600 UTILITIES PERMITS

This chapter addresses the initial placement, adjustment, relocation, and replacement of utility
facilities in all State highways. It also describes specific requirements associated with these
permit codes:

Sect. Sect.
606.4C BB Broadband 620 UL Underground Longitudinal (Minor)
628 UB Utilities in or on a Bridge 617.1 UM Utility Maintenance
618 UC Conventional Aerial 621 UR State Required Relocation
617.2 UE Utility Maintenance (Expanded) 622 US Service Connections
619 UF Freeway Aerial 624 UT Open Cut Road
623 UJ Transverse Bore & Jack 629 UX Trenching & Shoring
620 UK Underground Longitudinal (Major)

All Engineering reports or plans for the design and construction of a proposed project, submitted
for permit are required to be signed and stamped by a Registered Engineer.

In accordance with CPUC requirements, utility plans are not required to be signed or stamped by
a Registered Engineer. (Rev. 02/06)

601 INTRODUCTION

The most common utility facilities are:

• Water • Cable Television

• Sewer • Cellular Telephone
• Electrical • Natural Gas
• Telephone • Common-carrier petroleum pipelines

Services, products, and commodities, such as those mentioned above, that are provided as a
service to the public are called public utilities. Public corporations and private companies may
own and operate facilities for the transmission and distribution of utilities. Public corporations
are owned by the local governing body, e.g., the Sacramento Municipal Utility District (SMUD)
and are governed by State law. Privately owned companies providing service to the public, such
as, Pacific Gas and Electric (PG&E) and Southern California Edison are regulated by the
California Public Utilities Commission (CPUC). Also, privately owned companies that do not
generally provide utility service to the public and are not regulated by the CPUC, may service
the public under a franchise by the local governing body (e.g., city or county).

Before a privately owned utility company can offer its services to the public it must, in most
cases, first obtain a Certificate of Public Convenience and Necessity (CPCN) from the CPUC.
After the CPCN is granted, the utility company must file its tariffs (rates) with the CPUC. Upon

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approval and under CPUC regulation, the utility company can sell its services to the public.
Qualifying utility companies are issued a User Fee Number by the CPUC.
In some cases, only certain segments of a company's facilities may be public utilities, while other
segments are used exclusively by the company. If there is any question regarding the status of a
permit applicant or a specific facility segment as to a public utility, contact the appropriate
Branch (Energy, Telecommunication, or Water Utilities) of the CPUC's Advisory and
Compliance Division. They will verify the status of the company or facility.

The Streets and Highways Code (Section 117) allows utility owners to use public property--
including State highway right-of-way (with approval from the Department)--for transmitting and
distributing products and services. Procedures differ for approving utility placement within
controlled and non-controlled access right-of-way (see Sections 302, 606, and 607). To protect
public investment in the State highway system and promote the safety of highway users, Caltrans
has developed minimum standards for the occupancy and use of the State highway right-of-way
for utility facilities.

Procedures for determining and collecting permit fees for utility facility encroachments owned
by utility companies differ from those encroachments owned by private companies or
developers. Usually, utility companies providing utility facility service to the public are billed
for application and inspection fees whereas other companies pay fees at the time of application.
For example, cable television systems holding city or county franchises are eligible for the same
encroachment privileges that are available to public utility corporations, but must pay fees at the
time applications are submitted. Cable television companies are not regulated by the CPUC.

Cellular telephone companies are communication-type public utilities that are regulated by the
California Public Utilities Commission (CPUC). They are entitled to the same considerations
granted to all communication utility companies for use of State right-of-way.

A permit must be issued to the owner of the encroachment. A utility facility encroachment may
be constructed or installed by someone other than the owner. Double-permitting is not regularly
encouraged for utility facility encroachments placed by the utility owner’s contractors. Usually,
they are agents of the utility company. Inspection fees are charged directly to the utility company
(permittee) and therefore a double permit is not necessary unless circumstances dictate
otherwise.

The installer or contractor may be required to apply for and secure an encroachment permit
(double permit) if prior contractor performance was poor. In this situation, the double permit
provides Caltrans with direct control over the authorized work. Double permits, when required,
are issued at a one-hour minimum fee, but inspection costs are billed directly to the utility owner.

601.1 Utility Owner Prior Rights

Utility encroachment activities involving utility work wherein the utility owner has prior rights
(utility facility in place before highway right-of-way purchase), i.e., a Consent to Common Use
Agreement (CCUA) or a Joint Use Agreement (JUA), shall take place as a fee exempt permit for

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all the purposes for which the owner's original easement was acquired. These activities could
include: modification, relocation, replacement, upgrade, and maintenance.

Utility owners with prior rights shall submit an encroachment permit application package that
includes prior rights identified for verification (CCUA or JUA number if available). If a number
is not available, the application should be reviewed by district Right of Way Engineering and
Right of Way Utilities to ensure that the proposed work is authorized under a prior property
right.

The District Right of Way Utilities Branch shall determine when the encroachment permit will
be stamped "For Record Purposes Only." These types of encroachment permits shall contain the
following clause:

“It is understood that the Owner's easement(s) within the area of common use within the
highway or at a new location within the highway may be used for the purpose for which the
original easement(s) was acquired subject to Permittee providing advance notification of
planned work and adherence to traffic safety and highway integrity requirements as contained
elsewhere in this permit.”

When a contractor's double permit is required, it shall also be a fee exempt permit.

602 CONDITIONS OF OCCUPANCY IN RIGHT-OF-WAY (Rev 05/07)

All utility encroachments in the State highway right-of-way shall be designed, installed, and
maintained so that traffic disruption and other hazards to highway users are minimized. The
design shall be in compliance with Section 309 of the Highway Design Manual. Encroachments
shall not be constructed or installed if they adversely affect the safety, design, construction,
operation, maintenance, or stability of the highway or any proposed or existing highway
appurtenance.

Damaged plants or landscaped areas shall be replaced or restored, and surface structures shall be
consistent with aesthetic values of the highway and with engineering standards and economic
feasibility. Access to utility facilities on conventional highways is permitted from the right-of-
way or roadway.

Access to utility facilities located within the freeway and expressway right-of-way normally is
permitted only from frontage roads, public roads and streets, trails, or auxiliary roads. In some
situations, the installation of a locked gate by a utility company in a freeway fence is permitted
only when approved by the Division of Design, Chief. An exception to this policy pertains to
sites within the right-of-way leased for wireless telecommunications facilities. The District
Airspace Review Committee (DARC) rather than the Division of Design, Chief approves gate
installation under the air space lease agreement (Section 501.6F).

The Division of Design, Chief must approve utility support structures, manholes, or other
appurtenances that are located in interchanges, median areas, or within any other controlled
access area when access for servicing is not possible by the means described above. To ensure

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safety, terms and conditions may be imposed on the utility company limiting access to such
facilities from ramps or through traffic lanes.

602.1 Temporary Steel Plate Bridging--With a Non-Skid Surface (Rev 07/09)

Highway encroachment work involving excavations shall be identified during the review process
of the permit application package. To accommodate excavation work, steel plate bridging may
be necessary. All permit conditions for use of steel plate bridging should be set forth in the
special provisions of the permit.

Consideration of steel plate bridging in the review process should take into account the following
factors:
1. Traffic speed.
2. Traffic Volume and Composition.
3. Duration and dimensions (width & daily estimated lengths) of the proposed excavation.
4. Weather conditions.
When it is determined in the review process that shoring will be a part of the permitted
operation, the shoring shall conform to Section 629 of this Manual.

When backfilling operations of an excavation in the traveled way, whether transverse or

longitudinal, cannot be properly completed within a work day, steel plate bridging with a non-
skid surface and shoring may be required to preserve unobstructed traffic flow. In such cases,
the following conditions shall apply:
1. Steel plate bridging on freeways is not allowed.
2. Steel plates used for bridging must extend a minimum of 12" beyond the edges of
the trench.
3. Steel plate bridging shall be installed to operate with minimum noise.
4. The trench shall be adequately shored, as mentioned in Section 629, to support
the bridging and traffic loads.
5. Temporary paving with cold asphalt concrete shall be used to feather the edges of
the plates, if plate installation by Method (2) described below, is used.
6. Bridging shall be secured against displacement by using adjustable cleats, shims,
or other devices.

As required by the district, steel plate bridging and shoring shall be installed using either Method
(1) or (2):

Method 1 For speeds of 45 MPH or greater:

The pavement shall be cold planed to a depth equal to the thickness of the plate and to
a width and length equal to the dimensions of the plate.

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Approach plate(s) and ending plate (if longitudinal placement) shall be attached to the
roadway by a minimum of 2 dowels pre-drilled into the corners of the plate and drilled 2"
into the pavement. Subsequent plates are to be butted and tack welded to each other.

Method 2 For speeds less than 45 MPH:

Approach plate(s) and ending plate (if longitudinal placement) shall be attached to the
roadway by a minimum of 2 dowels pre-drilled into the corners of the plate and drilled 2"
into the pavement. Subsequent plates are to be butted and tack welded to each other.
Fine graded asphalt concrete shall be compacted to form ramps, maximum slope 8.5 %
with a minimum 12" taper to cover all edges of the steel plates. When steel plates are
removed, the dowel holes in the pavement shall be backfilled with either graded fines of
asphalt concrete mix, concrete slurry, epoxy or an equivalent that is satisfactory to the
Caltrans' representative.

The permittee is responsible for maintenance of the steel plates, shoring, asphalt concrete ramps,
and ensuring that they meet minimum specifications.

Unless specifically noted or granted in the provisions of the permit, or approved by the State
representative, steel plate bridging SHALL not exceed 4 consecutive working days in any given
week. Backfilling of excavations shall be covered with a minimum 3" temporary layer of cold
asphalt concrete.

The following table shows the advisory minimal thickness of steel plate bridging required for a
given trench width (A-36 grade steel, designed for HS20-44 truck loading per Caltrans Bridge
Design Specifications Manual).

Trench Width Minimum Plate Thickness

10" 1/2"
1'-11" 3/4"
2'-7" 7/8"
3'-5" 1"
5'-3" 1 1/4"

NOTE: For spans greater than 5'-3", a structural design shall be prepared by a California
Registered Civil Engineer.

All steel plates within the right-of-way whether used in or out of the traveled way shall be
without deformation. Inspectors can determine the trueness of steel plates by using a straight
edge and should reject any plate that is permanently deformed.

Steel plates used in the traveled portion of the highway shall have a surface that was
manufactured with a nominal Coefficient Of Friction (COF) of 0.35 as determined by California
Test Method 342 (See Appendix H). If a different test method is used, the permittee may utilize
standard test plates with known coefficients of friction available from each Caltrans District
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Materials Engineer to correlate skid resistance results to California Test Method 342. Based on
the test data, the permittee shall determine what amount of surface wear is acceptable, and
independently ascertain when to remove, test, or resurface an individual plate.

Caltrans’ Permit Inspectors should not enforce plate removal unless it is permanently deformed
or delivered without the required surfacing. The utility owners and contractors are responsible
for maintaining plates and ensuring that they meet minimum specifications. They will also
independently determine when to accept, test or reject a plate. However, an inspector should
document in a diary all contacts with the utility owners and contractors.

A Rough Road sign (W8-8) with black lettering on an orange background may be used in
advance of steel plate bridging. This sign is used along with any other required construction
signing.

Surfacing requirements are not necessary for steel plates used in parking strips, on shoulders not
used for turning movements, or on connecting driveways, etc., not open to the public.

603 INSTALLATION AND MAINTENANCE OF UTILITIES

A permit must be issued to the owner of the encroaching facility. When more than one owner
uses a common duct structure, e.g., several separate utilities lines in a common casing, each
owner must obtain a separate permit for its facility. Double permitting is not normally required
(Section 601).

Permits are required for a utility owner and for a developer installing facilities that will be
owned, operated, and maintained by the utility owner. The permit for installation of the utility
facility is issued to the developer, but only after the utility owner submits an application for
operation and maintenance of the facility. The developer is responsible for coordinating
submission of the utility owner's application, and the utility owner is not charged for the permit.
The permit issued to the utility owner states, “operate and maintain utility facility ‘X’ installed
under Caltrans Encroachment Permit No. ____ issued to ‘XYZ Developers, Inc.’”

Utility companies are allowed to place underground electric transformer vaults with grated
covers within the right-of-way. Placement is permissible only after every reasonable effort is
made to use alternate locations. The following conditions are required for approval of this type
of installation:
1. The utility company shall assume responsibility for the design, installation,
and maintenance of its facilities’ equipment. They shall also assume
responsibility for any damages that may result from this installation.
2. The utility company shall indemnify and defend the Department against all
actions resulting from the design, installation, or maintenance of its equipment
or facilities.

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3. When vaults are installed in pedestrian areas, the utility company shall be
responsible to design, locate and construct them in a manner that will
minimize any interference with pedestrian traffic.
When replacing existing above ground facilities (e.g., poles, etc.) as part of maintenance, they
should be relocated as close as possible to the right-of-way line to allow expansion of the Clear
Recovery Zone.

603.1 Minimum Depth of Cover Requirements Rev (10/03)

New installations of utilities and utility facilities require a minimum depth of cover of 36”, and
utility service connections require a minimum depth of cover of 30” within State highway right-
of-way.

Signalization conduits require a minimum depth of cover of 18” when placed behind the
curbface.

Policies on “High and Low Risk facilities” are discussed in section 605.

604 UTILITY RELOCATIONS FOR STATE HIGHWAY CONTRACTS

When highway construction occurs either by a State contract or an Oversight Project in lieu of a
State contract (e.g., projects programmed in STIP or SHOPP) that requires relocation of an
existing utility facility encroachment, arrangements for relocation are initiated by the State. All
relocated installations shall be covered by an encroachment permit regardless of who finances or
constructs the highway project. The utility relocation permit is fee exempt.

All permits for local agency projects constructed by encroachment permit without a cooperative
agreement shall contain this clause:

“If existing public or private utilities conflict with the construction PROJECT,
PERMITTEE will make necessary arrangements with the owners of such utilities for
their protection, relocation, or removal. PERMITTEE shall inspect the protection,
relocation, or removal of such facilities. Total costs of such protection, relocation, or
removal which STATE or PERMITTEE must legally pay, will be borne by
PERMITTEE. If any protection, relocation, or removal of utilities is required,
including determination of liability for cost, such work shall be performed in
accordance with STATE policy and procedure. PERMITTEE shall require any utility
company performing relocation work in the STATE's right-of-way to obtain a State
Encroachment Permit before the performance of said relocation work. Any relocated
utilities shall be correctly located and identified on the as-built plans.”

Encroachment permits for developer projects being constructed without a highway improvement
agreement shall contain the following clause:

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“If existing public or private utilities conflict with the construction PROJECT,
PERMITTEE will make necessary arrangements with the owners of such utilities for
their protection, relocation, or removal. PERMITTEE shall inspect the protection,
relocation, or removal of such facilities. Total costs of such protection, relocation, or
removal shall be borne by PERMITTEE in compliance with the terms of the Highway
Encroachment Permits, Case Law, Public Utility Regulations, and Property Rights.
PERMITTEE shall require any utility company performing relocation work in the
STATE's right-of-way to obtain a State Encroachment Permit before the performance
of said relocation work. Any relocated utilities shall be correctly located and
identified on the as-built plans.”

State highway projects constructed under cooperative or highway improvement agreements do

not require the above clauses in the permit provisions because similar provisions must be
included in the respective agreements.

605 HIGH AND LOW RISK UNDERGROUND FACILITIES (Rev 05/07)

The policies on high and low risk underground facilities are governed by the Caltrans’
publication titled, “Project Development Procedures Manual,” Appendix LL—Utilities. Any
exceptions to these policies require approval from the Division of Design, Chief.

High Risk Facilities

Facilities transporting the following materials, whether encased or not, are considered to be High
Risk facilities:

1. Petroleum products,
2. Oxygen,
3. Chlorine,
4. Toxic or flammable gases,
5. Natural gas in pipelines greater than 6 inches nominal pipe diameter, or pipelines
with normal operating pressures greater than 60 p.s.i.g. ,
6. Underground electric supply lines, conductors or cables having a potential to ground
of more than 300 volts, either directly buried or in duct or conduit, which do not have
concentric grounded or other effectively grounded metal shields or sheaths.

Low Risk Facilities

Facilities transporting the following materials are considered to be Low Risk facilities:

1. Natural gas in pipelines 6 inches or smaller (nominal pipe diameter) with normal
operating pressures of 60 p.s.i.g. or less.

2. Underground electric supply lines, conductors or cables with a potential to ground of

more than 300 volts, either directly buried or in duct or conduit, which do have
concentric grounded or other effectively grounded metal shields or sheaths, and for
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which the utility owner furnished location information in conformance with the
requirements of Article 17.7, "Location Information" of General Order No. 128 of the
California Public Utility Commission, or electrical underground conductors with a
potential to ground of 300 volts or less.

Exempt Facilities

Facilities exempt from the requirements of this policy are listed as follows:

1. Natural gas service lines of 2 inches or less (nominal pipe diameter) and with normal
operating pressures of 60 p.s.i.g. or less.

2. Underground electrical service conductors with a potential to ground of 300 volts or

less.
3. Any electrical facility with a potential to ground of 50 volts or less.

4. State-owned electrical facilities operating at 300 volts or less potential to ground.

New Installations Under Encroachment Permit

The new installation of High and Low Risk facilities within existing or ultimate State highway
right-of-way must be not less than 42 inches below existing ground level. New installations in
proposed projects must meet the following minimum clearances along the location of the utility
facility:

1. 42" below finished grade or 18" below grading plane of a currently planned project,
whichever is greater.

2. 12" below existing or future drainage structures, but not less than the requirement in
number "1" above.

3. 30" below flow line of unlined ditches.

4. 24" horizontally from face of pile or side of excavation for a currently planned
project.

5. 36" below concrete sidewalks, where future street widening in the sidewalk area is
not contemplated. This minimum may be reduced at the discretion of the utility
owner, with the permission of the Permit Engineer.

NOTE: All highway related facilities, such as signal and lighting conduits, that meet the
definition of High and Low Risk facilities must meet these standards.

New installations within streets or frontage roads to be turned over to a local agency may be
installed at lesser depths, as allowed by Public Utility Commission General Orders or normal
procedures.
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Existing high and low risk facilities may remain in place until replacement at the end of their
useful lives providing they comply with requirements governed by Caltrans' publication titled,
“Project Development Procedures Manual,” Appendix LL, Section 3.

Applications for installation of high and low risk underground facilities shall include a plan by
the owner showing location and construction details.

606 ENCROACHMENTS ON FREEWAYS AND EXPRESSWAYS

This section describes requirements for transverse and longitudinal utility encroachments on
freeways and expressways.

606.1 General Requirements for Encroachment Location (Rev 05/07)

Departmental policy prohibits the placement of longitudinal encroachments within controlled

access rights-of-way. Requests for placement of longitudinal encroachments are permitted only
when approved through the departmental exception process, by the Division of Design, Chief,
when no other reasonable alternative is available, and it has been determined that there is
available space.

When prior rights are stipulated regarding the location within controlled access rights-of-way,
encroachment permits shall be stamped "For Record Purposes Only" or "Freeway Permit," when
determined by substantiation that is provided by the utility owner (see Section 601.1).

Under specific conditions, when the Department is responsible for the transmission and
distribution of reclaimed water for its sole use, local public agencies and public water companies
may be allowed to place transmission lines for reclaimed water within access controlled rights-
of-way. When there is a proposed shared use of the reclaimed water, upon approval through the
exception process, the utility facility owner shall be responsible for all initial and relocation
costs, liability, maintenance of and other required conditions as specified.

Issuance of permits shall conform to policy on the “A Policy on the Accommodation of Utilities
Within Freeway Right-of-Way” (AASHTO, 2005; see Appendix A).

606.2 Access Requirements (Rev 05/07)

If normal means of access to an encroachment inside State access control right-of-way is

impossible, inordinately difficult, or unreasonably costly, a locked gate in the fence may be
installed by a public or privately owned utility company at a suitable location upon approval by
the Division of Design, Chief.

Planned emergency access from freeways and expressways for new or expanded development is
prohibited. Emergency access shall be provided from local streets or conventional highways
outside the access control limits of freeways and expressways. Existing emergency access
granted previously is allowed to remain.

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Utility support structures, manholes, or other at-surface appurtenances may be allowed in
interchange or median areas only if placement outside access control is not possible and
approved by the Division of Design, Chief.
Access from through traffic lanes or ramps should not be permitted except as approved by the
Division of Design, Chief. Terms and conditions may be imposed to ensure safety.
Fire, law enforcement, and other emergency agencies may breach access controls, if necessary,
to respond to specific emergencies. However, they must restore the State right-of-way, at their
expense, and must obtain an encroachment permit to do so. The Division of Design, Chief must
approve or deny any exceptions to this policy after district review and recommendation.

606.3 Transverse Encroachments

Public utility facilities shall be granted permission to cross State highways, as well as facilities
that are not dedicated to public use but are used for the same purposes as public utility facilities.
Table 6.1 indicates the restrictions that apply to transverse encroachments within freeways and
expressways. Privately owned water, power, or communication facilities that are used for
private purposes are allowed transverse crossings only when property or easements are
under the same ownership on both sides of the highway.

606.4 Longitudinal Encroachments (Rev 05/07)

Placement of longitudinal utility encroachments within freeway and expressway right-of-way is

prohibited under Department policy. However, should unusual circumstances warrant
consideration of such placement, requests shall be reviewed under the exception process by the
Division of Design, Chief. The Division of Design, Chief must approve any exceptions to
Statewide policies and standards governing encroachments within the State highway right-of-
way (See Sections 301, 302, and 303).
Longitudinal encroachments and encroachments requiring facility maintenance within access
control lines should be avoided. New public utility facilities may be placed within the right-of-
way of frontage roads or parallel roads outside the access control of the freeway and expressway
right-of-way. Installations within access control lines are extreme cases and are considered only
when alternative placement is not reasonably available, and are approved as exceptions by the
Division of Design, Chief.
An existing facility in place at the time of freeway construction or reconstruction shall be
removed or relocated unless any other location would be inordinately difficult or unreasonably
costly. Approval is given by the Division of Design, Chief and (for federal-aid freeways) the
FHWA. Remaining facilities shall be as close to the right-of-way line as possible and serviced
from outside the access control lines.
The FHWA has delegated authority to Caltrans to approve public (utility companies regulated
by the CPUC) utility longitudinal installations. FHWA's approval of Caltrans' Utility
Accommodation Plan, “A Policy on the Accommodation of Utilities Within Freeway Right-of-
Way” (AASHTO, 2005; see Appendix A) gives Caltrans limited authority. The following

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longitudinal encroachments may require approval by FHWA and are processed through Division
of Design, Chief:

1. Longitudinal encroachments within the median area of freeways.

2. Longitudinal installations of any privately owned (companies not under CPUC
regulations) pipeline or other type of utility-like facility.

Utilities shall not be located in median areas. Any exceptions to this policy require full
justification, and approval by the Division of Design, Chief. Transmission lines for reclaimed
water in freeway rights-of-way are treated as a variance to policy, and must be approved by the
Division of Design, Chief.

Freeway and expressway utility service connections for State facilities on freeways and
expressways should have all disconnects, meters, or shut-offs outside access control lines. The
utility is required to obtain a NUS (No fee Utility Service) permit for the connection.

606.4A Telecommunications (Rev 05/07)

The Department may accommodate longitudinal telecommunications encroachments within

controlled access right-of-way. Telecommunications are defined as any facility used to transmit
voice, data, and/or video signals that are not transmitted through the air, including conduits, and
cabling.

Accommodation shall be in accordance with Federal and State laws and shall not adversely
impact the safety of motorists, highway workers or the aesthetic quality of the highway.

Underground longitudinal telecommunications encroachments within controlled access right-of-

way may be approved at the District level subject to all of the requirements shown in Table 6.0.
Requests submitted for the replacement of telecommunications (regardless of capacity or
upgrade issues) shall adhere to policy as a new submittal.

The Division of Design, Chief may approve exceptions to mandatory design standards in
accordance with Departmental policy on encroachment exceptions.

606.4B CPUC Mandate: (Rev 10/04)

New telecommunication wiring within existing facilities

In conjunction with the California Public Utility Commission (CPUC) imposed mandate,
existing telecommunications franchises must now share their unused conduits with competitors.

The Department may allow new telecommunication franchises to place their "cabling only"
(fiber optics or wire) into an existing facility that falls under the parameters of "prior rights" or
an "exception to policy", belonging to another telecommunications franchise within controlled
access right-of-way.

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The requesting telecommunications franchise shall submit proof of concurrence from the owning
telecommunications franchise by means of an agreement, letter or contract when submitting their
encroachment permit application.

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Table 6.0 (Rev 11/06)

Requirements for Longitudinal Telecommunication Encroachments
on controlled access right-of-way

1) All installations shall be underground and subject to Department policy on encroachment permits including all
applicable local, state and federal laws and regulations.

2) The Department may consider accommodation under master agreements, airspace leases, Request For
Proposals (RFP) or any other legally acceptable method.

3) The Department may request that: conduits, fibers, access points, cabinets, vaults and/or stations dedicated for
public use be placed at certain locations.

4) Telecommunications shall be placed outside the Clear Recovery Zone (CRZ, see Highway Design Manual),
while telecommunications related facilities such as access points, cabinets, vaults and/or stations shall be placed
outside controlled access right-of-way limits.

5) Telecommunications may be allowed within existing conduits if such conduits are outside the CRZ, while
telecommunications related facilities such as access points, cabinets, vaults, and/or stations shall be placed
outside controlled access right-of-way limits.

6) Telecommunications shall be placed as far from the traveled way as feasible.

7) The minimum underground depth of cover of telecommunications shall be 42".

8) Telecommunications shall not be permitted in the median.

9) Telecommunications shall not be permitted in existing or planned traveled lanes.

10) Routine maintenance of telecommunications and telecommunications related facilities shall be conducted under
individual encroachment permits and not allowed under “blanket permits”.

11) The Department may request that applicants place adequate conduit space at the time of initial installation to
provide access for all reasonably foreseeable users (including itself), for the fifteen year period after installation
as determined by applicant and approved by Department.

12) District may also limit construction activities (the number of trenching, plowing or boring) to once every five
years if any of the following conditions apply:
a) Longitudinal telecommunications installation is fully or partially proposed within the CRZ and an
encroachment exception is granted.
b) Installation exceeds one mile in length.
c) District determines that the future installation of telecommunication facilities will be limited because
of physical constraints, limited right of way width, safety or other relevant factors.

13) If construction activities are limited as provided in 12), applicants will be required to provide public notice
informing interested parties of the limitations and providing them an opportunity to respond and/or participate
in the project (joint build). The notice process shall be as follows:
a) Applicant publishes a notice in one newspaper of general circulation in the county/counties where the
project is proposed. The notice must provide a public response period of no less than 30 days from the
date of publication; and
b) Applicant must provide notice to all telecommunication companies (obtain list from California Public
Utilities Commission - CPUC) including a response period of no less than 30 days from the day they
are notified. A copy of this notice shall be attached to the encroachment permit application.

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606.4C Broadband (New 07/08)
Permit Code BB

“Broadband” is a data transmission, with speeds exceeding 200,000 bits per second, in at least
one direction; downstream or upstream.

606.4C-1 Broadband Application (New 07/08)

In compliance with Executive Order S-23-06, Twenty-First Century Government, to enhance

access and adoption of Broadband in California, the Department will attempt to expedite the
processing of these submittals.

The Department shall continue to accept submittals on the Standard Encroachment Permit
Application in addition to the Statewide Application, entitled “BROADBAND FACILITIES
INSTALLATION AND USE REQUEST APPLICATION,” which can be downloaded from the
following web-site:

http://www.calink.ca.gov/statepermitting/application.asp

The District Encroachment Permits Office is responsible for the review process of all Broadband
submittals. Applicants are responsible for all departmental costs associated with these
submittals.

Broadband proposals should be processed for a detailed plan review through Environmental,
Design, Structures and Traffic.

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Table BB (New 07/08)

Broadband Encroachments within Controlled Access right-of-way

1) All broadband installations shall be subject to Department policy on encroachment permits including all
applicable local, state and federal laws and regulations. If broadband facilities are required to be relocated, all
costs shall be borne by the permittee.

2) The Department shall stipulate location for the placement of broadband conduits, fibers, access points, cabinets,
vaults and/or stations dedicated for public use.

3) Broadband facilities shall be located outside the Clear Recovery Zone (CRZ, see Highway Design Manual),
broadband may be allowed within existing conduits if such conduits are outside the CRZ, and all other related
broadband facilities such as access points, cabinets, vaults and/or stations shall be placed outside controlled
access right-of-way limits.

4) Broadband shall be placed as far from the traveled way as feasible.

5) The minimum underground depth of cover of broadband shall be 42".

6) Broadband shall not be permitted in the median.

7) Broadband shall not be permitted in existing or planned traveled lanes.

8) Routine maintenance of broadband related facilities shall be conducted under individual encroachment permits
and not allowed under “blanket permits”.

9) The Department may negotiate that the broadband applicant place adequate conduit space at the time of the
initial installation to provide and/or include access for all foreseeable users.

10) District may also limit construction activities (the number of trenching, plowing or boring) to once every five
years if any of the following conditions apply:
a) The broadband installation is fully or partially proposed within the CRZ, and a longitudinal encroachment
permit exception has been granted.
b) The installation exceeds one mile in length.
c) The District determines that the future installation of broadband facilities will be limited because of
physical constraints, limited right of way width, safety or other relevant factors.

11) If construction activities are limited as provided above, applicants will be required to provide public notice
informing interested parties of the limitations and providing them an opportunity to respond and/or participate
in the project (joint build). The notice process shall be as follows:
a) Applicant publishes a notice in one newspaper of general circulation in the county/counties where the
project is proposed. The notice must provide a public response period of no less than 30 days from the
date of publication; and
b) Applicant must provide notice to broadband and all telecommunication companies (obtain list from
California Public Utilities Commission - CPUC) including a response period of no less than 30 days from
the day they are notified. A copy of this notice shall be attached to the encroachment permit application.

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606.4C-2 State Scenic Highway Installations (New 07/08)

When a request is submitted for placement along and/or within a State Scenic Highway, the
approval process entails the submittal of additional documentation, and the additional review of
the proposal by Right-of-Way Utilities and the Landscape Architect’s Office.

A letter of concurrence from the local entity responsible for the Corridor Protection Plan
established for that scenic corridor, and an approved waiver from the CPUC granting permission
to place those facilities within a State Scenic Highway should have the appropriate design review
and District Landscape Architect concurrence for compliance with Corridor Protection Programs
(reference Section 627, of the Encroachment Permits Manual).

The permittee shall not make additions to existing site facilities, change access locations, place
attachments or modifications to their equipment that would result in use by other broadband
providers.

606.4C-3 Preliminary Site Survey Permits (Pre-Design) (New 07/08)

Districts may issue an annual survey, “SV” permit, to each Broadband service carrier for all
conventional highways within the district. Survey permit requests for Controlled Access rights-
of-way shall be issued on a one-time basis.

A deposit equivalent to six (6) hours of the encroachment permit standard hourly rate shall be
collected upon submittal. If the surveying is contracted to a surveying company, a double permit
(“DP”) shall be required.

Work within or from adjacent property owners’ land, U.S. Forest Service property, other leased
or prescriptive right-of-way are not authorized under the department’s encroachment permit,
approval shall be obtained from that specific property owner by means of written permission or
permit. A copy of that authorization or issued permit shall also be included in the submittal to the
District Encroachment Permits Office.

606.4C-4 Conditions of Occupancy and Future Maintenance of Facilities (New 07/08)

Broadband facilities proposed for placement in the State highway right-of-way shall be designed,
installed, and maintained so that traffic disruption and other hazards to highway users are
minimized. The design shall be in compliance with Section 309 of the Highway Design Manual.
Encroachments shall not be constructed or installed if they adversely affect the safety, design,
construction, operation, maintenance, or stability of the highway or any proposed or existing
highway appurtenance.

Damaged plants or landscaped areas shall be replaced or restored, and surface structures shall be
consistent with aesthetic values of the highway and with engineering standards and economic
feasibility. Access to broadband facilities on conventional highways is permitted from the right-
of-way or roadway.

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Access to broadband facilities located within Controlled Access rights-of-way normally is

permitted only from frontage roads, public roads and streets, trails, or auxiliary roads. In some
situations, the installation of a locked gate by a broadband company in a Controlled Access fence
may be permitted only when approved by the Division of Design, Chief, through the exception
process.

The Division of Design, Chief, must approve placement of broadband support structures, or
other appurtenances that are proposed to be located within interchanges or within any other
controlled access area when access for servicing is not possible by the means described above.
To ensure safety, terms and conditions may be imposed on the broadband company limiting
access to such facilities from ramps or through traffic lanes.

The following table provides guidance on the requirements of Broadband Application submittals.

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Table 6.1 Rev (05/07)
Transverse Encroachments on Freeways and Expressways

The following restrictions apply to transverse encroachments within controlled access rights of way:

1. The number of crossings shall be minimized.

2. Service connections generally are not allowed to cross.
3. When feasible, any multiple installations should cross in a single conduit or structure.
4. Crossings should be normal (90 degrees) to the highway alignment where practical. Districts may only allow
skews up to 30 degrees from normal.
5. Clearances of overhead crossings shall conform to regulations of the California PUC.
6. New installations under an existing roadbed and median shall be made by boring and jacking, directional
drilling or other methods approved by the district.
7. Underground encroachments in a depressed section should be avoided. When possible, they shall cross at street
overcrossings (See bridge encroachment requirements Sections 608 and 609).
8. Sag pipes (inverted siphons) should be avoided whenever there is a possibility of sedimentation in the sag. Air
vents and provisions for draining the sag shall be required when sag pipes are unavoidable.
9. Overhead pipeline crossings in a depressed section shall be made at street overcrossings or by a separate
structure of suitable appearance. Except for pipelines in box girders, the pipeline shall be placed in a watertight
sleeve. A common structure should be used for multiple pipes.
10. Tunneling under freeways and expressways is considered under the following conditions:
• Studies establish that the soil structure is sufficiently stable.
• Permanent tunnel portals usually shall be located outside the right-of-way line or the access control line (if
those do not coincide). Consideration may be given to a location within the access control line provided
that it will not adversely affect highway operation, it is beyond the toe of slope of embankments, and prior
approval is given by the Division of Design, Chief.
11. Open canals and ditches shall not be permitted unless no other alternative is available.
12. Underground facilities normally should be encased between right-of-way lines.
13. Supports for overhead lines crossing freeways:
• Should be placed near the right of way line with a minimum lateral clearance of 30' from the edge of an
ultimate through lane.
• Shall be located outside the controlled access right-of-way. Any other placement must be approved by the
Division of Design, Chief.
• Should not be permitted in median areas except for temporary guard poles to support netting for overhead
line installation.
• Should not be permitted on cut or fill slopes.
• Shall not impair sight distances.
Consideration should be given to underground facilities when spanning roadways is not feasible.
14. Traffic always must be protected, and barriers or protective devices are required as necessary.

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606.5 New Longitudinal Encroachments Only--Waiver of Rights

The statutory right conferred by Section 703 of the Streets and Highways Code for publicly
owned sewers, fire hydrants, and any street lighting structure whether publicly or privately
owned is a waiveable right under the provisions of Civil Code Section 3513. A prior right is
established when a publicly owned utility existed before the location became a freeway. In this
case utility relocation will occur at State expense. The following provision should be included in
all encroachment permits issued for new longitudinal encroachments of publicly owned sewers
and fire hydrants, and street lighting structures whether publicly or privately owned in a freeway:

[Name of person or entity waiving right, with full knowledge of the provisions and his
(their) rights thereunder, expressly waives all rights whatsoever under Section 703 of
the Streets and Highway Code which provides that publicly owned sewers and fire
hydrants and any street lighting structure whether publicly or privately owned in any
freeway shall be relocated when necessary at the expense of the Department].

607 ENCROACHMENTS ON CONVENTIONAL HIGHWAYS

This section describes requirements for transverse and longitudinal encroachments on

conventional highways.

607.1 General Requirements Rev (05/07)

Districts are delegated authority to issue permits for the placement and maintenance of utility
facilities within the conventional highway right-of-way. Applications for encroachments by
publicly or privately owned utility companies (regulated by the CPUC) dedicated for public use
are reviewed and approved at the district level. The districts may also approve encroachments by
privately-owned utility companies dedicated for public use and franchised by the local governing
body. Privately-owned utility companies that use the utility for their sole purpose may be granted
an encroachment permit for reasonable transverse crossing of conventional highways, but
longitudinal encroachments are not approved. Requests by companies for placement of
longitudinal encroachment utilities for their sole purpose that are not dedicated for public use
and franchised by the local governing body are subject to approval by the Division of Design,
Chief (see Section 302).

607.2 Transverse Encroachments

Table 6.2 lists the restrictions that apply to transverse encroachments on conventional highways.
The Reclamation Board, in maintaining the integrity of the State's levee system, issues permits
for construction of facilities within the levee prism. Caltrans and the Reclamation Board
cooperatively agreed to authorize Reclamation Board construction methods provided that
Caltrans' minimum depth requirements are met. Encroachment permits to install underground
facilities where a State highway is on or crosses a levee must indicate approval and inspection by
the Reclamation Board.

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Table 6.2
Restrictions upon Transverse Encroachments on Conventional Highways

The following restrictions apply to transverse encroachments within the right-of-way of any
conventional highway:

1. The number of crossings shall be minimized.

2. Underground distribution facilities on each side of the highway should be considered to avoid
numerous crossings by service connections.
3. Crossings should be normal (90 degrees) to the highway alignment where practical.
4. Clearances of overhead crossings shall conform to regulations of the California Public Utilities
Commission.
5. An existing authorized encroachment that will not affect new highway construction may be left in
place at the district's discretion, provided the district determines that it will not constitute a safety
hazard or obstruction to construction.
6. New installations under an existing roadbed shall be made by boring and jacking, directional
drilling or other methods approved by the district.
7. Sag pipes (inverted siphons) shall be avoided whenever sedimentation in the sag is a possibility.
Air vents and provisions for draining the sag shall be required when sag pipes are unavoidable.
8. Tunneling under conventional highways shall conform to the requirements for freeways.
9. Bore pits or manholes at street intersections should be located behind the State highway curb line
where possible.
10. Open canals and ditches shall not be permitted unless no other alternative is available.
11. Supports for overhead lines in conventional highway right-of-way must be as close to the right-of-
way line as possible, with a desirable minimum clear recovery zone of 20', and never closer than
1.5' back of the curb face.
12. Traffic must always be protected, and barriers or protective devices are required as necessary.

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607.3 Longitudinal Encroachments (Rev 05/07)

New publicly owned utility facilities and privately owned utility facilities that are regulated by
the CPUC and dedicated to public use may be placed within the right-of-way of conventional
highways when approved by the district. Generally, such encroachments shall be located as close
as possible to the right-of-way line and outside slope limits or behind curbs. The minimum
desirable setback from the clear zone of a conventional highway is 20'. In no case is a pole
allowed closer than 1.5' behind a curb face or less than 2' from the edge of a slope catch point or
a driveway, or within a drainage ditch. Requests for longitudinal encroachments by privately
owned companies for their own use shall be denied by the district. However, if a longitudinal
encroachment warrants addition consideration, review is required by the Division of Design,
Chief (see Section 607.1).

When highways are widened, existing and new installations should adhere to setback limits or
should be protected. Consideration should be given to allow utility owners to place such
encroachments underground in shoulder or parking areas.

In urban areas, manholes should not be located where there is a break in grade between the
pavement and gutter or in major traffic lanes of a cross street. In areas where snow removal
equipment is used, consideration should be given to slightly depressing the manhole.

Any existing underground facility located under the roadbed of a new unconstructed highway is
permitted to remain in place during its useful life provided its depth complies with current
standards and does not require relocation (as determined by the district Right of Way Utility
Coordinator and Project Development) resulting from highway construction. If the encroachment
is a public utility facility, consideration shall be given to the likelihood and extent of future
service connections that will require cutting the pavement. Rules governing new installations
will determine whether existing facilities must be relocated, or may be replaced in the same
location, after expiration of their useful life.

High risk pipelines conveying gas, oil or other flammable fluid are not permitted in the right-of-
way unless they are dedicated to public use (for example, the pipeline carries products of more
than one owner and is under CPUC jurisdiction). Companies having franchise rights from local
agencies may place their facilities within the right-of-way with approval from the Division of
Design, Chief.

Encroachment permits are required for utility companies to operate and maintain services to
State-installed facilities. Conventional highway service connections are to be installed in
compliance with a utility company’s annual permit. A No fee Utility Service (NUS) permit must
be obtained by the utility company if the service connection does not qualify under the annual
permit.

Existing legally-placed service facilities may be permitted to remain in place if they do not
interfere with highway construction or use.

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Utility poles should be located as close to the right-of-way line as possible. However, an
overhang onto private property should not be allowed unless the impacted property owner
provides an easement.

Underground facilities on conventional highways should be located as close to the right-of-way

line as possible. Permissible locations are shown in Table 6.3.

Table 6.3
Permissible Locations for Underground Longitudinal Encroachments on Conventional
Highways

URBAN AREAS 1. As close to the right-of-way line as possible.

(in order of preference) 2. Back of sidewalk.
3. Under sidewalk.
4. Under parking lane.
5. Under the outermost lane of a multi-lane highway.

RURAL AREAS 1. As close to right-of-way line as possible.

(in order of preference) 2. Under unimproved shoulder.
3. Under paved shoulder.
4. Under the outer most lane of a multi-lane highway.

607.4 Relocation or Removal of Encroachment

Encroachment permits issued to publicly or privately owned utilities contain a statement in the
General Provisions that in the event future improvements to the highway necessitates the
relocation or removal of such encroachment, the permittee will relocate or remove the same at its
sole expense. District Right of Way Utilities initiates a Notice to Relocate.

608 ENCROACHMENTS ON STRUCTURES

Proposed encroachments on existing bridges and other existing structures must be reviewed by
the Office of Structures Maintenance. One copy of the encroachment permit and completed plans
authorizing work on structures is sent to the Office of Structures Maintenance and to
headquarters Structures Construction.
Requests to place planting and landscape service facilities on existing structures, including
outside surfaces, must be approved by Office of Structures Maintenance.
When a utility conduit, pipeline, or encasement for a pipeline crosses a structure and has
cathodic protection, that installation must be electrically isolated from the structure. Any
cathodic protection anode bed or deep anode well shall not be placed near any structure or
culvert.

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Specific stray current and cathodic protection mitigation issues should be directed to
headquarters Structures Design, Electrical, Mechanical, Water and Waste Water Branch.

608.1 State Contract Plans

Installation plans for each utility that encroaches on a new structure must be approved by
Structures Design before an encroachment permit is issued. This review is coordinated through
the district project engineer. After award of the contract, utility plans not reviewed previously by
Structures Design should be sent to Structures Maintenance for review and approval. Installation
of utility facilities in new structures is coordinated by the permit engineer through the district
project engineer and solely by the permit engineer for existing structures. Installation of all
relocated utility facilities is coordinated by district Right of Way.

608.2 Requirements for Installing Utilities on Bridges

Utility facilities on bridges must meet both the standard utility requirements and the additional
requirements shown in Table 6.4 and Table 6.5.

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Table 6.4
Additional Requirements for Utility Facilities Located on Bridges

Utility facilities located on bridges must comply with the standard requirements and the following additional
requirements:
1. Location:
A. Permitted encroachments preferably shall be located between girders.
B. Encroachments should not be exposed to view, and shall not be permitted on the exterior of a bridge unless
they are enclosed and appear as an integral part of the bridge.
Structures Maintenance may approve exceptions for unusual circumstances.
C. On very wide structures having an expansion joint in the median, installation normally can occur between
the two interior girders in the median.
2. Encroachment applications must include adequate plans of installation and pertinent details showing:
A. Bridge number
B. Location of encroachment on bridge
C. Method of attachment to bridge
D. Type of material transported
E. Weight per foot of facility including load, encasement, etc.
F. Maximum operating pressure
G. Maximum flow rate of high pressure water lines in the event of a full rupture
H. Wall thickness of pipe
3. Gas pipelines require additional information according to CPUC General Orders.
4. Pipelines carrying highly volatile fluids must show the location of the nearest automatic shut-off valves on each side
of the structure. Shut-off valves are required to be within a reasonable distance of the structure.
5. Pipelines conveying water, sewage, and low volatile fluids shall include evidence of compliance with corrosion
control requirements of the Federal Department of Transportation and the California PUC.
6. Electrical and communication conduits must indicate maximum voltage and description of carrier conduit.
Additional information may be required by Structures (e.g. “Data for High Voltage Cables on Bridges” form see
Appendix D).
7. Access to utility facilities on undercrossing structures or bridges over waterways is prohibited from the surface of
the traveled way of the State highway. Manholes in the shoulder area or sidewalk area may be authorized. Access to
utility facilities on overcrossing structures, by means of manholes, may be authorized where necessary and feasible.
8. Basic Specifications
A. Exposed pipes or sleeves shall be painted or covered with an approved coating that shall match the color of
the structure and be maintained to the satisfaction of Caltrans. The permittee shall pay the costs of repainting
or protecting the encroachment.
B. High pressure systems:
1) Shall conform to API specifications and to ASTM specifications covering sizes and types not covered by
API.
2) If operating pressures are over 200 psi:
• Wall thickness shall conform to CPUC General Orders.
• Maximum allowable hoop stresses for gas shall be 40 percent of the specified minimum yield
strength.
• Maximum allowable hoop stresses for other high volatile fluids shall conform to ANSI, except that
the maximum hoop stress under the “test pressure” shall not exceed 90 percent of the yield strength.
• A pressure test at 1.5 times maximum operating pressure shall be conducted for 24 hours.
• Radiographic inspection of all field welds shall be made.
C. Sewer lines will not be steel pipe unless corrosion protective measures are provided.
D. Other pipelines may be steel, cast iron, ductile iron or approved material.
E. Electrical and communication conduits shall conform to CPUC General Orders. High voltage lines are not
permitted where the traveling public could be endangered.

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Table 6.5
Additional Encasement Requirements for Utility Facilities Located on Bridges
Encasement of utility facilities located on bridges must comply with the standard requirements and the following
additional requirements:

1. High risk utility facilities must be encased throughout the structure in a steel sleeve.

a) The sleeve must have a diameter sufficiently larger than the largest outside diameter of pipe (but not less
than 4") to facilitate removal and replacement of the pipe. The sleeve should extend at least 20' beyond the
back face of the abutment and 5' beyond the approach slab and wingwalls.
b) The space between the pipe and encasement must be vented effectively at each end of the structure so that
no pressure buildup is possible. It is not permissible to vent into the earth or backfill material because of
explosion possibilities.
c) In unusual instances, it may be impractical to provide encasement because of curvature, space limitations,
etc. Subject to approval by Office of Structures Maintenance, the wall thickness of the carrier pipe must be
increased in such instances.

2. Pipelines conveying water, sewage, and low volatile fluids:

a) The pipeline must be encased if it passes over a freeway, primary road or railroad. Other locations where
encasement is required are determined by Office of Structures Maintenance.
b) A box girder cell may be considered as the encasement for water and non-corrosive material if access is
available on the structure for the full length of the pipeline and the carrier is metal pipe.
c) To prevent leakage in the pipe from flowing under or around the bridge abutments, the encasement shall
extend at least 20' beyond the back face of the abutment and a minimum of 5' beyond the wingwalls and
approach slab whichever is greater.
d) It may be impractical to provide encasement in unusual instances because of curvature, space limitations,
etc., and other safeguards may be required.

3. Electrical and communication lines shall be encased in rigid metallic conduit or other approved material. All
electrical conduits shall be grounded according to the General Orders of the California PUC and the Electrical
Safety Orders of Cal-OSHA.

4. When not required, encasement should be considered if clearance is impaired or the utility facility is near such
hazards as high tension power lines, flood channels, subsiding ground, etc.

609 INSTALLING UTILITIES ON TOLL BRIDGES (Rev 05/07)

Utility encroachments on toll bridges may be approved by the Division of Design, Chief if costs
of alternatives are unreasonably excessive and if the proposed encroachment satisfies these
conditions:
1. The utility facility is not high risk (such as gas, oil, electrical, chemical, etc.).
2. The utility is lightweight.
3. Regular routine maintenance of the utility is not required.
4. Construction and maintenance of the utility facility is done only during hours
approved by Caltrans.
5. The utility facility has a backup system that avoids emergency maintenance and
repairs.

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6. Granting the utility owner permission to use the bridge does not obligate the
Division of Design, Chief to grant permission separately to all other similar
utility owners requesting use of the bridge.
7. The utility is governed by the California Public Utilities Commission or is
publicly owned, is dedicated to public use, and provides a service to the public.
8. The utility facility provides capacity for other utility owners of the same type of
service.
9. An adequate location on the bridge is available to allow proper placement of the
utility.
Requests for permits should be sent to the Division of Design, Chief for approval before issuing
a permit.

609.1 Limited Space Highway Facility (Rev 05/07)

A limited space highway facility is defined as a State Facility that the Department has
determined to have a limited amount of space available for the installation of Communication
Facilities, e.g., toll bridges. The determination of which highway facilities are limited capacity
shall be made by Structures, if a bridge, and the Division of Design, Chief, if a highway. Once a
State highway facility is determined to be a limited space facility the following conditions will
apply:
1. The first applicant requesting an encroachment permit for the installation of a
communication facility will be required to enter into a Master Agreement for
Longitudinal Encroachment on Limited Facilities.
2. The Master Agreement shall contain all of the conditions that govern the installation,
operation, use, and maintenance of said communication facility.
3. Each Master Agreement shall be reviewed and approved by Caltrans legal.

610 VEHICULAR TUNNELS AND TUBES (Rev 05/07)

A public utility facility or other encroachment shall not be permitted within a vehicular tunnel or
tube. An encroachment occupying an existing tunnel or tube that is incorporated in a new
highway improvement may be allowed to remain under special circumstances with the approval
of the Division of Design, Chief. Whenever feasible, the encroachment should be relocated.

611 CABLE TELEVISION

Privately-owned cable television systems holding city or county franchises may be granted aerial
or underground encroachment privileges the same as public utilities, provided that Sections 682-
695 of the Streets and Highways Code are met. They may be granted biennial maintenance
permits.

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Other privately-owned cable television system facilities not covered by city or county franchises
may only be attached to existing utility poles or placed in existing underground ducts subject to
the owner's consent as set forth in CPUC General Orders.

In any case, use of highway structures is subject to Structures Maintenance approval.

612 TELEPHONES

As a public convenience, Caltrans allows telephones in the right-of-way. An encroachment

permit is required for their installation, operation, and maintenance. They are placed only at
locations authorized by statutes.

612.1 Coin and Credit Card Operated Phones

Districts may permit coin or credit card-operated telephones in the right-of-way only at rest
areas, vista points, park-and-ride lots, truck inspection facilities, and in bus passenger waiting
shelters that are located on conventional highways and are equipped to hold the telephones. State
statutes and Caltrans policies do not permit coin-operated telephones at other State highway
right-of-way locations because telephones are a form of vending that is prohibited by Section
731 of the Streets and Highways Code.

Caltrans, law enforcement, or local agencies may request telephone installations in roadside rest
areas, vista points, park-and-ride lots, or truck inspection facilities. Permits are issued to the
requesting authority (if not Caltrans) and the installing telephone company at no charge. Local
public transit agencies must request permits for telephones in existing and proposed bus
passenger waiting shelters.

The maximum number of telephones to be installed at roadside rests, vista points, and park-and-
ride lots is determined by the District Landscape Architect in cooperation with Maintenance and
Traffic Operations. The California Highway Patrol and Caltrans will agree to the number of
telephones needed in truck inspection stations.

Local agencies and law enforcement may request telephones along rural conventional highways
when existing facilities and suitable installation locations are not available outside the right-of-
way. These telephones must not be coin or credit card operated. Permits are issued to the local
agency, and an additional permit is issued to the installing telephone company for operation and
maintenance.

When a telephone owner requests a permit to maintain existing telephones that were installed
without a permit, districts should review the facility for conformance to current policy. When
appropriate, the telephones can remain in place and a permit can be issued.

All telephones must provide telephone company operator assistance.

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612.2 SAFE Telephones

Streets and Highways Code Section 2550, enacted in 1985, authorizes county and regional
government bodies to establish Service Authority for Freeway Emergencies (SAFE) agencies.
SAFE agencies are ratified by a majority of the cities encompassed by the SAFE jurisdiction.
They function as the administrative body to develop, implement, operate, and fund freeway and
expressway emergency telephone systems. Systems are installed by locally administered contract
under encroachment permit. SAFE funding comes from a one-dollar assessment by the
Department of Motor Vehicles on each registered vehicle in the jurisdiction.

SAFE telephones are acceptable on highways included in the freeway and expressway system
and connecting highways under jurisdiction of the California Highway Patrol (see Streets and
Highways Code 131.1). They also are acceptable in park-and-ride lots as provided in SAFE
guidelines. SAFE systems shall connect directly to CHP dispatch.

Only local authorities may propose SAFE systems. Site selection and design are determined by
SAFE and the District SAFE Coordinator. After the District SAFE Coordinator accepts the plans
as complete, a copy of the plans and the cooperative agreement are sent to the permit engineer
for permit issuance. No additional review is required by the permit engineer. Any Caltrans' costs
attributed to the project are reimbursed according to the SAFE/Caltrans cooperative agreement.

The encroachment permits issued to SAFE for construction and subsequent maintenance of the
project are fee exempt. However, SAFE’s contractor shall be charged permit issuance and
inspection fees under the double permit process. For additional information on SAFE call boxes
see the Publication Titled, “CHP/Caltrans Call Box and Motorist Aid Guidelines.”

613 ENCROACHMENTS NO LONGER IN USE

Generally, facilities that are no longer in use should be removed from the right-of-way.
However, with the approval of the Department, certain underground encroachments may be
allowed to remain when: the highway segment is to be abandoned, removal would involve
cutting the pavement, removal would seriously disrupt traffic and create a hazard, or when cost
of removal exceeds the salvage value and the abandoned facility will not create a significant
conflict with future highway improvements.
Facilities made of hazardous materials (such as asbestos) should be removed whenever possible.
Filling abandoned pipes with sand, two-sack slurry cement, or Controlled Low Strength Material
(see Appendix H) may be required to protect the highway when pipes are abandoned in place.
This requirement is mandatory for metal pipes 12" or larger in diameter and for all other pipes
24" or larger in diameter.

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614 EXCEPTIONS TO POLICY AND STANDARDS (Rev 05/07)

The Division of Design, Chief, shall approve any exceptions to Statewide policies and standards
governing encroachments within the State highway right-of-way. Table 6.6 lists encroachments
that require approval of the Division of Design, Chief. Procedures and requirements for seeking
variances and exceptions are discussed in Chapter 3.

Table 6.6
Utility Facilities Requiring Approval of
the Division of Design, Chief

These utility facility encroachments require approval of the Division of Design, Chief:

Freeways and Expressways • Exceptions to the policy on accommodation of utilities

within freeway right-of-way.
• Longitudinal encroachments, including underground
pipelines, utilities, and utility poles along highways.

• Utility support structures, manholes or other

appurtenances within access control lines.
• All encroachments involving locked gates in access
control fences.
• Any access to utility facilities from through lanes or
ramps.

Conventional Highways • Longitudinal placement of private facilities

615 FHWA APPROVAL

Requests for installations on all federal-aid highway systems are handled at the district level if
they conform to the Code of Federal Regulations, 23 CFR 645, Subpart B. FHWA approvals for
utility installations that conform to 23 CFR 645, Subpart B (Appendix C) are approved by
Caltrans. FHWA must approve installations not conforming to Caltrans' utility accommodation
policy as approved by FHWA.

616 FRANCHISES (STREETS AND HIGHWAYS CODE 680)

All proposed city and county franchises and ordinances affecting State highways are processed
for review by the district Right of Way Utility Coordinator.

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617 ANNUAL MAINTENANCE (Rev 12/07)

Annual maintenance of utility facilities (e.g. installation of service connections, routine

maintenance, pole maintenance and treatment, etc.) is authorized by UM or UE permits.

Maintenance work on utility facilities within the right-of-way shall be authorized under an
encroachment permit, and a copy present at the work site. In absence of the original permit, a
current annual UE or UM maintenance permit, will allow maintenance work in compliance with
the General Provisions and current Utility Maintenance Provisions issued with the original
permit.

Utility Companies can provide pole maintenance & chemical treatment under their annual UE
permit, see Section 617.2.

Encroachment permits are required for utility companies to operate and maintain services to
State-installed facilities within the right-of-way. Service connections installed within a
conventional highway must comply with the utility company’s annual permit. A no fee Utility
Service (NUS) permit must be obtained by the utility company if the service connection does not
qualify under the annual permit. Freeway and expressway service connections having service
disconnects, meters, or shut-off valves or switches within the access control lines require the
utility owner to obtain a NUS permit for the connections.

Permit inspectors should note the following information on the Encroachment Permit Report
regarding work performed under an annual utility maintenance encroachment permit:

• Name of caller and telephone number.

• Permit number.
• Date and time of proposed work.
• Location of work (county and route).
• Type of work to be performed.
• Company work order.

UE Permits allow utility owners to install service connections, additional capacity aerial
facilities and perform ordinary maintenance of its facilities located within State highway right-
of-way. The UM Permits are more restrictive allowing routine maintenance activities but
prohibiting service connection and aerial work. These permits are issued for one or two year
periods.

617.1 Utility Maintenance Provisions

Permit Code UM

The UM annual permit is a restrictive maintenance permit that allows emergency and routine
maintenance of existing utility facilities on conventional highways without the privilege of
service connection installations as allowed under the UE permit. Detailed permissible activities
under the UM permit are shown in Appendix K.

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When a developer submits a permit application to construct a new utility, a one-time fee exempt,
“UM” permit is issued to the owner of that utility. This process requires that the utility owner
must also apply for an Encroachment Permit, otherwise no permit shall be issued to the
developer for any utility installation.

A developer may be required by a city or county to construct service connections that later will
be maintained by the utility company. Caltrans' policy for developer installed public utility
facilities is discussed in Section 622.

An exception to this policy would be in the case of a service installation only, where the utility
owner has a valid “UE” permit for placement of service installations, ownership, and
maintenance.

617.2 Encroachment Permit Annual Utility Provisions (Rev 12/07)

Permit Code UE

“UE” permits authorize utility companies and communication utility companies to inspect,
maintain, repair utility facilities, to make service connections under specified conditions, pole
and chemical treatment, and to make emergency repairs to remedy any interruption of service to
a customer.

Utility Companies are to provide a list with the pole identification, location(s), type of
chemical(s) and quantities used for their pole treatment maintenance operations.

This information shall be provided upon expiration of their UE annual permit or upon request of
the Department during the annual/biennial permit life as needed.

Utility Companies shall submit copies of the MSDS sheets for all chemical compounds to be used
in their pole treatment maintenance operations, in conjunction with the permit application
submittal.

Utility Companies are to notify the District Landscape Specialist or their designee and the
District Encroachment Permits Office when there is any change or modification in the type(s) of
chemical(s) used in their pole treatment maintenance operations.

Prior to any application or use of Tree Growth Regulators (TGR), prior approval shall be
obtained from the District Landscape Specialist or their designee, and the products used must be
on the Caltrans approved chemical list.

Public utilities and public corporations that lawfully maintain a utility facility in State’s right-of-
way, may perform routine maintenance and may perform emergency repairs of their facility
under the original encroachment permit. Such maintenance must be in compliance with the
Special Provisions and the General Provisions incorporated into the encroachment permit, and
with Caltrans' current Utility Maintenance Provisions.

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“UE” permits authorize communication utility companies to install additional capacity in
existing ducts by placing additional cable or replacing an existing cable with a greater cable pair
or fiber optics. Authorized work also includes interconnect splicing of existing cable pairs,
placement of air flow monitoring transducers and air piping facilities in existing conduits,
replacing pull boxes, and reconnection of existing service. Increasing the capacity of existing
aerial facilities is also allowed along conventional highways. Utility owners may place new
cable or replace existing cable provided the highway is not part of the State Scenic Highway
System.

Annual or biennial “UE” utility permits may be issued to public and private utility owners.

Communication utility owners are not authorized, under a “UE” Permit, to place conduit or
utility vaults in highway rights-of-way, or to make any excavations other than for potholing or
service connections under specified conditions.

Utility owners must apply for an encroachment permit to identify their ownership and establish
maintenance responsibilities of a utility service lateral within the State right-of-way. The utility
company should apply before the property owner is issued an encroachment permit for the
installation. Exceptions are allowed only when UE permits have been issued to the utility owner
for service installations, ownership, and maintenance.

A developer may be required by a city or county to construct service connections that later will
be maintained by the utility company. Caltrans' policy for developer installed public utility
facilities is discussed in Section 622.

618 CONVENTIONAL AERIAL

Permit Code UC

UC permits authorize aerial facilities on conventional highways. Utility companies may use
conventional highway right-of-way when adjacent utility easements or corridors do not exist on
private or public property. Pole line cross-arm members or conductors may not overhang private
property without an easement, so pole lines generally must be located on public property.

Maintenance of aerial facilities is authorized by UE annual permits. These annual permits allow
capacity increases when the carrying pole lines are designed and constructed to accept additional
cable or a larger replacement cable and new permits are not required.

Permit inspectors should ensure that aerial cables have the minimum vertical clearance required
by the California Public Utilities Commission. CPUC Rule 84-4-A6 indicates communication
cables installed longitudinally on conventional highways may have a minimum 16' clearance
when they do not overhang the thoroughfare or they are behind established curbs, ditches, or
berms. This new clearance applies even when there are connecting driveways, but does not affect
the 18' minimum clearance required for public connecting roads.

Supports for overhead lines in conventional highway right-of-way must be as close to the right-
of-way line as possible, and in no case closer than 1.5' in back of a curb face. Appendix F
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provides tables and details showing minimum clearances for aerial utility facilities (For
additional information see Highway Design Manual, Topic 309 Clearances).

619 FREEWAY AERIAL (Rev 05/07)

Permit Code UF

UF permits authorize aerial facilities that cross freeways and expressways. Utility facilities
affecting controlled access rights-of-way generally are direct crossings, but they may include
existing longitudinal installations approved to remain during construction or by prior permit.
These aerial utility facilities may be allowed for their useful life with relocation performed at
that time.

When existing facilities are covered by a Joint Use or Consent to Common Use agreement with a
utility company, the agreement specifies the utility’s right to remain in the freeway and fees
associated with the permit. A request for new longitudinal encroachments requires approval by
the Division of Design, Chief and normally is not permitted.

Installation or removal of overhead conductors crossing a freeway require traffic control by the
California Highway Patrol (CHP) and usually occur on weekend mornings. The CHP can
perform a rolling break in traffic on most highways to allow up to a five-minute clearing. These
breaks are adequate for simple cable installation. Utility personnel carry the conductors across
the freeway lanes and hoist them into place on the opposite side of the freeway.

On larger conductor crossings such as transmission lines, districts may determine that safety nets
are needed to prevent transmission lines from falling on traffic during cabling installations.
Temporary safety-net support poles are placed at protected locations outside shoulders and in
medians. If locations for temporary supports are not available, the utility company may use K-
rail and sand barrel crash cushions. After rope nets are strung during CHP traffic breaks other
work is then allowed to proceed.

Requirements that apply to transmission line supports for overhead lines crossing freeways are
shown in Table 6.7. Consideration should be given to underground facilities when spanning
roadways with aerial facilities is not feasible.

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Table 6.7 (Rev 05/07)
Requirements for Line Supports for Overhead Lines Crossing Freeways

Line supports for overhead lines crossing freeways must comply with these requirements,
they:

1. Should have a minimum lateral clearance of 30' from the edge of a through lane and 30'
from the edge of a ramp lane, when possible.

2. Shall be located outside the right-of-way or between the right-of-way line and access
control line if different. Any other placement must be approved by the Division of
Design, Chief.

3. Should not be permitted in medians.

4. Should not be permitted on cut or fill slopes.

5. Shall not impair sight distances.

6. Shall be compatible with access requirements.

620 UNDERGROUND LONGITUDINAL

Permit Code UK and Permit Code UL

Districts should classify longitudinal trenching for ducts, mains, directly-buried cable, and
multiple service lines as underground longitudinal work. Major underground longitudinal work
is authorized under the permit code UK and inspection fees are determined by the AX method
(see Encroachment Permit Fee Schedule). UL permits authorize minor projects with cost for
inspection determined by the same method. Individual service installations that require short
longitudinal trenching are placed under UE permits. However, when a number of parallel
services are proposed, it is preferable to place a distribution facility.

For very large installations (UK Permits), districts may need to require extensive traffic control
or detours. Permittees should prepare traffic control plans for Caltrans approval and obtain local
approval for detours. Additionally, these large facilities can have extensive shoring. If shoring
failures could damage State facilities or if the permit inspector must enter an excavation deeper
than 5’, permittees should submit shoring plans and calculations signed by the design engineer
for Structures Maintenance approval.

Caltrans' policy for developer installed public utility facilities is discussed in Section 622.

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621 STATE-REQUIRED RELOCATION (Rev 12/06)

Permit Code UR

UR permits authorize the relocation of utility facilities when such relocation is required by State
highway improvement projects.

For State highway contracts, district Right of Way utilities staff will have the utility owner
prepare plans during the design phase for review and approval by the project engineer. Right of
Way then prepares a Notice to Owner and sends this notice to Permits along with a copy of the
approved plans. The Office of Encroachment Permits has no involvement, except to issue the
“UR” permit to the Right of Way Utility Coordinator for issuance to the Utility Owner along
with the Notice to Relocate.

The permit should contain:

• General Provisions,
• A reference to the State contract,
• A brief description of the work,
• The construction inspector's name, address, and telephone number.
This information is provided on the face of the notice, and the issued permit may mimic the
notice to simplify procedures and avoid conflicting statements. Permits sends copies to
Maintenance, Construction, and the area permit inspector for information. Construction is
responsible for inspection and permit completion (TR-0129).

Section 604 addresses several requirements for utility facility relocations within the State
highway right-of-way.

The law governing liability for the cost of relocating utility facilities encroachments is complex
and must be interpreted uniformly and fairly. District permits personnel involved with relocation
proposals are cautioned not to try to interpret the law.

621.1 Determining Liability for Permit Fees

District Right of Way is responsible for determining liability for the cost of relocation. Utility
work that is ordered under a Notice to Owner is exempt from encroachment permit fees. Utility
owners requesting permits for work to be done in prior property rights' areas, shall also be
exempt from all permit fees.

621.2 Septic Tanks

Caltrans' policy does not allow any installation of septic tank leach pipes within the State right-
of-way.

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621.3 Performing Relocation Work

Whenever possible, utility facility relocation or protection work that is required by highway
improvement or construction shall be performed by the owner before the highway work begins.
Arrangements for such work shall be made with the owners by the district Right of Way Utility
Coordinator.

622 SERVICE, POTHOLE, MODIFICATIONS, AND CONNECTIONS

Permit Code US

Separate permits for service connections and potholing are issued only when annual “UE”
permits are not issued to the owning utility company or in special cases where property owners
perform the work. Separate permits are needed for authorized connections in controlled access
rights-of-way and when owning utility companies only have “UM” maintenance permits.

Potholing, to determine utility depth before State highway contract work, is handled through a
right-of-way issued utility notice and UR permit.

Service connection permits are issued to the utility owner. Caltrans' policy does not allow the
installation and maintenance of public utility facilities by private individuals or non-public utility
corporations (except for sewer services) because of potential liability.

The use of State right-of-way by private individuals or non-public utility-corporations that

is not authorized by law would be a gift of public funds and therefore prohibited.

When Caltrans issues a permit for installation of public utility facilities, it does not inspect the
installation for compliance with the utility or public corporation standard. Compliance with
industry standards is the responsibility of the public utility or public corporation.

Caltrans' policy for developer installed public utility facilities is listed as follows:

Longitudinal Installation

1. Permits for installation of longitudinal public utility facilities in the right-of-way are
issued to the developer, private individual, or non-public utility-corporation. The
permittee's contractor may install the facility under our General Provisions item 4 (see
Appendix K).

The developer, private individual, or non-public utility-corporation, assumes

responsibility to coordinate submission of an application from the public utility or
public corporation for a permit to own, operate and maintain the facility. The
installation permit shall not be issued until this application has been submitted.

The public utility or public corporation is not charged a fee for the permit to own,
operate, and maintain the facility.

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Service Connection

2. Permits for installation of public utility service connections’ that are transverse in the
rights-of-way may be issued to the developer, private individual, or non-public utility-
corporation. The permittee's contractor may install the service connection under
General Provisions item 4.

Except for sanitary sewer service connections, the developer, private individual, or
non-public utility corporation is responsible for coordinating submission of an
application from the public utility or public corporation for a permit to own, operate,
and maintain the facility. However, a public utility or public corporation having a UE
permit is exempt from applying. The installation permit shall not be issued until this
application has been submitted.

The public utility or public corporation is not charged a fee for the permit to own,
operate, and maintain the facility.

Transverse Sanitary Sewer

3. Permits for installation of transverse sanitary sewer service connections in the right-of-
way are issued to the developer, private individual, or non-public utility-corporation.
No application to own, operate, and maintain is required of the public corporation. The
permittee's contractor may install the service connection under General Provisions item 4.

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623 TRENCHLESS TECHNOLOGIES (Rev 07/2008)
Bore & Jack / Horizontal Directional Drilling / Micro-Tunneling / Pipe Ramming / Pipe
Bursting
Permit Code UJ

The establishment of a “Survey Grid Line” is required on installations with proposed “hole-
diameters at 30” or greater,” and may be required on installations with hole-diameters < 30” if
warranted. All transverse-crossings of State Highway right-of-way require encasement.
(See Table 6.8)

623.0 Introduction (Rev 07/2008)

Utility installations and service installations are not permitted to be placed within culverts or
drainage structures within State highway right-of-way.

The installation of underground utilities within State highway right-of-way shall be performed
by the use of a trenchless technology, in most cases. Open-cut installations will only be allowed
as a last resort, by issuance of a “UT” permit. The requirement for encasement of utility
installations is for the protection of the traveling public and to minimize the amount of
disturbance to the structural integrity of the roadbed.

In specific cases encasement may cause a reduction in cathodic protection to the carrier pipe,
which may result in corrosion to the pipeline. In these specific cases when authenticated and
warranted, encasement of said facility may be waived. Encasement requirements are shown in
Table 6.8.

Encasement may be required for longitudinal utility installations within city or county roadways
that cross within State highway right-of-way.

623.1 Bore & Jack (Rev 10/03)

Utility installations placed by the bore & jack method shall be monitored to ensure that the
integrity of the existing roadway elevations are maintained.

Bore & Jack consists of cutting of the soil, generally 6” to 8” ahead of the pipe being jacked
simultaneously, by an auger placed within the encasement. The encasement should generally
support the integrity of the hole. When the encasement is also to serve as the carrier facility for
hazardous materials, the use of another trenchless installation is recommended. Potential damage
could occur during the jacking process, rendering the use of that facility as the carrier pipe
useless.

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Table 6.8 (Rev 07/08)

Encasement Considerations for Transverse Crossings

Encasement Requirements based on:

Installation Method, Type of Highway Facility, and Material Transported in Carrier

Bore and Jack Directional Drilling Trenching

Facility Type Frwy/Expwy Conventional Frwy/Expwy Conventional Frwy/Expwy Conventional

High Risk Encase Encase Encase Encase Encase Encase

(Section 605)
Low Risk Encase Encase Encase Encase Encase Optional*
(Section 605)
Exempt Encase Encase Optional* Optional* Optional* Optional*
Facilities
(Section 605)
Pressurized Fluids Encase Encase Encase Encase Encase Encase
Natural Gas Lines Optional* Optional* Optional* Optional* Optional* Optional*
Minimum 7.5' Depth
(Appendix H)
Gravity Flows Encase Encase Encase Encase Optional* Optional*
NOTE*:“Optional” means at the discretion of the District Permit Engineer.

623.1A Encasements (Rev 10/03)

Encasements that house carrier pipes under pressure shall be steel pipe with a minimum inside
diameter sufficiently larger than the outside diameter of the pipe or duct to accommodate
placement and removal and shall conform to Caltrans’ Standard Specifications. The steel
encasement can be either new or used, or of the approved connector system. Used steel casing
shall be pre-approved by a Caltrans' representative prior installation.

When the method of Horizontal Directional Drilling is used to install the encasement, the use of
High Density Polyethylene Pipe (HDPE) as the encasement is acceptable. In specific instances
the approval of Headquarters Office of Encroachment Permits, may be required.

Reinforced Concrete Pipe (RCP) in compliance of State Standard Specifications is an acceptable

carrier for storm drain gravity flow or non-pressure flow. RCP when installed by Bore & Jack
shall have rubber gaskets at the joints, and holes for the grouting of voids left by jacking
operations (see grouting requirements in # 4 below).

Encasement requirements:
1. All transverse crossings, single ducts or pipes 6" or greater in diameter shall be
encased. Installation of multiple ducts or pipes, regardless of diameters, shall require
encasement (for exceptions see Appendix H).
2. The minimum wall thickness required for steel encasements is based on lengths and
diameters of pipes. See Table 6.9.
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3. Encasement ends shall be plugged with un-grouted bricks or other suitable material
approved by the Caltrans' representative.
4. The Caltrans' representative may require the permittee to pressure grout, filling any
voids generated in the course of the permitted work. Grouting shall be at the expense of
the permittee. Grout holes when placed inside the of the pipe, generally on diameters of
36” or greater, shall be on 8' centers, longitudinally and offset 22 degrees from vertical,
and staggered to the left and right of the top longitudinal axis of the pipe. Grout
pressure shall not exceed 5 psig for a duration sufficient to fill all voids.
5. There is a spacing requirement when placement of multiple encasements is requested.
The distance between multiple encasements shall be the greater of either 24” or twice
that of the diameter of the larger pipe being installed.
6. Wing cutters when used shall only add a maximum of 1'' in diameter to the outside
diameter of the encasement pipe. Voids in excess of the Standard Specifications shall
be grouted.
7. A band welded to the leading edge of the encasement pipe should be placed square to
the alignment and not on the bottom edge of pipe. A flared lead section on bores over
100' shall not be permitted.
8. The length of the auger strand shall be equal to that of the section of encasement pipe.
9. Encasements placed within conventional highway right-of-way shall extend 5' beyond
the edge of the paved shoulder, back of curb, or to the highway right-of-way line.

10. Encasements placed across controlled access right-of-way shall extend to the highway
right-of-way lines.
Table 6.9
Required Thickness for Steel Pipe Casings

Minimum Wall Thickness

Casing Diameter Up to 150' Length Over 150' Length

6'' to 28'' 1/4'' 1/4''

30'' to 38'' 3/8'' 1/2''

40'' to 60'' 1/2'' 3/4''

62'' to 72'' 3/4'' 3/4''

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623.1B Bore and Receiving Pits (Rev 10/03)

Requirements:

1. Shall be located a minimum of 10' from the edge of pavement in rural areas, or at least
5' beyond the concrete curb and gutter or AC dike in urban areas, or at least 5' beyond
the toe of slope of embankments.

2. Shall be located outside of controlled access highway right-of-way. EXCEPT, when

approved by the district for direct crossings that are excessively long, or there is
restricted space available for placement, outside of the right-of-way. Those portions of
the installation not placed by Bore & Jack shall be encased by the open trench method.

3. Protected by placement of 6' chain link fence or Type-K barrier around them.

4. Shored in accordance to Cal-OSHA requirements. Shoring of pits located within 15' of

lanes within State highway right-of-way shall not extend more than 36'' in height above
the pavement grade, unless authorized by a Caltrans' representative.

5. Reflectors shall be affixed to the shoring on all sides facing traffic.

6. Pits shall not affect any State facilities, or create a hazard to the traveling public.
Damaged State facilities shall be replaced in-kind or repaired to their original state.

7. All pits should have crushed-rock and sump areas to clear groundwater and water used
to clean the casings. Pits shall be lined with filter fabric when groundwater is found and
pumping is required.

8. Temporary Type-K railing shall be placed at a 20:1 taper or as otherwise directed by

the Caltrans’ representative to maintain the integrity of the adjacent travel lane.

A tunnel is defined as any installation that is 30'' or larger in diameter (see Section 518, and
Table 5.24 - Permit Code TN).

623.2 Horizontal Directional Drilling (Rev 07/08)

Horizontal Directional Drilling is another trenchless method for the placement of encasement
and/or carrier pipe under, across or within existing highway right-of-way.

623.2A BACKREAMER DETECTION

JANUARY 1, 2000, sonde detection on the backreamer is required. (See Appendix E,

“Guidelines and Specifications for Trenchless Technology Projects”)

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623.2B Documentation of Projected Path (Rev 10/03)

The permittee shall provide a copy of the bore-log showing horizontal and vertical alignment
(depth). A bore-log shall be kept for both the pilot bore and the reaming process. These records
shall be provided to the Department’s representative daily. The bore-log shall depict a plan
profile of the actual bore path.

623.2C Safety Requirements

Protective safety gear shall be worn by all members of the contractor's crew, (Die-Electric boots
are recommended.

623.2D Permit Application Submittal

All utilities that are installed by HDD shall provide "As-Builts" upon completion of the job.

The permit application package should contain the following information in support of the
permit application; construction plan, site layout plan, project schedule, communication plan,
safety procedures, emergency procedures, company experience record, contingency plan and a
drilling fluid management plan in support of the permit application.

1. Location of entry and exit point.

2. Equipment and pipe layout areas.
3. Proposed drill path alignment (both plan & profile view).
4. Location, elevations and proposed clearances of all utility crossings and structures.
5. Proposed Depth of cover.
6. Soil analysis **.
7. Product material (HDPE/steel), length, diameter-wall thickness, reamer diameter.
8. Detailed pipe calculations, confirming ability of product pipe to withstand installation loads
and long term operational loads including H20.
9. Proposed composition of drilling fluid (based on soil analysis) viscosity and density.
10. Drilling fluid pumping capacity, pressures, and flowrates proposed.
11. State right-of-way lines, property, and other utility right-of-way or easement lines.
12. Elevations.
13. Type of tracking method/system.
14. Survey Grid establishment for monitoring ground surface movement (settlement or heave)
due to the drilling operation.

Note: ** May be waived by the District Permit Engineer on HDD jobs of less than 6" in diameter and
on a transverse crossing less than 150' in length.

ALL ADDITIONAL PERMIT CONDITIONS SHALL BE SET FORTH IN THE SPECIAL PROVISIONS OF
THE PERMIT.

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The following, outlines recommended depths for various pipe diameters:

RECOMMENDED MINIMUM DEPTH OF COVER

DIAMETER DEPTH OF COVER

2 inches to 6 inches 4 feet

8 inches to 14 inches 6 feet
15 inches to 24 inches 10 feet
25 inches to 48 inches 15 feet

The permittee/contractor shall, prior to and upon completion of the directional drill, establish a
Survey Grid Line and provide monitoring.

Upon completion of the work, the permittee shall provide an accurate “As-Built” drawing of the
installed pipe.

623.2E Soils Investigation

A soil investigation should be undertaken, suitable for the proposed complexity of the
installation to confirm ground conditions.

Definition: Soil Analysis

Common sense must be utilized when requiring the extensiveness of the soil analysis. A soil
analysis is required in order to obtain information on the ground conditions that the contractor
will encounter during the HDD operation.

If, the contractor can go to the project site and do an excavation with a backhoe to one foot
below the proposed depth of the bore, that is a soil investigation. In all cases when an
excavation is made in creating of an entrance and exit pit for a HDD project, that is an example
of a soil investigation. The HDD process is in itself a continual and extensive soil analysis as the
pilot bore is made and it encounters the varying soils and formations the drilling slurry will
change colors, therefore providing the contractor with continual additional information.

The purpose and intent of the soil analysis is to assist the contractor in developing the proper
drilling fluid mixture, and to ensure Caltrans that the contractor is aware of the conditions that do
exist in the area of the proposed project. This prepares the contractor in the event they should
encounter a zone of pre-tectonics, and that they would need additives or preventive measures in
dealing with inadvertent returns (frac-outs).

The discretion on the extensiveness of the soil analysis is left to each individual District Permit
Engineer (DPE) respectfully, for their respective areas. The inspectors play a large role in
assisting the DPE in making decisions on the extensiveness. Each individual inspector has a
general knowledge of the soil conditions in their area of responsibility.

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In many circumstances the soil information has already been prepared, either by Caltrans or by
City and County Entities. This information if existing should be provided to the requesting
permittee, if there is a structure within 1/2 mile of the proposed project, then Caltrans has already
done an extensive soil analysis and the information is stored in our Maps & Records Branch.
As-Builts, on our freeways and highways provide stationing and detailed information regarding
soil information, cut and fill areas.

623.2F Determination of Soil Investigations

The District Permit Engineer (DPE) should determine the extensiveness of the Soil Investigation
to be performed based on the complexity of the HDD operation, the DPE may recommend
according to the guidelines listed below, a combination of, or modify the guideline to fit the
respective area:

Projects less than 500' in length, where the product or casing is 8" or less in diameter:

A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) subsurface strata, fill, debris and material

Projects less than 800' in length, where the product or casing is 14" or less in diameter:

A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) subsurface strata, fill, debris and material
b) particle size distribution (particularly percent gravel and cobble)

Projects where the product or casing is 16" or greater in diameter:

A geotechnical evaluation by a qualified soil engineer to determine the following.

a) subsurface strata, fill, debris and material,
b) particle size distribution (particularly percent gravel and cobble),
c) cohesion index, internal angle of friction, and soil classification,
d) plastic and liquid limits (clays), expansion index (clays), soil density
e) water table levels, and soil permeability,

Projects where the product or casing is 24" or greater in diameter:

A geotechnical evaluation by a qualified soil engineer to determine the following.

a) subsurface strata, fill, debris and material
b) particle size distribution (particularly percent gravel and cobble)
c) cohesion index, internal angle of friction, and soil classification
d) plastic and liquid limits (clays), expansion index (clays), soil density, and penetration
tests,
e) rock strength, rock joint fracture and orientation, water table levels, and soil
permeability,
f) areas of suspected and known contamination should also be noted and characterized.
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Boreholes or test pits should be undertaken at approximately 250 to 410 feet intervals where a
proposed installations greater than 1000' feet in length and parallel an existing road. For road
crossings a borehole or test pit shall be undertaken on either side with one or more additional
boreholes or test pits in the median where conditions permit. Additional boreholes or test pits
should be considered if substantial variation in soil conditions are encountered.

Should the soil investigation determine the presence of gravel, cobble, and/or boulders, care
should be exercised in the selection of drilling equipment and drilling fluids. In such ground
conditions the use of casing pipes or washover pipes may be required or specialized drilling
fluids utilized. Fluid jetting methods used as a means of cutting should only be considered
where soils have a high cohesion such as stiff clays.

Directional drilled gravity sewers shall only be considered where suitable soil conditions are
present. Suitable soil conditions include homogenous soils consisting of clays, silts, silty sands,
and sands that would allow for good control of the drill head during the pilot hole drilling.

623.3 Microtunneling

Microtunneling is a hybrid of the tunneling industry (miniaturization of tunnel boring machines)

and the pipeline industry where pipe jacking has been used for more than 100 years.
Microtunneling does not require personnel entry into the tunnel.

623.3A Introduction

Microtunneling is a special construction method suitable for many conditions where open cut
construction methods are not cost effective, too disruptive, or not physically possible.

623.3B Microtunneling Permit Application Submittal

The encroachment permit application package submittal, shall consist of two separate submittals.
The first submittal shall be by the Owner of the installation (623.3B). The second submittal
required shall be by the owner's contractor, when applying for the "DP" (623.3C).

The encroachment permit application package shall contain a construction plan, site layout plan,
project schedule, communication plan, safety procedures, emergency procedure, company
experience record, in addition to the information listed as follows:

The first submittal by the owning agency shall contain the following plans and
information:

1. Drive lengths
2. Proposed depth
3. Shaft; jacking and receiving shafts, manhole construction, shaft backfill, and shoring removal;
• Type of shaft;
a) Sheet Pile

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b)Beams and Lagging
c)Trench Box
d)Auger Drilled and Lined
e)Caissons
4. Intermediate jacking stations;
• Number of Stations;
a) Required by Specifications
b) On site
5. Geotechnical; including ground water information
• Geotechnical evaluation by a qualified soil engineer to determine the following;
a) Boring logs & plan locations of borings and cross sections, Subsurface strata, fill and
ground water elevations
b) Particle size distribution (particularly percent rock and cobble),
c) Cohesion indexes, internal angle of friction, and soil classification,
d) Plastic and liquid limits (clays), expansion index (clays), soil density, and penetration
tests,
e) Rock strength; rock joint fracture and orientation, water table levels, and soil
permeability,
f) Areas of suspected and known contamination should also be noted and characterized.
• Should the soil investigation determine the presence of rock, cobbles, and/or boulders,
determination of the following information would be required;
a) Depth and extent of rock
b) Rock type
c) Rock strength
d) Rock joint/fracture spacing
e) Hardness
f) RQD
g) Estimated range of sizes & frequency of occurrence of cobbles and boulders.

Boreholes or test pits for road crossings shall be undertaken on both sides with one or more
additional boreholes or test pits in the median where conditions permit. Additional boreholes or
test pits should be considered if substantial variation in soil conditions are encountered. Where a
proposed installation parallels an existing road, boreholes or test pits should be undertaken at
approximately 250 to 410 feet intervals.

623.3C Contractor's Submittal

The second submittal by the owner's contractor shall contain the following plans and
information:

1. Shaft; soil stability at portals and ground improvement.

2. Dewatering plans for jacking and receiving shafts, if any.
3. Shoring design for jacking and receiving shafts.
4. Survey control plan: lasers, laser mounting, laser checking.
5. Ground surface settlement monuments and subsurface settlement monuments monitoring program
plan.
• Buried points
a) Rebar points, or
b) MPBX (Multi-point borehole extensometers)

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6. Recycling information; slurry mix and polymer additives, slurry separation plant type, and spoils
disposal;
a) Removal of slurry in dump trucks.
b) Removal of slurry in tankers.
c) Settlement ponds.
d) Muck piles on site.
7. Contingency plan information;
a) Ground improvement plans when required at portals and/or behind thrust block/reaction
wall due to weak and unstable soil conditions.
b) Obstruction removal through emergency (911) shafts or other means.
c) Mechanical breakdowns and recovery of the MTBM through 911 shafts or other means.
d) Control of hydrofracture and slurry loss.
e) Remediation of loss of ground and excessive ground surface settlement.

623.4 Pipe Ramming (Rev 10/03)

Pipe Ramming pit requirements are identical to those for Bore & Jack.

Establishment of a survey-grid line is required.

Before any project begins, exploration bore-holes and a complete geotechnical investigation
shall be conducted to determine possible difficulties in order to determine the drilling trajectory.

The casing shall be rammed open ended, except when the diameter is 6” or smaller. Pipes 6” or
smaller may be rammed open ended or closed.

A soil shoe may be installed on the leading edge of the casing, either by fabrication on site or
obtained from the manufacturer. A soil shoe shall not be utilized on those installations at depths
or 18” or less from the surface.

Lubrication shall only be utilized to reduce friction and increase production. The amount of
lubrication directed to the outside of the pipe shall only be of a sufficient amount required to fill
the void between the outside of the pipe and soil, as created by the soil shoe.

Lubrication to the inside of the casing shall only be an amount adequate to assist in spoil
removal when the ram is completed.

Welding of the casing at joints shall be as per the manufacturer’s recommendations.

The use of straps at each joint on pipe diameters of 12” or larger is required as is the use of the
manufacturer’s specified welding wire or rod.

Spoil removal for rammed encasements of 30” in diameter or less, may utilize pressurized air or
water.

Air pressure shall not exceed 150 psi and water pressure shall not exceed 300 psi.

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Encasements larger than 30” in diameter shall have the spoils removed by other means than by
pressurizing of the pipe, such as, manual, auguring, vacuum, washing or other means.

The Receiving Pit shall be steel plated entirely when the spoils are to be removed from within
the encasement by means of air or water pressurized methods.

623.5 Pipe Bursting (Rev 10/03)

Pipe Bursting operations generally are only performed by the owning utility when they
have exceeded the operating capacity of their existing facilities. In most cases pipe bursting
allows the utility owners the advantage of upgrading their existing facilities by up to 50%.

On installations of diameters 12” or greater it is necessary to establish a survey-grid line and

establish the existing elevation points over the existing area of installation.

A soil analysis should be required and review of the information to identify any locations of
difficulty, density, water table, changes in soil formation that could present or create greater
friction resistance.

Request information of the proposed project as to:

1. the ratio of the proposed upgrade to determine difficulty, generally up to 25% increase
in diameter is common. An increase of 25% - 50% is considered challenging, and an
increase of 50% or greater is considered experimental.

2. the existing depth of cover, “rule of thumb” depth of cover should be at least 10X the
difference in the upgrade of the existing diameter to be burst.

3. whether or not the existing line has been viewed by video, do not allow line to be burst
blind.

4. is this proposed line straight or are there bends in the line.

5. if bends are existing in the line, the location of the bend will have to be excavated and
new pits re-established at those locations.

6. require that the contractor provide a list of equipment to be on site to handle an

emergency, in the event that bypass pumping is required to maintain the existing
service in the event of a problem.

7. as to what method will be utilized (static, pneumatic, burst and jack, or hydraulic).

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623.6 Tunneling - Rib & Lagging (Rev 10/03)

NOTE: All projects will vary in their own characteristics. General similarities are listed below to
provide a general understanding of these types of projects.

Establishment of a survey-grid line and existing elevation points shall be over the centerline and
wing points of the installation.

Designed plans and specifications, calculations and details (liner plates, rib & lagging, bracing,
etc.) shall be stamped by a Registered Structural Engineer, or a Registered Civil Engineer, with a
minimum of five (5) years experience in sub-structural design of tunnels. Proof of experience
shall be submitted on “Certification of Structural Experience,” form TR-0133, in conjunction
with project package submittal.

A geotechnical investigation and soil analysis by a licensed geotechnical engineer/engineering

geologist is required. It shall provide identification of any locations of difficulty, changes in soil
formation, or mixed face conditions that could present or create ground loss, exploratory soil
corings and logs are required along the tunnel alignment at intervals of twenty-five to one-
hundred feet {25’ to 100’}.

When the length of the tunnel is greater than four hundred feet (> 400’), alignment holes may be
required. Alignment holes shall be drilled at a maximum spacing of two-hundred feet (200’) and
a casing of four to six inches (4” to 6”) in diameter installed vertically, to a depth necessary for
the installed casing to extend into the tunnel excavation. When alignment holes fall within the
pavement area of the roadway, the pavement shall be saw-cut, a cover shall be placed over the
end of the casing at grade, and the space around the casing within the roadway filled with
concrete (EXCEPT in controlled access right-of-way).

623.6A CAL/OSHA Requirements (Rev 10/03)

The California Code of Regulations (CCR) mandates the following requirements for Tunneling
Projects.

The Owner or Local Entity proposing the construction of the tunnel shall make a full submittal to
the Department of Industrial Relations, Cal/OSHA, to determine tunnel classification (CCR
8422).

Development of a check-in/check-out procedure to ensure an accurate account of personnel

underground in the event of an emergency (CCR 8410).

Development of an Emergency Plan, that outlines duties and responsibilities of all personnel on
the project during an emergency. The plan shall include ventilation controls, fire fighting
equipment, rescue procedures, evacuation plans and communications (CCR 8426).

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Cal/OSHA requires a State of California certified person performing the duties of gas tester or
safety representative to be certified by passing a written and an oral examination administered by
the Cal/OSHA Mining & Tunneling Unit (CCR 8406(f), (h)).

A certified safety representative shall direct the required safety and health program and must be
on-site while employees are engaged in operations during which the Tunnel Safety Orders (TSO)
apply (CCR 8406(f)).

The certified safety representative must have knowledge in underground safety, must be able to
recognize hazards, and must have the authority to correct unsafe conditions and procedures
subject to the TSO (CCR 8406(f)).

A State of California certified gas tester is required for the following operations:
• All classifications other than non-gassy
• Projects during which diesel equipment is used underground
• Hazardous underground gas conditions (CCR 8470).

623.6B Tunnel (Rev 10/03)

Tunnel construction is accomplished by the method of Hand-mining, or by Mechanical means,

and the use of a protective shield.

Continuous monitoring and observation of the ground surface above the tunnel is required. In
some cases it may be required to survey and record elevations along the survey grid line, several
times a day, or daily.

Generally, when tunneling in good ground, tunnels with a diameter of less than eight-feet (< 8’)
and less than three-hundred feet to four-hundred feet (300’ to 400’) in length may be holed-
through (excavated completely) before concreting the interior of the tunnel, when placement of
pre-fabricated or pre-cast pipe is to be installed. When this is proposed, hole-through
(unsupported length) before concreting of the interior of the tunnel, it shall be justified by the
original subsurface geotechnical investigation and design.

Tunnel lining and bracing should consist of steel ribs and steel spreaders (dutchmen) with wood,
concrete, or steel lagging, or with bolted steel liner plates.

Fireproof materials should be utilized in all construction of plant structures, above ground,
within one hundred feet (100’) of the shaft or tunnel. The use of flammable materials or wood
shoring would require that adequate fire protection be provided.

Ventilation systems shall be established and provide a minimum of two hundred (200) cfm per
worker.

• All equipment shall maintain a minimum clearance of twenty-five feet (25’) from opening.
• An established contingency plan in the event of ground loss.

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• Cranes utilized in operations shall maintain minimum required clearances.

623.6C Tunnel Shield (Rev 10/03)

• The face of the shield shall be provided with a hood or an approved grid system.
• The excavation face shall have a sufficient length to allow for the installation of one (1)
complete ring of liner plates, or one (1) complete set of ribs and lagging before advancing.
• The contractor shall submit details and design information of the shield.

623.6D Tunnel Lining (Rev 10/03)

Tunnel lining and bracing should consist of steel ribs and steel spreaders with wood lagging and
concrete, or steel lagging, or with bolted steel liner plates.

The tunnel liner and bracing shall be designed (calculations provided) of an adequate strength
based upon the geotechnical investigation, soil analysis, loading, and the diameter and depth of
cover to provide adequate support of the tunnel.

• A ring expander shall be used to expand the rib continuously outward and upward.
• Liner plates shall be designed based on joint strength, minimum stiffness, critical buckling of
the liner plate wall, and deflection or flattening of the tunnel section.
• On tunnels with a diameter greater than ten feet (> 10’), the placement of ribs inside of liner
plate may be required.
• When the geotechnical investigation has determined that silts and fine sands exist, that may
flow under pressure, all liner plates shall include a neoprene gasket adhered to each flange
face.

623.6E Lagging (Rev 10/03)

Lags are generally started at spring line and continue upwards towards the crown.

Lag spacing consists of three methods:

1. Wedging – done by driving a block of wood between the earth and the lag at each end, or by
driving a wedge between the rib and the lag.
2. Stops – by welding small angles to the ribs outer flange to prevent sliding.
3. Clamps – which are applied to wood or steel lags.

If the spacing of lags between ribs is used in tunnel construction, packing between lags with
filler may be required.

• Lags are boards of steel plates placed longitudinally against the roof and walls of the tunnel
excavation.
• Steel lagging may consist of channel, liner plate or corrugated metal.

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• Steel lagging thickness shall be designed on strength based upon the geotechnical
investigation, soil analysis, and loading.
• Wood lagging thickness shall be designed on strength based upon the geotechnical
investigation, soil analysis, loading. Generally wooden lags common size are three-inches
by six-inches (3” x 6”), and the length is cut according to the spacing of the ribs.
• A minimum of one liner plate per ring with a two-inch (2”) diameter coupling for grouting is
required.

623.6F The Construction of Shafts / Pits (Rev 10/03)

Shafts / pits should be constructed of a proper size and shape, and equipped as to allow work to
be carried on safely.

• Shafts shall be constructed of driven steel sheet pilings, steel bracing and tight wood, or steel
lagging or steel liner plates and ribs.
• The removal of spoils should be accomplished by mechanical means (muck box).
• All shafts shall be provided with guardrail and a toeboard.
• When ladders are utilized within the shaft or pit, cages and/or safety devices shall be
provided on depths of fifteen to twenty feet (15’ to 20’), platforms shall be provided at
depths of greater than twenty feet (20’+).
• Ventilation systems shall be established and provide a minimum of two hundred (200) cfm
per worker.
• All equipment shall maintain a minimum clearance of twenty-five feet (25’) from openings.
• Upon completion of project all shafts, pits and drifts that are not part of the finished product
shall be backfilled.

623.6G Placement of Shafts / Pits (Rev 10/03)

Shafts / pits shall be:

• Located a minimum of ten feet (10') measured laterally from the edge of pavement on
conventional highways in rural areas.
• Located at least five feet (5') measured laterally beyond the concrete curb or AC dike on
conventional highways in urban areas.
• Located at least five feet (5') measured laterally beyond the toe of slope of embankments.
• Located outside of controlled access right-of-way.
• Adequately fenced or have a Type-K barrier placed around them at a 20:1 taper or as
otherwise directed.
• Shored according to Cal-OSHA minimum requirements. Located within fifteen feet (15') of
traffic lanes on a State highway shall not extend more than thirty-six inches (36'') above the
pavement grade unless otherwise authorized by the State representative. Reflectors shall be
affixed to the sides facing traffic, and placement around the perimeter of a six-foot (6') chain
link fence during non-working hours.
• Are only allowed in controlled access right-of-way for direct freeway crossings that are
excessively long or that have restricted space available outside the rights-of-way.
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• They shall not Affect State facilities or create a hazard to the traveling public. When
placement is approved within controlled access rights-of-way, damaged State facilities shall
be replaced or repaired according to State Standard Specifications.
• Shall have crushed-rock and sump areas to clear groundwater and water used to clean. They
shall be lined with filter fabric when groundwater is found and pumping is required.

623.6H Excavation (Rev 10/03)

In some locations Soil Stabilization may be required. It may become necessary at the direction
of the Engineer to either pressure grout or freeze the soil area of the project to control water, to
prevent loss of ground, to prevent settlement or displacement of an embankment. When
required, a Registered Geotechnical Engineer shall prepare and stamp the plans determining the
material and method for use.

In some projects masonry sections are installed, the amount of excavation of the tunnel should
not exceed the amount needed for placement of a full masonry section after all lining is in place.

All excavated material shall be considered as unclassified material.

• In the event of any ground movement over or adjacent to construction, all work shall be
suspended, except that which will assist in making the construction site secure and prevent
any further additional movement of the ground.
• Excavation should not be advanced beyond the edge of the shield, except in rock.
• The geotechnical engineer/engineering geologist shall determine the allowable amount of
tunnel length unsupported by bracing, based on the geotechnical investigation and design.
• All voids between the excavation and the liner shall be grouted after setting of ribs and
lagging, if not expanded to full contact with the surrounding ground, as determined by the
Safety Engineer.
• A log shall be maintained of all surrounding utilities and facilities.

623.6I Dewatering (Rev 10/03)

When ground water is anticipated, pumps of sufficient capacity to handle the flow shall be
maintained at the site. Observation shall be maintained to detect any settlement, displacement or
washing of fines into the pit, shaft or tunnel.

623.6J Grouting (Rev 10/03)

Grouting should be kept close to the heading (working front of tunnel). It may be required to add
pea-gravel and fly ash to the grout. The pea-gravel would assist in consolidation and the filling
of the voids, fly-ash works as a lubricant allowing the grout to free-flow.

• The use of grout stops may be utilized if necessary or if required by the Safety Engineer.
• Grouting shall be performed when ordered by the Safety Engineer.

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• At no time shall progression of the tunnel exceed six feet (6’) beyond the grouting of the
exterior void.
• Pressure on the grouting gauge should not exceed the capacity of the lining, sufficient to fill
all voids.
• A gauge shall be provided which will accurately indicate working pressure and shall be
monitored constantly during grouting procedures.
• Grouting shall start at the lowest point and proceed upwards simultaneously on alternating
sides.
• When grouting is complete at that location a threaded plug shall be installed into the
coupling.

623.6K Materials (Rev 10/03)

The form “Notice of Materials to be used,” form CEM-3101 is required.

• The manufacturer shall provide a Certificate of Compliance, to ensure tensile and yield
strengths.
• Steel lagging may consist of channel, liner plate or corrugated metal.
• Steel lagging thickness shall be designed on strength based upon the geotechnical
investigation, soil analysis, and loading.
• Wood lagging thickness shall be designed on strength based upon the geotechnical
investigation, soil analysis, loading. Generally wooden lags common size are three-inches
by six-inches (3”x 6”), and the length is cut according to the spacing of the ribs.
• When the geotechnical investigation has determined that silts and fine sands exist, that may
flow under pressure, all liner plates shall include a neoprene gasket adhered to each flange
face.
• Ensure Manufacturer’s Specification Data Sheets (MSDS) are provided stipulating
recommended:
¾ Specifications of steel spreaders (spacing, tolerances).
¾ Specifications of steel rib (section lengths, spacing, etc.)

623.6L Project Owner’s / Permittee’s Responsibilities (Rev 10/03)

The project owner/permittee is responsible for providing:

• A full-time Safety Engineer;

Shall be a Registered Structural Engineer, or a Registered Civil Engineer, with a
minimum of five years experience in sub-structural design or inspection of tunnels.
Proof of experience shall be submitted on “Certification of Structural Experience,” form
TR-0133,

OR

• A full-time Safety Representative;

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State certified by Department of Industrial Relations, Cal/OSHA, proof of certification is

required.

Cal/OSHA requires persons performing the duties of gas tester or safety representative to be
certified by passing a written and an oral examination administered by the M&T Unit. CCR
8406(f), (h)

• Project drawings and specifications, calculations and details stamped by a Registered

Structural Engineer, or a Registered Civil Engineer, with a minimum of five (5) years
experience in sub-structural design of tunnels.
• An geotechnical investigation by a licensed geotechnical engineer to determine the
following;
• Storm Water Pollution Prevention Plan (SWPPP) or Water Pollution Control Plan (WPCP).
• De-Watering Plan, if needed.
• Ground water information
• Boring and soil analysis logs, location plan of borings, cross sections, subsurface strata, fill
and ground water elevations;
o Particle size distribution (particularly percent rock and cobble),
o Cohesion index, internal angle of friction, and soil classification,
o Plastic and liquid limits (clays), expansion index (clays), soil density, and penetration
tests,
o Rock strength, rock joint fracture and orientation, water table levels, and soil
permeability,
o Areas of suspected and known contamination should also be noted and characterized.
• The soil investigation shall also determine the presence of rock, cobbles, and/or boulders,
and the following;
o Depth and extent of rock
o Rock type
o Rock strength
o Rock joint/fracture spacing
o Hardness
o RQD
o Estimated range of sizes & frequency of occurrence of cobbles and boulders.

623.6M Contractor's Responsibilities (Rev 10/03)

The contractor is responsible for providing:

• Tunnel project construction plans and specifications, calculations and details, method of
construction, to include the adequacy of the shield and liner material stamped by a
Registered Structural Engineer, or a Registered Civil Engineer, with a minimum of five (5)
years experience in sub-structural design of tunnels.
• “Notice of Materials to be used,” form CEM-3101.
• Method of construction plan.
• A Licensed Surveyor.

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• Proof of rib expanders and/or liner supports.
• Working schedule of the project.
• Contingency plan for dealing with ground loss work.
• Shaft; soil stability at portals and ground improvement plan.
• Dewatering plans for entry and exit shafts/pits, if needed.
• Installation and monitoring of SWPPP or WPCP facilities and conditions.
• Shoring design for entry and exit shafts/pits.
• Survey control plan: lasers, laser mounting, laser checking.
• Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
o Buried points

623.6N Key Points of Inspection (Rev 10/03)

Meet and confer with the Safety Engineer hired by the Owner/Permittee, explain exactly what is
expected and required on a daily report, and any issues of concern.

State Representative and Safety Engineer/Safety Representative, together both should:

1. Review the geotechnical investigation.

2. Review the emergency and contingency plans.
3. Inspect the roadway and shoulder area for existing cracks in the ground and mark them.
4. Inspect the area for all-existing utility facilities and sub-structures.
5. Check and confirm any requirements or concessions requested by any Utility companies with
the owner and the contractor.
6. Ensure that a Survey Grid line has been established over proposed alignment of tunnel.
7. Make a determination on the frequency of surface monitoring that will be required, and
identify what would constitute additional monitoring and/or surveying.
8. Inspect and ensure there is sufficient space for the staging area, that equipment and workers
can work safely.
9. Establish the limits of minimum clearance.

Safety Engineer/Safety Representative – start of project and construction of shafts/pits.

1. Request to see OSHA permit and tunnel classification sheet.

2. Ensure the contractor has equipment on site to handle an emergency, and in the event that
ground loss occurs.
3. Inspect installation of SWPPP or WPCP facilities and conditions.
4. Have knowledge of the soil conditions, density and water table (sand, clay, cobble, etc.).
5. Inspect the shafts/pits for Cal OSHA (trenching and shoring) requirements.
6. Ensure that guardrails and toe-boards are secured around shafts.
7. Ensure the flooring of the shaft/pit is lined with gravel or ballast rock.
8. Ensure that the sump pumps setup and that they are adequate for dewatering.
9. Ensure all electrical cords and facilities are properly secured.
10. Inspect materials to be used against list provided by contractor.

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11. Obtain receipt of the certificates of compliance from the manufacturer on all materials
delivered and to be used for the project.
12. Ensure that ventilation system is adequate and installed.
13. Ensure a location is designated for spoils, that they are adequately stockpiled and removed.

Safety Engineer/Safety Representative – daily inspection

1. Ensure that laser is verified every morning prior to start of work.

2. Inspect SWPPP or WPCP facilities and conditions
3. Check traffic control, signs and delineation.
4. When warranted request line to be re-surveyed to determine heaving or subsidence, if greater
than 0.2" take corrective measures.
5. Visually inspect gauge during grouting operations.
6. Inspect ventilation equipment, request copies of contractor’s records of maintenance.
7. Ensure safety equipment is worn at all times by everyone.
8. Notify State Representative in the event of an incident or accident.
9. Ensure that all excavations are adequately protected with Type-K barrier and chain link fence
around them or covered with steel plates.

State Representative and Safety Engineer/Safety Representative – close of project

1. Upon completion, visually inspect the area of installation, highway and shoulder area to
ensure no new cracks, heaving or subsidence have occurred.
2. Require line to be re-surveyed to determine heaving or subsidence.
3. Ensure that all excavations were backfilled.
4. Work site and staging areas are restored to their original condition.
5. Establish a checklist if necessary for completion points (i.e. repairs or corrections).

623.7 PROCEDURAL REQUIREMENTS FOR STRUCTURAL AND

SUB-STRUCTURAL DESIGN AND CALCULATIONS (Rev 10/03)

All submittals shall be stamped by a Registered Structural Engineer, or a Registered Civil

Engineer, with a minimum of five years experience in structural design and preparation of
calculations, proof of experience is required by use of Encroachment Permits form “Certification
of Structural Experience,” TR-0133, to be included within the project package submittal.

Sub-structural projects may consist of, but are not limited to; drainage boxes & systems,
tunneling projects (mechanical or manual tunnel excavations for the placement of tunnel
supports), and Trenchless Technologies for the installation of utilities when the diameter is 30”
or larger (jack & bore, micro-tunneling, horizontal directional drilling, or pipe-ramming).

623.7A Structural Design and Calculations (Rev 07/05)

All Structural Project submittals (structures and structural falsework) will require review by
Division of Engineering Services (DES), for construction under an encroachment permit and
require the following:
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• Designed plans and specifications, calculations and details (structural and falsework).
• A geotechnical investigation and soil analysis by a licensed geotechnical engineer is
required. It shall provide identification of any locations of difficulty, changes in soil
formation, or mixed face conditions that could present or create ground loss, exploratory soil
corings and logs are required along the alignment of the project.

Construction or Structures Construction will review falsework and shoring submittals.

Submittals may be routed through Structure Maintenance.

623.7B Sub-Structural Design and Calculations (Rev 07/05)

When the distance between a tunnel and an existing structure is less than twenty times the
tunnel's diameter, it shall be sent to Division of Engineering Services (DES) for review of the
potential lateral loading effects to the pilings and foundation. As in Section 623.7A, submittals
may be routed through Structure Maintenance.

Otherwise, Sub-structural Project submittals, listed below and submitted with the “Certification
of Experience,” TR-0133, do not require review by DES.

1. Micro-tunneling projects.
2. Bore & Jack, HDD, or Pipe Ramming (diameter is 30” or larger and requiring structural/sub-
structural design, investigations and calculations)
3. Tunneling for the placement of tunnel support systems (rib & lagging, or steel liner plate
requiring structural/sub-structural design, investigations and calculations).
4. Drainage boxes and systems.

All Sub-structural Project submittals require the following:

• The District Encroachment Permits Office is responsible for verification of the Registered
Engineers stamp, validation of the date of expiration against the dated plan set and
calculations. The permit office engineer shall validate the RE’s stamp at the web site listed
below, by entering the RE’s number. A copy of the results shall be printed and included
within the permit file. The encroachment permit may be issued, upon completion of the
normal review process (Traffic, Environmental, R/W, etc.).

http://www2.dca.ca.gov/pls/wllpub/wllqryna$lcev2.startup?p_qte_code=ENG&p_qte_pgm_code=7500

• Designed plans and specifications, calculations and details (liner plates, rib & lagging,
bracing, etc.).
• A geotechnical investigation and soil analysis by a licensed geotechnical engineer is
required. It shall provide identification of any locations of difficulty, changes in soil
formation, or mixed face conditions that could present or create ground loss, exploratory soil
corings and logs are required along the alignment of the project.

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• When the length of the tunnel is greater than four hundred feet (> 400’), alignment holes may
be required. Alignment holes shall be drilled at a maximum spacing of two-hundred feet
(200’) and a casing of four to six inches (4” to 6”) in diameter installed vertically, to a depth
necessary for the installed casing to extend into the tunnel excavation. When alignment
holes fall within the pavement area of the roadway, the pavement shall be saw-cut, a cover
shall be placed over the end of the casing at grade, and the space around the casing within the
roadway filled with concrete (EXCEPT in controlled access right-of-way).

623.7C Project Owner’s Responsibilities (Rev 10/03)

On projects deemed by the Department as requiring full time inspection, the project owner is
responsible for providing a third-party full time inspector.

On projects over 30” in diameter and deemed as requiring full time inspection, the project owner
is responsible for providing:

• A full-time Safety Engineer:

A Registered Structural or Civil Engineer, with a minimum of five years experience in
design or inspection of Sub-structural Projects (tunnels). Proof of experience shall be
submitted on Encroachment Permits form “Certification of Structural Experience,” form
TR-0133,

OR

• A full-time Safety Representative:

State certified by Department of Industrial Relations, Cal/OSHA Mining & Tunnel Unit,
proof of certification is required. California Code of Regulations 8406(f), (h)

623.7D Contractor’s Responsibilities (Rev 10/03)

Prior to issuance of the “DP” permit the following shall be submitted:

• Proof of experience, as stipulated by the District Office, in respect to diameter and length of
proposed project.
• Tunnel support system construction plans and specifications, calculations and details, method
of construction, to include the adequacy of the shield and liner material stamped by a
Registered Structural Engineer, or a Registered Civil Engineer, with a minimum of five (5)
years experience in sub-structural design and preparation of calculations.
• “Notice of Materials to be used,” form CEM-3101.
• Method of construction plan.
• A Licensed Surveyor.
• Proof of rib expanders and/or liner supports.
• Working schedule of the project.
• Contingency plan for dealing with ground loss work.
• Shaft; soil stability at portals and ground improvement plan.
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• Dewatering plans for entry and exit shafts/pits, if needed.
• Installation and monitoring of SWPPP or WPCP facilities and conditions.
• Shoring design for entry and exit shafts/pits.
• Survey control plan: lasers, laser mounting, laser checking.
• Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
o Buried points

624 OPEN-CUT ROAD (Rev 10/03)

Permit Code UT

Encroachment Permit policy dictates that underground installations and crossings within State
highway right-of-way shall be performed by methods of trenchless technologies, either Bore &
Jack, HDD, Micro-Tunneling, Pipe Bursting or Pipe Ramming, unless specified otherwise by
permit. Open trenching is authorized only when the applicant demonstrates that all alternatives
have been investigated and that installation by a trenchless technology is not feasible. Procedures
that shall be followed in evaluating applications for open trenching are shown in Table 6.10.

The Reclamation Board, in maintaining the integrity of the State's levee system, issues permits
for construction of facilities within the levee prism. Caltrans and the Reclamation Board
cooperatively have developed procedures for controlling installation of underground facilities
where a State highway is on or crosses a levee. The Board prefers open cut highway crossings to
ensure the integrity of the levee. Caltrans issues permits that conform to Board requirements.

Authorized open trenching must be noted clearly in the encroachment permit or permit rider.
Traffic controls must conform to State standards and recommendations of Highway Operations
or Permits. Unless otherwise specified in the permit, work must be accomplished one lane-width
at a time on conventional two-lane highways. If determined acceptable, two lanes of a multi-lane
highway may be used for the work when one full lane width in each direction is available for
traffic. Trenching, backfilling, and paving operations shall conform to Caltrans' standards.
Transverse trenching is not authorized on freeways or expressways without headquarters
approval as an exemption to policy.

624.1 Backfill of Excavations and Trenches

Backfilling of excavations and trenches shall comply with Caltrans Standard Specifications. The
specification for Controlled Low Strength Material (CLSM) is shown in Appendix H.

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Table 6.10
Procedures for Evaluating Proposals for Open Trenching

Follow these procedures to evaluate applications for open trenching:

1. The applicant shall supply these items for consideration by the permit engineer:

Profile plans or cross-sections showing the locations of all existing utilities, culverts, or other
permanent installations which restrict the bore.
Soils information showing that trenchless technologies, such as Bore & Jack or HDD is not
feasible.
Detail plan showing detailed restrictions.
Any other information indicating that trenchless technologies are not allowable methods in the
area.

2. A design change is mandatory when the crossing location can be changed to allow boring and
jacking and not affect the function of a facility.

3. Trenched crossings of connecting local streets and public roads where traffic is not adversely
affected is acceptable with concurrence of the local agency that owns the public connection.

4. Casing in open trenches may be required for future maintenance or added facilities.

5. The District Permit Engineer will review submitted materials to determine if the request is
reasonable. Reviewing units may include:
Environmental, Field Inspection, Highway Operations--Traffic Operations, Maintenance
Materials Engineering, Project Development, Right of Way Utilities

625 MINIMUM CARRIER PIPELINE SPECIFICATIONS

Caltrans' minimum specifications for pipelines carrying materials are described in Table 6.11.
Carrier pipe materials shall conform to industry and California Public Utilities Commission
requirements.

626 ENCASEMENT AND PROTECTION REQUIREMENTS

Specific requirements for the encasement and protection of utility facilities are shown in Table
6.12, examples of mechanical protection of utility facilities are shown in Figure 6.1.

Table 6.13 indicates when to consider encasement of carriers that are exempt from encasement
requirements

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Table 6.11
Minimum Carrier Pipeline Specifications
Pipeline encroachments must comply with these minimum specifications:
1. Metal Pipe
A. Gas transmission and distribution piping systems shall conform to General Order No. 112D of the
California Public Utilities Commission, and applicable provisions of Title 49, Code of Federal
Regulations.
B. Other fluids under pressure shall conform to the American National Standard Code for Pressure
Piping.
C. Cast iron pipes shall conform to Caltrans' Standard Specifications.
D. Metal underground encasements shall conform to Caltrans’ Standard Specifications.
2. Concrete and Asbestos Cement Pipe
A. Shall not exceed the manufacturer's recommended pressure.
B. Shall conform to Caltrans' Standard Specifications. Requirements for underground culverts stated in
Caltrans' Highway Design Manual shall also apply.
C. Uncoated sewer pipe that is located under the highway shall be designed to flow full to protect against
attack from generated acids.
3. Plastic Pipe (HDPE)
A. Specifications shall ensure that the type of pipe is adequate for the intended purpose (see CPUC
General Orders).
B. A means for detection of nonmetallic material shall be provided.
4. Pipe Joints
A. Shall be watertight under pressure and foreseeable conditions of expansion, contraction, and
settlement.
B. Recommended joint sealants include rubber, neoprene and similar synthetic products.
C. Mortar, grout, or other portland cement materials are not allowed as joint sealants.
5. Water and sewage pipelines shall conform to CPUC General Orders.
6. Markers required under the permit provisions should be placed so they do not interfere with vehicle
recovery areas.
7. Pipelines carrying hazardous materials can be required to have corrosion control measures as outlined in
the appropriate federal or State CPUC regulations. Evidence of compliance must be submitted before
issuance of an encroachment permit.
8. Specifications for pipelines on bridges are discussed in the Sections titled, “Encroachments on Structures”
and “Installation on Toll Bridges (Sections 608 & 609).

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Table 6.12
Encasement and Protection Requirements
Utility facilities must comply with the following encasement and protection requirements:
1. Types of Encasements and Their Purposes:
A. A sleeve is an encasement that:
1) Contains or controls leaks,
2) Facilitates carrier pipe maintenance and replacement,
3) Protects carrier pipe from crushing or bending stresses and minimizes coating damage during installation,
4) Protects the pipe from corrosive elements and aggressive salts,
5) Protects carrier pipe against highway maintenance and repair activities, and
6) Isolates cathodically-protected lines and limits stray currents.
B. A reinforced concrete jacket is an encasement that:
1) Contains or controls leaks,
2) Protects carrier pipe from crushing or bending stresses and minimizes coating damage during installation,
3) Provides some protection from corrosive elements and aggressive salts, and
4) Protects against highway maintenance and repair activities.
C. A reinforced concrete cradle protects a carrier pipe from crushing or bending stresses. However, it is not to be
used with asbestos cement pipe.
D. A reinforced concrete slab is placed over an undisturbed facility to distribute and equalize a superimposed load.
(Caution: A slab may interfere with other utilities and rock under a load.)
2. Design Requirements for Encasement or Protection:
A. A sleeve is preferred to a reinforced concrete jacket when practical. Considerations include soil conditions,
height of embankment, and economic conditions.
B. A sleeve under the highway must meet "D-Loading, H20-Loading and culvert requirements regarding strength
and service life.
C. A sleeve should have an inside diameter that is 4" larger than the outside diameter of the carrier pipe.
A larger clearance may be required under unusual conditions, such as settlement.
D. Encasements required on freeways and expressways shall extend beyond the access control lines unless Caltrans
determines that is impractical.
E. Encasements required on conventional highways shall extend at least 5' beyond the existing or future
catch point. If a catch point is undefined, encasements should extend at least 5' beyond
the shoulder lines.
F. Highway lighting and signal facilities are exempt from these encasement requirements.
3. Types of Facilities Requiring Encasement or Protection:
A. Longitudinal Encroachments:
1) When located on a bridge, by attachment or within a bay.
2) Longitudinal encroachments under the roadbed (existing or future) may require encasement,
and will be placed in accordance to Caltrans' Manual on High and Low Risk Underground Facilities
Within Highway Rights of Way.
B. Transverse Crossings: *
1) All transverse crossings under pressure, multiple ducts, or 6" or greater in diameter shall be encased.
2) Casings for irrigation pipelines shall extend to the right-of-way line or access control line. *
Exception to Policy -- Natural Gas Pipelines (see Section 623, and Appendix H)
C. Sewers:
1) When crossing any State highway. *
2) When under embankments of 10' or more. *
3) When detrimental subsidence of the ground under a fill is anticipated. In such cases, a sleeve 6”
larger than the outside diameter of the pipe is recommended.
4) Within 5' of the natural ground surface or profile grade.
5) When a new sewer is placed on questionable subgrade. This encasement should be a concrete cradle.
• District Permit Engineer shall determine the type of encasement or protection required as per Section 623.

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Table 6.13
Additional Encasement Considerations

Consider encasement of carriers that are exempt from encasement, when these possibilities exist:
1. Appreciable settlement of supporting ground.
2. Damage to protective pipe coatings during jacking.
3. A corrosion protective coating and/or cathodic protection may be required due to corrosive
environments or when the CPUC requires cathodic protection. (Corrosive environments can
deteriorate steel and cement mortar. Check cathodic protection requirements with
headquarters Structures Design, Electrical, Mechanical, Water and Waste Water Branch.)
4. Cracking of mortar coating during jacking or boring operations.
5. Corrosion of field-coated joints.
6. Existing electrical and communication lines under an embankment of 10' or more.
7. When any high risk underground facility crosses the roadway.

627 UTILITIES/CONSTRUCTION ON SCENIC HIGHWAYS

627.1 Introduction (Rev 11/04)

The intent of the State Scenic Highway Program is to protect and enhance the natural beauty of
California. Scenic highway proposals are initiated by local jurisdictions and officially designated
by the Director of the Department of Transportation. Local jurisdictions are required to develop
and enforce Corridor Protection Programs for each scenic highway corridor, in the form of
ordinances, with the concurrence from Caltrans. Corridor Protection Programs contain land use
elements that support scenic preservation along the route. A scenic corridor is defined as the
area of land generally adjacent to and visible from the highway. The California Public Utilities
Code has regulations pertaining to utilities within the scenic highway corridor.

627.2 Utility Facilities (Rev 11/04)

The California Public Utility Code Section 320 prohibits new overhead utility distribution
installations in scenic highway corridors and requires the California Public Utilities Commission
(CPUC) to regulate approved work. Section 320 does not apply to transmission towers,
conductors or related facilities designed to operate at high-side voltages of 50 kilovolts (kV) or
more, unless the utility designates them as distribution lines.

The CPUC also regulates to what extent repair, replacement and maintenance of existing
overhead distribution facilities can take place. Caltrans verifies that proposed construction of
utility work complies with the Corridor Protection Program and issues encroachment permits for
conforming work. The Encroachment Permits Office does not determine when the placement of
facilities underground is required. Determination is made by the CPUC in concert with Section
320.

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District Landscape Architecture and Right of Way Utilities are responsible for reviewing
applications for proposed utility work in the right-of-way.

When the proposed work is non-complying, the applicant is notified by the Caltrans’ Permit
Office to provide the Department with the exception approval from the Energy Division
Reliability Section of the CPUC.
Encroachment Permits are issued for work within a scenic highway when existing overhead
distribution utilities are in need of repair, replacement, upgrade or increased capacity if there is
no significant change in appearance. No significant change in appearance means no increase in
the diameter of the distribution line.
California Public Utility Code General Order 320 stipulates that utility owners shall not install
new overhead distribution facilities on scenic highways without first obtaining an exemption
from the CPUC.

For purposes of Section 320, the following work does not constitute installation of new overhead distribution
facilities and does not require a CPUC exemption:

1. Removing or replacing sections of worn or deteriorated cable with like-size cable or smaller.
2. Removing or replacing worn or damaged equipment, including but not limited to: transformers, connectors,
protective devices or repeaters with like-size or smaller equipment.
3. Replacing a deteriorated pole with like-size or smaller pole.
4. Performing any necessary emergency work to continue service, provided any non-complying facility is
corrected when the emergency is over.
5. Installing new or relocated overhead transmission facilities (50 kV or greater).
6. Performing reconductoring or an increase in capacity of existing facilities with no significant change in
appearance. This includes replacing the existing conductor with a new conductor of a different capacity or
changing the voltage of the line.
7. Temporarily relocating poles for other construction purposes provided such poles are removed or returned
to their original position within 3 months of the completion of the construction work.
8. Installing new overhead service connections including necessary transformers and protective devices from
existing distribution lines.
9. Installing guys as necessary for existing distribution lines.

With respect to electric and communications overhead distribution facilities (less than 50 kV) within the scenic
highway corridor, utility owners may not perform any of the following work without first obtaining an exemption
from the CPUC:

1. Install new facilities.

2. Relocate existing (distribution) facilities to a new permanent location.
3. Temporarily relocate poles for other construction purposes when such poles will not be returned to their
original positions within 3 months of completion of the construction work.

All conditions listed above may be subject to exemption upon written confirmation from the CPUC that proposed
work is acceptable.

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627.3 General Construction (Rev 12/07)

Any work performed along a designated scenic highway should comply with the Corridor
Protection Program established for that scenic corridor by the local agency. The local agency
approves any development and decides if the necessary work in the scenic corridor conforms to
the Corridor Protection Program. Permit applications for roadways, driveways, drainage, etc.,
should have appropriate design review and District Landscape Architect concurrence to assess
design compatibility with the scenic corridor (See Project Development Procedures Manual,
Chapter 29- Section 10, “Project Development along Scenic Highways”, for additional
guidance).

When compatibility issues are identified, the applicant and local agency are notified. If design
features meet Caltrans standards and compatibility issues are resolved, the District Landscape
Architect approves the work and an encroachment permit is issued.

628 UTILITIES IN AND ON A BRIDGE

Permit Code UB

A UB Permit Code is used when utilities are placed or maintained within or on a bridge (for
exception requirements, see Section 303).

629 TRENCHING AND SHORING (Rev. 11/06)

Permit Code UX

Trenching and shoring must be in conformance to the requirements of the California Department
of Safety and Health, Title 8 of the California Administration Code (Construction Safety
Orders).

A Registered Civil or Structural Engineer must prepare and sign the shoring plan.

In general, engineered drawings may be accompanied by the engineer's calculations. If railroads

are involved, a minimum of three sets of calculations and seven sets of plans must be submitted.

The railroads require a minimum of one set of calculations each from the designer and reviewer
and four sets of shoring plans. One additional complete set of calculations and drawings will be
needed for the OSC Sacramento Office.

TECHNICAL DATA

The technical engineering information below can be used by an Engineer in making a review of
shoring plans.

The design or engineering analysis, of a shoring system is accomplished in the following

sequence:

1. The soil or earth that is to be retained and its engineering properties are determined.
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2. Soil properties are then used in geotechnical mechanics or procedures to determine the
earth pressure force acting on the shoring system. An equivalent fluid, Kw, may be
determined.

3. The design lateral force is then distributed, in the form of a pressure diagram. The
distribution, or shape, of the diagram is a function of type of shoring system and the soil
interaction with the system.

4. Lateral loads due to surcharges and from sources other than basic soil pressure (e.g.,
ground water) are determined and may be combined with the basic soil pressure diagram,
Modified for practicability, the resulting lateral pressures become the design, lateral
pressure diagram.

5. The design lateral pressure diagram is applied to the system, and a structural analysis is
made. Again, there is a range from simplified to refined or complex procedures that can be
used.

The “Trenching and Shoring Manual” is available at the following website:

http://www.dot.ca.gov/hq/esc/construction/manuals/

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Figure 6.1 EXAMPLES OF MECHANICAL PROTECTION
and UTILITY FACILITY TRENCH PROTECTION

Wrapping or Overbreak
coating
Casing

Carrier Carrier or Carrier or

casing casing
Chair
Chair

Bored hole Grout

(a) Encased (b) Coated (c) Grouted

Ground or Roadway

Trench Trench Trench Trench

Pipe Pipe
Pipe Pipe

Concrete Bedding

(e) Walled (f) Boxed or

(d) Cradled (g) Saddle
Jacketed

Trench

Reinforced Concrete

On
hanger
On
On cradle bracket
or piers
Pipe
Fill Fill

(h) Capped (i) Allied Mechanical Protection

by Use of Tunnel, Gallery, or Bridge Cell

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