSC, to other agencies except those under the Freedom

of Information Act, will be accompanied by the following legend:

NOTICE OF RESTRICTED DATA

USE OF DATA LIMITED

Information contained in this data has been furnished to the WCSC with the understanding

that it will not be further disclosed except in compilation form. This data is being furnished to you

with that expressed understanding. Accordingly, you are under an obligation to protect the data

from release.

The data shall be handled in accordance with established Government procedures for

safeguarding proprietary information against unauthorized disclosure. Government employees are

subject to the sanction in 18 USC 1905 for unauthorized disclosures.

5-8. Release Statement. In the preparation of a news release, report, or bulletin using data

extracted from WCSC publications (Appendix P), the following statement will accompany each

report or release, "In reproducing, wholly or in part, the data contained herein, indicate source:

Corps of Engineers, U.S. Army."

5-9. Data Retention.

a. Once the final Waterborne Commerce of the United States publication is distributed,

the original ENG Forms 3925, 3925B, 3926, and equivalents may be destroyed.

b. Once the final Waterborne Commerce Transportation Lines of the United States

publication is distributed, the original ENG Forms 3931 and 3932 may be destroyed.

c. The encoded data obtained on ENG Forms 3925, 3925B, or an authorized automated

equivalent will be archived on electronic media and retained indefinitely. This archive will contain

data from 1970 to the most recent completed calendar year.
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5-10. Approval Required to Add, Modify, or Delete Tables from the Waterborne Commerce of

the United States.

a. The district commanders are the primary initiating authority for additions,

modifications, or deletions of Corps of Engineer projects that appear in the Waterborne

Commerce of the United States (WCUS), Parts 1 - 4 tables. The district engineer will forward,

through the division engineer, the initial request and statement of justification of said changes

through the Director, WCSC, to the Director, NDC, the approving authority.

b. The WCSC may also initiate recommendations for additions, modifications, or

deletions to Corps of Engineers projects as they appear in Waterborne Commerce of the United

States, Parts 1 - 4 tables. The recommendations must be coordinated with the district commander

of the affected district and approved by the Director, NDC.

c. Proposed changes to the Waterborne Commerce of the United States, Part 5 must be

approved by the Director, NDC.

d. Any change to the definition of a port area or the establishment of a new port area

must meet one of the following criteria:

(1) Port limits defined by legislative enactments of state, county, or city governments.

(2) The corporate limits of a municipality.

e. The petitioning party must forward the initial request for an addition or change to port

definitions to the Director, WCSC. Said request must include a statement of justification and

citation of authority in response to criteria mentioned above. Denials may be appealed to the

Director, WRSC.
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6-1

CHAPTER 6 - LOCK PERFORMANCE MONITORING SYSTEM

Reserved.
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7-1

CHAPTER 7 - OPERATIONS AND MAINTENANCE UNIFORM PROGRAM

7-1. Purpose. This chapter establishes guidance on uniforms for civilian USACE Lock

Operations and Maintenance (O&M), floating plant, lake contract maintenance inspector, and lake

maintenance personnel, and authorizes an initial uniform allowance and subsequent replacement

allowances to personnel required to wear the uniforms. Utilization of this guidance to require

civilian lock and floating plant O&M personnel to wear the uniforms herein is at the discretion of

each MSC Commander.

7-2. Guidance - Uniforms and Usage.

a. Uniform Classifications and Definitions.

(1) Uniform classes shall be designated A, B, and C in accordance with the following

descriptions. (See Appendixes S through V for examples and other information on each class.) 

The three classes of uniforms authorized are: Class A Dress Uniform; Class B Duty Uniform; and

Class C Work Uniform.

(2) The Maternity Uniform (see Appendix V) is optional for those that require it and wish

to wear a uniform. This uniform may be worn while in a maternity status. Appropriate relief

from regulations to wear uniforms during pregnancy shall be given upon request.

b. MSC commanders have been granted the authority to:

(1) Determine what "class(es)" of uniform will be worn by each employee [both single (A,

B, or C) and multiple uniform class determinations are permitted depending upon the job

requirements]. The requirement to wear the Class A Dress uniform shall be determined by the

MSC commanders for their respective MSC. In addition, to provide uniformity, all employees in

like positions on the same project or site or to the extent practicable on the same river system

shall be required to wear the same class uniform.

(2) Authorize a uniform allowance to help defray the cost of uniforms. Initial and

replacement allowances will be in accordance with the provisions in paragraph 7-2c below. ENG

Form 4891-R, Uniform Allowance, is to be used to assess and authorize appropriate uniform

allowances.

c. Uniform Allowance Limits. 

(1) Uniforms are supplied through a credit allowance system. This allowance may or may

not be sufficient to defray all uniform-connected costs. Initial and replacement allowances will be

in accordance with the provisions of PL 98-63. The present maximum is $400 per year. The

credit allowance system is regulated as follows:

(a) Initial and replacement allowances are based on an annual amount. If a person

changes status or uniform category during the year, that person may be authorized an increased

allowance to help defray the cost of the new or additional items. For example, if a person is

authorized Class B/C, has received $250, and then is promoted to a position authorizing Class

A/B/C, an additional $150 can be authorized to help defray the purchase of Class A items.
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7-2

(b) Maternity Uniform. If a person has received a replacement allowance and then needs

a Maternity (Class A or Class B) Uniform, an additional allowance is authorized to help defray the

purchase of the maternity uniform items.

(c) The table in Appendix X lists the initial and replacement allowances for permanent

[full-time and While Actually Employed (WAE)] and temporary personnel for all uniform classes.

(d) The total uniform allowance authorized for an employee in any one year period will not exceed $400.

(e) The MSC/District responsible for the nation-wide procurement contract, as described

in paragraph 7-3a below may make recommendations to HQUSACE, CECW-O for revisions to

the uniform allowances in Appendix X, subject to the statutory limits.

(f) The allowance amount authorized for each employee is intended for use only by that

employee, and any unused funds reduce the net cost to the Federal Government. Therefore,

ordering uniform items for another person, with or without remuneration is prohibited.

d. Items not covered by Uniform Allowance.

(1) Items not covered by the uniform allowance are listed in Appendix X. As stated,

certain job-related safety items can be provided by the Government. The cost of these items will

not count against initial or replacement allowance limits.

(2) Provisions shall not be made for the cleaning and laundering at Government expense

of uniforms furnished or provided for by monetary allowance under the authority of the Federal

Employees Uniform Allowance Act and this regulation.

7-3. Guidance - Uniform Procurement.

a. Uniform Procurement. CECW-O will designate an MSC to assign one of its districts

to develop, advertize, negotiate, award, and manage a contract for the nation-wide procurement

of uniforms and to develop and manage the necessary accounting procedures to oversee the

nation-wide distribution. Uniform garment specifications developed will be patterned after the

uniform items as specified in Appendices S, T, U, and V of this chapter.

b. If an MSC Commander chooses to require uniforms, they shall be procured through the

nation-wide contract.

7-4. Guidance - Appearance. Supervisors are responsible for the general appearance of their

uniformed personnel. Supervisors will ensure that uniforms meet standards prescribed by this

regulation and that those personnel required to wear the uniform are properly attired.

a. When personnel are required to wear a specific class of uniform, the complete uniform

will be worn. The uniform is not complete without all the prescribed articles for the class of

uniform being worn.
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7-3

b. Articles of clothing, patches, or other items not prescribed for uniform wear will not be

worn with the uniform, unless advance approval is obtained from CECW-O. This does not

include personal protective clothing and hardhats.

c. Personnel authorized to wear the uniform will obtain all required items for their

assigned position. When a change in uniform specifications occurs, employees may continue to

utilize the previously prescribed items until replacement is necessary unless directed otherwise.

d. Uniforms will be kept clean and neat. Faded or poorly fitting uniform items will not be

worn. Pockets will be buttoned and free of bulging objects. If "T-shirts" are worn under shirts,

only white or uniform grey T-shirts are permissible. Other undergarments that are not visible

under the employee's uniform may be any style or color. This includes heavy socks that are worn

under boots and are not ordinarily visible.

e. Personnel authorized to wear the uniform will maintain a well-groomed personal

appearance.
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8-1

CHAPTER 8 - DREDGING

8-1. Purpose. This chapter establishes guidance governing accomplishment of dredging at

USACE projects.

8-2. Applicability. This chapter applies to all USACE commands performing and/or managing

dredging. MSC commanders are authorized to develop specific written guidance to supplement

ER 1130-2-520, Chapter 8, Dredging, as necessary, provided, they are fully consistent with the

policies in that regulation and guidance in this pamphlet.

8-3. General. Subjects covered in this chapter include the performance of dredging contracts,

navigation channel conditions, CERF, CEMDC, small business dredging program, inspection of

dredging operations, and plant operations reports.

8-4. Definitions. An explanation of dredging terms applicable to this regulation is contained in

the USACE Dredging Desk Reference. 

8-5. Performance of Dredging. 

a. Project Dimensions: A sectional view of the required prism and technology indicating

project dimensions and quantity of material considerations are shown in Figure G-1, Appendix G,

ER 1110-2-1302. Detailed descriptions of definitions used for the required pay prism are also

provided in Appendix G.

(1) Authorized navigation projects will be maintained to full constructed channel

dimensions when feasible and justified. See Figure #1 in Appendix Y.

(2) Allowable overdepth dredging (depth and/or width) outside the required prism is

permitted to allow for inaccuracies in the dredging process. Allowable overdepth in excess of

two feet or the use of zero allowable overdepth requires the prior approval of the MSC

commander. See Figure #2 in Appendix Y. 

(3) Written justification for advanced maintenance dredging is required. As a minimum,

the justification for advance maintenance should describe historical shoaling rates, frequency of

dredging, and cost analysis. Advance maintenance shall not be used to provide navigation channel

dimensions for vessels that exceed the design limitations of the project. Before using advance

maintenance, the integrity of structures adjacent to the channel and the possibility of the existence

of material in the advance maintenance portion of the channel as significantly different from

maintenance material should be reviewed. See Figure #3 in Appendix Y.

(4) Unless otherwise provided in the project authorization documents, depths and widths

will be construed as actual dredging limits (exclusive of allowable overdepth and advanced

maintenance dredging) and not the draft and width limits of any vessel to be accommodated.

b. Side Slopes. Side slopes may be dredged by: 

(1) Dredging along the slope of the required dimension.
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8-2

(2) Dredging an equivalent box cut at the base of the side slope for the required

dimension. Material removed from the box cut is payable up to that amount of material above the

side slope line. Before using a box cut, the integrity of structures adjacent to the channel should

be reviewed. See Figure #2 in Appendix Y.

8-6. Dredging Contracts.

a. Development of Contract Documents. The development of contract documents is

applicable to new work dredging, maintenance dredging, and dredging for other purposes such as

beach nourishment, dike and levee construction, and other beneficial uses.

 (1) Team members responsible for preparation of construction contracts for dredging

shall ensure that plans and specifications accurately describe the work to be accomplished, the

conditions existing at the work site, the required dredging quantities for unit price contracts, the

required prism, allowable over depth, the limits of the work area, and any environmental

considerations at the work site. 

(2) District commanders shall establish procedures which ensure that appropriate

technical and contract administration personnel with dredging experience (both office and field)

are included in the constructibility, biddability, and operability reviews of all dredging plans and

specifications. 

(3) Terminology and standard sections used in contract documents shall be consistent

with standard definitions and figures depicted herein. 

(4) When zero allowable over depth is specified, the contract documents shall clearly

indicate that all material from within the required dredging prism must be removed. The

contractor may dredge below the required depth to ensure that all material is removed from within

the required prism, however, the contract documents will make clear that no payment will be

made for yardage removed below the required prism.

(5) New work dredging plans and specifications, where hard materials exist (e.g., dense

clays, rock, or manmade materials), shall have a required depth, required overdepth, required

advance maintenance and allowable overdepth, in order to ensure future maintenance of the

project to the authorized dimensions.

b. Dredging Contract Methods. Unit price construction contracts are the preferred

method of accomplishing dredging work within the Corps of Engineers.

(1) Unit Price Contracts - Volume Measure. To ensure that volume measure unit price

contracts are effectively used, the District Commander will: 

(a) define the scope of work and determine the required and allowable overdepth

dredging quantities;

(b) define bid quantities to reflect the total required and allowable overdepth quantities;

(c) perform payment surveys in an accurate and timely manner;
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8-3

(d) assure specifications are written to allow the use of all types of dredge plant capable

of efficiently, effectively, and safely performing the work in an environmentally sound manner; and

(e) assure that the surveys specified in the contract are sufficient to verify that the

contract requirements are met;

(2) Unit Price Contracts - Area Measure. To ensure that area measure unit price contracts

are effectively used, the District Commander will:

(a) define the scope of work and determine the depth of the cut;

(b) perform payment surveys in an accurate and timely manner;

(c) assure specifications are written to allow the use of all types of dredge plant capable

of efficiently, effectively, and safely performing the work in an environmentally sound manner;

(d) assure that the surveys specified in the contract are sufficient to verify that the

contract requirements are met; and

(e) determine that the area to be dredged is the overriding cost factor rather than the

depth of cut, but the required channel depth is achieved. 

(3) Unit Price Contracts - Time Measure. Leased equipment dredging contracts may be

used when the quantities of material to be dredged cannot be accurately estimated (e.g., areas of

active or erratic shoaling, where shoaling cannot be determined or is difficult to predict prior to

bid opening, or where rapidly fluctuating river stages exist), and accurate and timely surveys are

difficult to accomplish. To ensure that leased equipment dredging contracts are effectively used,

the district commander will: 

(a) assure specifications are written to require adequate plant and personnel to complete

contract requirements in a timely, safe, and environmentally sound manner; and

(b) require quality assurance representatives on board the leased dredge whenever the

dredge is working for pay.

(4) Unit Price Contracts (Other) - Scow or Bin Measure. Scow or bin measure contracts

may be used when the contracting officer determines that a contractor will be at risk of receiving

insufficient credit for work performed due to rapid shoaling and/or significant changes in bottom

conditions. To ensure that scow or bin measure contracts are effectively used, the District

Commander will:

(a) provide quality assurance representatives on board the vessel at all times, or provide a

method to determine that the dredging process is being performed in accordance with the

specifications;

(b) assure specifications describe the relationship between the quantity of in place material

and the measurement of the material. Typically, the relationship might include bulking factor or

insitu density;
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8-4

(c) assure the necessary drawings and/or measurements of vessels used to haul dredged

material are available to provide a basis for quantity determination of work accomplished;

(d) assure the specifications provide the dredging depth (required + allowable), and a

computation method based on the after dredging survey to determine excess dredging; and

(e) assure specifications are written in order to complete contract requirements in a safe,

timely, and environmentally sound manner.

(5) Firm Fixed Price - Lump Sum Contracts. The firm fixed price - lump sum method of

payment for dredging contracts may be used primarily for maintenance work, when the

contracting officer determines that the rate of shoaling in the navigation channel is slow and/or

predictable over the length of the contract. The District Commander will consider the following

guidelines to assure that a lump-sum contract is effectively used:

(a) acceptance surveys are sufficient to assure that all material is removed from the

required prism and that all contractual requirements are met;

(b) assure specifications are written to allow users of all types of dredge plant capable of

efficiently, effectively, and safely performing the work in an environmentally sound manner;

(c) define the necessary parameters in the contract specifications so that prospective

bidders can prepare reasonable bids. (District commanders will make available, and contract

specifications shall indicate which information is available to prospective bidders.); and

(d) justify the use of firm fixed price - lump sum contracts. (The justification and use of

firm fixed price - lump sum contracts will be approved by HQUSACE.)

8-7. Navigation Channel Conditions.

a. Hydrographic Surveys (For Dredging Projects). The performance of hydrographic

surveys in support of dredging shall be in accordance with EM 1110-2-1003, Hydrographic

Surveying. 

(1) Frequency of Surveys.

(a) Project Condition and Reconnaissance Surveys. Active waterways and harbor

projects shall be surveyed at a frequency sufficient to maintain adequate information on available

project dimensions. Either project condition surveys (Class 2) or more economical

reconnaissance surveys (Class 3) may be performed, depending on project requirements. Unless

unique circumstances are present, project condition survey schedules should not be more frequent

than the maintenance dredging cycle for a given project. General reconnaissance surveys should

be performed each year on projects which are dredged at infrequent periods (i.e., less than once

per year). 

(b) Dredging Measurement, Payment and Acceptance Surveys. Contract hydrographic

dredging surveys will be conducted, as needed, during the contract period to ensure that the work

is in accordance with the contract plans and specifications. 
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8-5

(2) Execution of Dredging Measurement, Payment, & Acceptance Surveys. The clause at

FAR 52.236-16 may be used for dredging or underwater material placement when payment is to

be based on quantity surveys. Under that clause, quantity surveys may be performed either by

government in-house personnel or by independent contractors. Before approving use of the

Alternate I clause, MSC commanders should require district commands to provide sufficient

rationale and justification. Hydrographic surveys performed for dredging measurement, payment,

and acceptance purposes shall be performed using the following selection progression:

(a) USACE Forces: Government-performed surveys using qualified in-house (hired

labor) hydrographic survey forces.

 (b) Architect-Engineer (A-E) Contractor Forces: If government forces are not available,

then qualified, independent A-E hydrographic survey contractor forces shall be used. A-E

contractors shall be selected using Brook's Act (PL 92-582) qualification-based selection

procedures. 

(c) Dredge Contractor's Forces: If neither Government nor independent A-E survey

forces are available, then the use of the dredging contractor's forces may be used, provided that a

qualified government representative is on board the contractor's vessel during the surveying

operation.

(3) Survey Time Constraints. Plans and specifications surveys will be performed as close

to the advertisement date as possible, fully considering the historical shoaling conditions of the

project. Before dredging surveys shall be completed as close to the start of dredging as possible,

but generally within two (2) weeks prior to commencement of work in the reach to be dredged. 

After Dredging and/or Final Acceptance surveys shall be completed as close to the end of

dredging an acceptance section as possible, but generally within five (5) days after completion of

work in the applicable acceptance section or channel reach. 

(4) Disposition of Survey Data. Survey data shall be reduced, edited, and plotted as

expeditiously as possible, generally within two (2) days after completion of the survey. 

Government survey data shall be made available to the contractor or a designated representative

in accordance with the plans and specifications before requiring the contractor to redredge any

portion of the work. If requested, the results of government dredging surveys pursuant to the

contract paragraph entitled "Final Examination and Acceptance" shall be furnished to the

contractor or an authorized representative after the acceptance section(s) is surveyed. Final

Acceptance surveys will be verified by the contracting officer and furnished to the contractor in

writing.

(5) Inspection of Dredging Surveys. 

(a) When quantity surveys for dredging are performed by the dredging contractor, the

surveys shall be inspected and monitored by a qualified government representative on board the

contractor's vessel. The government representative shall verify that all survey equipment is

properly calibrated at all times and that surveying techniques and equipment conform to the

contract specifications and EM 1110-2-1003. When dredging surveys are performed by the

government or its independent A-E contractor, the dredging contractor shall have the option to

inspect and monitor the surveys in progress.
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(b) Survey contract specifications shall include requirements for electronic positioning

and depth finding equipment, a safe and suitable vessel meeting U. S. Coast Guard requirements,

and personnel staffing and qualifications. 

b. Channel Sweep Surveys. Sweep surveys shall be performed as necessary to locate

underwater obstructions within the navigation channel limits or when dredging is performed in

hard material (e.g., dense clays, rock, or manmade materials). Equipment capable of detecting

obstructions will be used to ensure that the project is clear for navigation. Mechanical sweeps

may be used for all bottom conditions and shall consist of a drag capable of being moved for

complete coverage of the dredged area. Acoustic sweep systems (multiple transducers on booms

or interferometric, multi-beam swath/sweep transducer systems) may be used when appropriately

designed to provide accurate and full coverage of bottom conditions.

c. Channel Clearing. ER 1105-2-100 provides the policy and procedure to perform

emergency snagging and clearing work to benefit navigation, under authority of Section 3 of the

River and Harbor Act approved 2 March 1945. For routine maintenance, the project

authorization document provides the authority for snagging and clearing for navigation. ER

1130-2-520, Chapter 4, Removal of Wrecks and Other Obstructions provides the policy for

removal of wrecks and other obstructions to navigation.

8-8. Corps of Engineers Reserve Fleet. Procedures for assuring response of private industry

hopper dredges to support emergency and national defense dredging requirements are provided in

Appendix Z of this pamphlet. 

a. The CERF program is used to augment the Corps Minimum Fleet hopper dredges, and

when it is not feasible or practical to use routine contractual procedures for hopper dredges.

b. All hopper dredging invitation for bids (IFB) shall contain the appropriate instructions

and/or clauses for the CERF.

c. The Contracting Officer (CO) for the district making the CERF request shall send a

request with justification concurrently to its commanding MSC and HQUSACE (CECW-OD). If

approved, the ordering CO will place an order against the Basic Ordering Agreement (BOA). 

This will establish a contract with the owner of the CERF dredge. Progress payments will be

made in accordance with the terms of the BOA.

8-9. Corps of Engineers Minimum Dredge Fleet.

a. The Corps of Engineers Minimum Fleet vessels are national assets available at all times

to respond to emergency and national defense needs, both CONUS and OCONUS, as determined

and directed by the Chief of Engineers and/or the Director of Civil Works. 

b. MSC commanders are responsible for ensuring that Minimum Fleet vessels are

maintained in a fully operational and ready state, sufficient to respond to emergency and national

defense needs both in CONUS and OCONUS, at all times.

c. MSC commanders will notify HQUSACE (CECW-OD) immediately of any and all

instances where a Minimum Fleet vessel is expected to be inoperable for more than 72 hours or is

involved in a reportable accident of any kind.
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8-7

d. In accordance with PL 95-269, the U.S. Army Corps of Engineers minimum dredge

fleet is comprised of the following vessels:

Dredge Name Type Owning District

ESSAYONS Hopper Portland

MCFARLAND Hopper Philadelphia

WHEELER Hopper New Orleans

YAQUINA Hopper Portland

HURLEY Dustpan Memphis

JADWIN Dustpan Vicksburg

POTTER Dustpan St. Louis

THOMPSON Cutterhead St. Paul

CURRITUCK Special Purpose Wilmington

FRY Sidecaster Wilmington

MERRITT Sidecaster Wilmington

SCHWEIZER Sidecaster Wilmington

8-10. Small Business Dredging Program. In support of Section 722 of PL 100-656, MSC and

district commanders will:

a. Become fully informed of the requirements and goals of the Small Business Dredging

program, as well as the Small and Disadvantaged Business program; 

b. Actively support these programs on a regional level;

c. Ensure coordination with the local Corps small business specialist for acquisition

planning of dredge contracts to comply with implementing procedures.

8-11. Inspection of Dredging Operations.

a. Accurate and complete information and data shall be recorded in official logs and

reports covering all significant actions or incidents occurring during work progress. Particular

attention shall be given to occurrences which could lead to future claims by or against the United

States Government.

b. The level of inspection required for dredging operations will be determined by the

District Commander. On leased dredges operating at an hourly rental rate, full-time inspection

and careful logging of various pay-time items shall also be performed.
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8-8

c. The inspector shall have knowledge of the dredging operation, hydrographic surveying

methods, and safety requirements applicable to the work. Use of the Dredging Inspectors Guide,

EP 1130-2-310, and the Safety and Health Requirements Manual, EM 385-1-1, is required. The

inspector must be trained in preparing and submitting all dredging reports and any records to be

maintained.

d. CECW-OD personnel shall conduct periodic field inspections of each MSC and district

command to ensure that dredging operations are conducted in accordance with the requirements

in this regulation. Inspections of dredging operations shall also be made by MSC personnel as

necessary to ensure that policies and guidelines are carried out in a consistent, timely, and

effective manner.

8-12. Plant Operations Reports (Reports Control Symbol ENG CW-O-13).

a. For dredging work performed by contract, district commands shall prepare and submit

plant operational reports through their MSC to CECW-OD. 

b. For dredging work performed by hired labor, reporting requirements are described in

ER 1130-2-500, Chapter 7, Subchapter 3, Inspection, Operation, Maintenance, and Repair of

Floating Plant.

c. The Dredging Information System is currently used as a central database containing all

Corps performed (in-house) and contracted dredging contracts. Each district has the

responsibility for entering and maintaining their district data and monthly transmitting a file to the

central database in the Navigation Data Center.
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CHAPTER 9 - CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY

DUMPING OF WASTES AND OTHER MATTER - DREDGED MATERIAL OCEAN

DISPOSAL

Reserved.
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CHAPTER 10 - RESTRICTED AREAS FOR HAZARDOUS WATERS AT DAMS AND

OTHER CIVIL WORKS STRUCTURES

10-1. Purpose. To establish guidance on restricting areas upstream and downstream of certain

project structures for public safety purposes and establishing a standard criteria for determining

the extent of these restricted areas. The procedures for establishing restricted areas shall be

applied at all Corps-owned locks and dams, flood control dams, multi-purpose dams, reregulation

structures, and any other structures with similar hazards to boating or visitor safety.

10-2. Boundary Determination.

a. To establish the minimum area subject to restriction, determine the hydraulic line by

using guidelines at Appendix AA.

b. To establish the buffer area between the hydraulic line and the final boundary of the

restricted area, evaluate operational considerations by using the questionnaire at Appendix AB. 

The evaluation team (see Chapter 10 of ER 1130-2-520) will conduct an onsite survey in

conjunction with this review.

c. The evaluation team will document its deliberations, including the calculation of the

hydraulic line, the team’s evaluation of operational considerations and views from other sources,

if any. The approving authority will sign the boundary determination.

10-3. Implementation.

a. All projects identified in paragraph 10-2 above shall have a completed study included in

the Operation Management Plan (OMP). The OMP shall address marking as well as the possible

use of buoys, floats, physical barriers, audible warning devices, or other physical measures for

preventing public access. The plan shall also address escape or measures for dealing with

potential public entry into restricted areas’ hazardous waters.

b. Physical barriers to pedestrian and boater access will be erected where practical.

c. The boundary and approaches to each restricted area shall be marked with signs in

accordance with the Sign Standards Manual (EP 310-1-6a&b). Buoys, if used shall be in

conformance with the Coast Guard regulations in 33 CFR 62.33 (U.S. Aids to Navigation

System, Information and Regulatory Marks) or the Uniform State Waterway Marking System. 

The Project Sign Plan shall address the signing system used in conjunction with the restricted

area. (See also EP 1130-2-520, Chapter 2.)

d. The public shall be informed of the boundaries of each restricted area. Charts and

project brochures will be updated, as necessary to identify these areas. Additional public

education programs are also recommended.

e. Enforcement assistance may be provided by local law enforcement agencies (if local

law applies), Corps personnel (those with citation authority under 36 CFR 327), or the U.S. Coast

Guard.
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f. Signs, buoys, and other marks or physical measures shall be maintained in as good

condition as practicable, given flow stages, weather conditions, and other factors affecting the

hazard evaluation change substantially, the boundary determination and the Safety Appendix of

the Operation Management Plan shall be reviewed and modified as necessary.

FOR THE COMMANDER:

28 APPENDIXES

See Table of Contents Colonel, Corps of Engineers

Chief of Staff

10-2
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A-1

APPENDIX A

REFERENCES

a. 33 USC 1, Regulations Governing Navigable Waters.

b. 33 USC 409, 411-415, Sections 15-20 of the River and Harbor Act of 1899, as amended.

c. 33 USC 555, Section II of the Rivers and Harbors Appropriation Act of 1922 (42 Stat. 1043)

as amended and codified.

d. 33 USC 562, Section 5 of the Rivers and Harbors Act of 14 March 1915, Channel Depths and

Dimensions Defined.

e. 33 USC 562a, (PL 90-483), Section 117 of the Rivers and Harbors Act of 13 August 1968.

f. 33 USC 603a, Section 3 of the Rivers and Harbors Act of 2 March 1945.

g. 33 USC 622, (PL 95-269), Rivers and Harbors, Improvements of 26 April 1978, (Corps of

Engineers Minimum Dredge Fleet).

h. 33 USC 628, Expenditure for Dredging Within Harbor Lines.

i. 33 USC 2201, (PL 99-662), Water Resources Development Act of 17 November 1986, as

amended.

j. PL 85-480, Publication Authority (72 Stat. 279).

k. PL 89-72, Federal Water Recreational Act of 1965.

l. PL 89-504, Section 407, Federal Salary and Fringe Benefits Act of 1966 (5 USC 5901-5903).

m. PL 94-587, 22 Oct 76, Section 145 as amended by PL 100-676, Section 35.

n. PL 98-63, Section 164, U.S. Army Corps of Engineers Civilian Uniform Allowance (5 USC

5901).

o. PL 100-656, Business Opportunity Development Reform Act of 1988.

p. PL 100-676, Water Resources Development Act of 1988.

q. PL 101-640, Water Resources Development Act of 1990.

r. PL 102-580, Water Resources Development Act of 1992.

s. 33 CFR 62, U.S. Aids to Navigation System.

t. 33 CFR 64 - Marking of Sunken Obstructions.
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A-2

u. 33 CFR Part 207, Navigation Regulations.

v. 33 CFR 245 - Removal of Wrecks and Other Obstruction (rev. 1988).

w. 33 CFR Parts 335 -338, Disposal of Dredged Material.

x. Bureau of the Budget (now Office of Management and Budget) Circular A-30 (revised), 20

August 1966, Federal Employees Uniform Allowance Act.

y. FAR, Federal Acquisition Regulation.

z. DFARS, Defense Federal Acquisition Regulation Supplement.

aa. EFARS, Engineer Federal Acquisition Regulation Supplement.

ab. AR 11-7, Internal Review.

ac. ER 5-7-1, Project Management.

ad. ER 415-1-13, Design and Construction Evaluation.

ae. ER 1105-2-100, Guidance for Conducting Civil Works Planning Studies.

af. ER 1110-2-1302, Civil Works Cost Engineering.

ag. ER 1110-2-1404, Deep Draft Navigation Project Design.

ah. ER 1110-2-1457, Design of Small Boat Navigation.

ai. ER 1110-2-1458, Hydraulic Design of Shallow Draft Navigation Projects.

aj. ER 1110-2-1461, Design of Navigation Channels Using Ship-Simulation Techniques.

ak. ER 1110-2-4401, Clearances for Power and Communication Lines Over Reservoirs.

al. ER 1130-2-500, Partners in Support (Work Management Policies).

am. ER 1130-2-520, Navigation and Dredging Operations and Maintenance Policies.

an. ER 1165-2-120, Reimbursement for Advance Non-Federal Construction of Authorized

Federal Harbor and Inland Harbor Improvements.

ao. ER 1165-2-124, Construction of Harbor and Inland Harbor Projects by Non-Federal Interests.

ap. ER 1165-2-131, Local Cooperation Agreements for New Start Construction Projects.

aq. ER 1165-2-400, Recreation Planning, Development, and Management Policies.

ar. ER 1180-1-6, Construction Quality Management.
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A-3

as. EP 310-1-6, Graphics Standards Manual.

at. EP 310-1-6a, Sign Standards Manual, Vol 1.

au. EP 310-1-6b, Sign Standards Manual, Vol 2.

av. EP 1130-2-310, Dredging Inspectors Instruction Guide.

aw. EP 1165-2-1, Digest of Water Resources Policies and Authorities.

ax. EM 385-1-1, Safety and Health Requirements Manual.

ay. EM 1110-2-1003, Hydrographic Surveying.

az. EM 1110-2-1604, Hydraulic Design Navigation Locks.

ba. EM 1110-2-1605, Hydraulic Design of Navigation Dams.

bb. EM 1110-2-1606, Hydraulic Design Surges in Canals.

bc. EM 1110-2-1607, Tidal Hydraulics.

bd. EM 1110-2-1611, Layout and Design of Shallow-Draft Waterways.

be. EM 1110-2-1613, Hydraulic Design of Deep Draft Navigation Projects.

bf. EM 1110-2-1614, Design of Coastal Revetments, Seawalls, and Bulkheads.

bg. EM 1110-2-1615, Hydraulic Design of Small Boat Harbors.

bh. EM 1110-2-2904, Design of Breakwaters and Jetties.

bi. NOAA Chart No. l., Nautical Chart Symbols and Abbreviations.

bj. U.S. Coast Guard Light List (COMDTINST M16502 series).
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B-1

APPENDIX B

ENG FORM 4020-R
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C-1

APPENDIX C

ENG FORM 4021-R
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APPENDIX D

MAILING ADDRESSES

National Ocean Service

Distribution Branch (N/CG33)

Riverdale, MD 20737-1199

Defense Mapping Agency

Navigation Information & Services

ST D44

4600 Sangamore Road

Bethesda, MD 20816

U.S. Coast Guard

USCG District 1 (oan)

408 Atlantic Avenue

Boston, MA 02110-3350

(617) 223-8338

USCG District 5 (oan) USCG District 7 (oan)

431 Crawford Street 909 S. E. First Avenue

Portsmouth, VA 23704-5004 Brickell Federal Bldg.

(804) 398-6367 Miami, FL 33131-3050

(305) 536-5621

USCG District 8 (oan) USCG District 9 (oan)

501 Magazine Street 1240 E. 9th Street

New Orleans, LA 70130-3396 Cleveland, OH 44199-2060

(504) 589-6234 (216) 522-3990

USCG District 11 (oan) USCG District 13 (oan)

501 W. Ocean Boulevard 915 2nd Avenue

Long Beach, CA 90882-5399 Seattle, WA 98174-1067

(310) 980-4300 (x501) (206) 220-7270

USCG District 14 (oan) USCG District 17 (oan)

300 Ala Moana Boulevard P.O. Box 25517

Honolulu, HI 96850-4982 Juneau, AK 99802-5517

(808) 541-2315 (907) 463-2245
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E-1

APPENDIX E

SPECIAL REPORTS MATRIX

Notify Notify Notify Issue Notify

Information USCG NOS DMA NTNI NOO

=================== ===== ===== ==== ==== ====

1. Aids to Navigation 

discrepancy x

2. USACE work planned/in

progress, including

 maintenance dredging 

and work on jetties 

and breakwaters x x

3. Deliberate modifications

to channel dimensions, 

including reductions in 

maintained depths, or 

changes in other significant

project features x x x x

4. Section 10 permit work

which may impact general

navigation x x x x x

5. Change in USACEissued navigation 

regulations x x

6. Special/temporary 

operating restrictions

imposed by the USACE x x

7. Information for 

correction of USACE x x

charts
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E-2

Notify Notify Notify Issue Notify

Information USCG NOS DMA NTNI NOO

==================== ===== ===== ==== ==== ====

8. Advance notice of 

USACE chart revision

publication of next

edition) x x

9. Hazardous shoals 

(less than project depth) 

or other hazards to 

navigation x

10. Emergency closures or 

other emergency operations 

affecting navigation x x

11. Changes or corrections 

to NOS-charted features x x x

12. Results of controlled 

hydro-graphic survey 

(coastal areas) x x x

Other reports may also be appropriate in other cases. The above list is for reference, and is not

exhaustive.
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APPENDIX F

SAMPLE NOTICE TO NAVIGATION INTERESTS
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G-1

APPENDIX G

CHART SYMBOLS
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G-2
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H-1

APPENDIX H

SAMPLE CHART DETAIL
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I-1

APPENDIX I

SAMPLE PROFILE DRAWINGS
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I-2
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I-3
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J-1

APPENDIX J

USCG DISTRICT OFFICES (AS OF 6/95)

State/

City/Time

Field Address Name and Title Telephone

FTS/Comm

ATLANTIC

8:00 a.m. - 

4:30 p.m.

Governor's Island

New York, NY 10004-50098

VADM James M.

Loy, Commander

8-664-7196

(212) 668-7196

PACIFIC

11:00 a.m. -

7:30 p.m.

Coast Guard Island

Alameda, CA 94501-5100

VADM Richard D.

Herr,

Commander

8-796-3196

(415) 437-3196

DISTRICT 1

8:00 a.m. -

4:30 p.m.

408 Atlantic Ave.

Boston, MA 02210-

2209

RADM John L.

Linnon, Commander

8-223-8480

Nights, Sat. Sun.

Holidays

8-223-8555

(617) 223-8480

DISTRICT 5

8:00 a.m. - 

4:30 p.m.

431 Crawford Street

Portsmouth, VA 23704-

5004

RADM William J.

Ecker, Commander

8-827-9000

(804) 398-6000

DISTRICT 7

8:00 a.m. - 

4:30 p.m.

1018 Federal Bldg., 51 SW

1st Avenue

Miami, FL 33130-1608

RADM Roger T.

Rufe, Jr.,

Commander

8-350-5654

(305) 536-5654

DISTRICT 8

8:00 a.m. - 

4:30 p.m.

500 Camp Street

New Orleans, LA 70130-

3396

RADM Timothy

Josiah, Commander

8-682-6298

(504) 589-6298

DISTRICT 9

7:30 a.m. - 

4:00 p.m.

1240 E. 9th Street

Cleveland, OH 44199-2060

RADM Gerald F.

Woolever,

Commander

8-942-3910

(216) 522-3910

DISTRICT 11

11:00 a.m. -

7:30 p.m.

400 Oceangate Blvd.

Long Beach, CA 90882-

5399

RADM Richard A.

Appelbaum,

Commander

8-984-5201

(213) 499-5201

DISTRICT 13

10:45 a.m. -

7:15 p.m.

915 2nd Avenue

Seattle, WA 98174-1067

RADM John W.

Lockwood,

Commander

8-442-5078

(206) 442-5078

DISTRICT 14

1:00 p.m. - 

9:30 p.m.

300 Ala Moana Boulevard

Honolulu, HA 96850-4982

RADM Howard B.

Gehring,

Commander

(808) 541-2051

DISTRICT 17

1:00 a.m. - 

7:30 p.m.

P.O. Box 3-5000

Juneau, AK 99802-1217

RADM Ernest R.

Riutta, Commander

FTS thru Seattle

399-0150

(907) 463-2025
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29 Nov 96

K-1

APPENDIX K

SAMPLE LETTER: NOTIFICATION OF CORPS REMOVAL

Dear sir:

In my letter to you of ___[date]___, I identified an obstruction to navigation in

______[waterway]____, and advised you as the vessel owner of your obligation under federal law

to mark and remove the obstruction.

You have not taken action to commence the immediate removal the vessel. The vessel is

therefore considered abandoned, and will be removed by the Corps of Engineers. Effective

immediately, you may no longer make any claim upon this vessel, or undertake removal, or

interfere in any way with federal removal. Abandonment does not, however, remove your liability

for third party damages which may be caused by the obstruction or your liability for the cost of

removal and disposal.

After completion of the removal, I will send to you a complete accounting of costs, for which you

will be required to reimburse the U.S. Treasury.

/s/
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L-1

APPENDIX L

SAMPLE LETTER: ACKNOWLEDGMENT OF ABANDONMENT

Dear sir:

I acknowledge receipt of your letter of ______[date]_____, in which you indicate your intent to

abandon the sunken vessel in ________________[waterway]_________________.

Under federal law (Title 33, U.S. Coder Section 409). you as the vessel owner are responsible for

marking and immediate removal of the wreck. You should be aware that abandonment does not

affect this obligation.

This acknowledgment should in no way be construed as acceptance by the United States of an

abandonment of such vessel, nor as waiver of any right to enforce liability for any damage caused

by its sinking or cost of removal and disposal.

/s/
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M-1

APPENDIX M

SAMPLE LETTER: OWNER DUTY TO MARK/REMOVE

Dear sir:

This office has received a report of an obstruction to navigation in ___[waterway]___ and my

preliminary investigation indicates that you are the (owner/operator/lessee) of the vessel.

The Corps of Engineers and the Coast Guard have jointly determined that this obstruction

presents a hazard to navigation requiring removal. Under federal law (Title 33, U.S. Code

Section 409). the owner, operator or lessee is responsible for marking and immediate removal of

the wreck. You should contact the Coast Guard directly for marking requirements, and contact

my office within 7 days concerning your intentions and plans to effect removal.

Failure to commence immediate removal of the vessel and to pursue removal diligently may result

in a court judgment against you, or a determination of abandonment, subjecting the vessel to

removal and disposal by the Corps of Engineers at your expense.

Additionally, you may be liable for criminal charges and/or actions against any Coast Guard

licenses you may carry, as a result of the sinking of this vessel.

It is imperative that you contact my office immediately on this matter.

/s/
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N-1

APPENDIX N

SAMPLE LETTER: BILL FOR REIMBURSEMENT

Dear sir:

In my letter to you of (date] I advised you that sunken vessel in _____[waterway] ______ was

considered abandoned, and that removal would be undertaken by the Corps of Engineers at your

expense.

Removal of the obstruction to navigation was completed on [date]. The total cost of removal and

disposal is $_____, as further detailed in the enclosed accounting of costs. Under federal law

(Title 33, U.S. Code, Section 414/415), you are liable to the United States for these costs.

A check for the full amount of $_____ should be made payable to "U.S. Treasury", and mailed

within 30 days to:

U.S. Army Corps of Engineers

____________________________

____________________________

____________________________

/s/

Encl.
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O-1

APPENDIX O

DEFINITION OF TERMS

O-1. Purpose. This appendix provides clarification of terminology used in the Waterborne

Commerce Statistics Program.

O-2. Definitions. For the purpose of this appendix the following terms unique to Waterborne

Commerce are defined as: 

a. Commerce - Domestic. Contiguous and non-contiguous states and territories

constitute the geographical space upon which domestic commerce may be transported. This

includes Hawaii, Alaska, the 48 contiguous states, Puerto Rico and the Virgin Islands, Guam,

American Samoa, Wake Island, and the U.S. Trust Territories. Certain movements are excluded

from domestic commerce:

(1) Coal and petroleum products loaded from shore facilities directly into bunkers of

vessels for fuel.

(2) Insignificant amounts of Government materials (less than 100 tons) moved on

Government-owned equipment in support of Corps projects.

b. Commerce - Foreign. Waterborne import and export traffic between the United States,

Puerto Rico and the Virgin Islands, and any foreign country. These statistics do not include

traffic between Guam, Wake Island and American Samoa, and any other foreign country.

(1) Foreign commerce data are furnished to the Corps of Engineers by the Bureau of the

Census under a working arrangement sponsored by the Office of Management and Budget. The

data are confined to vessel movements by water and are reconcilable with published reports of the

Bureau of the Census, with the exception of LOOP Oil Terminal and Skagway Wharf reports,

which are manually entered as imports/exports by the Corps of Engineers.

(2) The Republic of Panama is considered a foreign country. However, individual vessel

movements with origin and destination at United States ports traveling via the Panama Canal are

considered domestic traffic. Alaskan crude oil (origin at Valdez, AK) shipped via the Panama

pipeline (west to east) and destined for gulf and east coast ports is also considered domestic

commerce.

(3) Import and export shipments for use by the United Stares Armed Forces abroad are

not reported to WCSC. Export shipments under the various foreign aid programs on Department

of Defense operated vessels, either American flag commercial vessels under time, voyage, or

space charter or vessels owned and operated by the Department of Defense, and various items

(listed by the Census) which affect National security are not published in terms of the individual

commodities shipped. Instead, a lump sum tonnage figure is complied and appears in these tables

as exports under commodity 9900, "Unknown or NEC."

c. Monthly Reports. These reports shall be made on ENG Forms furnished upon request

of the vessel operating companies to the WCSC. Data may also be furnished on an authorized

automated equivalent to the ENG Forms.
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O-2

d. Navigable Waters. 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.)

e. Person or Entity. An individual, corporation, partnership, or company.

f. Timely. Vessel and commodity movement data must be received by Corps of Engineers

within 30 days after the close of the month in which the vessel movement or non-movement takes

place.

g. Types of Traffic.

(1) Domestic.

(a) Coastwise - This traffic term refers to domestic

traffic receiving a carriage over the ocean, or the Gulf of Mexico (e.g. New Orleans to Baltimore,

New York to Puerto Rico, San Francisco to Hawaii, Alaska to Hawaii). Traffic between Great

Lakes ports and seacoast ports, when having a carriage over the ocean, is also termed

"coastwise."

(b) Lakewise - This traffic term refers to waterborne traffic between the United

States ports on the Great Lakes System. The Great Lakes System is treated as a separate

waterway system rather than as a part of the inland waterway system. In comparing historical

data for the Great Lakes System, one should note that prior to calendar year 1990, marine

products, sand and gravel being moved from a Great Lakes origin to a Great Lakes destination

were classified as local traffic. From 1990 on, these activities are classified as lakewise traffic.

(c) Internal - This traffic term characterizes vessel movements (origin and

destination) which take place solely on inland waterways. An inland waterway is one

geographically located within the boundaries of the contiguous 48 states or within the boundaries

of the State of Alaska. Internal traffic term is also applied to these vessel movements:

Those which involve carriage on both inland waterways and the Great

Lakes; those occurring between offshore installations and inland

waterways; and those taking place on inland bays such as Chesapeake Bay,

Paget Sound, and San Francisco Bay which are considered internal bodies

of water rather than arms of the ocean.

(d) Intraport - This traffic type includes the movement of freight within the

confines of a port whether the port has one or several arms or channels included in the port

definition. This traffic type will not include car-ferries and general ferries moving within a port.

(e) Through - This applies to movements transiting a waterway, or stretch thereof,

as defined in the project description of individual tables, and having origins and destinations

outside the defined area.

(f) Intrawaterway - This traffic includes movements within the limits of a river,

waterway, or canal. This traffic will not include car-ferries and general ferries moving within a

waterway or Corps project.
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O-3

(g) Intraterritory - The traffic term refers to traffic between ports in Puerto Rico

and the Virgin Islands, U.S.A., which are considered a single unit.

(h) Ferry - This traffic term refers to passengers, vehicles, and cargo driven on and

off a ferry vessel which on a regularly scheduled basis moves across a body of water between two

points.

(2) Foreign Imports.

(a) Overseas - Inbound merchandise for direct consumption and entries into

custom bonded storage and manufacturing warehouses which originated in foreign countries other

than Canada.

(b) Canadian - Inbound merchandise for direct consumption and entries into

custom bonded storage and manufacturing warehouses which originated in Canada.

(3) Foreign Exports.

(a) Overseas - Outbound domestic merchandise and re-export of origin

merchandise for foreign countries other than Canada.

(b) Canadian - outbound domestic merchandise and re-export of foreign

merchandise destined for Canada.

(4) Intransit merchandise - Intransit waterborne imports are cargo coming into the United

States by water from a foreign country and then transported by land or water to another foreign

country. Intransit waterborne exports are cargo coming by land or water into the United States

from a foreign country and then transported by water to another foreign country.

h. Traffic Direction.

(1) Waterways.

(a) Upbound - For waterways with a current, "upbound" means against the

current. For slack water this characterizes traffic that moves in a northerly or easterly direction.

(b) Downbound - For waterways with a current, "downbound" means in the

direction of the current. For slack water this characterizes traffic that moves in a southerly or

westwardly direction.

(c) Inbound - This characterizes traffic moving from one waterway into another

where the destination is on the subject waterway.

(d) Outbound - This characterizes traffic moving from one waterway into another

where the origin is on the subject waterway.

(2) Ports.

(a) Receipts - This characterizes traffic moving from one location to another

where the destination is inside an area defined as a port.
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O-4

(b) Shipments - This characterizes traffic moving from one location to another

where the origin is inside an area defined as a port.

i. Vessel - Commercial. 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 leased vessel.

j. Vessel - Leased or Chartered. 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.

k. Vessel - Drafts of. The drafts of vessels are reported in the Waterborne Commerce of

the United States, Parts 1-4 in decrements of one foot. For this purpose, all drafts reported in feet

and inches on Vessel Operations Reports (VORS) are raised to the next higher foot; for example,

9 feet 1-inch is raised to 10 feet.
EP 1130-2-520

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P-1

APPENDIX P

CODING PROCEDURES

P-1. General Coding Procedures.

a. In general the encoding procedure requires a detailed knowledge of the ports and

waterways of the U.S., both coastal and inland, including controlling depths of the statistical

stretches of each waterway. Skill is required to classify commodities and apply conversion factors

on unit weight provided by vessel operators.

b. The alphabetic information on the VORs is assigned code numbers: vessel, type, port,

dock, commodity, district, elements drafts, operator, service, and alternates. The numeric dates,

and net tons are not coded unless figures need to be rounded off.

c. Beginning with calendar year 1990 each data record is assigned a unique identification

number (ID). The ID consists of several items of information which enables one to determine the

date the VOR line item was coded, who coded the data line, and a sequence number that relates

to the original source document.

e.g. ID = 01 - Jan - 92 C JLD 001001

01 - Jan - 92: This is the date the line was coded 

in ORACLE format

C: Identifies the source of the coding

C = contractor

W = WCSC

0 = Ohio River Division

F = Foreign (Census)

A = Automated Report

X = Other Sources

JLD: Coded by Jane Lucille Doe

001001: Sequence number that relates to original 

source document

d. The data are entered into a data base for edit, review, analysis, and further processing.

P-2. Codes.

a. Corps of Engineers District Codes. Each Corps district is assigned a WCSC code which

is used in the processing of VORS. The statistics are compiled by Corps project and port areas and

sequenced within the publications by Corps districts. The district code is also part of the unique

operator code assigned by WCSC based upon the domicile of the vessel operating company.

These codes are defined below:

01 New England 21 Pittsburgh 35 Kansas City

03 New York 22 Buffalo 36 Seattle
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P-2

05 Jacksonville 1/ 23 Detroit 37 Portland

07 Philadelphia 24 Duluth 38 Alaska

08 San Juan 26 Chicago 39 San Francisco

09 Baltimore 27 St. Paul 40 Sacramento

11 Norfolk 28 Rock Island 41 Los Angeles

12 Wilmington 29 St. Louis 42 Pac Ocean Div

13 Charleston 30 Memphis 43 Omaha

14 Savannah 31 Vicksburg 44 Walla Walla

15 Jacksonville 2/ 32 New Orleans 45 Tulsa

16 Mobile 33 Galveston

17 Nashville 34 Little Rock

18 Louisville

20 Huntington 1/Atlantic Region

2/Mississippi Valley Gulf Coast Region

b. Location and Dock Codes.

(1) In order to encode the narrative information presented on ENG Form 3925, 3925B or,

an authorized automated equivalent, the WCSC has devised location and dock codes to represent

locations and facilities where commodities are handled. The location code is a five digit code. The

first two digits indicate major geographic areas of the United States. The remaining three digits

indicate a serial number for a given location, waterway, or mile station.

e.g. 00001-14999 defines the Atlantic Region

 15000-67999 defines the Mississippi Valley-Gulf Coast 

Region (MV-GC)

 70000-79999 defines the Great Lakes Region

 80000-99999 defines the Pacific Region

(2) The dock code consists of three digits, and designates the dock, wharf, or pier within

the location.

c. Port/Waterway Codes.

The WCSC assigns a unique four digit code to each port or waterway for which statistics

are compiled. The port/waterway (P/W) code may represent a single location code or a group of

location codes which define a port area or a waterway. The P/W codes are assigned such that the

first character of the code will identify the region of the country where said port or waterway is

located.

e.g., OXXX, 1XXX and 5XXX indicate the Atlantic Region

 2XXX and 6XXX indicate the Mississippi Valley-Gulf 

Coast Region

3XXX and 7XXX indicate the Great Lakes Region

4XXX and 8XXX indicate the Pacific Region
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P-3

d. Commodity Codes.

(1) The commodity classification system used in the

waterborne commerce statistics program is taken from the Standard Industrial Trade Classification

(SITC), Revision 3, which conforms to the Harmonized Commodity Description and Coding

System (HS). Using SITC, Rev. 3, allows direct comparisons with U.S. imports and exports as

well as with commodity movements of other countries.

(2) Statistics for the commodity "Salt" code 27830 at ports and on waterways in

the Great Lakes System, Mississippi River System, and Gulf Coast Harbors and Waterways tend to

reveal the operations of individual shippers. Accordingly, statistics on salt will not be published in

Parts 2 and 3 of Waterborne Commerce of the United States and for the domestic traffic in Part 5

of that publication. The tonnages of salt will be combined with the tonnage of Non-Metallic

Minerals NEC, commodity code 4900.

P-3. Administrative Forms.

a. The Commercial Statistics Transfer Sheet, ENG Form 3925, used to facilitate data entry

operations and is prepared from the vessel operation report using the codes assigned to the various

elements.

(1) Vessel Code Index Card, ENG Form 3927.

(a) A vessel code index card or an authorized automated

equivalent must be kept for every vessel for which reports are collected, with the exception of

fishing craft and small (under 5 NRT) boom boats used in local logging operations.

(b) The vessel code index card (ENG Form 3927) carries a complete description of the

vessel, the vessel code, the operator's name and code, etc. It also provides spaces to show the last

location of the vessel on which reports have been received; the latter spaces are used for reporting

control of coastwise and lakewise vessels.

(2) The Commercial Statistics Transfer Sheet, ENG Form 3929. This form is used to

facilitate data entry operations and is prepared from the vessel operation report using the codes

assigned to the various elements.
EP 1130-2-520

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Q-1

APPENDIX Q

COMPILATION OF NAVIGATION STATISTICS

Q-1. Annual Statistical Publications.

a. Waterborne Commerce of the United States (WCUS):

(1) The WCSC will prepare manuscript for and publish WCUS, Parts 1 through 5. To

conserve printing space, non-projects and projects under 250,000 tons during the year are

incorporated in a single table; and descriptions of projects (section included, project depth,

controlling depth, etc.) are stated concisely. Projects that have reported "No Commerce" for a

consecutive ten-year period up to and including the current year will be deleted from waterborne

commerce statistics publications.

(2) Geographical area covered by each WCUS publication are

as follows:

Part 1 - Atlantic Coast

Part 2 - Gulf Coast, Mississippi River System and

Antilles

Part 3 - Great Lakes

Part 4 - Pacific Coast, Alaska, and Hawaii

Part 5 - National Summaries

(3) The sales price of the WCSC publications is determined by averaging the cost of

printing over an extended period of time.

(4) The District Commander, U.S. Army Engineer District, New Orleans, is designated

Sales Agent for all waterborne commerce statistics publications.

(5) Promptly upon completion of printing of the regional publications and notification of

receipt of sales copies, the WCSC will issue an appropriate press release announcing the availability

of the publication, where copies of the publication may be obtained, and the sales price.

b. Waterborne Transportation Lines of the United States (WTLUS).

(1) General. The Waterborne Commerce Statistics Center will publish the WTLUS

publications annually. These publications provide information on the vessel operators and their

American flag vessels operating or available for operation in the transportation of freight and

passengers. There are three WTLUS publications produced annually:

(a) National Summaries - Volume 1 provides a condensation of the detailed vessel data. 

Summarized vessel characteristics are represented in both tabular and graphic format.

(b) Vessel Company Summary - Volume 2 provides a summary of the vessel companies

detailed in the WTLUS, Vessel Characteristics, Volume #. The names of the vessel companies are

listed alphabetically with their business address and telephone number, the Engineer District 
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Q-2

number, the TSOperator number (for usage in querying computer data), principal commodities

carried, the points or localities and waterways between which or on which operated and the number

of vessels reported by vessel type.

(c) Vessel characteristics - Volume 3 lists the vessel companies in alphabetical sequence and

describes each vessel surveyed by indicating its name and number, Coast Guard number, net

tonnage, VTCC code (vessel type, construction and characteristics, see Terminology), register and

overall length and breadth, loaded and light draft, horsepower, carrying capacity in short tons or

units of cargo and number of passengers, height of fixed superstructures, cargo handling

equipment, operating headquarters, and year built or rebuilt.

Q-2. Computation of Ton-miles.

(1) Water carriage ton-miles were first compiled and published in calendar year 1962. The

distances used are statute miles. Domestic ton-miles are calculated by multiplying the tons of

commerce being moved by the number of miles actually moved on the water (e.g., 50 short tons

moving 200 miles on a particular waterway would yield 10,000 ton-miles for that waterway). The

ton-mile parameter measures the total performance of a waterway. Ton-miles are not computed for

ports.

(2) For coastwise traffic this represents the safe navigation mileage between the point of

origin and destination.

(3) For rivers and inland waterways the distances were computed from waterway survey

maps and records of the Corps of Engineers.

(4) For the Great Lakes system the ton-miles are computed for movements of cargo west

of the international boundary of St. Regis, Quebec, Canada, to head of the lakes at

Duluth/Superior.

(5) For Canadian imports and exports, foreign ton-miles are computed as the tonnage times

the distance between the U.S. and Canadian ports. For lakewise domestic movements, ton-miles

equal the cargo tonnage times the distance between the U.S. Great Lakes ports.

(6) For overseas imports and exports, foreign ton-miles are computed by multiplying the

cargo tonnage by the miles carried on U.S. waterways and channels.
EP 1130-2-520

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R-1

APPENDIX R

REPORTING OFFENSES AND VIOLATIONS

R-1. Purpose. This appendix delineates explicitly that which constitutes an offense and violation of

this reporting requirement.

R-2. Offenses and Violations of Reporting Requirement.

a. Failure to submit a required report.

b. Failure to provide a timely, accurate, and complete

report.

c. Failure to submit monthly listings of idle vessels or vessels in transit.

d. Failure to submit a report required by the lock master or canal operator.

R-3. Penalties for Failure to Report. The following penalties for non-compliance can be assessed

for offenses and violations.

a. Criminal Penalties. Every person or persons violating the provisions of this regulation shall, for each and every offense, 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.

b. Civil Penalties. Any person or entity that fails to provide timely, accurate, and complete

statements or reports required to be submitted by this regulation may, in addition to the criminal

penalty, also be assessed a civil penalty of up to $2,500 per violation under 33 USC 555, as

amended.

c. Denial of Passage. In addition to these fines, penalties, and imprisonments, the

lockmaster or canal operator can refuse to allow vessel passage.
EP 1130-2-520

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S-1

APPENDIX S

CLASS A DRESS UNIFORM

This appendix describes each approved uniform item and how it is to be worn. Descriptions are not

intended to be used as a specification list by uniform suppliers.

S-1. Lock O&M Personnel Uniform Items.

a. Insignia.

(1) Nameplate. The nameplate will be fabricated and worn as described in Appendix W.

(2) Blazer Breast Pocket, Patch, Corps of Engineers. The USACE blazer breast pocket

patch will be worn on the dress uniform as authorized by EP-310-1-6, and as described in Appendix

W.

b. Dress Uniform.

(1) Headgear. As safety policies dictate, a USACE hard hat is appropriate headgear.

(2) Blazer. Navy blue, two button single breasted, one plain patch left breast pocket and

two lower flap pockets. Women's blazer styled accordingly. 

(3) Sweater. Navy blue, long sleeve (May be worn in place of blazer for office use).

(4) Shirt. Wash and wear, light blue, long and short sleeve shirt. Women's shirt styled

appropriately. Two patch type pockets.

(5) Slacks, Dress. Grey.

(6) Skirt. Grey.

(7) Inclement Weather Gear

(a) Dress Topcoat. Black.

(b) Gloves. Black leather, lined or unlined.

(8) Footwear. Black, high gloss, shoe or boot style, with safety type toe if appropriate. 

Women may wear a smooth leather plain toed pump.

(9) Socks. Black, plain or ribbed, length optional.

(10) Hosiery. Neutral color, unpatterned.

(11) Necktie and Retainer. Navy blue and red stripe, four-in-hand. A pre-tied, clip-on type

is permissible. The tie may be retained by a tie tac with the Corps emblem, at the option of the

wearer.
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S-2

(12) Women's Dress Tie. Blue with red and white pin, tab below.

(13) Belt. Black, plain leather, regular buckle.

c. Summary of Items. Table 1 lists required and optional dress uniform items outlined in

this class.

TABLE 1

Uniform Items - Dress Uniform

Lock Operations & Maintenance Personnel

Item Required/Optional Contract

Blazer, Navy Blue X Y

Sweater, Navy Blue O Y

Shirt, Light Blue X Y

Dress Pants, Grey X Y

Skirt, Modified A-line, Grey X Y

Shoes or Boots, Black X N

Socks, Black X Y

Necktie / Women's Dress Tie X Y

Belt, Black X Y

Dress Topcoat, Black O Y

Gloves, Black O

Y

 X - Items required for complete uniform

 O - Optional

S-2. Floating Plant Personnel Uniform Items.

a. Patch and Insignia.

(1) Nameplate. The nameplate will be fabricated and worn as described in Appendix W.

(2) Marine Shoulder Patch, Corps of Engineers. Shoulder patches will be procured and worn

as described in Appendix W.

(3) Cap Insignia. Service and ball cap insignia will be fabricated and worn as described in

Appendix W.

b. Dress Uniform. 

(1) Headgear. Service cap with black brim as shown in Appendix W, photo #6, with insignia

as illustrated in Appendix W, photo #7, centered above brim.
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S-3

(2) Shirt. Wash and wear, khaki, shirts with Corps cloth marine shoulder patch. Women's

shirt styled appropriately. Two patch type pockets.

(3) Dress Pants. Khaki, wash and wear.

(4) Footwear. Black, high gloss, shoe or boot style, safety toe.

(5) Socks. Black, plain or ribbed, length optional.

(6) Belt. Khaki, 1 1⁄2" to 1 3/4" wide, with regular style buckle.

(7) Inclement Weather Gear.

(a) Parka. Navy blue. The Corps marine shoulder patch will be on the left sleeve.

(b) Gloves. Black leather, lined or unlined.

c. Summary of Items. Table 2 lists required and optional dress uniform items outlined in this

regulation.

TABLE 2

Uniform Items - Dress Uniform

Floating Plant Personnel

Required/Optional Contract

Service Cap, Khaki X Y

Shirt, Khaki X Y

Dress Pants, Khaki X Y

Shoes or Boots, Black X N

Socks, Black X Y

Belt, Khaki X Y

Parka, Navy Blue O Y

Gloves, Black O Y

X - Items required for complete uniform

O - Optional
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T-1

APPENDIX T

CLASS B DUTY UNIFORM

This appendix describes each approved uniform item and how it is to be worn. Descriptions are not

intended to be used as a specification list by uniform suppliers.

T-1. Lock O&M, Lake Maintenance Personnel; Lake Maintenance Contract Inspectors Personnel

Uniform Items.

a. Insignia.

(1) Cloth Name Tag. The cloth name tag will be fabricated and worn above the right

breast pocket of the Duty Shirt, Insulated Duck Jacket, and Coveralls as described in Appendix W.

(2) Shoulder Patch, Corps of Engineers. The USACE cloth shoulder patch will be

fabricated and worn on the left sleeve of the Duty Shirt, Windbreaker, Insulated Duck Jacket,

Parka, and Coveralls, as described in Appendix W.

b. Duty Uniform.

(1) Headgear. Navy blue baseball style cap (solid or mesh style cap) with an embroidered

gold USACE castle (see photo #3, Appendix W). The USACE castle shall be centered on the front

of the cap and positioned exactly one inch above the brim. As safety policies dictate, a USACE

hard hat is also appropriate headgear.

(2) Shirt, Duty. Grey, wash and wear, long and short sleeve.

(3) T-Shirt. Grey, wash and wear, short sleeved. USACE castle logo on left breast of the

T-shirt. USACE castle shall be embossed in red on grey shirt background. (See illustration #4,

Appendix W.)

(4) Knit Shirt. Grey, wash and wear, short sleeved, with matching grey left breast pocket. 

USACE signature patch shall be embossed with black letters. "US Army Corps of Engineers"

printed below USACE signature patch (Castle) directly on left breast pocket of knit shirt. USACE

castle shall be embossed in red on grey shirt background. (See illustration #4, Appendix W.)

(5) Navy Pants. Navy blue, wash and wear.

(6) Navy Jeans. Navy blue twill, wash and wear.

(7) Inclement Weather Items.

(a) Parka. Navy blue. The USACE shoulder patch will be on the left sleeve. Separate

hood, optional.

(b) Windbreaker. Navy blue, nylon, water repellent, lined. The USACE shoulder patch

will be printed on the left sleeve.
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T-2

(c) Work Vest. Navy blue, quilted nylon shell.

(d) Sweatshirt. Navy blue with hood.

(8) Coveralls. Navy blue, insulated, or uninsulated. The USACE shoulder patch will be

provided on the left sleeve. Cloth name tag shall be sewn on right breast pocket. Separate hood

optional.

(9) Bib Overalls and Duck Jacket. Navy blue, insulated. The USACE shoulder patch will

be provided on the left sleeve of the Duck Jacket. Cloth name tag shall be sewn on the right breast

pocket. Separate hood is optional.

(10) Socks. Black, plain or ribbed, length optional.

(11) Work Belt. Black, plain leather, 1-1/2" to 1-3/4" wide, regular buckle.

c. Summary of Items. Tables 3 and 4 list required and optional work uniform items outlined in

this Appendix.

TABLE 3

Uniform Items Duty Uniform

Lock Operations and Maintenance Personnel

Required/Optional Contract

Ball Cap, Navy Blue (solid 

 or mesh) X Y

Duty Shirt, Grey, long

 or short sleeve X Y

T-Shirt, Grey O Y

Knit shirt,Grey O Y

Navy Pants X Y

Navy jeans O Y

Windbreaker O Y

Parka, Navy Blue O Y

Work Vest, Navy Blue O Y

Sweatshirt, Navy Blue O Y

Coveralls, Navy Blue, Insulated, L/S O Y

Coveralls, Navy Blue, 

 Uninsulated, L/S O Y

Socks, Black O Y

Work belt, Black X Y

 X - Items required for complete uniform

 O - Optional
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T-3

T-2. Floating Plant O&M Personnel Uniform Items.

a. Cloth Name Tag. The cloth name tag will be fabricated and worn above the right breast

pocket of the Duty Shirt, Duck Jacket and Coveralls as described in Appendix W.

b. Marine Shoulder Patch, Corps of Engineers. The USACE cloth shoulder patch will be

fabricated and worn on the left sleeve of the work uniform shirt, windbreaker, jacket, parka, and

coveralls, as described in Appendix W.

c. Duty Uniform.

(1) Headgear. Navy blue baseball style cap (solid or mesh style cap) with an embroidered

gold USACE castle (see photo #3, Appendix W) centered on the front of the cap, and positioned

exactly one inch above the brim. As safety policies dictate, a USACE hard hat is also appropriate

headgear.

(2) Shirt, Duty. Grey, wash and wear, long and short sleeve.

(3) Shirt, Work. Grey, 100% cotton, long sleeve.

(4) T-Shirt. Grey, wash and wear, short sleeved. USACE castle logo on left breast of Tshirt. USACE castle shall be embossed in red on grey shirt background. (See illustration #4,

Appendix W.)

(5) Knit Shirt. Grey, wash and wear, short sleeved, with matching grey left breast pocket. 

USACE signature patch shall be embossed with black letters. “US Army Corps of Engineers”

printed below USACE signature patch (Castle) directly on left breast pocket of left shirt. USACE

castle shall be embossed in red on grey shirt background.

(6) Navy Pants. Navy blue, wash and wear.

(7) Navy Jeans. Navy blue, wash and wear.

(8) Denim Jeans. 100% cotton denim. 

(9) Inclement Weather Items.

(a) Parka. Navy blue. The USACE shoulder patch will be on the left sleeve.

(b) Windbreaker. Navy blue, nylon, lined. The USACE shoulder patch will be provided on

the left sleeve.

(c) Work Vest. Navy blue, quilted nylon shell.

(d) Sweatshirt. Navy blue with hood.

(10) Coveralls. Navy blue, insulated and uninsulated. The USACE shoulder patch will be

provided on the left sleeve. Cloth name tag can be sewn on the right breast pocket. Separate hood

optional.
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T-4

(11) Bib Overalls and Duck Jacket. Navy blue, insulated. The USACE shoulder patch will

be provided on the left sleeve of the Duck Jacket. Cloth name tag shall be sewn on the right breast

pocket. Separate hood optional.

(12) Socks. Black, plain or ribbed, length optional.

(13) Work Belt. Black, plain leather, 1-1/2" to 1-3/4" wide, regular buckle.

c. Summary of Items. Table 4 lists required and optional duty uniform items outlined in

this Appendix.

TABLE 4

Uniform Items for Duty Uniform Floating Plant Personnel

Required/Optional Contract

Ball Cap, Navy Blue (solid or mesh) X Y

Duty Shirt, Grey, long or

short sleeve X Y

Work Shirt, long sleeve, 100% cotton O Y

T-Shirt, Grey O Y

Knit Shirt, Grey O Y

Navy Pants X Y

Navy Jeans O Y

Denim Jeans O Y

Windbreaker, Navy Blue O Y

Parka, Navy Blue O Y

Work Vest, Navy Blue O Y

Sweatshirt, Navy Blue O Y

Coveralls, Navy Blue, Insulated, L/S O Y

Coveralls, Navy Blue, Uninsulated, L/S O Y

Bib Overalls and Duck Jacket, Navy Blue O Y

Socks, Black O Y

Work Belt, Black X Y
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U-1

APPENDIX U

CLASS C WORK UNIFORM

This appendix describes each approved uniform item and how it is to be worn. Descriptions are not

intended to be used as a specification list by uniform suppliers.

U-1. Lock O&M, Lake Maintenance Personnel and Lake Maintenance Contract Inspectors

Personnel Uniform Items.

a. Insignia. (1) Cloth Name Tag. The cloth name tag will be fabricated and worn above the right

breast pocket of the Duty Shirt, Work Shirt, Work Jacket, and Coveralls as described in Appendix

W.

(2) Shoulder Patch, Corps of Engineers. The USACE cloth shoulder patch will be

fabricated and worn on the left sleeve of the Duty Shirt, Work Shirt, Windbreaker, Insulated Duck

Jacket, Parka, and Coveralls, as described in Appendix W.

b. Work Uniform.

(1) Headgear. Navy blue baseball style cap with an embroidered gold USACE castle (solid

or mesh style cap) centered on the front of the cap exactly one inch above the brim. A hard hat is

also appropriate headgear.

(2) Shirt, Duty. Grey, wash and wear, long and short sleeve.

(3) T-Shirt. Grey with USACE castle logo on left breast of T-shirt. USACE castle shall

be embossed in red on grey shirt background. (See illustration #4, Appendix W).

(4) Knit Shirt. Grey, wash and wear, short sleeved, with matching grey left breast pocket. 

USACE signature patch shall be embossed with black letters. “US Army Corps of Engineers”

printed below USACE signature patch (Castle) directly on left breast pocket of knit shirt. USACE

castle shall be embossed in red on grey shirt background. (See illustration #4, Appendix W).

(5) Navy Pants. Navy blue, wash and wear.

(6) Navy Jeans. Navy blue, wash and wear.

(7) Denim Jeans. 100% cotton denim.

(8) Inclement Weather Items.

(a) Parka. Navy blue. The USACE shoulder path will be provided on the left sleeve.

(b) Windbreaker. Navy blue, nylon, lined. The USACE shoulder patch will be provided on

the left sleeve.
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U-2

(c) Work Vest. Navy blue, quilted nylon shell.

(d) Sweatshirt. Navy blue with hood.

(9) Coveralls. Navy blue, insulated or uninsulated. The USACE shoulder patch will be

provided on the left sleeve. Cloth name tag shall be sewn on right breast pocket. Separate hood

optional.

(10) Bib Overalls and Duck Jacket. Navy blue, insulated. The USACE shoulder patch will

be provided on the left sleeve of the Duck Jacket. Cloth name tag shall be sewn on the right breast

pocket. Separate hood is optional.

(11) Socks. Black, plain or ribbed, length optional.

(12) Work belt. Black, plain leather, 1-1/2" to 1-3/4" wide, regular buckle.

c. Summary of Items. Table 5 lists required and optional work uniform items outlined in

this Appendix.

TABLE 5

Uniform Items Work Uniform

Lock Operations and Maintenance Personnel

Required/Optional Contract

Ball Cap, Navy Blue (solid or mesh) X Y

Duty Shirt, Grey, long or short 

 sleeve X Y

Work Shirt, long sleeve, 

 100% cotton O Y

T-Shirt, Grey O Y

Knit Shirt, Grey O Y

Navy Pants X Y

Navy Jeans O Y

Denim Jeans O Y

Windbreaker O Y

Parka, Navy Blue O Y

Work Vest, Navy Blue O Y

Sweatshirt, Navy Blue O Y

Coveralls, Navy Blue, Uninsulated, 

 L/S X Y

Coveralls, Navy Blue, Insulated, 

 long sleeved O Y

Socks, Black O Y

Work Belt, Black X Y

X - Items required for complete uniform

O - Optional
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V-1

APPENDIX V

MATERNITY UNIFORM ITEMS

(CLASS A DRESS AND CLASS B DUTY)

This appendix describes each approved uniform item and how it is to be worn. Descriptions are not

intended to be used as a specification list by uniform suppliers.

V-1. Lock O&M Personnel

a. Maternity Dress Pants. Grey.

b. Maternity Dress Skirt. Grey.

c. Maternity Dress Shirt. Light blue, long or short sleeved.

d. Summary of Items. Table 6 lists optional uniform items outlined in this Section.

TABLE 6

Items for Class A Maternity Dress Uniform

Lock Operations & Maintenance Personnel

 Optional

Maternity Dress Pants, Grey O

Maternity Dress Skirt, Grey O

Maternity Dress Shirt, Light blue O

 O - Optional, dependent upon need

V-2. Floating Plant Maternity Class A Dress Uniform.

a. Maternity Dress Pants. Khaki.

b. Maternity Dress Shirt. Khaki, long or short sleeved.

c. Summary of Items. Table 7 lists optional uniform items outlined in this Section.
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V-2

TABLE 7

Items for Class A Maternity Dress Uniform

Floating Plant Operations & Maintenance Personnel

 Optional

Maternity Dress Pants, Khaki. O

Maternity Dress Shirt, Khaki. O

 O - Optional, dependent upon need

V-3. Lock Operations and Maintenance Personnel and Floating Plant Personnel Class T3

Maternity Duty Uniforms.

a. Maternity Duty Pants. Navy blue.

b. Maternity Duty Shirt. Grey.

c. Summary of Items. Table 8 lists optional uniform items outlined in this Section.

 TABLE 8

Items for Class B Maternity Duty Uniform

Lock Operations & Maintenance Personnel and Floating Plant Personnel

 Optional

Maternity Duty Pants O

Maternity Duty Shirt O

 O - Optional, dependent upon need
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W-1

APPENDIX W

UNIFORM PATCHES AND INSIGNIA

This appendix describes each approved uniform patch and insignia, and how it is to be worn. 

Descriptions are not intended to be used as a specification list by uniform suppliers.

W-1. Insignia.

a. Nameplate. The gold-colored metal nameplate will be approximately 3/4" X 3"

containing the first name or initial, last name, and position of the employee in block letters in upper

case style. On the bottom, it will be centered above the left breast pocket with the bottom of the

nameplate flush with the top of the pocket seam.

b. Blazer Breast Pocket Patch, Corps of Engineers. The USACE blazer breast pocket

patch will be worn on the dress uniform as authorized by EP-310-1-6. The patch will be securely

sewn in the center of the blazer breast pocket. (See illustration #1)

c. Cloth Name Tag. Navy blue background with white lettering, identifying the person's

last name in block letters. Width of emblem shall be one inch high and four inches long, with block

print lettering 3/8" high. It will be securely sewn directly above the right breast pocket of the

specified items.

d. Shoulder Patch, Corps of Engineers. The USACE cloth shoulder patch will be worn on

the left sleeve of the work shirt, duck jacket, coveralls, and parka. (See photo #2) The patch will

be securely sewn in the center of the sleeve with the top edge "1 below the shoulder seam so that

the base of the patch is parallel with the ground when the arm is relaxed at the wearer's side. As an

option, a United States Flag patch may be sewn at a corresponding location on the right sleeve of

any item requiring the USACE shoulder patch. The flag patch should be of a similar size to the

USACE shoulder patch. Illustration #4 is that of the official Corps Castle patch.

e. Marine Shoulder Patch, Corps of Engineers. The Corps cloth marine shoulder patch,

(Corps castle with superimposed eagle and anchor) as shown in photo #5, will only be worn by

Corps master pilots,, and vessel operators on the left sleeve of shirts, jackets, coveralls and parka. 

All patches will be securely sewn in the center of the sleeve with the top edge 1" below the

shoulder seam so that the base of the patch is parallel with the ground when the arm is relaxed at

the side.

f. Ball Cap Insignia. See illustrations #3 and #8 for examples of the insignia for use on ball

caps, where permitted.

g. Service Cap Insignia. The cap insignia shown in photo #7, will be secured through the

eyelet provided on front of the Class A service cap (shown as illustration #6). The cap insignia will

consist of a silver Engineer castle with a gold anchor supporting on its stock, a silver eagle, wings

displayed. The anchor represents the maritime functions of Floating Plant Personnel and the eagle

represents Federal service. The insignias and patches will be items of issue and recovered at such

time that a person is no longer authorized to wear the uniform. However, such items will not be

accounted for in the regular property account.
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W-2

h. Procurement of Patches and Insignia. Central procurement of shoulder patch and

insignia are the responsibility of the District Commander, Philadelphia District. Requisitions will be

submitted and invoices rendered to the Philadelphia District, Wanamaker Building, 100 Penn

Square East, Philadelphia, PA 19107-3390, in accordance with EFARS.
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W-3

W-2. Lock Operations and Maintenance Personnel and Floating Plant Personnel Uniform Patches

and Insignia Items.

Blazer Breast Pocket Patch (#1) Corps Cloth Shoulder Patch (#2) 

 

Navy

Blue Ball Cap & Pin (#3) Corps Logo Patch (#4)
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W-4

Cloth Marine Shoulder Patch (#5) Floating Plant Class A Uniform 

Service Cap (#6)

 

Class

A Uniform Service Ball Cap Insignia (#8) Cap Insignia (#7)
EP 1130-2-520

29 Nov 96

X-1

APPENDIX X

UNIFORM ALLOWANCES

X-1. Allowances. Table 9 lists the initial and replacement allowances for permanent [full-time and

While Actually Employed (WEA)] and temporary personnel for all uniform classes.

TABLE 9

UNIFORM ALLOWANCES

EMPLOYEE STATUS CLASS A CLASS B CLASS C

INIT* REP* SUB* INIT REP SUB INIT REP SUB

Permanent Part-Time or WAE (working

at least 18 pay periods per year)

400 300 250 400 300 250 400 300 250

Permanent Part-Time or Seasonal

(working more than 18 pay periods per

year)

400 300 250 400 300 250 400 300 250

Permanent Part-Time or Seasonal

(working less than 18 pay periods per

year)

400 250 250 400 250 250 400 250 250

Temporary (12 months or longer) 400 250 250 400 250 250 400 250 250

Temporary (more than 4 months but less

than 12 months)**

250 N/A N/A 250 N/A N/A 250 N/A N/A

All replacement costs are current estimates.

* INIT = 1st Year, REP = 2nd Year, and SUB = Subsequent Years

** As soon as it is known that an employee's temporary appointment is extended to 12 months or

longer, the initial allowance amount should be increased an additional $150.

Temporary employees working less than four (4) months, stay-in-school employees, and summer

aids are not entitled to a uniform allowance.

X-2. Items Not Covered by the Uniform Allowance.

a. The following items are not covered by the uniform allowance; however, they can be

provided by the government. The cost of these items will not count against initial or replacement

allowance limits.

(1) Black, dress safety shoes or boots for Class A and B uniforms (suitable for both office

and all-weather field applications).

(2) Safety, all weather work boots for Class B and C uniforms.

(3) Patches and insignia that are required to be worn as part of the uniform.

(4) High-visibility orange vests (snap-on, tie-on, etc.).

(5) Coast Guard approved life jacket coat with zipper, and/or life vests, high visibility,

color orange.
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X-2

(6) Hard hats.

(7) Name Plates.

(8) Other safety items required by safety regulations for protection of the individual from

physical harm in performance of their normal job duties.

b. Apparel and other items not listed in Appendixes S, T, U, V, or W, are not furnished or

covered by uniform allowances and cannot be provided by the Government.
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Y-1

APPENDIX Y

 Dredging Diagrams
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Y-2
EP 1130-2-520

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Y-3
EP 1130-2-520

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Z-1

APPENDIX Z

CERF GUIDELINES

Z-1. Functions of CERF. The CERF shall supplement the existing hopper dredge resources of

MSC and district commanders by providing a mechanism and organizational structure to aid in the

acquisition of hopper dredge resources to meet national defense or emergency dredging

requirements.

Z-2. Background.

a. The Corps will continue to be responsible for all dredging requirements for national

defense or emergencies.

b. It is the general policy to respond to national defense or emergency requirements by

using Corps hopper dredges.

(1) When Corps dredges are not available and it is not feasible or practical to use routine

contractual procedures for hopper dredges, then MSC/district commanders will seek HQUSACE

authority to activate CERF.

(2) Authority to activate CERF shall only be granted by Director of Civil Works for

CONUS and Commander, USACE for OCONUS when justification supports this action.

c. The Corps will continue to use routine contractual procedures for routine hopper

dredging.

d. The Corps will continue to provide the leadership for keeping all navigational channels

cleared for shipping.

e. The procedures described below are prescribed to assist in the implementation of this

program.

(1) First, dredges from the Corps minimum federal fleet will be deployed to respond to

emergency and defense requirements.

(2) Then, if Corps dredges are not available in the number needed, routine contractual

procedures will be utilized to obtain the services of hopper dredges from industry.

(3) If the above two steps do not result in the volume and type of hopper dredges needed

to respond to emergency and defense requirements, the CERF will be activated.

(4) A request for activating the CERF by ordering MSC and district commanders with a

description of the emergency or defense requirements will be presented to HQUSACE, CECWOD.

(a) If the requirement is in CONUS, as described in the definitions below, the CERF will be

activated by the Director of Civil Works.
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Z-2

(b) If the requirement for a hopper dredge is in OCONUS, as described in the definitions

below, the CERF will be activated by Commander, USACE.

Z-3. Required Contract Provision. The provision, CERF implementation, shall be included in

every dredging solicitation and contract except the BOA for CERF.

Z-4. Basic Ordering Agreement. The Basic Ordering Agreement (BOA) is an agreement between

the contractor and the government to furnish the services required at a fixed daily rate. An order

placed under the BOA becomes a contract providing for two items of payment:

a. Mobilization and demobilization at the BOA cost per nautical mile of mobilization.

b. Hopper dredging by the named dredge at the agreed upon cost per day of dredging.

c. The BOA Contracting Officer is responsible for establishing the BOA and distributing

copies to other Corps Contracting Officers, who are listed in the BOA (Authorized Ordering FOA),

and HQUSACE. The Contracting Officer placing the order is designated as the Ordering

Contracting Officer.

Z-5. Request for CERF Activation. The request for activation of the CERF will come from an

FOA through the MSC Office to HQUSACE, CECW-OD (CONUS). In the case of OCONUS

dredging requirements, the request will go through the Director of Civil Works to Commander,

USACE. The request will contain as a minimum the following information:

a. Requesting MSC and/or District.

b. Location of dredging.

c. Availability of funds.

d. Priority of work.

e. Justification for emergency request.

f. Special job requirements (sidecasting, pump ashore, etc.).

g. Estimated size of job (cubic yards, time of rental, or other suitable measurement of the

scope of work).

h. Estimated site conditions.

(1) Type of material.

(2) Disposal requirements.

(3) Other site information or requirements which might affect the production of the hopper

dredge on this job.
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Z-3

Z-6. Responsibilities.

a. CERF Request. A request will be initiated by a MSC/ District Commander as described

in paragraph Z-5 above. In the use of defense emergencies, the request may be initiated by a DOD

element through HQUSACE and the responsible actions for contracting would be assigned to an

appropriate District/MSC.

b. Routing of Requests.

(1) Requests by District will be routed concurrently to its commanding MSC and

HQUSACE, CECW-OD

(2) CECW-OD will begin preparation of the decision document upon receipt of the

request, but will await MSC concurrence before submitting the decision document to the Director

of Civil Works and Commander, USACE. The following will be considered in preparation of the

decision document:

(a) Availability. The government will survey participating CERF contractors to verify the

location of participating dredges. The dredge must be operational and ready for work. CERF

dredges working under existing contracts to the Corps are committed to respond to CERF

activation. When a contractor is under contract to someone other than the U. S. Army Corps of

Engineers and the contractor volunteers for the active CERF fleet, the Federal Government is not

responsible for contract termination costs.

(b) Time. This factor includes the time required for the dredge to travel to the job site and

be ready for work, plus the time required to perform the required dredging.

(c) National Dredging Program Impact. The selection of a particular dredge will be

evaluated by the overall effect on the National Dredging Program.

(d) Cost. The firm-fixed daily and mileage rates contained in each participating CERF

BOA will be utilized to determine the cost to the government.

(e) Exemption. Dredges activated by placement of an order against a CERF BOA are

exempt from successive activation for a period of 90-calendar days from completion of a CONUS

assignment and 180-calendar days from completion of an OCONUS assignment unless voluntarily

consented to in writing by a participating CERF contractor.

(f) Dredge capability. Information and/or capabilities of the dredge that may impact on the

ability to perform.

(g) Specific site factor. Site factors that impact upon the ability of the dredge to perform

the work.

(3) The decision document will be submitted to the Director of Civil Works for CONUS

emergency dredging. The decision document will be submitted through the Director of Civil

Works to Commander, USACE for OCONUS emergency dredging.
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Z-4

c. Approval of Request. Approval of the request can be made only by Commander,

USACE for OCONUS and the Director of Civil Works for CONUS or persons authorized to act in

their absence.

d. Termination/Extension of Existing Contract. The Contracting Officer named in an

existing contract is responsible for actions required to terminate or extend that contract. The

Contracting Officer will take appropriate action to extend or terminate the existing contract when

notified by Commander, USACE or the Director of Civil Works or their authorized representative

of the decision to activate the CERF dredge currently working on an existing maintenance or

construction dredging contract.

e. Implementing the BOA. The Ordering Contracting Officer of the District requesting the

work will be responsible for executing the order against the BOA once notified by the appropriate

official that the decision to activate the CERF has been made. The BOA contains the instructions

for placing orders against the BOA.

Z-7. Limitations of the BOA. The BOA is limited to civil works funding and is not an appropriate

document for a military fund citation. Military funds may be available to the Corps of Engineers

Revolving Fund as an appropriate reimbursement mechanism.

Z-8. Procedures for Becoming a CERF Member. A contractor who wishes to become a CERF

member shall write to U. S. Army Corps of Engineers, ATTN: CECW-OD, 20 Massachusetts

Avenue, NW, Washington, DC 20314-1000. CECW-OD will notify the appropriate procurement

office who is responsible for the BOA.

Z-9. Procedures for Notification of Availability. An idle contractor's hopper dredge or one

employed on non-Corps work may be removed from the active CERF Fleet by providing written

notice of unavailability to HQUSACE, CECW-OD at least five days prior to the requested action.
EP 1130-2-520

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AA-1

APPENDIX AA

DETERMINATION OF THE HYDRAULIC LINE

AA-1. Flow Criteria. The flows which are named below will be used in the determination of the

hydraulic line for the identification and marking of hazardous waters adjacent to Civil Works

structures.

a. Navigation Locks and Dams. The discharge corresponding to ordinary highwater, a

recognized flow throughout the Corps of Engineers to define limits of Federal jurisdiction, will be

used. Should the ordinary highwater discharge exceed the maximum navigation discharge at a

project, the latter will be used. (In any case, the worst case scenario must be used.)

b. Flood Control and Storage Dams. The annually-released bankfull flow, (alternately

known as the non-damaging discharge), will be used. However, the customary flow of the project

will be used, if less than bankfull.

c. Local Flood Reduction Projects, Hydroelectric Plants, Training Structures, Intakes and

Pumping Stations. The one-year discharge (i.e., the maximum flow which has a 100% chance of

occurring each year), will be used.

AA-2. Upstream of Structures.

a. Navigation, Flood Control/Storage, and Local Flood Reduction Projects. The hydraulic

line will be determined where the drawdown commences upstream of the dam, chute, drop

structure, or diversion - for prescribe flow in paragraph 1 above. Said location will delineate the

beginning of the accelerating velocity of approach and the change in water-surface slope due to the

presence of the dam or structure.

(1) Frequently, this location has been seen to occur at a distance upstream equal to about

three times the head on the crest of the dam for fixed crests dams with straight approaches, and a

variable amount for gated dams that can be computed or observed depending on the schedule of

gate openings. However, each project must be analyzed on its own merits to locate the hydraulic

line.

(2) Where channel curvature or constrictions exist, the hydraulic line will be located to

include these effects, where pertinent.

(3) For lock intake areas, the hydraulic line will be set upstream at a distance at least equal

to twice the water passage opening.

b. Hydroelectric Plants, Intakes, Training Structures, and Pumping Stations.

(1) For pump stations, submerged inlets, and hydroelectric plants, the hydraulic line will be

set at a distance equal to twice the width of the structure intake.

(2) For training structures such as dikes and spurs, the hydraulic line will be set at least an

amount upstream equal to two times the greatest dimension of the structure.
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AA-2

AA-3. Downstream of Structures.

a. Navigation Projects, Flood Control/Storage Dams, and Local Flood Reduction Projects. 

The hydraulic line will be determined at a location beyond which all the flow filaments move in a

downstream direction and for the prescribed flow criteria in paragraph 1 above. This location,

depending on the individual design considerations, may fall within or beyond the terminus of the

project structure. Data from site-specific model studies should be used where test conditions are

still applicable; otherwise, this location will be determined based on hydraulic jump or other

appropriate calculations. For lock discharge areas, the hydraulic line will be set beyond boil and

eddy limits which are strong enough to capsize a vessel and/or draw an object to the source.

b. Hydroelectric Plants, Training Structures, Outlets, and Pumping Stations. The hydraulic

line will be set:

(1) beyond boil and eddy limits (defined above in paragraph AA-3a.) as determined by

on-site observation for pump stations, submerged outlets, and hydroelectric projects; and 

(2) at least two lengths downstream of the largest dimension of dikes and spurs for

training structures.

AA-4. Individual Considerations. Where multiple-type structures coexist, the hydraulic line for

each component shall be computed using the criteria in this appendix. The hydraulic line farthest

from the facility will be considered the hydraulic line for that facility.
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AB-1

APPENDIX AB

OPERATIONAL CONSIDERATIONS

The considerations which follow will be used in the determination of the buffer area between the

hydraulic line and the final boundary of the restricted area marking hazardous waters adjacent to

Civil Works structures:

1. What type of user is in and around the area (anticipated and existing)?

2. What types of accidents, near accidents, or incidents have occurred?

3. Should any type of environmental condition be considered such as air temperature, water

temperature, winds etc.?

4. What are the consequences of a small vessel or person entering this area?

5. Are the currents such that a small vessel or person is likely to be drawn into the hazardous area?

6. Is the restricted area marked far enough upstream and downstream to reduce the hazard should

a small vessel lose power?

7. Are navigation channels placed so that the traffic is directed away from the structure’s

hazardous area?

8. Is the structure well marked and visible from beyond the restricted area?

9. Does the change in seasons have significant effects on intake or discharge requirements (power,

flooding, etc.)?

10. Can a buoy system be installed which will act as a continuous barrier and provide a well

defined restricted area?

11. Is such a barrier practical? (Consider seasonal changes, size of structure, costs, and

consequences of having or not having such a barrier.)

12. Can a buoy system be installed which will act as a line of sight (not continuous) and will

provide a well defined restricted area?

13. Is there a need for a barrier to keep vessels from entering the restricted area?

14. Are signs on the structure large enough, and placed in such a manner as to be read from

outside the restricted area or from a distance that will allow for evasive action?

15. Should signs and buoys be lighted?

16. Are buoys in accordance with the uniform state waterway system?
EP 1130-2-520

29 Nov 96

AB-2

17. Do signs comply with EP 310-1-6a&b, Sign Standards Manual?

18. Is the area noted on navigation charts?

19. Are obstructions marked appropriately?

20. If a vessel or person becomes trapped against the structure, is there a means of egress in the

vicinity?

21. What is the shoreline like? Would this help or hinder rescue operations?

22. Are signs, buoys, and the structure visible outside the restricted area at night?

23. Does a hazardous condition exist or occur which the visiting public may not recognize?

24. Is there a need to indicate water is passing through the structure?

25. Are warning devices present which indicate the status of all facets of the structure? Is there a

need for this type of system?

26. Is any portion of the structure remote controlled? If so, are adequate safety devices in place

that ensure the public is warned prior to changes in flow (increases or decreases)?

27. Are all hazardous areas visually surveyed prior to making any type of change in flow

requirements?

28. Should a buoy line be installed so as to be supportive of other agencies’ rules and regulations?

29. Can the discharge be modified to reduce the area of hazardous waters downstream?