Nautical Rules of the Road

NAUTICAL RULES OF THE ROAD

NAUTICAL RULES OF THE ROAD

The International and Inland Rules

Fourth Edition

Revised and updated by

Steven D. Browne

Based on previous editions by

B. A. Farnsworth

Larry C. Young

Copyright © 2006 by Cornell Maritime Press, Inc.

Copyright © 2010 by Steven D. Browne, Barry A. Farnsworth, and Larry C. Young

All rights reserved. No part of this publication may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher, except in the case of brief quotations embodied in critical reviews and certain other noncommercial uses permitted by copyright law.

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Contents

First Edition Acknowledgments

Fourth Edition Acknowledgments

Introduction

Introduction to U.S. Coast Guard Commandant Instruction M16672.2D

Legal Citations

Conversion of Metric to U.S. Customary/Imperial Units

Part A General (Rules 1–3)

Part B Steering and Sailing Rules

Section/Subpart I—Conduct of Vessels in Any Condition of Visibility (Rules 4–10)

Section/Subpart II—Conduct of Vessels in Sight of One Another (Rules 11–18)

Section/Subpart III—Conduct of Vessels in Restricted Visibility (Rule 19)

Part C Lights and Shapes (Rules 20–31)

Part D Sound and Light Signals (Rules 32–37)

Part E Exemptions (Rule 38)

Annex I Positioning and Technical Details of Lights and Shapes

Annex II Additional Signals for FishingVessels Fishing in Close Proximity

Annex III Technical Details of Sound Signal Appliances

Annex IV Distress Signals

Annex V Pilot Rules

Related Government Regulations

International Interpretative Rules (33 CFR 82)

Inland Interpretative Rules (33 CFR 90)

COLREGS Demarcation Lines (33 CFR 80)

Penalty Provisions

Alternative Compliance

Waters Specified by the Secretary

Vessel Bridge-to-Bridge Radiotelephone Regulations (33 CFR 26)

Appendix A Questions on the Rules of the Road

Appendix B Study Outline for Rules of the Road

Index

Bibliography

About the Authors

First Edition Acknowledgments

In the preparation of the first edition of this book, we received assistance from a number of quarters, but we are particularly grateful to the following individuals for the professional expertise, comments, and constructive criticism they so willingly rendered to make this book into a useful tool for the mariner.

Captain J. E. Ferguson, USCG, Commanding Officer, U.S. Coast Guard Institute; Commander E. J. Geissler, Master Mariner, Maine Maritime Academy; Lieutenant Commander J. L. Hassall, USCG, Master Mariner, Chief Deck Branch, U.S. Coast Guard Institute; Lieutenant Commander W. J. Theroux, USCG, Nautical Science Department, Section Chief, Advanced Nautical Science, U.S. Coast Guard Academy.

The opinions or assertions contained herein, however, are our own and are not to be construed as official or reflecting the views of the Commandant or the Coast Guard at large.

B. A. Farnsworth

Larry C. Young  

Fourth Edition Acknowledgments

I would like to thank Captain Jim Buckley, Captain Peter Hayes, and Captain Sam Pecota, my colleagues at California Maritime Academy, for their helpful comments and excellent suggestions on this text. It is a better book because they read it. I am most thankful for the encouragement and patience of my loving wife. Without her, this project would not have been attempted.

Steven D. Browne

Introduction

This year marks the 25 th anniversary of the first edition of Nautical Rules of the Road. The appeal of the book over the years has been its simplicity. It is a straightforward presentation of the Rules designed to be useful for all who need to learn and apply the Rules of the Road. It is hoped that the fourth edition will be as enlightening and informative for the recreational boater, maritime student, and professional mariner as the first three have been.

The aim of this book is to make learning the Rules as easy as possible. To achieve this aim, the text of the Rules is printed on the left-hand pages. The authors’ comments are printed on the right-hand pages. In cases where the International Rules and the Inland Rules differ from each other, those differences are bold.

The Code of Federal Regulations (CFR) requires vessels 12 meters or more in length to have an up-to-date copy of the Rules of the Road aboard. This book, containing the latest changes to the Rules as of the date of printing, will meet that requirement. Any subsequent changes to the text of the Rules will be published in the Notices to Mariners and should be entered by the mariner.

Appendix A contains practice Rules of the Road questions. These questions are intended to help prepare students who must sit for a Rules of the Road exam in order to earn a U.S. Coast Guard license. But, they would be of value to anyone who wants to test their knowledge and deepen their understanding of the Rules.

Appendix B is a recommended study plan for learning the Rules. Although the Rules are organized in a logical manner, they were not arranged with ease of learning in mind. The typical student will start with Rule 1 and read straight through to Rule 28 and the Annexes, but this is not necessarily the best way to study them. For example, in order to grasp the meaning of the Rules, it is necessary to understand the terms that are used in the Rules. But key terms are not defined until Rules 3, 21, and 32. Any study of the Rules, then, would best be started there. The outline of study presented in Appendix B starts with the definition Rules and then builds from there.

A Very Brief History of the Rules of the Road

Rules concerning the prevention of collisions at sea have been around for hundreds of years. For the most part, they were local laws or international traditions without legal force. In the days of wooden sailing vessels, ships were slow and major collisions were rare. The advent of fast steamships in the nineteenth century resulted in an increasing number of serious collisions with catastrophic loss of life and cargo. In 1863, with hopes of preventing such collisions, Great Britain and France drew up a set of collision regulations known as the Articles. By 1864, over 30 countries, including the United States, adopted the rules for vessels operating in international waters.

Several international conventions were convened in subsequent years to revise the rules. In 1972, the rules underwent a major modification and reorganization at a convention convened by the Inter-Governmental Maritime Consulting Organization (IMCO), which is now known as the International Maritime Organization (IMO). The result was the International Regulations for the Prevention of Collisions at Sea (COLREGS). The COLREGS are commonly known as the International Rules in the United States because a different set of rules applies in U.S. inland waters. The International Rules came into effect in 1977 and were amended in 1981, 1987, 1989, 1993, and 2001. Those amendments are included in this book.

In the past there were three very different sets of rules for U.S. inland waters. Each set of rules covered a different geographic area: Great Lakes, Western Rivers, and other Inland waters. Following the ratification of the COLREGS in 1972, an effort was made to unify the three sets of U.S. Inland Rules and to make them conform as closely as possible to the International Rules. The result was the Inland Navigational Rules Act of 1980, which came into effect in 1981. Although the unified Inland Rules still retain a few differences based on location within U.S. waters, and there are some major differences from the International Rules, they largely agree with the COLREGS and, in most cases, agree word-for-word.

Introduction to U.S. Coast Guard Commandant Instruction M16672.2D

International Rules

The International Rules in this book were formalized in the Convention on the International Regulations for Preventing Collisions at Sea, 1972, and became effective on July 15, 1977. The Rules (commonly called 72 COLREGS) are part of the Convention, and vessels flying the flags of states ratifying the treaty are bound to the Rules. The United States has ratified this treaty and all U.S. flag vessels must adhere to these Rules where applicable. President Gerald R. Ford proclaimed the 72 COLREGS and the Congress adopted them as the International Navigational Rules Act of 1977.

The 72 COLREGS were developed by the Inter-Governmental Maritime Consultative Organization (IMCO), which in May 1982 was renamed the International Maritime Organization (IMO). In November 1981, IMO’s Assembly adopted 55 amendments to the 72 COLREGS that became effective on June 1, 1983. The IMO also adopted nine more amendments that became effective on November 19, 1989. The International Rules in this book contain these amendments.

These Rules are applicable on waters outside of established navigational lines of demarcation. The lines are called COLREGS Demarcation Lines and delineate those waters upon which mariners shall comply with the Inland and International Rules. COLREGS Demarcation Lines are contained in this book.

Inland Rules

The Inland Rules in this book replace the old Inland Rules, Western Rivers Rules, Great Lakes Rules, their respective pilot rules and interpretive rules, and parts of the Motorboat Act of 1940. Many of the old navigation rules were originally enacted in the last century. Occasionally, provisions were added to cope with the increasing complexities of water transportation. Eventually, the navigation rules for U.S. inland waterways became such a confusing patchwork of requirements that in the 1960s several attempts were made to revise and simplify them. These attempts were not successful.

Following the signing of the Convention on the International Regulations for Preventing Collisions at Sea, 1972, a new effort was made to unify and update the various inland navigation rules. This effort culminated in the enactment of the Inland Navigational Rules Act of 1980. This legislation sets out Rules 1 through 38—the main body of the Rules. The five Annexes were published as regulations. It is important to note that with the exception of Annex V to the Inland Rules, the International and Inland Rules and Annexes are very similar in both content and format.

The effective date for the Inland Navigation Rules was December 24, 1981, except for the Great Lakes where the effective date was March 1, 1983.

Legal Citations

Conversion of Metric to U.S. Customary/Imperial Units

NAUTICAL RULES OF THE ROAD

¹ Submarines may display, as a distinctive means of identification, an intermittent flashing amber (yellow) beacon with a sequence of operation of one flash per second for three (3) seconds followed by a three (3) second off-period. Other special rules made by the Secretary of the Navy with respect to additional station and signal lights are found in Part 707 of Title 32, Code of Federal Regulations (32 CFR 707).

COMMENTS

Part A, Rules 1–3, contains general rules that apply at all times.

Rule 1

(a) The International Rules (COLREGS) apply to all vessels on the high seas and connecting waters. The high seas are those areas outside of the territorial waters of any nation, generally more than twelve miles from the coastline. The COLREGS also apply to territorial and inland waters of nations unless special rules cover them (see Rule 1(b)).

The Inland Rules apply to vessels navigating the inland waters of the United States. Inland waters lay inside COLREGS demarcation lines as set forth in 33 CFR (Code of Federal Regulations), Part 80, and are reproduced in the back of this book. Demarcation lines are drawn and identified on most United States charts.

Note that there are several areas of internal U.S. waters that do not fall under the Inland Rules. The COLREGS are followed on the waters of Alaska and Puerto Rico and parts of Hawaii, Washington, California, Florida, and the New England states. Check the chart and U.S. Coast Pilots carefully before proceeding into an unfamiliar U.S. port to determine which set of rules applies.

The Inland Rules also apply to United States vessels on Canadian waters of the Great Lakes to the extent that there is no conflict with Canadian law. The two nations have worked together to ensure that their laws are very similar.

Note that Inland Waters, as the term is defined by the Rules of the Road, are not the same as Inland Waters for the purpose of Coast Guard licensing. For licensing purposes, any waters shoreward of the boundary line (as delineated in 46 CFR Part 7) are inland waters no matter whether the COLREGS or Inland Rules apply. Therefore, you must pass an examination on the COLREGS to be able to operate on all Inland Waters of the United States.

(b) The U.S. Inland Rules constitute special rules made by an appropriate authority as allowed Rule 1(b) of the COLREGS. Though there are some significant differences between the two sets of rules, they are generally written in the same format and the same order and, in many cases, match exactly. This is a great boon to the student who can concentrate on the similarities of the two sets of rules, rather than on the many differences.

Paragraph (ii) enables vessels that meet the construction and equipment standards of the International Rules to operate inside the demarcation lines without undergoing modification.

(c) The Navy is allowed by the Inland Rules to make special rules with respect to additional station or signal lights, shapes, or whistle signals for their vessels. These additional signals can be found in 32 CFR Part 706. There are also provisions regarding rules for special lights for fishing vessels. These rules are to be made by the secretary of the department in which the Coast Guard is operating. At the present time, this is the Secretary of Homeland Security. The additional rules for fishing vessels can be found in 33 CFR Part 80 and in Annex II of the Inland Rules.

(d) International. For an explanation of Traffic Separation Schemes, see the comments on Rule 10.

Inland. Vessel Traffic Service (VTS) regulations are in existence for certain ports in the United States. They will generally be explained by a note on current editions of charts for the affected area. Promulgated by the Coast Guard, the regulations differ from area to area, but they usually require, at least, that vessels monitor a certain radio channel or frequency and make periodic position reports to the Coast Guard’s VTS headquarters. A small booklet is published for each area, containing information and regulations for the use of that service. U.S. VTS regulations are denoted in 33 CFR Part 161. Portions of these regulations are reproduced in the back of this book. Worldwide VTS guides are available at http://www.worldvtsguide.org.

(e) In this Rule authority is granted to allow vessels of special construction or purpose to be in less than full compliance with the Rules. However, these vessels must still comply as closely as possible and must be issued a certificate of alternative compliance. This is obtained from the Secretary of the Navy for naval vessels and from the Secretary of Homeland Security for all other vessels. These regulations