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8100 - Permitting Process for Utility Accommodation of Highway Right of Way

8101. Policy for Accommodating Utility Use of Right of Way

8101.01 Introduction

The Ohio Department of Transportation’s (ODOT) primary function is to build and maintain safe and efficient roadway and bridge systems that serve all needs of Ohio’s and the nation’s highway transportation users. Once built, it is ODOT’s responsibility to control and maintain the rights of way under its jurisdiction to preserve the integrity, operational safety and function of the highway and bridge facilities. The manner in which utilities cross or otherwise occupy highway rights of way can materially affect the appearance, safe operations and maintenance of the highway, thus, it is necessary that such use and occupancy be reasonably regulated. ODOT’s authority to control all use of its right of way by utilities is done by permit as provided under Section 5515 of the Ohio Revised Code.

8101.02 Policy

The policy which sets all permit installation standards and gives ODOT its ability to achieve all levels of responsibility comes from ODOT’s Engineering Office’s specifications and similar regulations that come from the Federal Highway Administration (FHWA) and the American Association of State Highway & Transportation Officials (AASHTO). The purpose is to set forth the conditions under which utility facilities may be accommodated in and on state highway rights of way. It is the intent of this policy to permit use of state highway rights of way consistent with preservation of the highway investment, safety to the highway user, highway maintenance requirements, proposed future highway improvements and environmental considerations.  This policy provides for uniform practices throughout the State for the accommodation of utilities and recognizes the need for special consideration of unusual or hardship situations.

Design of the elements used for utility crossings or occupancies shall conform to the requirements contained herein. But, where such State, Local and Industry design requirements are higher than the treatments and design requirements specified, the higher standards shall be used. This policy may be modified as conditions dictate for servicing rest areas, weigh stations, or facilities required for operation of the state highway.

8101.03 Scope and Application

This policy applies to all utilities, as defined in this section, which are constructed, adjusted or relocated in, on or across rights of way under the jurisdiction of ODOT. This policy also applies to privately owned service lines that are devoted exclusively to supplying the utility owner or a private facility but not the public.

It is also important to note that this policy does not supersede specific permits or agreements previously issued or entered into with ODOT for the occupancy of highway rights of way by specific facilities nor does it supersede specific requirements of other governmental agencies or bodies. For clarification, if there is an installation in place under permit and the new permit request is not associated with a highway construction project and would cause a conflict with that existing installation, the requested permit cannot be issued unless the existing permit holder is compensated for the relocation by the agency or individual that is requesting the new permit.

As previously outlined, the provisions of this policy are based on the current editions of the American Association of State Highway & Transportation Officials (AASHTO) publication entitled “A Policy on the Accommodation of Utilities Within Freeway Right-of-Way” and 23 CFR 645, Sub-part “B” Accommodation of Utilities. (Refer to the FHWA web site at www.fhwa.dot.gov.)

8102. Utility Permits

8102.01 General Legislative Guidance

Ohio Revised Code Sections 5515.01 and 5515.02 govern the use and occupancy of highway rights of way under the jurisdiction of the Ohio Department of Transportation (ODOT). ORC 5515.01 addresses permit authority, where ORC 5515.02 is the counterpart covering removal of obstructions. These two Sections of the Code have been designed to be complimentary in nature in regarding the use and management of highway rights of way. Utility owners, public or private, must obtain permits to use, cross or occupy existing rights of way, including the providing of service to ODOT facilities (rest areas or weigh stations) or other permitted facilities (cellular towers or environmental monitoring/mitigation equipment). In addition, utilities can annually apply and receive a permit to perform spraying, cutting, trimming or removal of brush or trees on State highway rights of way or a General License for Maintenance Purposes. Permits also need to be issued for utility relocation work on active highway projects where local jurisdiction over the roadway does not take precedence. Refer to the ODOT website, Division of Engineering and Standard Procedure 122- 001 (SP)

Denial of permits is based upon Federal and State Law and State Policy. If a permit denial involves an agricultural area where the utility would be required to locate on agricultural land and 23 CFR 645, Sub-part “B”, is cited as a basis for the permit denial, an evaluation will be done in accordance with the criteria stated in 23 CFR. Other aspects of the permit denial are outlined in Section 8102.04, “E”.

8102.02 Municipality Issuance of a Permit

Issuance of permits by ODOT shall apply only to State and Federal highways outside municipal corporations or, before a municipality issues a permit for those portions of State and Federal highways that have a Limited Access (L/A) right of way designation and are within a municipality, the application must be reviewed and approved by the appropriate ODOT District Office. Further explanation of the permit approval associated with L/A installation requests, both within and outside of municipalities, is covered under Section 8103.03.

On all Federal aid and State highway construction projects involving the State highway system within municipalities, the District Utility Coordinator shall monitor and assure that the municipality conforms to one of the following methods of controlling the accommodation of utilities, both during and following completion of the active project.

1. Policy
   • The policies of the municipality for accommodating utilities on state streets and highways shall be approved by ODOT and the FHWA.
2.  Municipality’s Responsibility
   • The municipality shall formally adopt the ODOT “Policy for Accommodation of Utilities” and designate a municipal representative for issuing permits for utility accommodation on the State highway involved.
3. Special Provisions Legislation
   • A special provision for the State to regulate the use of the State highway rights of way for accommodation of utilities shall be incorporated into the enabling legislation for the project.

8102.03 Responsibility for ODOT Review & Approval

The District Permit Technician shall be responsible for:

1. Receiving
   • Receiving applications for permits. (MR 505 Application Form)
2. Assuring
   • Assuring the review of the permit application, plan and supplemental information is performed by all District offices, as needed, to insure there is conformity to all applicable local, state and federal regulations.
3. Inspecting
   • Once approved, personally inspecting construction of the utility installation to ensure conformity to the permit installation requirements or work with the District’s County Office, in which the installation is taking place, to have such inspection work performed.
4. Records
   • Maintaining records of all applications and permits.

8102.04 District Deputy Director or Designee Functions

1. Permit Reception
   • Receiving all permit application information from the District Permit Technician, including the Technician’s recommendation for approval or denial.
2. Adjustments
   • Providing any adjustments, if needed.
3. Approving
   • Approving the issuance of the permit. (MR 509 Permit)

The Utility or permit applicant shall be responsible for having a copy of the approved permit at the job site at all times and make it available to appropriate ODOT and/or law enforcement personnel upon request.

8102.05 General Provisions Applicable to all Permits

The following list of information is in place to provide guidance on how the permit applicant is to perform the work associated with the utility installation and how, if needed, the permit would be revoked.

1. Maintenance of Traffic Plan
   • The utility is responsible for the development and design of a Maintenance of Traffic Plan any time work is proposed on the highway right of way. The utility shall also be responsible for the implementation of the plan and the use of necessary traffic control devices or personnel in accordance with the approved plan. Furthermore, the traffic control plan and the use of traffic control devices must be in compliance with the Ohio Manual on Uniform Traffic Devices.
2. Traffic Control Responsibility
   • Under the Maintenance of Traffic Plan, the permit request must address factors which can also have an impact on the flow of traffic and safety within the permit work zone. Consideration must be given to the applicability of lane closures, maintaining two way traffic at all times and the use of uniformed patrol or other personnel to assist with the control of traffic.
   • All open trenches must be plated, temporarily backfilled or protected during hours of no construction in a manner that will not impede the plowing of snow or the safe flow of traffic.
   • Finally, work schedules must be addressed. It may be prudent or necessary to restrict work to off peak hours or take into consideration, such concerns as rush hour traffic, local festivals, shift changes for companies, school schedules or holidays.
3. Conditions of the Permit
   1. Except as authorized under the permit, no excavation shall be made or obstacles placed within the limits of the highway in such a manner as to interfere with travel over the road
   2. If any grading or other work done under the permit interferes with the drainage of the highway in any manner, catch basins and outlets shall be constructed to properly handle the highway drainage.
   3. All the work contemplated under the permit shall be done under the supervision and to satisfaction of ODOT and the entire expense shall be borne by the party to whom the permit is issued.
   4. Upon completion of the work under the permit, the highway is to be left clear of all rubbish, excess materials, temporary structures or equipment. In addition, all parts of the highway right of way is to be restored to a condition which is equal to, or better than, that which originally existed.
   5. The permit applicant will abide by current State and/or local laws pertaining to storm water pollution prevention and/or erosion control.
   6. The right is reserved by the Department to appoint an inspector who shall represent the interests of the State during the installation of the facility. Any compensation arranged for such inspection service shall be paid wholly by the permit holder.
   7. Prior to any excavation in the highway right of way, the permit holder must contact the Ohio Utilities Protection Service (OUPS) and the Oil and Gas Producers Underground Protection Service (OGPUPS) and request all existing underground utility facilities be marked.
   8. The acceptance of a permit, or the performance of any work under the permit, constitutes an agreement between ODOT and the party to whom the permit is granted. Compliance with all conditions and restrictions included with the permit is mandatory.
4. Ancillary Conditions Under the Permit
   1. At the discretion of the District Deputy Director, a Performance Bond may be a prerequisite, as outlined in Section 8103.02 “E”, to the issuance of a permit.
   2. The issuance of a permit is not a substitute for satisfying the rights of any other party who may have an interest in the underlying fee.
   3. The party to whom the permit is issued shall be responsible for all damages to persons or property due to, or resulting from, any work performed under the permit.
   4. The ODOT policy on open cuts of existing pavement is that the installation of underground facilities by open cutting pavement will not be considered unless it is demonstrated that there is no reasonable alternate method available. Casing, pipe or conduit crossings of the highway shall be installed under the conditions outlined in Section 8106.06 and 8106.07 by auguring, driving, boring, jacking or tunneling without disturbing the pavement or paved shoulders. Since the open cutting of pavement is primarily a roadway maintenance concern, as well as a safety issue, any request of this nature must be clearly justified by addressing construction, traffic control and restoration issues. Approval has to be issued by Central Office Utilities.
   5. When highway improvement contracts are awarded by ODOT at or near the area covered by the permit, the party to whom the permit is issued shall cooperate with the highway contractor.
5. Conditions That Would Cause Revoking of the Permit
   1. If the party to whom the permit is issued does anything contrary to the orders of the District Deputy Director and, after due notice, fails to correct the work as ordered, ODOT may, with or without notice, correct such work or remove such structure or material, and the party whom the permit is issued to shall reimburse ODOT for any expenses incurred in correcting the work or removing the structure or materials.
   2. At any time, a permit may be revoked or annulled by the District Deputy Director for noncompliance with any of the FHWA or Department conditions, restrictions or regulations.
   3. The granting of a permit does not, in any way, abridge the jurisdiction of the Director of Transportation over State highways. If, during any future work benefiting the traveling public, it becomes necessary for the Director to order removal, reconstruction, relocation or repair of utility facilities or work performed under the permit, the removal, reconstruction, relocation or repair shall be wholly at the expense of the utility and be made as determined by the Director.

8102.06 When Permits are Required

All “third party” activities that affect the Department’s right of way, in any manner, require a permit from the District in which the activity is taking place and the permit is needed for both temporary and permanent activities associated with the utility installations. The District Permit Technician has responsibility for working with the permit applicant to assure all ODOT requirements are met and/or adhered to. The vast majority of permit requests come from utility companies and involve the following activity:

1. Underground Installations
   • Utilities are required to obtain permits from ODOT for the installation, removal or maintenance of temporary or permanent pipelines, conduits, wiring or other underground structures. The permit involves installations that either cross or run longitudinally within the road right of way.
2. Overhead Installations
   • Utilities are required to obtain permits from ODOT for the installation, removal or maintenance of temporary or permanent poles or other structures that provide aerial installation of utility facilities. The permit involves installations that either cross or run longitudinally within the road right of way.

The District Permit Technician shall work with the utility and District engineers to assure; the underground installation is at a proper depth and aerial installations provide the proper clearance; the installation avoids any conflicts with existing utility underground or aerial facilities, utility structures that support aerial installations, or ODOT structures; if governed, both underground and aerial utility facilities meet all industry and federal regulations; Maintenance of Traffic (MOT) requirements are met while the utility work is being performed; and all other Department and FHWA rules and regulations are met.

8102.07 Right of Way Designation that Affects the Permit Process

The permit approval process is governed by how FHWA or the Department has established the designation and use of the highway right of way. Depending on how the flow of vehicular traffic is to be controlled, the highway right of way is either Limited Access or Non-Limited Access. Permits are approved in the following manner based on how the highway right of way is defined:

1. Limited Access Highways
   • All FHWA interstate highway facilities are Limited Access and the Department has “interstate look alike” roadway systems that are also designated as Limited Access. For those L/A types of highways where the request for utility installation is being submitted, the permit approval process, as outlined in Section 8102.08, has to be used.
2. Non-Limited Access Highways
   • Most all of the Department’s highway system is designated as Non-Limited Access and the vast majority of permit requests are associated with the use of that type of highway right of way. For all non-L/A right of way, the permit approval is provided by the District leadership.

8102.08 Exceptions to Normal Permit Requirements

There are situations where the permit process is adjusted to meet the needs of those situations and/or the efficiency of the utility work that needs to be provided.

1. Emergency Work
   • There are times when emergency situations cause damage to utility facilities located in the highway right of way and work needs to be performed immediately to repair the damage. The type of work being performed is normally handled under the Department’s permitting process and could not be started until the permit is approved. However, because the affected utility facilities need immediate fix, the utility can perform the work and a permit does not have to be in hand at the time.
   • A permit is not required for work considered emergency maintenance of utility facilities when damaged by a vehicle, weather related causes or other uncontrolled incident. For all emergency work performed on all highway rights of way, by or for the utility, the utility is responsible for installing and maintaining traffic control devices in accordance with the provisions of the Ohio Manual on Uniform Traffic Control Devices and immediately notifying the appropriate District office, County Manager’s Office or law enforcement authority as soon as possible. In all cases, the emergency work needs to be performed in a prudent manner and a permit must be issued afterwards to address the situation which occurred.
2. Utility Maintenance License
   • All utility companies perform day-to-day maintenance activity to assure their systems provide good and efficient service to their customers. The Department, in order to join with the utilities in supporting their customer service initiatives, has a General License for Maintenance Purposes document the utility can obtain from the District which allows them to perform maintenance work on highway right of way installations that were initially provided to them by individual permits.
   • ODOT’s Maintenance Administration Manual defines the word maintenance “to preserve or keep in condition”. By way of the General License for Maintenance Purposes, ODOT describes maintenance as up keep or replacement of existing permitted facilities that will be as close as possible to its original constructed condition or its subsequently improved condition. In accordance with this intent, maintenance work performed under the license shall consist of the following:
     1. Any work done to repair, replace or maintain existing utility facilities within state right of way that does NOT involve pavement work or is NOT located within Limited Access right of way. The work must be done within the same footprint as the original installation.
   • Utility work that is not covered by the license is as follows:
     1. Maintenance work done that requires boring under pavement, open cuts in the pavement and pavement milling will require individual right of way use permits and cannot be done under the license.
     2. Maintenance work done in areas of Limited Access right of way will require individual right of way use permits and cannot be done under the license.
     3. Maintenance work done outside of the footprint of the original installation, but still within road right of way, will require individual right of way use permits and cannot be done under the license.
     4. Any work associated with the installation of additional utility facilities within the state right of way will require individual right of way use permits and cannot be done under the license.
   • The license covers all maintenance activity and individual permits are not required. However, the utility must notify the District Permit Technician and District Transportation Administrator on all maintenance work that will be performed and all of the work activity must meet the requirements that are generally outlined in a permit. The license remains in effect until ODOT or the utility company make the decision to cancel or revoke the license.
3. Tree and Brush Removal, etc.
   • The utility shall apply for and receive an annual permit that will cover all future spraying, cutting, trimming or removal of brush or trees on State highway rights of way. After the permit is issued, the utility shall notify the District Permit Technician in advance of each time these activities are scheduled to be performed. The work shall be performed in accordance with the provisions incorporated into the permit.

8102.09 Permit Approval Process for use of L/A

The protection of Limited Access highway right of way, both inside and out of a municipal corporation, is an important requirement that comes from both the FHWA and the Department. However, because of the nature of utility installations, both aerial and underground, and the amount of L/A highway that the Department has, there are numerous times when the utility requests a permit for a temporary or permanent installation that needs to occupy our L/A. Most of those permit requests deal with a crossing but there are times where a longitudinal utility installation is involved.

To maintain efficiency of the permitting process, the District will provide permit approval for all L/A crossings. If the permit request is for a longitudinal installation, for those that are of five hundred feet (500 ft.) or less, approval will come from the District. If the longitudinal installation request is in excess of five hundred feet (500 ft.), the District Permit Technician must submit that request to Central Office Utilities for review of all installation requirements and why such a request is being made. Based on all of that information, approval of the permit must come from Central Office Utilities.

L/A requests for Central Office Utilities review needs to include the District’s recommendation for approval or rejection and comments from the District Permit Technician which are pertinent to the review. Following Central Office Utilities review of the request, the District Permit Technician will be notified of comments, approval or rejection. When required, Central Office Utilities will submit requests to the FHWA for their review and approval.

8102.10 Providing Service Access to Utilities

1. Utility Service in L/A
   • Access for servicing a utility, located along or across an L/A highway, shall normally be restricted to private easements, frontage roads or nearby adjacent public roads or streets.
2. Medians or L/A Interchange Locations for Utility Servicing
   • If permitted, where utility facilities are located in medians or interchange areas of L/A highways, access from through traffic roadways or ramps will be allowed only by special permits issued by the District Deputy Director to the utility owner. The permit will set forth the conditions for traffic control, highway restoration and other restrictions to protect the highway users

8103. Permit Application Procedure

8103.01 Permit Application Submission Requirements

All applications for permits shall be submitted by the utility to the District Permit Technician in the form and number as prescribed in Standard Procedure No. 122- 001 (SP). All plans and any supplemental information which are attached to the utility permit application shall be reviewed and approval obtained by the District Permit Technician or, if the utility installation is associated with a Department’s highway/bridge construction project, the District Utility Coordinator will work with the District Permit Technician and the utility on the permit application procedure.

1. Permit Application Associated with a Highway/Bridge Construction Project
   • When the utility company’s permit application is associated with a highway/bridge construction project, the District Utility Coordinator will review the request and the utility must provide assurance that the proposed installation is in conformance with the design, safety and construction requirements of the highway/bridge.
   • While the Utility Coordinator is responsible for obtaining the review and approval of the utility’s installation plan and permit, the utility is responsible for assuring they provide a proper design and installation process that will work in conjunction with the project construction process and dating of the work being performed. Therefore, it is imperative that the permit plan provides sufficient detail in order to properly evaluate the impact of the proposed utility installation during the highway/bridge construction. The District Permit Technician will handle the process for getting the permit approved.
   • Field reviews and inspections should be performed, as needed, by either the District Utility Coordinator or appropriate inspection designee. A site inspection or review, prior to issuance of the permit, will verify the accuracy of the proposed permit plan in regards to the highway design and topographic features.  During construction, an inspection can address issues pertaining to maintenance of traffic and unexpected field conditions. From a standpoint of safety and verification of the conditions included in the permit, this is the most critical inspection made.
   • An inspection made following completion of the project construction allows for a final verification of compliance with all permit conditions and timely implementation of any necessary corrective action.

8103.02 Permit Application Information for all L/A or Non-L/A Permit Requests

Regardless of whether the permit application for a crossing or longitudinal utility installation in L/A or non-L/A right of way is being submitted by the utility during a highway construction project or for an installation in the existing right of way, all of the information needed from the utility for review and approval is the same.
The utility shall furnish the following:

1. General Information
   1. One copy of the permit plan and permit application.
   2. County, Route and Section of the highway location.
   3. Right of way plan or plan/profile sheet of the highway covering the utility request
   4. If, it is a construction project, the Federal and State project numbers and PID number of the highway project should be referenced
2. Permit Plan Information
   1. Centerline stationing of any highway crossing.
   2. A profile view and/or elevation points covering areas of possible conflict for both aerial and/or underground utility installations.
   3. The type of materials that will be used for the installation must be specified. For underground installations, this will include the type and size of pipe, conduit, cable, etc.. For aerial installations, the type, size and height of poles shall be provided.
   4. Provide plans for the proposed installation, including profiles and representative cross sections, relating the installation to the highway stationing. Depending on the proposal, cross sections may not be required for an aerial installation.
   5. For underground installations, a profile shall be provided to address points of possible conflict with other subsurface features.
3. Construction
   1. Method of installation to be used.
   2. State the length of time necessary to install the facilities.
   3. A plan must be provided showing details of any necessary structure foundation for aerial installations.
   4. If applicable, construction details for both excavation and backfilling of trenches shall be provided for all underground installations.
   5. If the installation affects any portion of the highway slopes, an explanation will be required as to the method and materials to be used for protecting the slope from erosion. When sheeting is used, the material details and construction method must be provided.
   6. All highway right of way which is disturbed by the proposed construction must be restored to the original or better condition.
   7. In some instances, the utility installation may affect trees or other types of mature growth. Where this occurs, selective tree removal or necessary tree trimming will be permitted. In these situations, plans must be provided showing the selective removal and/or trimming required along with schematic plan depicting the necessary replacement plants to be installed. However, it must be clearly documented in their plan that neither the facility nor the construction of the facility will be detrimental to the natural growth in the area of the proposed utility installation.
   8. The utility owner shall place permanent markers (i.e. fluorescent markers, fluorescent pedestals) identifying the location of the underground utilities to avoid damage to the facility during ODOT’s seasonal maintenance activity. Non-metallic underground lines shall be accompanied by a trace wire, metallic tape or other method to locate and mark the underground facility.
   9. A review of necessary highway restoration processes must be made. This review shall include the restoration of drainage, fence, guardrail, right of way and the pavement/shoulder areas. In conjunction, consideration must also be given to the possible use of specific restoration materials such as permanent sheeting/shoring or control density backfill. Furthermore, an evaluation shall be made as to the use of full time inspection and/or the bonding of the applicant or the applicant’s contractor.
4. Maintenance of Traffic
   1. A maintenance of Traffic Plan must be provided, including points of access for both the utility construction phase and future maintenance of the facility.
5. Bond Protection
   1. If the permit applicant is not a utility that submits a significant number of requests for use of the highway right of way or there is installation concerns regardless of what utility is requesting the permit, the District can request the applicant provide a bond to cover any damage that may occur as a result of the installation.
   2. The bond amount will be established based on the physical characteristics of the roadway or bridge structure that has the potential for damage.
   3. The bond is to be in place for five (5) years from the completion date of the installation and, if the permit holder does not make any needed repairs, the funds will be used to cover any costs the Department uses to make those repairs.
   4. If the utility installation covers more than one District, each affected District Permit Technician will work with Central Office Utilities in putting together a “Universal Bond” that will cover all sites where the utility is to be installed.

8103.03 Longitudinal Occupancy of L/A Highways

It is ODOT policy that the longitudinal use of limited access rights of way by utilities be minimized, not be allowed within the median area of the highway and be limited to transmission or trunk line facilities. In conjunction, the approval/disapproval authority is shared with the District Deputy Director/Designee and Central Office Utilities. If, as outlined in Section 8102.08, the permit request is for a longitudinal installation of five hundred feet (500 ft.) or less, the District Deputy Director/Designee can provide approval. If the installation is more than five hundred feet (500 ft.), approval must come from Central Office Utilities.

Prior to the issuance of the permit, the following information must be submitted to Central Office Utilities for review and approval:

1. Utility permits involving more than 500 foot longitudinal use of interstate rights of way or other limited access highways.
2. Requests to use or occupy areas of scenic enhancement.
3. All requests involving exceptions to approved utility permit policy.

The reasons for these restrictions are critical to the Department’s responsibilities to the traveling public: to maintain the safety features of the highway; to preserve the integrity of the highway; and to safeguard the highway investment.
Therefore, a utility request for longitudinal occupancy in the L/A must be documented to the extent that such installation will not impair the design, construction, operation or maintenance of the highway or interfere with the free and safe flow of traffic and that it is in the public interest to locate the utility facility on limited access highway rights of way. Any permit application for longitudinal occupancy of limited access highway must be clearly justified. All utility requests of this nature shall include or address all of the items outlined in Section 8103.02 plus the following minimum items as part of the review process by the District or Central Office Utilities:

1. General Information
   1. Provide the County, Route and Section for both the original highway, as it currently exists, or any projects encompassing a significant upgrade of the highway (include PID if applicable) and Federal and State project numbers.
   2. Explain the necessity of the installation, as well as, how this proposed installation fits into the overall needs of the applicant.
   3. Provide information as to why the utility was not able to obtain an easement outside of the L/A for the longitudinal installation.
   4. The type of materials that will be used for the installation must be specified. For underground installations, this will include the type of pipe, conduit, cable, etc. Aerial installations shall be limited to self- supporting single pole construction.
   5. Scenic areas must be addressed in accordance with the ODOT Utilities Manual.
2. Permit Plan and Justification
   1. For the area covered by the request, provide right of way plans and/or plan and profile sheets for both the original highway project and any subsequent project encompassing a significant upgrade of the highway. No utility facilities will be permitted within the area between the edge of pavement and the outer limits of highway signing.
   2. Alternate routes to the proposed installation must be explored. In conjunction with each alternate route, the following must be provided: schematic plan showing the alignment of each alternate route, right of way costs, construction costs, restoration costs and objections to each alternate route from environmental, construction and economic perspectives.
   3. If the disapproval of the use of the L/A right of way would result in the permanent loss of productive agricultural land, or the permanent loss of the productivity of agricultural land, the utility must provide information on the direct and indirect economic effects of this loss.
   4. The District shall make a determination as to whether the proposed installation will affect the design, construction, integrity or operational characteristics of the L/A highway. The proposed installation shall also be reviewed in regards to the possibility of future expansion, relocation or upgrading of the highway, a determination made as to the feasibility of the proposed utility installation and the effect on traffic safety.
   5. If the L/A highway fence will be disturbed during the installation of the facility, two conditions must be met. During the installation of the facility, the applicant will install temporary fence, guardrail and/or median barrier between the work area and the through traffic lanes or ramps. Upon completion of the installation, the highway fence must be restored to the original or better condition.
   6. No facilities will be permitted on slopes which are steeper than a 4 to 1 ratio.
   7. All underground facilities will have an installation depth as outlined in Section 8106.07.
   8. When available, utilities must be located along frontage or access roads in order to provide service without access from through traffic roadways or ramps.
3. Maintenance of Traffic – Access – Restoration
   1. Access to the proposed facility during construction will not be permitted from the through traffic lanes or ramps of the limited access highway.
   2. No parking of vehicles nor storage of equipment or materials will be permitted on the limited access highway.
4. Operational Conditions
   1. No utility service line connections will be permitted to the installation where located within the interstate or interstate look alike limited access right of way.
   2. Access to the underground utility line, utility supports, manholes, or other appurtenances for future maintenance will not be permitted from the through traffic lanes or ramps of the limited access facility. In this regard, if the maintenance work is extremely difficult and costly, it may be necessary to restrict future access to the facility until a permit is issued by the District Deputy Director which would address maintenance of the facility and the associated points of access which may include the use of through traffic roadways or ramps.

8104. Private Lines

8104.01 General

On limited access highways, applications for the longitudinal placement of private lines must conform to the provisions of this manual and provisions of 23 CFR 1.23 (C). This section of the CFR reserves the right for such approval to the Administrator of the FHWA if it is determined that such occupancy, use or reservation is in the public interest, will not impair the highway or interfere with the free and safe flow of traffic. All requests of this nature must be submitted to Central Office Utilities for review and processing with FHWA.

8104.02 Wetlands

Installation of privately owned lines or conduits is prohibited on right of way used for the purpose of draining adjacent wetlands onto highway right of way. This prohibition is consistent with the Federal executive order on Protection of Wetlands.

8105. General Accommodation Guidelines

The following are general guidelines for permitting the location and design of all utility installations within highway rights of way. When determining right of way requirements for a highway project, utility relocation must be taken into consideration, along with construction requirements, clear roadside policy and other safety matters.

8105.01 Location

1. Basis for Location
   • Utilities shall be located to minimize adjustments due to future highway improvements and to permit servicing or upgrading of utility facilities with minimum interference to highway traffic.
2. Longitudinal Location
   • Longitudinal installations shall be located on a uniform alignment near the right of way line in order to provide a safe environment for traffic operations and preserve space for future highway improvements or other utility installations.
   • Longitudinal underground utility facilities are prohibited within the area designated for the placement of highway signs and mailboxes unless the utility facility is constructed of material which will withstand penetration by support posts and is installed with a minimum cover of four (4) feet.
3. Crossing Angle
   • To the extent feasible and practicable, utility lines crossing the highway shall cross on a line generally normal to the highway alignment. This means the crossing shall be established as close to 90 degrees as possible.
4. Roadside Policy
   • The horizontal and vertical location of utilities within highway rights of way need, as best as possible, to conform to the Department’s clear roadside policy. The purpose of such policy is to provide drivers of vehicles, which leave the traveled portion of the roadway, a reasonable opportunity to stop safely or otherwise regain control of the vehicle without hitting obstruction. The clear zone may vary with the type of highway, terrain traversed, road geometrics, and operating conditions. The location of above ground utility facilities shall be consistent with the clearances applicable to all roadside obstacles for the type of highway and prevalent conditions.
5. Bridge Use
   • Where other locations are not feasible, bridges may be utilized to support utility facilities as provided in Section 8103.01, “A” and Section 8108.02 of this manual.
6. Integrity & Visual Protection
   • In order to preserve and protect the integrity and visual quality of the highway and the utility, consideration shall be given to measures reflecting sound engineering principles, economic factors, maintenance efficiency and safety.

8105.02 Design

1. Responsibilities
   • The utility is responsible for the design, installation, operation and maintenance of the facility to be installed within the highway rights of way or attached to a highway structure. The Department is responsible for review and approval of the utility installation plan with respect to the location of the utility to be installed or the manner of attachment to a highway structure. This includes the measures to be taken to preserve the safe and free flow of traffic, structural integrity of the roadway or highway structure, ease of highway maintenance, appearance of the highway and the integrity of the utility facility during highway construction.
2. Installation Requirements
   • Utility installations along, over or under highway rights of way and utility attachments to highway structures shall, as a minimum, meet the following requirements and all subsequent amendments or revisions.
     1. All utility installations shall be installed and maintained in accordance with current rules and regulations of the Ohio Department of Transportation.
     2. Electric power and communication facilities shall conform to the current provisions on the National Electrical Safety Code and Occupational Safety and Health Administration.
     3. Pressurized water lines and sewer lines shall be installed in accordance with Section 8106 and shall conform to the current conditions as outlined in the Ohio Department of Transportation Construction and Material Specifications and EPA standards.
     4. Pressurized oil and gas pipe lines shall conform to the current sections of ANSI Standard Code for Pressure Piping and/or applicable Federal, State, Local or Industry codes. A clearer description for these types of pipe line installations is covered under Section 8107.06 “D” & “E”.
3. Visual Design
   • The design of ground mounted utility facilities must offer desirable characteristics to the appearance of the highway and the environment. Effort shall be made to harmonize or blend the natural and manmade objects, insure continuity of visual form without distracting interruptions and strive for simplicity of design. In all cases, full consideration will be given to sound engineering principles and economic factors.
4. Material Strength
   • All permanent utility installations along, over or under highway rights of way and attachments to highway structures shall be of durable materials, designed for long service life and relatively free from routine servicing and maintenance.
5. Utility Expansion
   • On new installations or adjustments of existing utilities, provisions shall be made for known or planned expansion, particularly those facilities located underground or attached to bridges. The expansions shall be planned to minimize hazards and interference with highway traffic when additional facilities are installed at some future date.
6. Trench Installations
   • Bedding and backing of trenches within highway rights of way shall be in accordance with the provisions of ODOT’s CMS. However, backfilling of trenches within the pavement or shoulder areas shall be of Low Strength Mortar Backfill Material unless specifically waived by ODOT. The composition of the Low Strength Mortar Backfill Material to be used will be in accordance with ODOT’s specifications.
7. Exception Approval
   • Exceptions to utility relocation policy must be submitted to Central Office Utilities for evaluation and approval.
8. Open Cutting of Pavement Evaluation
   • The ODOT policy on open cuts of existing pavement is that the installation of underground facilities by open cutting pavement will not be considered unless it is demonstrated that there is no reasonable alternative method available. Casing, pipe or conduit crossings of the highway shall be installed by auguring, driving, boring, jacking or tunneling without disturbing the pavement or paved shoulder. Since open cutting of pavement is primarily a safety issue, any request of this nature must be clearly justified by addressing utility construction problems, traffic control and restoration issues. Approval would be issued by Central Office Utilities.

8106 Underground Utility Installations

8106.01 General

The design of underground utility crossings or occupancies of highway rights of way must be varied because of site conditions, type of utility involved, type of highway and degree of access control. Therefore, this policy is considered flexible and may be modified when justified and where special conditions exist. Design of utility facilities shall conform to the requirements contained in this policy. However, local or industry design standards prevail when more stringent. Requests to locate utilities on State highway rights of way must be made in accordance with the provisions of Standard Procedure No. 122-001 (SP). Arrangements for emergency maintenance procedures shall be made in accordance with Section 8102.07, “A” of this manual.

8106.02 Location

Based on the highway’s right of way designation, the permit process must be followed as listed:

1. Limited Access Highways - Longitudinal
   • As a general policy, if private access to a highway has been extinguished or controlled, longitudinal utility installations will not be permitted. However, in extreme hardship cases or where the public interest will be best served, the Department will consider accommodations of longitudinal utility lines within the rights of way of limited access highways. In each case, it must be demonstrated that the underground installation follows all policy criteria as outlined in Section 8102.08 and Section 8103.03.
2. Limited Access Highways – Crossings
   • Where private access to a highway has been extinguished or controlled, underground utility crossings are permitted subject to the conditions of this policy. Utilities crossing, as outlined for longitudinal installations, shall be designed in a manner that both construction and future maintenance operations can be performed without using the traveled roadways or ramps to gain access.
3. Non-Limited Access Highways – Longitudinal & Crossing
   • On non-limited access highways, all underground installations are permitted subject to the conditions outlined in Sections 8105 and 8106. Longitudinal lines may be permitted as long as the installation is located as close to the right of way line as possible. Exceptions may be considered taking into account the Department’s clear roadside policy, with approvals being based upon the merits of the case and the above mentioned Sections. In cases of narrow rights of way and severe terrain features, consideration may be given to locating the utility between the ditch and pavement. In this regard, the utility facility shall be located so that the distance between the edge of the pavement (or paved or stabilized shoulder) and the inside edge of the trench is greater than the depth of the trench (see Section 8105.02, “F” for additional restrictions). Buried cable shall not be installed within the shoulder area where lines for highway lighting, illuminated signs or other installations are typically located.

8106.03 Pipeline Designs

Pipeline installations in ODOT right of way cover a variety of products and the physical characteristics of the pipe, the product being moved by the pipeline and the pressure contained in the pipe varies significantly. ODOT’s permitting process for approving both crossings and longitudinal underground installations of these pipelines must meet the following design guidance.

1. Material Strength of Crossing Installation
   • Utilities crossing under a highway shall be of durable materials designed to meet conditions found at the site and shall be installed to preclude disturbing the roadway when performing maintenance or expansion operations.
2. Crossing Extensions
   • On non-limited access highways, conduits or casings shall extend beyond either the outer edge of the ditch or the embankment slope if a ditch is not present. On limited access highways, conduits or casing shall extend across the full width of the right of way. When the highway is constructed in deep cut, conduit or casing may be terminated beyond the shoulders. Generally, open cutting of the median is prohibited. However, where there is extremely wide medians, traffic lanes at different elevations or other physical conditions that make a continuous bore impractical, opening of the median may be permitted.  Since the open cutting of the median is primarily a safety issue, any request must be clearly justified by addressing construction, traffic control and restoration issues.  Approval for this type of work needs to be issued by Central Office Utilities.
3. Installation Protection
   • The grade of the crown of the pipeline, conduit, casing or unprotected facility shall be established based on what product is been transferred. Additional depth of cover may be required to meet existing field conditions. In those instances where less than minimum cover is authorized, additional protection of the utility facility may be required.
4. “Public Utility” Requirements
   • A pipeline owned by a Gas Company that is defined as a “Public Utility” and provides natural gas that is fully regulated by the PUCO and sold to the general public must meet these following guidelines:
   • A gas pipeline of any size or pressure and made of any material (steel, iron, plastic, etc.), generally, will not need to be cased but the company must certify it meets all rules, regulations and pipeline inspection criteria contained in 49 CFR 192 and/or 49 CFR 195. If the pipeline installation is a crossing under an interstate or an interstate look-alike and is less than 12 feet in depth, the company must provide certification that the pipe design meets the “Class 4” requirements of 49 CFR 192 which establishes the thickness of the pipe. If the installation depth is 12 feet or more, the company must meet the “Class 3” design requirements. All other “Class Thickness” requirements associated with longitudinal and crossing installations will be based on the location description outlined in the Federal Code. If the District has some concerns about the physical location of a crossing installation, the “Class Thickness” can be established which meets the District’s concerns. In addition, if the pipeline installation will be located within any fill material around Mechanically Stabilized Earth (MSE) Walls or within two feet of any structure foundation (i.e. bridges, culverts, etc.), the pipeline must be cased. All other installation requirements, as outlined in Section 8106 of the Department’s Utility Manual, must be met.
5. Oil & Gas Company and Interstate/Intrastate Pipeline Company Requirements
   • A pipeline owned by an Oil & Gas Company or an Interstate/Intrastate Pipeline Company must meet these following guidelines:
     • A gas and/or petroleum pipeline of any size or pressure and made of any material (steel, iron, plastic, etc.), generally, will not need to be cased but must meet all rules, regulations and pipeline inspection criteria contained in 49 CFR 192 and/or 49 CFR 195. If the pipeline installation is a crossing under an interstate or interstate look-alike and is less than 12 feet in depth, the company must provide certification that the pipe design meets the “Class 4” requirements of 49 CFR 192 which establishes the thickness of the pipe. If the installation depth is 12 feet or more, the company must meet the “Class 3” design requirements. All other “Class Thickness” requirements associated with longitudinal and crossing installations will be based on the location description outlined in the Federal Code. If the District has some concerns about the physical location of a crossing installation, the “Class Thickness” can be established which meets the District’s concerns.
     • The company’s design plans of the pipeline installation must be certified as meeting 49 CFR 192 and/or 49 CFR 195 regulations with an Ohio Registered Engineer’s review stamp and signature. In addition, if the pipeline installation will be located within any fill material around Mechanically Stabilized Earth (MSE) Walls or within two feet of any structure foundation (i.e. bridges, culverts, etc.), the pipeline must be cased. All other installation requirements, as outlined in Section 8106 of the Department’s Utility Manual, must be met.
     • If the pipeline company decides, on its own, to provide casing for the installation, the installation plan does not require two design engineering signatures but, as outlined, does require one signature that certifies the pipeline design meets all federal regulations.
6. Federal Criteria
   • The federal criteria which establishes the pipeline design is part of the gas and petroleum industries’ licensing process and is applied to all pipeline size and material types. All of their installations are required to meet these standards and casing will not be needed unless the installation is close to an MSE wall or any structure. The two foot distance, which will require casing, was established by Central Office Engineering. The District’s ability to adjust Federal Regulation which establishes thickness of the pipeline installation by “Class Level”, is also supported by Central Office Engineering.

8106.04 Casing of Pipelines

Casing of an underground installation of a utility facility is a requirement that will be established by the District based on what product the pipeline is carrying and the physical characteristics of where the installation is being made.

1. Oil, Gas & Petroleum Pipelines
   • The thickness of pipelines that carry these products is controlled by the federal regulations defined in Section 8106.03 of this manual. Because of the work this industry has done with FHWA and ASSHTO to protect the life expectancy of their pipelines, casing, for the most part, will not be required. However, the Department does require casing if the pipeline is within two feet of MSE walls or structures and, depending on other physical characteristics of where the pipeline is being installed, the District can require casing if it is felt that such an installation has to be made in order to prevent damage to the roadway.
2. Water & Sanitary Sewer Pipelines
   • Pipelines of these types, particularly those that carry product under pressure, have to be cased. However, there are situations where the utility can provide pipelines of increased thickness and the District can approve such an installation without casing.

8106.05 Additional Guidance for Underground Utility Installations

These following items address design and location requirements for all types of pipeline and conduit installations:

1. Gallery Installation
   • For pipelines of the extreme importance to public convenience, safety or business operations, galleries may be installed for the purpose of performing repair or replacement of pipelines and conduits. Galleries shall be designed so that most repairs or replacement of these utility facilities can be made without resorting to pulling the entire facility from the gallery. The gallery design shall include one or more entrance shafts of a size suitable for removal of one pipe or conduit section from the gallery. Shafts shall be sealed with a removal cap. Each cap shall have a manhole opening suitable for inspection access.
2. Casing & Gallery Material
   • Casings and galleries may be constructed of any materials permitted by ODOT’s CMS for use in roadway culverts, and shall be designed to meet all conditions found at the site.
3. Tunnels
   • Tunnels, if needed, shall be constructed of steel liner plates left in place or other materials acceptable to ODOT. Voids remaining outside of the tunnel lining shall be filled with Portland cement grout. After installing the utility, the tunnel lining shall be filled with approved gravel aggregate or concrete rammed in place. Tunnel ends shall be sealed and provisions may be made for tunnel drainage if an outlet is available.
4. Pressure & Gravity Flow Pipeline Installation Requirements
   • Pipelines of any type carrying gas or liquid under pressure shall be equipped with valves which, when closed, will isolate the section of the line which includes the portion within the highway right of way. Gravity flow pipelines, such as sanitary sewers, shall be a type suitable for roadway culverts. Joints shall be compression type or an approved equivalent.
   • Manholes should be located on gravity flow lines outside of limited access boundaries and in a position that the facility can be inspected and cleaned without trespass on the right of way.
5. Underground Installation Determination
   • When a utility has an original position beneath a new highway improvement, a determination needs to be made regarding the need to strengthen or replace that existing facility. The determination shall be based on depth, strength and condition of the existing utility, the type of surrounding soil and the foundation soils. If a fill or surcharge is to be placed above an existing utility, a thorough investigation needs to be made and consideration given to installation of such treatments as a concrete cap, partial encasement, full encasement or replacement of the facility. If the determination indicates that it is feasible to leave an existing utility parallel under the pavement, extension for future service connections shall be made prior to the new pavement being placed.

8106.06 Installations

The following situations related to the status of the right of way and physical characteristics of the installation location establishes how underground installations need to be made:

1. L/A Crossing
   • When pipelines must cross existing limited access highways, installation shall be made from points outside the limited access right of way. Where extreme cost or hardship exist, areas beyond the back-slope of the side ditch may be used. Whenever feasible, installations shall be made without using the mainline or connecting ramps and without interfering with the mainline or ramp traffic.
   • Generally, open cutting the median is prohibited. However, where there is extra wide medians, grades of traffic lanes at different elevations or other physical conditions that make continuous bore impractical, open cutting of the median may be considered. Since the open cutting of the median is primarily a safety issue, any request of this nature must be clearly justified by addressing construction, traffic control and restoration issues. Approval needs to be issued by Central Office Utilities.
2. Embankment or Shallow Cut Installation
   • When the highway is currently located, or is to be constructed, on embankment or in a shallow cut, casing or galleries shall extend across the full width of the right of way. If significant savings would result, access is not limited, safety is not compromised and ODOT approves, the casing or gallery may be terminated beyond the outer edge of the ditch flow lines, or the embankment slope if a ditch is not provided.
3. Deep Cut Installation
   • When the highway is currently located, or is to be constructed in a deep cut, casing or galleries shall extend across the roadway to include the effective width of the outside shoulders. Effective width is considered to be the offset distance between the edge of the pavement and the face of the guardrail as provided on the highway project. Overhead structures, either utility or highway, may be considered for the purpose of supporting utilities to span deep cuts when other locations prove difficult and costly.

8106.07 Depth of Installations

The grade of the crown of conduit, casing or uncased pipeline facilities shall be established so that minimum depth of cover will be as follows:

Additional depth of cover may be required to meet existing field conditions. In those instances, where less than minimum cover is authorized, additional protection of the utility facility may be required.

8107. Aerial Utility Installations

8107.01 General

Guidelines for aerial utility installations in various locations are as follows:

1. Power & Communication Lines
   • For accommodation of power and communication lines on highway rights of way, things will vary with the site conditions, type of line involved, type of highway and degree of access control. Therefore, this is to be considered as a flexible policy which may be modified where special conditions exist. Design of the utility facilities shall conform to the guidelines contained here in this manual, but where local or industry standards are higher, those standards shall prevail.
2. L/A Installations
   • If private access to a highway has been extinguished or controlled, longitudinal lines will not be permitted within the limited access right of way, except as provided in Section 8107.02 “A”. Lines crossing or occupying limited access highways shall be designed in a manner that will permit construction and normal maintenance operations to be performed without using the traveled roadways or ramps to gain access.
3. Vertical Clearance Determination
   • The vertical clearance of overhead lines crossing limited access or non- limited access highway rights of way shall not be less than the minimum required by the National Electric Safety Code. Specific cases may arise where the utility will be requested to furnish clearances over and above those specified by the National Electric Safety Code. The State will determine the location and extent of additional clearance required during highway construction and will make every effort to give ample notification to the utility. A minimum vertical clearance of 16.5 feet will be maintained over all State and Federal highways.

8107.02 Location

1. Longitudinal L/A Installation Determination
   • As a general policy, if private access to a highway has been extinguished or controlled (Designated L/A), longitudinal installation of overhead utility lines will not be permitted. However, in extreme hardship cases or where the public interest will be best served, the Department will consider accommodation of longitudinal utility lines within the rights of way of limited access highways. In each case, it must be demonstrated that:
     1. The accommodation will not adversely affect the design, construction, operation, maintenance or safety features of the highway.
     2. Alternate locations are not available or cannot be implemented at a reasonable cost from the standpoint of providing efficient utility service.
     3. The aerial utility installation will not interfere with nor impair the present use or future expansion of the highway.
     4. Disapproval of the use of the right of way would result in the permanent loss of productive agriculture land or permanent loss of productivity of agricultural land. In this case, the utility must provide information on the direct and indirect environmental and economic effects of this loss.
     5. The utility facility can be constructed and serviced without access from the through traffic roadways or ramps of the limited access highway.
     6. No longitudinal occupancy of the median area will be permitted.
2. L/A and Non-L/A Installation Requirements
   • On non-limited access highways, longitudinal aerial lines may be permitted subject to the conditions of this policy. Locations of such lines shall be as close to the right of way line as possible. Exceptions will be considered taking into account the Department’s clear roadside policy, with approval being based upon the merits of the request. Adequate support for any exception must accompany the request.
   • Ground mounted utilities shall be placed as far as practical from the traveled way and be of a design which is compatible with the visual quality of the highway. Guy wires and stub poles are not to be placed between a pole and the traveled way in a manner that encroaches upon the clear zone. Clear zone specifications can be found in volume 1 of the ODOT L & D Manual. In addition, the following basic clearances apply to ground mounted utilities:
     1. The minimum lateral clearance between the face of the guardrail and the face of the utility facility will be 5.5 feet for standard post spacing and 3.5 feet for reduced post spacing.
     2. Guardrail requirements for fixed objects within the clear zone are waived for speeds less than 40 mph.
     3. Where there are curbed sections, utilities need to be located a minimum of 8 feet behind the face of the curb. If this offset is not practical, utilities must be located as far back from the face of the curb as feasible, with an absolute minimum clearance of 1.5 feet. (Under a resurfacing project, if utility facility locations do not meet these requirements, relocation is only required if the Resurfacing Accident Analysis indicates accidents have been occurring as outlined in the L&D Manual, 106.1). The minimum lateral clearance between a utility facility and the edge of a bike-path shoulder will be based on current AASHTO Standards.
3. Single Pole
   • Longitudinal installations of overhead lines on highway rights of way shall be limited to single pole type of construction. Joint-use single pole construction is encouraged at locations where more than one utility or type of facility is involved as outlined in Section 8107.05.

8107.03 Overhead Crossings

1. L/A Crossing Design Requirements
   • Where no crossroad exists, overhead lines crossing a limited access highway shall be designed for support structures to be located outside of the limited access lines. In cases where such spanning of the roadway is not feasible, consideration can be given to placement of the utility beyond the outer edge of the roadway side slope or a conversion to underground facilities.
2. L/A Interchange Installation Evaluation
   • At interchange areas, supports for overhead utility lines may be permitted within the limited access lines provided it is demonstrated that any other location is extremely difficult or costly and that all of the following conditions are met:
     1. The clear zone is maintained with respect to the through traffic lanes of the freeway.
     2. The appropriate clear zone from edge of ramp is maintained.
     3. Sight distance is not impaired.
     4. Conditions of Section 8107.04 and 8107.05 of this manual are met.
3. Crossroad Installation
   • Where lines parallel a crossroad which is carried over or under a limited access highway, provisions need to be made for utilities to cross the limited access highway parallel with the crossroad in such a manner that the utility can be serviced from the crossroad.
4. Non-L/A Crossing Structure
   • Along non-limited access highways, structures supporting overhead utility lines crossing highway rights of way may be permitted. These structures shall be located as close as possible to the right of way line and in a manner that will cause the least interference with the normal maintenance of the highway.

8107.04 “Joint-Use” Consideration

In order to minimize the number of utility poles occupying the road right of way, if road right of way space is limited and/or an existing utility’s pole installation can provide space to accommodate a “Joint-Use” installation with the permit
applicant, then the permit can only be approved if the “Joint-Use” opportunity is evaluated and, possibly, met.

8108. Utility Installations on Highway Bridges

8108.01 General Requirements for Bridge Attachments

In many cases, attachment of utility facilities to highway bridges is a practical arrangement and will be permitted where found to be in the public interest and in accordance with ODOT policy. However, attaching utility facilities to a highway bridge can materially affect the bridge, the safe operation of traffic, the efficiency of maintenance and the appearance. Therefore, where it is feasible, cost effective and reasonable to locate utility facilities elsewhere, attachments to highway bridges should be discouraged and avoided. Due to the nature of the utility product being transported, the evaluation of requests for gas line attachments to bridges need to be critically analyzed. When bridge accommodation is a viable course of action, the issues associated with the bridge attachment must be addressed early in the design process. The placement of any utility on a bridge is predicated on justification for the proposed attachment, along with consideration of the disposition of the existing facility during both the bridge demolition and construction phases. In all cases, if a utility is to be installed on a bridge, the request must be reviewed and approved by the District Production Office, the District Utility Coordinator and the appropriate ODOT bridge office.

8108.02 Conditions

Where other locations for utility facilities to span an obstruction prove to be difficult or unreasonably costly, consideration shall be given for attaching the facility to a bridge structure under the following conditions:

1. The utility installation shall be made in a manner that will not inhibit maintenance, reduce vertical clearance or detract from appearance of the structure.
2. None of the structural members in the proposed bridge are to be reduced in section, or the cross section of the super structure revised to other than a normal section, solely for the purpose of accommodating utilities.
3. Conduits to be installed in the sidewalk element must be a least one inch above the construction joint between the bridge slab and sidewalk and spaced to provide a least two inches of clearance between the outside of the conduits.
4. Utilities will not be placed inside of pre-stressed concrete box.
5. Utility attachments to the outside of the bridge will not be permitted unless reasonable alternatives do not exist.
6. All sleeves for utility installations shall extend beyond the approach slab.
7. Gas mains may be supported by bridges provided that the internal operating pressure does not exceed applicable design criteria. In order to isolate the bridge and provide access points for line by-passes, valves must be provided at readily accessible locations within reasonable distance from each end of the bridge.
8. Water mains may be supported by bridges if valves are provided at readily accessible locations within reasonable distance from each end of the bridge. The valves must allow for isolation of the bridge and provide access points for line by-passes. If required, insulation or wrapping should be provided to prevent sweating or freezing.
9. Sanitary sewers will not be installed on bridges unless no reasonable alternative exists.
10. The design of pipeline installations on bridges shall provide for a support that will prevent vibration in the pipeline when traffic crosses the bridge.
11. Power and communications conduits installed on bridges will be equipped with access points at readily accessible locations within reasonable distance from each end of the bridge.

8109. Pipeline Installations in Culverts

8109.01 General Guidelines for Pipeline Installations

A culvert is defined as any buried structure that has a span less than one hundred- twenty inches (120 in.) as measured along the centerline of the roadway. Because a pipeline installation within the culvert can provide efficient and cost effective installation requirements to a utility company, a District often gets a request for such an installation. But, from the Department’s perspective, the culverts primary function is to handle water drainage in order to protect the roadway. With that said, the Department will provide a permit for the temporary installation of a waterline, based on certain criteria, but will not allow for the installation of any other type of line, i.e. gas, sewer, electric, etc..

8109.02 Temporary Waterline Installation in a Culvert

In most cases, in order to support the utility, temporary placement of a waterline will be permitted as outlined:

1. Installation Timeframe
   • The permit can be active for up to a maximum time frame of three (3) months from the date of permit approval. Time frames exceeding this amount of time requires coordination and approval from the District. This approval is also required for the placement of a casing pipe by jacking and/or boring methods and a pipeline thickness that provides good protection to the roadway will have to be determined.
2. Culvert Size Requirements
   • The host culvert must have a rise of thirty six inches (36 in.) or larger and have an existing General Appraisal rating of five (5) or greater and a Waterway Blockage rating of six (6) or more (culvert blockage <=10%). Culvert cleanout may be performed by the permit holder to furnish an acceptable waterway blockage rating with prior approval from the District.
3. Maximum Pipeline Diameter
   • The maximum allowable waterline diameter is twelve inches (12 in.)
4. Shut-Off Valve
   • An easily accessible shut-off valve is required in the line prior to the right of way or culvert.
5. Pipeline Diameter Based on Culvert Size
   • Waterline diameter cannot exceed more than the following listed diameter within the host culvert:

8110. Scenic Enhancement Locations

8110.01 General

The type and size of utility facilities, along with the manner and extent to which these facilities are permitted within areas of scenic enhancement or natural beauty, can materially alter the visual quality and view of the highway roadside area. This area includes public park and recreational lands, wildlife and water fowl refuges, historic sites, scenic strips, overlooks, rest areas and landscape rights of way. Utility installations are not permitted within the foregoing described lands unless the following specific conditions have been met:

1. Underground Utilities
   • Underground utilities may be permitted where the installations do not require extensive removal or alteration of trees or terrain features visible to the highway user or where the visual quality of the lands to be traversed will not be impaired.
2. Aerial Utilities
   • Aerial utility installations are to be avoided unless there is no feasible or prudent alternatives to the use of these lands and specific criteria is demonstrated to the satisfaction of the state as follows:
     1. Other locations are not available or are usually difficult and/or unreasonably costly or other locations are less desirable from the standpoint of aesthetic quality.
     2. Placement underground is not technically feasible or is unreasonably costly.
     3. The proposed aerial installation will be made at a location that will employ suitable designs and materials which give the greatest weight to the aesthetic qualities of the area being traversed. Suitable designs include, but are not limited to, self-supporting single pole construction with vertical configuration of conductors and cable.
3. Highway Purpose
   • The forgoing provisions shall also apply to aerial utility installations that are necessary to a highway purpose such as highway lighting to serve a weigh station, rest area or recreational area.
4. Extenuating Circumstances
   • There may be cases of unusual hardship or other extenuating circumstances where some degree of variance with these provisions is warranted. Such cases shall be subject to prior review and concurrence by Central Office Utilities following submission of a proposal and a full report of the circumstances involved.

8111. Permit for a Wireless Communication Utility

According to the O.R.C. 55011.311 (E), the “… the Director may grant a lease, easement or license in a transportation facility to a telecommunications service provider for construction, placement or operation of a telecommunications facility.

As per the authority granted to ODOT regarding the sole discretion to approve right of way use agreements under the Stewardship and Oversight Agreement of 2017, between FHWA Ohio Division and ODOT, ODOT may enter into license agreements with telecommunication service providers for the installation cell towers, including small cell and macro site towers, and supporting equipment in right of way held by ODOT in fee or easement. 

ODOT establishes a licensing system for approval of cell tower installations in right of way using a fee structure in accordance with 23 CFR §710.403(e) which may be revised by ODOT at its discretion. Additionally, ODOT may accept shared resources in-lieu, in part or in full, of monetary compensation for the attendant use of the right of way. Details on the application process and necessary information and plans to be submitted are incorporated within the Utilities Section of the Real Estate Manual.

Telecommunications service providers may seek application to install such cell towers.  Requests for such cell towers shall be received in the District or Central Office. Central Office Real Estate shall coordinate the review of such applications with the District(s). Such installations shall undergo the same type and level of review attendant any similar installation. Central Office Real Estate shall be responsible for approving the license. The Administrator of Central Office Real Estate may sign the license on behalf of the Director. Central Office Real Estate shall handle the administration of the license, the negotiation of the shared resources, and collection of fees if any. 

The District Permit Technician needs to review all details of a permit application (MR 505 Application Form) and, if the application appears to be of the wireless telecommunication nature, with regards to the facilities they are going to install, the request needs to be forwarded to Central Office, Office of Real Estate. That office will work with the permit applicant to establish a license and fee for their installation, as per a uniform schedule. The permit is not to be approved until the license agreement is signed. Once these items are in place, Central Office, Office of Real Estate will notify the District Permit Technician that all aspects of the license have been completed, the applicant has signed the license and agrees to the fee and the District can approve the permit. The District Permit Technician will then work with the applicant under our traditional permitting process to assure the physical installation of the facilities will adhere in all aspects of the permit.
In the event that a telecommunications provider seeks short-run, longitudinal installation of a telecommunications facility (fiber optic cable) in right of way for the purpose of supporting the operation of a cell tower (macro site or small cell) if the longitudinal installation is part of a cell tower installation that is also located in ODOT Right of Way and is subject to a license agreement, any associated fees for the longitudinal installation may be included in such fees as may be described in the license specific to the site. 

If the telecommunications facility that the proposed longitudinal installation would serve is outside of ODOT right of way and would not otherwise be covered under a license agreement with ODOT, ODOT and the telecommunications provider may enter a license agreement specifically for the longitudinal installation. Such installations are determined to be a specific subset of licensing specific to cell tower licensing, and not subject to guidance under 8113.

Relevant to this section, short-run is defined as less than one mile in length and not directly part of a larger and/or longer run longitudinal installation, or a series of connected short runs that create a longitudinal installation that would otherwise be subject to 8113. Such short-run installations are further described as providing direct service/connectivity to a specific site(s) but are not otherwise part of the mainline of a fiber network. Longer installations may be considered on a case by case basis by Central Office Real Estate with a showing of good cause why no other options are viable.   

8112. Corrective Measures

The Office of Roadway Safety & Mobility establishes the goals, scope and organization of the safety program. The goal is to improve the overall safety of state highways by systematically identifying and correcting high accident locations and locations which have potential accident features. Highway sections with a high incidence of accidents not related to roadway traffic control deficiencies, such as above ground utility facilities, shall be included in the identification process for appropriate action. In developing highway safety upgrade projects, as well as routine highway projects, utilities with above ground facilities will be requested to relocate facilities as close to the right of way line as possible in uncurbed sections and at least 1.5 feet behind the curb in curbed sections. Likewise, when a utility builds, replaces or upgrades above ground facilities, the same criteria shall be followed.

8113. Longitudinal Fiber Optic Installation Licensing

As per the authority of O.R.C. §5501.311(e), 23 CFR §710.403, and the “Telecommunications Act of 1996”, 110 Stat.152, the Director may grant a lease, easement or license in a transportation facility to a telecommunications service provider for construction, placement or operation of a telecommunications facility. 

Additionally as per the authority granted to ODOT regarding the sole discretion to approve right of way use agreements under the Stewardship and Oversight Agreement of 2017, between FHWA Ohio Division and ODOT, ODOT may enter into license agreements with telecommunication service providers for the longitudinal installation of fiber optic lines, conduit, and supporting equipment in right of way designated as limited access by fee or easement, on non-NHS or non-Interstate on the NHS. 

ODOT establishes a shared resource, licensing system for approval of longitudinal fiber optic telecommunication installations in non-Interstate, limited access right of way. 

The nature and extent of the shared resources shall be negotiated by the parties on each installation, but may include conduit space, dark fiber, and/or network capacity. Such resources may be located within the same footprint as the proposed installation, another acceptable location, or the reservation of such future rights.  

In the event that the parties are not able to reach any agreement for shared resources, ODOT may elect to receive monetary compensation based on a fee structure consistent with 23 CFR §710.403 and the Telecommunications Act of 1996; the fee structure may be revised by ODOT at its discretion.

Details on the application process and necessary information and plans to be submitted are incorporated within the Utilities Section of the Real Estate Manual.

Requests for such longitudinal installations shall be received in The District or Central Office. Central Office Real Estate shall coordinate the review of such applications with the District(s). Such installations shall undergo the same type and level of review attendant any similar longitudinal installation. Central Office Real Estate shall be responsible for approving the license. The Administrator of Central Office Real Estate may sign the license on behalf of the Director. Central Office Real Estate shall handle the administration of the license, the negotiation of the shared resources, and collection of fees if any. 

8200 - Procedures for Coordination Associated With Utility Relocations and Adjustments

8201. General

8201.01 Purpose

The purpose of this section is to set forth established procedures for the handling of utility relocation in conjunction with highway improvement projects. Compliance with these procedures is essential to insure uniform standards for utility relocations, consistent application of processes to be followed by utilities, consultants and department personnel, appropriate documentation associated with the utility coordination activity, and to provide proper documentation for State and Federal participation in eligible utility relocation costs.

Unusual conditions, which are not provided for in this section, are to be referred to Central Office Utilities by the District for review and guidance.

8201.02 Statutory Controls

Sections 5515.01 and 5515.02 of the Ohio Revised Code (ORC), augmented by various sections dealing with the authority of the Director, are the basic statutory controls governing utilities on the State Highway system. ORC Sections 5547.03 and 5547.04 are comparable sections for county roads. ORC Section 5501.31 sets forth the State’s authority to acquire rights of way for utilities and other entities. ORC Section 153.64 sets forth specific responsibilities of the Department, the utility company and the contractor, involving underground utilities on highway improvement projects. In addition, the procedures set forth in this manual are based on the Federal Highway Administration’s current edition of 23 CFR 645, Subpart “A” – Utility Relocations, Adjustments and Reimbursement. (Refer to FHWA web site at www.fhwa.dot.gov)

8201.03 Responsibilities

The District Utility Coordinator has the prime responsibility for making arrangements for all utility relocation caused by highway projects, including necessary coordination and reimbursement documentation that Central Office Utilities may need to be provided to the Federal Highway Administration (FHWA). In addition, several other offices of the Department of Transportation are responsible for various activities necessary to accomplish utility relocations. These responsibilities will be outlined in future sections of this manual.

Central Office Utilities is responsible for formulating utility coordination policies and procedures, performing specific review functions, utility cost processing and collection, evaluating exceptions to policy, providing technical expertise and assistance, training and quality assurance.

The District P & E Office is responsible for making preliminary and final design information available to all affected utilities at the earliest opportunity and giving proper consideration to utility relocations in the location and design of highway improvement projects. Avoidance of utility facilities to eliminate utility relocation, and Subsurface Utility Engineering (SUE) service, to identify underground utility locations, need to be two important components of the highway project design process.

The District Real Estate Office is responsible for working with the District Utility Coordinator and Central Office Utilities on all aspects of the utility relocation process that involves making road right away available to the utility for their relocation, acquiring an easement for the utility when such support is needed and all other functions that have real estate law and regulation associated with the utility relocation.

It is important the District Highway Management Office consider taking on the responsibility for inspecting utility relocation work to assure compliance with approved plans and estimates, make needed contractor work adjustments to avoid utility conflicts during the construction process and work with the District Utility Coordinator in maintaining records for billing verification and contractor delay cost issues associated with all performed facility relocations by the utility company.

The Office of Payroll and Project Accounting is responsible for auditing utility billings, either prior to or after payment, and to assure proper expenditure of State, Federal and Local funds.

Other Central Offices and their District counterparts also have responsibilities in the utility relocation process. The functions of all agencies involved are described more thoroughly in later parts of this manual.

8202. Utility Coordination Value

8202.01 Highway Project

Ohio’s utility industries have been historical partners with the Ohio Department of Transportation and we have worked together in many ways to support the people of Ohio. Utility facilities have been installed within, or adjacent to, highway right of way and, as a result, any time the Department undertakes a roadway improvement, the utility installations are affected. The utility facilities have to be either relocated or protected in some way so that the construction of the highway project can be performed in a timely, safe and cost effective manner. To meet those needs, the Department and the utilities have created utility coordinator positions which have the responsibility of working together in order to meet the needs of both.

8202.02 District Utility Coordinator

The primary responsibility of determining how the Department’s highway construction projects will affect the utility facilities is centered on the Districts’ Utility Coordinators. It is up to those individuals to make the utilities aware of what the highway project will be doing to utility facilities and work with their utility company counterparts to assure the needs of both are understood, documented and the utility relocation or protection is performed in a timely fashion. The efforts that need to be delivered by the District Utility Coordinators have significant importance to the overall efficiency that the Department leadership requires to assure the highway projects are constructed on time and within budget. Since the utility companies are “third party participants” in the Department’s highway projects, there is Federal and Ohio law that governs the utility’s use of the road right of way and how the utility’s property rights need to be dealt with. Since there is no direct authority over how utility company coordinators need to perform the utility’s relocation processes, it is up to the District Utility Coordinators to provide good work efforts to do what is needed to assure the utility will perform in an efficient fashion. The Department’s District Utility Coordinators must rely on their own work skills to achieve effective utility relocation for all of the Department’s highway projects.

8202.03 Central Office Utilities

Central Office Utilities is in place to provide policy and procedure guidance to the utility coordination processes and support the District Utility Coordinators in all utility relocation activities. To achieve that responsibility, Central Office Utilities will review and process all utility reimbursement functions in order to provide compensation for the eligible utility relocation work performed during the project construction and work with the Federal Highway Administration on making sure all aspects of the Department’s utility coordination responsibilities are performed in a manner the FHWA has in place in order to obtain federal payment to the Department for all costs associated with eligible utility relocation compensation. The office will provide guidance to other Department offices that have involvement in utility coordination or compensation, provide assistance and direction to the District Utility Coordinators on a variety of processes that assists the delivery of a highway project in an efficient and cost effective manner and maintain contact with utility industry leadership to obtain their support when problems arise in the utility relocation process.

8202.04 Central and District Real Estate Offices

The Department’s real estate activities, associated with the acquisition of right of way for the highway projects, have direct impacts on the utility coordination process. Depending on the nature of where the affected utility facilities are located, both Central and District Real Estate Offices will have work duties that will have to be performed in order to support the District Utility Coordinator and the utility company’s facility relocation needs. The Department’s real estate functions must either provide right of way for the utility relocation or, when needed, acquire an easement on behalf of the utility, establish right of way certification or deliver other support efforts needed to protect the utility’s compensation right. All of this work needs to be performed by the Department’s Real Estate Offices.

8203. Utility Coordination Process

8203.01 Project Information

The utility coordination process begins with the District identifying the highway construction projects. The District Utility Coordinator is provided a listing of all highway projects and is responsible for making that information available to the utility companies in order for the utility to determine if their facilities will be affected by a project and what year the project construction will begin. It is important to note that the District Utility Coordinator needs to make the utility aware that all relocation activity is handled during the project’s design phase. If the project construction date appears to be several years out, and the utility feels they do not have to focus on the relocation process, the coordinator must make the utility aware of the fact that Department leadership may adjust funds and accelerate project construction.

1. Initial Project Information
   • On an annual basis, the District prepares a five year listing of highway construction projects which outlines proposed transportation improvements and provides the location and construction timing of those projects. Each year, the District Utility Coordinator is required to provide that information to all utility companies in order to make the utility company’s coordinator aware of the projects, make a determination as to whether or not their facilities would be affected by a project and, if the utility is in a non-compensable position, to make sure their company makes the relocation funds available as part of their operations budget for the year their relocation activity has to be performed. This information is an effective liaison tool in providing the utility companies with advance information for planning future relocation requirements, internal budgeting and early identification of potential conflicts with future highway projects.
2. Project Field Review
   • Depending on the complexity of the highway project, the District may perform a field review in order to evaluate the many design components that will affect the area in which the project is being constructed. Included in that evaluation will be an understanding of what type and size of utility facilities are in the area and whether or not they will have to be relocated. It is up to the District Utility Coordinator to participate in the field review and use their knowledge of utility relocation possibilities to provide information on how the project will impact utilities and what those impacts would do to the project’s efficiency and cost.
   • If there would be significant impacts (as defined in Section 8203.03 “A”) or major utility reimbursement issues involved, the District Utility Coordinator would let the District P & E design engineer aware of those issues and design adjustments would be considered so that those utility impacts could be avoided or reduced as much as possible.
3. Project Notice
   • During the project’s Preliminary Engineering or Stage 1 process, it will be up to the consultant design engineer or District Utility Coordinator to notify all utility companies involved in the highway project, provide Stage 1 plans and request the utility provide location information regarding existing facilities and, if eligible, preliminary reimbursement costs and relocation schedule information. At the time that authorization and project design information is given to the District Utility Coordinator, the designer or District Utility Coordinator is responsible for giving formal written notification of the project to all utilities in the area of the proposed roadway improvement. In conjunction with this notification, the utilities are requested to provide updated location information regarding existing facilities within the project limits. Depending on the complexity of the improvement, the project notification and information requested could occur in coordination with other project functions, such as the Ohio Utilities Protection Services (OUPS), the Oil & Gas Producers Underground Protection Service (OGPUPS) notification or Subsurface Utility Engineering (SUE) activities.
4. Underground Utility Requirements
   • Ohio Revised Code Section 153.64 requires that all existing underground utilities must be identified and shown on highway construction plans where excavation or ground penetration will occur. Whether working with the project designer or a SUE provider, it is the responsibility of the utility owner to cooperate in locating their existing underground facilities. The project designer, SUE provider or the District Utility Coordinator will contact the Ohio Utilities Protection Services (OUPS) and the Oil & Gas Producers Underground Protection Service (OGPUPS) to initiate the locate process with the utilities.
   • Upon notification, the utility is required by law, to respond to the locate request and provide location information to the project designer by either providing plans, marking project designer plans or marking the existing facilities in the field for retrieval by the designer. The utility must provide this information within ten (10) working days of receiving a notice. In all methods, location refers to the course or alignment of the facilities and the approximate depth of the facilities. Copies of all contact information between the designer and the utilities shall be forwarded by the designer to the District Utility Coordinator. The utility facility shall be shown in both the plan and profile views. The utility facility shall also be shown on pertinent cross sections, structure plans and drainage profiles. A complete list of utilities in the area of construction shall be shown in the General Notes, along with addresses and telephone numbers. Depending on the type of project work involved, Volume 3 of the Location and Design Manual identifies several options for this note as outlined in Appendix “B”, G102 - Utilities.

8203.02 Utility Coordination in Project Design Process

Over the years, the Department’s project design process has been defined in several ways, but the utility coordination process has not changed as it relates to how information on project impacts to utility facilities is identified and entered into current project design processes. The District Utility Coordinator’s responsibilities for capturing that information and making sure all related utility impacts are shared with both the project designer and the utility company coordinators remains the same. In order to provide quality utility coordination to benefit both the project and the utility, the following list of utility coordination steps in the project design process are to be used in a consistent and timely manner:

1. Preliminary Engineering and/or Stage 1 Plans
   • Depending on the complexity of the highway project, there may be a need for some preliminary engineering work prior to the designer beginning the Stage 1 design process. This is a “preferred alternative” process where several design footprints are put in place and the one that provides the best design, efficient construction and best cost is selected. Under Section 1400 of the L & D Manual, there is a need for information as to how the project will affect all components of the project design process.  The District Utility Coordinator will obtain project information from the District P & E Office or consultant design engineer and send that information to the utilities that are identified in the project area. Since permitting criteria, regulatory mandates and environmental laws can impact project design and schedule, utilities will be requested to provide preliminary information regarding existing facilities and potential project impacts on how the project will affect all utility facilities in the area of the project.
   • During preliminary engineering or, at the inception of Stage 1 project development, the District Utility Coordinator shall make a detailed inventory of the utilities located within the limits of the project (See Section 8214.01 “A” Checklist-Field Review utilities). It is also at this time that the District Utility Coordinator can request the use of Subsurface Utility Engineering be used to provide quality information on the locations of underground facilities.
   • This inventory will expand upon the utility information acquired by the District Utility Coordinator during the field review and Significant Impacts Summary (Section 8203.03, “A”) phase of the project development. As soon as practical, the District Utility Coordinator should then schedule an on-site meeting with the utility companies’ coordinators to discuss potential conflicts and possible mitigation, safety factors, relocation time frames (material ordering, bid processes, critical outages or splicing needs, etc.) plan adjustments and construction and/or right of way constraints impacting utility relocation. The information obtained from the field meeting is to be shared with the project designer and District Real Estate personnel so that determination can be made as to how those significant utility relocation requirements will affect the project.
   • Once the Preferred Alternative is selected and Stage 1 plans are produced, a complete set of those plans will be sent to each affected utility by the project designer or District Utility Coordinator. This will provide the “foundation” for all utility coordination activities that will be needed in order to deliver the construction project in a timely and cost efficient manner.
2. Preliminary Right of Way Plans & Stage 2 Plans
   • Preliminary right of way plans are a product of the Stage 1 project design. The District Utility Coordinator needs to be involved in order to address right of way issues which could impact utility relocation, acquisition in fee, easements, work agreements, temporaries or right of way acquisition schedules. In addition, preliminary right of way plans must assure that sufficient acquisition of property occurs to accommodate utility relocation design, safety clearances between facilities and utility relocation construction.
   • A primary objective of the Department’s project design process is to provide a sufficient level of design data which will anticipate and mitigate planning, environmental, design and construction issues in the early stages of the project development. Stage 2 is also the timeframe when the Subsurface Utility Engineering (SUE) information can be used in the design plan, water and/or sanitary sewer relocations will be designed and plan changes, identified in the SUE process or requested by utilities, can be considered. Stage 2 design incorporates the Stage 1 review comments and further details of the Stage 1 design. As a result, Stage 2 design becomes a process where the majority of the detailed design and plan preparation occurs. In general, Stage 2 plans should be developed to the point where plan preparation, design and detailing are substantially complete. The District Utility Coordinator must be actively involved in meetings and reviews associated with the Stage 2 project development phase and, depending on the utility impacts with the project, it may be necessary to involve the utilities. Also, coordination with the project designer regarding the inclusion of utility relocation work in the construction plans is necessary. The District Utility Coordinator is also responsible for verifying utility reimbursement eligibility and determining betterments.
   • Upon completion of the preliminary right of way plans and the Stage 2 plans, a complete set of each will be provided to each utility by the project designer or District Utility Coordinator. Furthermore, the level of plan detail available at completion of Stage 2 will allow the utilities to advance relocation design to this point in the project development process. In this regard, the Department will evaluate reimbursing the utility for the redesign of their facility relocation plan whenever Department plan changes are made at Stage 2 or 3 which impact previously designed utility relocation. The process is initiated by the District Utility Coordinator, with reimbursement approval authority resting with Central Office Utilities.
3. Final Right of Way Tracings and Utility Relocation
   • For those highway projects where right of way acquisition is needed, utility coordination becomes vital. When additional right of way is needed, plans will be finalized, the right of way acquisition will commence, utilities need to prepare their relocation plans and, when the District Real Estate Office certifies right of way, the utilities can begin their relocation work. The District Utility Coordinator must monitor the relationship of these functions to assure that sufficient time for utility relocation is provided in the project schedule.
4. Stage 3 Plans
   • Stage 3 plans should represent a complete project plan by incorporating Stage 2 comments, quantities and General Notes in the design plans. As part of the Stage 3 process, Central Office Utilities is responsible for working with the District Utility Coordinator in reviewing and approving reimbursement eligibility of utility relocation work that is included in the construction of the project. This review evaluates whether reimbursement eligibility is properly set forth, betterments and scope of work are addressed and that the General Notes and General Summary are accurately presented. It is imperative that utility work be accurately incorporated into the construction plans so that prospective contractors can create competitive bids, construction can proceed in a timely manner and costs can be properly allocated between the project and the utility.
   • Upon completion of the Stage 3 plans, a complete set of these plans will be provided to each utility by the project designer or District Utility Coordinator.
   • When right of way acquisition has been completed and the right of way certified, the District Utility Coordinator is responsible for making the utilities aware of the fact they can begin their relocation work and must monitor the timing of the relocation that was provided by those utilities. If there are any issues associated with the utility not performing their relocation work in a timely manner, the District Utility Coordinator may contact Central Office Utilities for assistance if they feel it is necessary.

8203.03 Utility Relocation Criteria Based on Project Complexity

Based on the complexity of a highway project, the utility coordination efforts can be affected in many ways. It is the responsibility of the District Utility Coordinator to become engaged in the project design process as early as possible so that all utility impacts and costs can be defined and the utility industry informed. The following list of items associated with project complexity is being placed in this Utility Manual to provide guidance on how they are to be addressed.

1. Significant Impacts Summary
   • Based on the “footprint” of the highway project, the District Utility Coordinator must look at the highway project area and what levels of utility facilities stand the chance of being impacted by the project’s construction. Such utility items like an electric sub-station or transmission line, sanitary lift station, gas pumping station, or any other large utility items that would be in a costly reimbursement position need to be identified so that the designer can give consideration of avoiding the relocation of those major facilities. In a sense, the District Utility Coordinator must provide utility relocation issues that would have a major impact on the project’s scope, schedule and budget.
2. Planning Study
   • If the size, complexity and cost of the highway project is calling for the District P & E Office to do a Planning Study in order to make a decision on how the project is to be constructed, the District Utility Coordinator must supply the major utility items that would impact the project’s budget, construction difficulties and project delivery time. If a utility is in the road right of way by permit and has to be relocated, the need for additional right of way to accommodate the relocation has to be done. Or, if the utility is in their own easement, an easement acquisition for a utility relocation may have to be performed by District Real Estate. Both of these issues are critical components of this Planning Study and information needs to be included. Once all alternatives are developed, the District P & E Office will select a Preferred Alternative because of the way the project would work in meeting the most efficient and cost effective highway project construction process.
3. Subsurface Utility Engineering (SUE)
   • Subsurface Utility Engineering (SUE) information has, historically, saved a significant amount of money for those complex highway projects where underground utility facilities are heavily involved. The District Utility Coordinator should work with the District P & E Office in identifying underground utility facilities that have the potential for needing relocation and, if SUE is needed, ask for such service to be provided in the consultant design scope or have the District work with Central Office Utilities in using a statewide SUE contract. The District Utility Coordinator can identify the amount and levels of SUE information that would need to be performed. Understanding that having accurate information on the utility’s location and depth would provide quality and/or cost savings to the project design and construction, the District can make a decision on accepting the use of a SUE provider.
4. Preliminary Engineering
   • As part of the Preliminary Engineering process, the District Utility Coordinator can ask for the use of Subsurface Utility Engineering (SUE) and, if accepted, work with the District P & E Office in getting the work included in the project scope, use a District SUE contract, if available, or work with Central Office Utilities in obtaining the services of a SUE provider that has a statewide contract with that office.  The District Utility Coordinator needs to make sure each affected utility receives project plans and have the utility respond with input on existing utility locations, provide proposed relocation sites (particularly those outside of the project construction limits) and obtain suggested revisions to the proposed project design to minimize impacts on existing utility facilities.
   • If any water and/or sewer line relocation work will be included in the construction contract, the District Utility Coordinator must determine funding responsibilities and keep the utility owner informed. The Coordinator must also work with Central Office Utilities in identifying and approving utility reimbursements and, if there are relocation activities that the utility owner is responsible for providing payment, notify Central Office Utilities of that part of the project development.
5. Stage 1 Utility Relocation Evaluation
   • Depending on the size and complexity of the highway project, impact on existing utility facilities is a critical determination need. The District Utility Coordinator must assure each utility is provided Stage 1 plans so that the utility can propose revisions that can be taken under consideration and, to the best of the Department’s ability, avoid as much utility relocation as possible. The use of Subsurface Utility Engineering (SUE) can provide quality information on exact utility locations and depths which can be used by the project designer to determine if design adjustments can be made to avoid the utility.
6. Stage 2 Utility Relocation Evaluation
   • The District Utility Coordinator must work with all affected utilities in addressing all relocation comments that were provided in the Stage 1 design process. Again, the Coordinator is to work with the utilities in making design adjustments, if needed, so that the utility’s final relocation design can be made. The goal of the Stage 2 process is to finalize the project design and the utility relocation designs so that all are in agreement and, when right of way certification is completed, the utilities will be in a position to begin their relocation and meet their required completion date. If water and/or sewer line relocations will be included in the project’s construction contract, it is at the Stage 2 design level that the relocation design is completed and then submitted to the utility owner so that they can confirm the design or provide adjustments which would be made to the Stage 2 plans.
7. Stage 3 Utility Relocation Evaluation
   • Under the Department’s Stage 3 process, project plans have been approved and utility relocation plans are to be finalized and the project sent out for construction bid. To this end, the District Utility Coordinator has worked with all impacted utilities and all utility relocation plans have been accepted.
8. Project Costs Associated With Utility Relocations
   • Providing accurate information on all project costs associated with utility relocations is a key responsibility of the District Utility Coordinator. There are primarily three utility relocation costs that need to be evaluated early in the project design process and adjusted by the Coordinator, through time, as the project design moves forward to completion. The three are:
     1. Identifying utilities that are in a compensable position and will be performing their relocation. It is up to the District Utility Coordinator to identify those utilities that are in a compensable position and work with that utility on getting an accurate estimate for the cost of the relocation. When the relocation is being paid with using Federal funds, it is very important that the Coordinator lets the utility know that they are not to begin their relocation work until their reimbursement is approved. To meet this requirement, the Coordinator is to work with Central Office Utilities in reviewing and approving the estimate and that amount is to be added to the total project cost.
     2. Identifying utilities that are in a compensable position but the relocation work will be included in the highway construction contract. This cost issue deals primarily with the relocation of public water and/or sanitary sewer lines but all other public agency utilities are eligible. The District Utility Coordinator is to work with the utility owners on getting an accurate estimate for the cost of the relocation and that estimate will be included in the project construction estimate.
     3. Identifying utilities that want their relocation work to be included in the project construction contract but the cost of the relocation has to be paid by the utility owner. The District Utility Coordinator is to work with the utility on the relocation design that will be included in the project construction contract. However, the cost estimate will come from the Department’s Estimating Office and not the utility.
        • The Department’s Estimating Office will submit the cost of the utility relocation to Central Office Utilities and that office will work with the utility on getting a deposit to cover the relocation work prior to sending the project out for bid.

Accurate identification of all costs associated with the construction of Department highway projects is a critical factor in making sure we are as efficient as possible with the Department’s overall budget. The District Utility Coordinator must begin utility relocation cost evaluation as early as possible in the project design process and work with the utilities on a continuous basis so that cost adjustments can be made as needed. We cannot be in a situation where a major cost increase occurs and the funds are not available. In all cases, the District Utility Coordinator must work with the District P & E Office, the project designer, the utilities and Central Office Utilities in addressing compensable utility relocations in the manner in which the funds will be made available.

9. FHWA’s “Buy America” Regulation
   • When a utility is in a compensable position, under Federal regulation, in order for FHWA to reimburse ODOT for the state funds used to pay the utility for their relocation, all iron and steel materials used by the utility in their relocation must be manufactured in America. Central Office Utilities worked with FHWA on putting together a document that provides guidance to the utility on how this regulation needs to be addressed and each District Utility Coordinator can make that information available to the utility when working with them on the compensation process. (The “Buy America” Guidance document is on our website)

8204. Additional Guidance in how the District Utility Coordinator is to Perform Utility Relocation Activity

It is important that this Utilities Manual contains as much information as possible in providing accurate guidance on how the District Utility Coordinator is to work with all parties on handling the utility industries involvement in the design and construction of a highway project. This work would include providing project design methods that could be used to avoid utility impacts, work with each utility in performing facility relocations in a timely manner, work with the utility and Central Office Utilities on evaluating and approving a utility reimbursement and various other work responsibilities that are needed to provide efficient and cost effective utility relocation activity. These following items are being put in place to provide this additional guidance.

8204.01 Utility Relocation Schedules

The initial effort of the District Utility Coordinator is to work with the utility company in establishing a relocation schedule in a manner which will allow the relocation of their facilities to be completed prior to the sale of the highway project. Because the utility has been given project information which includes the real estate certification date as well as the project sale date, the District Utility Coordinator can work with the utility to see if the amount of time needed for them to do their relocation work would fit within those two dates. It is at this time when, if the relocation is compensable and is being covered by the use of Federal funds, it is very important that the Coordinator let the utility know they are not to begin their relocation work until their compensation is approved by Central Office Utilities. Having the utility get their relocation work completed prior to the project sale has great benefit for both parties and it is the number one goal of utility relocation.

8204.02 Utility Note

For all of ODOT’s projects, the Utility Note is part of the Certification of Right of Way Control Letter. The District Real Estate Administrator (or Designee) is required, at the time the Right of Way Certification Letter is to be prepared, to obtain the note from the District Utility Coordinator and insert the most current utility status information into the Certification of Right of Way Control Letter. The District Utility Coordinator also needs to place the note information onto the “O” Drive. At a minimum, this information identifies what utilities are located in the area of the project and provides any relocation information received from the utility companies. In addition, to obtain direction on how the Utility Note is handled for LPA Projects, please refer to Section 8211.02, LPA Agreement/Legislation.

The utility status information posted on the “O” Drive is a “snap shot” in time. If utility relocation information changes, the “O” Drive is to be updated, allowing FHWA, Office of Estimating and the Office of Contracts to review the most current status of utility relocation when the project is advertised for construction bid proposals.

Under the utility coordination process, obtaining accurate information on how the highway project will be affecting utility facilities at the time of right of way certification is difficult because the utilities have normally just begun their work in putting together their relocation plans and relocation timing. If utility coordination information is lacking, the coordinator can state that information will be forth coming and, when received, it will be placed on the “O” Drive to keep the utility relocation process updated.

As outlined, there are times when completion of utility relocation work, prior to project sale, is not feasible or practical. To address such situations, the District Utility Coordinator will capture all information and prepare the formulation of the “UTILITY NOTE” which will be used to define how the utility company has, or will, address their relocation requirements as follows:

1. Utility Note Components
   • Many times, the utility’s relocation has major components and the amount of time needed to complete it cannot fit the time frame between right of way certification and project construction initiation. The note can be used to address information regarding the availability of right of way parcels for the highway contractor to perform utility work. The Utility Note can also be used to identify highway construction work needing completion before the utility relocation work can be performed.
2. Direction on Construction Coordination
   • When utility facilities will not be clear of the highway construction prior to project sale or specific coordination is required with the highway contractor for right of way availability, information must be provided by the utility to the District Utility Coordinator. The Coordinator can then update the Utility Note information on the “O” Drive which will be included in the bid proposal for use by prospective bidders. The note will contain all information which will be used by the project construction contractor and the District Utility Coordinator to keep the utility’s relocation activity on track.
3. Copy
   • The District Utility Coordinator will provide a copy of the Utility Note to Central Office Utilities by e-mail and confirm placement of the note on the Department’s “O” Drive. The Coordinator is responsible for providing the final update on the “O” Drive and placed at the time the project construction plans are submitted to Central office Estimating. That information, and any addendum information, will be part of the Office of Contracts’ information sent out at the time of sale so that all utility relocation information can be provided to bidders. By so doing, doing, bidders can capture all utility relocation information that would have an effect on their bid for construction. If revision is needed, the note shall be updated on the “O” Drive up to the “Funding Complete” date in the project’s Letting Schedule.

8204.03 Utility Note Format

The District Utility Coordinator is responsible for obtaining all dates and utility relocation information to prepare and submit the Utility Note to the District REA for inclusion in the Right of Way Certification Letter. The Note is to be prepared when any of the following circumstances are applicable to the project:

1. Circumstances Outlined in the Note
   1. Utility facilities will not be cleared from the construction area at the time of project sale and the relocation dates provided by the utility will be included.
   2. Utility facilities will remain in place within the construction limits.
   3. Utility facilities will be relocated within the construction limits.
   4. Utility facilities are shown incorrectly on the highway construction plans and accurate relocation plans are provided.
   5. Coordination is necessary between the highway contractor and the utility during the construction phase.

8204.04 Utility Note Standardized Language

After the Utility Note is submitted to the District REA for inclusion in the Real Estate Certification Letter and placed on the “O” Drive and additional information is provided, the District Utility Coordinator shall update the “O” Drive so that the final Utility Note information can be provided for direct inclusion in the bid proposal. In conjunction, the Note process has incorporated standardized language for all Utility Notes regarding coordination and cooperation between utilities and the highway contractor. The following minimum information needs to be provided:

1. Standardized Language Components
   1. The name of each utility is to be included in the Note, along with the description of each facility and utility contact information.
   2. Existing utility facilities, located within the work limits at time of construction, will be identified by station and offset, as needed, and shown in the project plans.
   3. Proposed utility facilities, if located or to be located within the work limits, to be identified by station and offset or shown by project plan.
   4. Date or time frame that the utility will begin the relocation work.
   5. Length of time required to complete the relocation work and date when the utility relocation is to be completed.
   6. A comprehensive statement regarding any special situations or conditions which may affect the progress and completion of the utility relocation work.
   7. A statement addressing any water and/or sanitary sewer or other utility facilities work which has been incorporated into the highway construction plans.
   8. The Project Identification Number (PID) and date of Utility Note submission to the District Real Estate Office.

8204.05 Utility Note Value

It is important to recognize that the Utility Note, as part of the project bid proposal, carries the same weight as other aspects of the bid package. Utility coordination statements may be included, such as advising the highway contractor that a specific function must be performed prior to the utility performing relocation work (i.e. contractor must remove trees prior to the utility placing its new facilities) and information of that nature supports the efficiency of the project delivery. Conversely, the Utility Note needs to provide notice that the utility cannot change the project plan or modify the sequence of project construction.

A Utility Note needs to be revised and updated on the “O” Drive, as the result of the District Utility Coordinator obtaining additional utility relocation information, during the 4 to 10 week time frame between project plan file date and the “Funding Complete” date in the project’s Letting Schedule (this time frame does vary based on project type, but generally ranges from 4 to 10 weeks). When the note is updated, the existing note must be removed from the “O” Drive so that
there is no confusion about the status of utility relocations. Central Office Utilities will use the updated information to assist the coordination between the District and the Office of Contracts.

It is also important to note that any revisions that cannot be accomplished during the time frame between submission of the project plan file and the “Funding Complete” date in the project’s Letting Schedule date those revisions must be handled by Project Addendum. Addendums are also used for unanticipated utility information or involvement which was not known at the time of the project’s plan file.  The District Utility Coordinator must make sure the utility is given information on issues that may affect their utility installation.

8206.06 Preparation of Utility Relocation Plans

Detailed relocation plans must be prepared by each utility when existing facilities are affected by a highway project. While the State is responsible for the review and acceptance of the utility relocation plan, the utility has ultimate responsibility for assuring there is proper design, installation, operation and maintenance of the proposed utility facility. In this regard, an acceptable utility relocation plan clearly represents those existing facilities that stay in place, existing facilities that will be removed or abandoned, where new facilities will be installed and how the facilities are referenced to highway stations and offsets. Appropriate profiles and/or cross sections should be included. Also, color coding or other distinguishable identification is to be used, along with showing size of both the existing and proposed facilities. Utility relocation plans shall be sufficiently informative to provide a clear picture of the utility relocation work to be performed and shall include the following minimum information:

1. Minimum Information Items
   1. The proposed highway centerline and centerline stations
   2. The existing and proposed highway right of way and/or limited access right of way lines
   3. The location, length, size, capacity, type, class and pertinent operating conditions of existing, proposed and temporary utility facilities
   4. The applicable project number, work order, drawing number, plan scale and horizontal and/or vertical location of the utility facilities in relation to the highway alignment, geometric features or structures
   5. An indication of final vertical clearance over pavement and structures in order to meet ODOT requirements and verify compliance with the requirements of the National Electric Safety Code
      • As stated previously, the Department has review responsibilities covering many factors which are associated with utility relocation plans prepared by the utilities. In this regard, the utilities need to take the following review criteria into consideration when developing their utility relocation plans:
2. Criteria for Utility Review
   1. The utility relocation plan review must assure that the proposed utility relocation work is compatible with the design, safety and construction requirements of the highway project. Consideration must be given to the impact of temporary roadways, cuts or fills, tree removals and construction sequencing on proposed utility relocation work. Also, evaluation must be made as to the utility and highway construction processes being compatible.
   2. All utility relocation plans covering above ground facilities must be reviewed against the clear zone requirements of the project. Clear zone is the roadside border area, starting at the edge of the traveled way and available for safe use by errant vehicles. The desired width is dependent upon traffic volume, speed and roadside geometry. The ODOT Location and Design Manual is to be used as a guide for establishing clear zones for various types of highways and operating conditions. It must be noted that above ground utility facilities cannot occupy the clear zone without adequate protection. In this regard, offsets from guardrail or other barriers must meet minimum requirements, while allowing for routine highway maintenance activities such as mowing.
   3. Conflicts between utilities must be addressed. Generally, above ground utilities must be placed at or near the right of way line, while other utility facilities can be placed forward of that location. However, all utilities should be located behind existing/proposed ditches or as far from pavement/shoulder areas as possible. Furthermore, longitudinal underground utilities, which occupy the area where highway signs will be installed, shall be constructed of durable materials and placed with minimum cover of four (4) feet. Also, existing utilities, which will remain in place, need to be reviewed to assure that there are no conflicts with project requirements or other utilities.

8204.07 Project Sale, Award & Pre-Construction

1. Project Sale
   • The District Utility Coordinator shall notify each utility involved in the project as to the project sale date. It is imperative that the utilities be provided this information so that utility relocation submissions and schedules can be advanced in a timely manner.
2. Awarded Contractor
   • The District Utility Coordinator, in conjunction with the District Construction Office, shall notify each utility involved in the project of the date the highway construction contract is awarded and the name of the successful bidder. In accordance with Section 153.64 of the Ohio Revised Code, this information must be submitted to the utilities within ten (10) working days of the project award being made.
3. Pre-Construction Conference
   • After a highway construction contract is awarded, the District Construction Office shall designate a time and place for a Pre-Construction Conference and notify all involved parties. The District Utility Coordinator, if asked, shall attend the conference when utilities are involved and request that the utilities have a representative in attendance. One of the purposes of the conference is to review the construction schedules of both the highway contractor and the utilities in order to eliminate or minimize any areas of conflict which may arise during project construction.
   • Whenever possible, the Award Notification and Pre-Construction Conference notice should be incorporated into the same correspondence, otherwise, notice of the Pre-Construction Conference should be transmitted to utilities as soon as the information is available.
   • In addition, and prior to the Pre-Construction Conference, the District Utility Coordinator shall prepare an analysis of the status of all utilities in the project which includes copies of utility relocation plans and estimates, work schedules and status, current list of utility contacts and comments regarding special situations which need to be discussed.

8204.08 Utility Relocation Inspection

In order to assure proper installation and location of their proposed facilities are met, the utility needs to inspect all relocation work necessitated by highway projects. In addition, the utility should keep the District Construction Office informed of their inspection of the utility relocation in order to verify compliance with the accepted relocation plan to assure adequate control of the project. Sufficient observation and records must be maintained to allow the District Utility Coordinator to verify the utility relocation plan is being met both physically and in a timely fashion. If the utility is being reimbursed, the labor, material and equipment needs to be verified and recorded as well.

8204.09 Change Orders and Project Delays

It is beneficial to all parties involved in utility relocation activity to assure that utility project change orders and/or project delays be avoided or kept to a minimum. To achieve this outcome, all utility relocation work needs to be monitored to assure that compliance with the relocation schedule is being kept and the highway contractor must adhere to all sequences of construction, as outlined in the Utility Note and the contractor’s project construction plans.

There are times when the utility has to perform a relocation adjustment which calls for a contract change order and there are effective processes that must be put in place depending on how the utility relocation is being handled by the Department. Those are:

1. Non-Compensable Utility Relocation
   • If the utility is not in a compensable position and requests a construction modification be made to meet a relocation adjustment, it is the responsibility of the utility to report and justify their revisions, correct the utility relocation plans and comply with Department policies and procedures regarding right of way occupancy.
   • The District Utility Coordinator needs to be notified immediately in order to accept the change and provide assistance in working with the project’s construction contractor and try to avoid any delay costs. The Coordinator’s acceptance for the utility’s modification requires a written notification (can be done by e-mail) from the utility, complete marked prints and explanation as to why there is notification or change in the plan of the utility relocation.
   • Before the utility can begin work under the modification request, the District Utility Coordinator must provide acceptance in writing (e-mail is acceptable) prior to the utility changing any relocation work within the right of way of the project under the highway contractor’s jurisdiction. If there is a cost associated with the modification, the utility is responsible for that cost.
2. Compensable Utility Relocation
   • If the utility relocation is in a compensable position and the utility relocation is being performed in a utility easement or road right of way and the adjustment will need a project change order to meet their relocation adjustment, it is the responsibility of the utility to report and justify their revisions, correct the utility relocation plans and, if in the right of way, comply with Department policies and procedures regarding highway occupancy.
   • The District Utility Coordinator needs to be notified immediately in order to process acceptance of the change and provide assistance in working with the project’s construction contractor and try to avoid any delay costs.
   • Because the utility relocation is in a compensable position, the District Utility Coordinator must provide all information associated with the utility adjustment to Central Office Utilities and it will be that office’s responsibility to provide approval for compensation.
   • The utility’s request will include written notification (e-mail is acceptable) to the District Utility Coordinator, complete marked prints, an explanation as to why there is modification or change in the relocation plan and the cost of the modification. The Coordinator must then submit that information to Central Office Utilities to receive reimbursement approval. Once Central Office Utilities provides that approval, and before the relocation work can begin under the change, the District Utility Coordinator must provide the reimbursement approval, in writing (e-mail is acceptable) to the utility.

8204.10 Second Utility Relocation Responsibility

In the event that highway project demands would require a utility to relocate all, or a portion, of facilities which had been previously relocated to accommodate the highway project, the Department has procedures in place to cover the cost of these circumstances. The process covers utility relocation work which was in road right of way by permit, and under Ohio Law, not eligible for reimbursement. If a second relocation of the utility facilities was caused by a Department change in the design of the highway project, the utility needs to serve an appeal to the Department for reimbursement of the costs associated with the work performed to achieve the utility’s second relocation of its facilities. The process is to be initiated by the District Utility Coordinator who is to send the utility company’s appeal to Central Office Utilities which has responsibility for reviewing the situation and providing approval for utility reimbursement.

8204.11 Utility Delay Costs

The Department’s utility coordination process is in place so that all Districts and all utility companies can work together on establishing utility relocation activities that will be performed in a timely manner and meet the needs of our highway project. If, for some reason, utility relocation is not handled in a timely fashion and, as a result, utility facility conflicts cause an increase to the cost of the highway project, then it is the responsibility of the District Utility Coordinator to provide accurate documentation associated with the delay cost. Under the direction, as outlined in Section 8204.12 of this Utilities Manual, the utility will be given an “Obstruction Removal Notice” and may be charged for the cost of the delay that would result due to the fact the utility did not perform its relocation as outlined in the utility coordination process.

8204.12 Removal of Obstruction

There are occasions when the utility has not begun their relocation work as outlined during the utility coordination process. To deal with such an issue, the State legislature provided law within Section 5515.02 of the Ohio Revised Code which places the utility on notice that, if their lack of relocation activity causes increased costs to a highway project, the Director has the authority to present the utility with an “Obstruction Removal Notice” and make the utility responsible for paying those costs.

1. Authority and Use
   • Regarding all highway projects, utilities are legally obligated to relocate affected facilities which occupy road right of way by permit under the primary control of the Department. Where a utility is financially unable or unwilling to assume the costs of relocating affected facilities or when the Department and the utility cannot agree on the financial responsibility to relocate the facilities, the Department may cause the relocation to be performed as provided by ORC Section 5515.02.
   • Under similar circumstances where a utility is located within public right of way of highways under primary control of a county, the county may cause the relocation to be performed as provided by ORC Sections 5547.03 and 5547.04. Likewise, where a utility is located within public right of way under primary control of a municipal corporation, the municipality shall cause the relocation to be performed in accordance with cooperative consent legislation or other agreements.
2. Procedure
   • When, in the opinion of the Director, utility facilities obstruct or interfere with the contemplated construction, reconstruction, improvement, maintenance or repair of a highway, bridge, or culvert, or interfere with the use of a highway, bridge or culvert, the District Utility Coordinator will work with ODOT’s Chief Legal Section and Central Office Utilities and request Chief Legal prepare an Obstruction Removal Notice directing the utility to remove or relocate its facilities.  This notice will be delivered to the utility by personal service, certified mail or express mail. If the utility does not, within five days from the service of such a notice, proceed to remove or relocate their facilities and complete the removal or relocation within a reasonable time, the Department may remove or relocate the facilities by employing the necessary labor, tools and equipment or document the delay costs and work with the Department’s Chief Legal Office and Central Office Utilities to pursue charging the utility for those costs.
   • When the utility is legally obligated for the costs of the relocation performed by the Department, the costs incurred will be certified to the State Attorney General for collection as provided by law.
   • With some variations, removal of obstruction notices for counties or other governmental subdivisions are processed in the same manner as the Department.

8205. Real Estate Involvement in Utility Relocation

Under the utility coordination process, the District Real Estate Office needs to work with the District Utility Coordinator to make sure there is enough right of way to accommodate the utility relocations by utilities that are in existing right of way by permit or, if the utility is in an easement and is having difficulty obtaining a new easement, the Coordinator works with the District Real Estate Office and the utility to accomplish such an acquisition in providing enough property to provide the utility with a new easement. The formats for these two processes are as follows:

8205.01 Acquisition of Right of Way for a Utility

It is important to know that, if a utility is in the Department’s road right of way by permit and has to relocate their facilities to accommodate a highway construction project, the Department is obligated to provide new road right of way for that utility’s relocation effort. If right of way, for whatever reason, cannot be made available to the utility for its relocation, the Department will be responsible for compensating the utility for the work they do to get their facilities relocated.

This direction comes from legal decisions made as it relates to Ohio Revised Code Section 5515.01 & 02. Code language states a utility that is in road right of way by permit “…shall relocate their properties and all parts thereof within the bounds of such road, highway, bridge, culvert.”. This means that, if the utility is in road right of way and has to be relocated to accommodate a highway project, the Department has to provide new right of way for the relocation to take place in.

It is critical that the District Utility Coordinator provides good information concerning how many utilities will need relocated so that the District Real Estate Office can use that information to determine how much additional right of way will need to be acquired.

If, for some reason, acquiring the needed right of way cannot be done, the Department will have to work with the utility on providing compensation information under the Department’s compensation process and the utility relocation will be paid for.

8205.02 Acquisition of an Easement for a Utility

If a utility is in an easement and the highway project will cause its facilities to be relocated and the utility company is not able to work with a private property owner to get a new easement, the Department can work on behalf of the utility company and acquire the easement.

1. Authority and Use
   • Ohio Revised Code Section 5501.31 provides “…..wherein the Department is obligated to acquire lands under agreements with railroads, or with a public utility (this term covers utilities that are public, private or publically held), political subdivision, public corporation, or a private corporation owning transportation facilities for the readjustment, relocation, or improvement of their facilities, a fee simple title or an easement may be acquired by purchase or appropriation in the name of the railroad, public utility, political subdivision, public corporation, or private corporation at the discretion of the Director. When the title to lands, which are required to adjust, relocate, or improve such facilities pursuant to agreements with the Director, is taken in the name of the State, the lands, in the discretion of the Director, may be conveyed in fee simple or the right acquired to the railroad, public utility, political subdivision, or public corporation for which they were acquired.”
   • The exercise of ORC Section 5501.31, on behalf of the utility, is normally used when the utility is unable to acquire the needed property right (normally an easement) by negotiation. The utility must, under Ohio Law, possess the “right of eminent domain” and have a compensable property right in the location of the existing facility that needs to be relocated. While a public utility may possess the “right of eminent domain”, the laws governing appropriation by a utility differ in that a utility does not obtain a right of entry until consideration is agreed upon or assessed by jury. The State (Department) may obtain right of entry immediately after the appraised sum is deposited with the court in cases of unimproved property or improved property when a structure is not taken. When a structure is to be taken and occupants must relocate, the procedure of Section 8302.02 “C” of this manual must be followed.
2. Procedure
   • The utility shall forward a written request to the District Utility Coordinator asking the Department acquire necessary property for the utility and state the reasons for the request.
     1. The District Real Estate Office shall prepare a Utility Acquisition Agreement for execution by the utility and the District Deputy Director.
     2. If acquisition of the necessary right of way cannot be accomplished through negotiation, the District Real Estate Office shall have an appropriation filed with the court along with the warrant for deposit. Except as provided in 8204.09 “B”, the utility has right of entry to the property at this point in time.

8206. Legislation for Utility Relocation

8206.01 Reason for Legislation

Often times the Department has highway projects which need the participation of governmental entities and, in order for those agencies to meet the needs of the project, legislation needs to be prepared and approved by those agencies.

1. Requirements
   • Legislation shall be prepared which sets forth the conditions and obligations under which a governmental subdivision consents to and agrees to cooperate with the Department in the transportation improvement. The time frames for preparation of preliminary and final legislation are covered in the Department’s project development process. In general, legislation shall be required in the following instances:
   1. Whenever any work on a highway improvement is to be performed within the limits of a municipality.
   2. Whenever any work on a highway improvement is outside of a municipality and involves county participation in the cost of the project or causes the rearrangement, maintenance or closing of county or township roads.
   3. Whenever the cost of rearranging publicly owned utilities is being reimbursed under the provisions of Section 8301.03.
2. Development Process
   • In accordance with the Department’s project development process, whenever the cost of relocating the facilities of a public utility is being bourn by that public utility, preliminary legislation agreeing to the inclusion and payment for the relocation work (the District P & E Office may include the preliminary cost estimate in the legislation if so desired) must be passed by the public body which has authority over the public utility. Final legislation need’s to contain the estimate from the Central Office, Office of Estimating’s evaluation of the utility relocation work as outlined in the project’s design plans. A certified copy of the executed final legislation authorizing anticipated utility work shall be submitted with the Plan Package from the District. Prior to the opening of bids, the public utility shall submit a certified check based on the engineer’s estimate for payment for the utility relocation work. The preliminary and final legislation shall also commit the public utility to pay for actual costs of the relocation work should that work exceed the engineer’s estimate.
3. Responsibility
   • The District Deputy Director shall be responsible for the preparation of legislation, handling of negotiations with affected governmental agencies and securing the necessary cooperative legislation setting forth the obligations of the involved agencies.

8207. Early Involvement Benefits

All of the Department’s highway/bridge construction projects have utility involvement that must be reviewed and impacts or non-impacts dealt with and documented. The work to be performed by the District Utility Coordinator is aimed at providing all aspects of information associated with the project’s interaction with the utility industries’ facilities. This information will play an important role in getting the project completed on time and within cost.

8207.01 Initial Utility Coordination

Understanding of impacts on utility facilities in the early phases of the project development process is critical. Only through establishment of utility impacts early in the project design process will cooperation between ODOT and the utilities be identified and the proper mitigation or consideration of utility issues addressed. The District Utility Coordinator needs to be engaged in the project field review and make determination of what utilities will be involved. This information can be used to identify what impacts, physical and/or financial, utility relocations will have on the project for both the utility company and the Department. By so doing, this phase of design formulation can use such information on utility involvement in order to provide design changes which can be made to minimize or eliminate cost to either the Department or the utility company. Also at this time, utility costs should be identified and right of way needs must be addressed by taking into consideration construction requirements, utility relocation and safety factors. This review can also identify unanticipated time consuming utility relocations or issues which may impact construction scheduling.

8207.02 Subsurface Utility Engineering (SUE) Benefits

ORC Section 153.64 requires that all existing underground utilities must be shown on highway construction plans where excavation or ground penetration will occur. In addition, this Code requires the utility to, within ten (10) working days of being notified by the project designer, either provide location information to the designer or the utility must mark its facilities in the field for retrieval by the designer. Since the utility is only required to provide “approximate Location” of their facilities, the underground depth of the utility may not be known. To assist in obtaining accurate utility depth information, it is recommended that Subsurface Utility Engineering (SUE) be used to supplement the normal processes of the one call systems and traditional engineering practices. SUE can be defined as the engineering processes that accurately and comprehensively identify, characterize and map underground utility facilities. It includes the three major activities of designating, locating and data management. These activities, when combined with traditional records research, coordination with utility owners and site surveys, provide high quality utility information for use at appropriate times during project development and design. This information can be used to improve decision making processes, reduce utility damage during construction and minimize change orders and contractor claims. To properly use the information obtained from the process, SUE must be used during both the PE and Stage 1 design phases of the project development process. In accordance with the
 

current ASCE “Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility Data”, this information is expressed through four quality levels:

1. Quality Level “D” – Information derived from existing records or oral recollections
2. Quality Level “C” – Information obtained by surveying and plotting visible above-ground utility features and by using professional judgment in correlating this information to quality Level “D” information.
3. Quality Level “B” – Information obtained through the application of appropriate surface geophysical methods to determine the existence and approximate horizontal position of subsurface utilities. Quality Level “B” data should be reproducible by surface geophysics at any point of their depiction. This information is surveyed to applicable tolerances defined by the project and reduced onto plan documents.
4. Quality Level “A” – Precise horizontal and vertical location of utilities obtained by the actual exposure (or verification of previously exposed and surveyed utilities) and subsequent measurement of subsurface utilities, usually at a specific point. Minimally intrusive excavation equipment is typically used to minimize the potential for utility damage. A precise horizontal and vertical location, as well as other utility attributes, is shown on plan documents. Accuracy is typically set to 15mm and to applicable horizontal survey and mapping accuracy as defined or expected by the project owner.

8207.03 Tree Trimming/Removal & Right of Way Staking

ODOT is responsible for providing clear and available right of way for those utilities relocating within the limits of the highway right of way. This work can involve tree trimming or removal and/or clearing and grubbing functions required for the project. In order to benefit the highway project, the impact of trees on utility relocations must be addressed early. The highway plan must accurately reflect the tree work that is to be performed and the right of way acquisition process must clearly cover this impact with the property owner.

Since the timing of tree work must accommodate applicable environmental restrictions and can impact the scheduling of utility relocation work, the Department has several options available to clear trees and advance utility relocation. Those options are:

1. The tree work can be included in the contract plans as part of the clearing and grubbing process and be specifically sequenced as an early activity to be performed by the project contractor.
2. The tree work could be performed through a separate clearing and grubbing contract.
3. Statewide and/or District tree removal contracts can be initiated and used.
4. The tree work can be performed by District or County Manager Office personnel.

Any of these options will provide clear and available right of way for utilities to proceed with necessary relocation work and enhance the overall construction schedule of the project. District and utility personnel need to evaluate each project and determine if the use of any of these options would be beneficial. Staking the highway right of way is directly related to providing clear right of way for utilities. As with tree work, this is a timing issue which should be performed in a time frame to accommodate functions which need to be performed prior to project sale. It is the responsibility of the District, through its own forces, contract forces or the project designer to have the right of way staking performed.

8207.04 Value of the Liaison Process

The District Utility Coordinator provides the efforts needed to address how our highway projects affect the utility industries’ facilities and the work efforts that are needed from both parties to assure the project is constructed on time:

1. Importance
   • An effective liaison program pursued during all stages of highway or utility improvement projects can reduce costs to both the State and the utility, provide more serviceable highway and utility facilities and minimize inconvenience to the general public. The highway program affects nearly every utility operating in the State of Ohio and, in many cases, causes major adjustments to existing utility facilities, as well as their future expansion plans. Utilities must be regarded as a full partner in the ODOT highway program and be accorded cooperation and consideration.
2. Application
   • To accomplish its objectives, a liaison program must be based on sound and realistic procedures which can be consistently followed by all agencies involved. On highway improvement projects involving utilities, the Department must take the initiative in promoting liaison with an emphasis on personal contacts, detailed exchange of information and maintaining close relationships with the utilities during all stages of the project.
   • The District Utility Coordinator shall maintain close personal contact with the utilities and assure that all pertinent information and plans are furnished as soon as available. Central Office Utilities shall contact the Districts and utilities periodically and assist in coordinating these liaison programs.
   • The District Utility Coordinator shall furnish utilities with periodic copies of the Department’s proposed construction program showing the location, type of projects and contemplated sale dates or project status. This information will assist the utilities in coordinating construction and budgeting. In addition, the Department should encourage the utilities to discuss their construction programs with ODOT, with a view toward eliminating or minimizing conflicts with future highway improvements. A sound liaison program aggressively pursued during early stages of a highway project will eliminate many problems prior to construction. It is essential that all representatives of the Department recognize and accept responsibility in this program.

8208. Utility Work Included in Road Construction and Bridge Attachments

8208.01 Process

There are occasions when a utility would like to have the relocation of their facilities included in the Department’s project construction work. In order to determine if that work could be provided, the District Utility Coordinator and utility must do the following:

1. Responsibilities
   • The State and utilities are jointly responsible for the incorporation of utility relocation work into the highway construction plans. As the owner of the facility, the utility is responsible for assuring proper design of the relocation work. As part of its project review responsibilities, the State must assure that the utility relocation, if eligible for reimbursement, is accurately set forth, betterments and scope of work issues are addressed and that the General Notes and General Summary are accurate.
   • The incorporation of non-compensable utility work in the highway construction plans can be a beneficial situation for all parties involved and a practice that should be continued. However, utilities must understand that the Department must award contracts based on the overall low bid, which is comprised of individual line item costs. Once non-compensable utility work has been incorporated into highway construction plans, the work can only be non-performed for specific reasons at specific times in the project process without subjecting the Department and utility to breach of contract claims. In the event the relocation cost was in the low bid but the utility requests the work is non-performed, based on the agreement with the utility that covers the cost of the relocation work, the Department can bill the utility for costs associated with contractor profits.
2. Justification
   • Utility work may be included in the highway construction plans when justified by reasons of economy, expediency, inability of the utility to perform the work or where construction convenience or cost would be improved by the elimination of a separate contract for the utility work. Regarding bridge attachments, consideration must also be given to the congested locations of bridges in urban areas, bedrock or environmentally sensitive areas to be crossed, engineering difficulties facing the utility and the costs associated with alternative locations.
3. Approvals
   • In all cases, the request for utility work to be incorporated into the highway construction plans must be approved by both District P & E and Utility personnel. If the utility is to be installed on a bridge, the request must also be approved by the appropriate ODOT bridge office.
4. Procedure
   1. Utility work to be included in Highway Construction Plans that are not bridge attachments:
      1. A letter request to include the installation of utility facilities in our highway construction process shall be initiated by the utility as early as possible after the utility has received notification of the highway project and prior to the completion of the project design plans. The utility’s letter of request should be directed to the District Utility Coordinator.
      2. The letter should state the reasons for the request, estimated cost of the utility work, explanation of allowable outages and disposition of existing facilities during construction. In
      3. addition, if the utility’s relocation is not in a compensable position, the letter needs to include a statement that the utility will accept the obligation for all costs associated with design and installation of the utility.
      4. The request must include all details regarding the type of facilities to be installed and the material to be used.
      5. The District Utility Coordinator shall review the request from the standpoints of scope of work, eligibility and betterments and provide comments and a recommendation to the District P & E Office.
      6. When the highway construction plans are being prepared by a consultant, the District P & E Office shall send a letter to the consultant instructing that the utility work be included in the highway plans. A copy of the letter shall be sent to the District Utility Coordinator.
   2. Utility Installations on Highway Bridges
      1. A letter request to install utility facilities on a highway bridge shall be initiated by the utility as early as possible after notification of a highway bridge project and prior to completion of the structure design. The letter of request should be directed to the District Utility Coordinator.
      2. The letter should state the reasons for the request, estimated cost of the bridge attachment, alternate routes considered and associated costs, explanation of allowable outages and disposition of the existing facility during construction. In addition, the letter should include a statement that the utility will accept the obligation for all costs associated with design and installation of the utility, as well as, any added cost to the highway structure necessary for accommodation of the utility facility.
      3. The request must include all details regarding the type of facility to be installed, the material to be used, a method of attachment to the bridge structure and the weights of the utility installation. Special notes regarding the installation of the facility, furnishing of materials, construction sequencing or the support of an existing facility during construction should also be addressed.
      4. The District Utility Coordinator will forward the request to the District P & E Office and to the appropriate ODOT bridge office for review and comment.
      5. If approval is granted for the bridge accommodation, the utility request will be subject to review and approval of a final utility relocation plan covering the total scope of the relocation work to be performed. This plan needs to reflect details of the bridge attachment, the relocation work required on either end of the bridge and any needed temporary relocation. The bridge attachment details need to be compatible with the design details shown in the highway construction plans.
      6. Cost responsibilities and bid items associated with the bridge attachment must be clearly and properly reflected in the construction plans in order to correctly allocate estimated construction and material costs. (Stage 3 Design)
5. Determination of Eligibility
   • When approval is given for the inclusion of utility work in the highway/bridge construction plans, reimbursement eligibility will be determined by the District Utility Coordinator in accordance with Section 8301. Items included in the construction plans will be shown in the same manner as other construction items, except that the utility items will generally be listed under separate subheading in the General Summary and indicate responsibility for the costs. (Refer to Section 1300 of the ODOT Location and Design Manual for details) All utility work incorporated into the construction plans must have a corresponding bid item assigned and be clearly shown in the General Summary. The detailed plans shall include appropriate notes to address utility relocation activities, including maintenance of traffic and service requirements.
6. Betterments
   • When approval is given to include utility work in the highway/bridge construction plans, the District P & E Office or the consultant preparing the plans, the utility and the District Utility Coordinator shall address any “betterments” of the relocated utility facility and the associated credit due the project.
7. Salvage
   • Existing utility facilities (fire hydrants, valve boxes, etc.) to be removed by the highway contractor shall be disposed of and replaced, adjusted or removed and reset. These items shall not be removed and stored for retrieval by the utility owner. The rules governing utility relocation and reimbursement differ from other functions of the highway construction process. The removal of existing utility facilities for storage would require that a salvage credit be given to the project for the value of the removed items and any contractor charges for handling and/or transportation of the items would be ineligible for project cost.

8208.02 Exceptions Under the Review Process

There are several situations where utility facilities are not handled under the normal utility relocation process. Oil and gas wells, and the associated collector/feeder lines, should be handled through the District’s Real Estate acquisition process. Service lines are owned by the property owner and are handled as a part of the real estate acquisition process. Gas measuring or regulating stations, and associated piping, are the joint responsibility of the real estate acquisition process and the utility relocation process. The affected building and the property are real estate acquisition items, while the lines, piping, valves and meters are handled through the utility relocation process. The District Utility Coordinator works with the District Real Estate Office in establishing which portions are handled by which process.

8209. Utility Agreement Process

8209.01 FHWA/ODOT Programmatic Agreement

The Department and the Federal Highway Administration (FHWA) has worked closely together in dealing with all aspects of utility involvement in our highway projects. Where the Department intends to claim Federal reimbursement for utility relocation costs, FHWA and Central Office Utilities has established a “Programmatic Agreement for Utilities” which defines processes that, when met, allows the Department to work on behalf of FHWA. In this regard, by having such an agreement, the agencies have set forth methods to assure statewide continuity and compliance with State and Federal laws, rules, policies and procedures is met. This Programmatic Agreement places compliance assurance with Central Office Utilities and covers the primary functions of utility relocation work incorporated into highway construction plans, utility relocation work handled on a force account basis, utility reimbursement, utility relocation billings and Federal oversight. In addition, the review and approval of all utility involvement in highway projects is handled in an efficient and cost effective manner.

Under this agreement with FHWA, on all projects where there is public, private or publicly held utility relocation work included in the construction contract or there is a utility that is in a compensable position, there are funding agreement formats referenced in this section which must be achieved before the work can be sent out to bid or the reimbursement for a utility can be approved.

8209.02 Master Utility Reimbursement Agreement

When a utility is in a compensable position for their utility relocation work, the District Utility Coordinator will provide the utility with a Master Utility Reimbursement Agreement (MURA) for signature. This agreement addresses all coordination functions the Department and the utility will work together on, what components of the utility’s relocation work is eligible for reimbursement and what process the utility needs to use in getting the cost of their relocation paid for. The MURA is a “universal” agreement so, to provide efficiency, the utility only has to sign one agreement which is used to inform the utility of its responsibilities for reimbursement for any project which has them in a compensable position.

8209.03 Legislation/Funding Agreements

The process used for dealing with payment of utility relocation work that is included in a construction project will be based on who owns the utility.

1. Public Utility
   1. Requirements
      • In the case of a publicly owned utility, when the relocation work is included in a state funded highway construction contract and the governmental agency is obligated to pay for a portion or all of the cost of the relocation work, the agency shall be required to enact appropriate legislation which will obligate the utility in accordance with our project development process. The agency shall return a certified copy of the final legislation, along with a certified check covering the estimated cost of the relocation work, prior to bid opening of the highway construction contract. The estimated cost in the legislation shall reflect the cost of the relocation work contained in the Central Office Engineer’s estimate. It is important to point out that language also needs to be included that assures the governmental agency, as owner of the affected utility, will be responsible to pay “final costs” for their relocation work when the actual cost is established by the final construction billings.
   2. Responsibility
      • For public utilities, under the project’s development process, preparation and/or processing of preliminary legislation is the responsibility of the District’s P & E Office. It is extremely important that the utility relocation work is clearly defined in the project design plans so that Central Office Estimating can provide a good estimate.
      • Final legislation is prepared by the Central Office, Office of Estimating.
      • The preparation and processing of billings to the public utility with whom the legislation has been prepared is the responsibility of the Central Office, Office of Estimating.
   3. Procedure
      • Processing of legislation under the project development process is outlined in Section 8210.01 of the manual.
2. Private or Publicly Held Utility
   1. Requirements
      • In the case of a private or publicly owned utility, when relocation is included in a state funded highway construction contract and the utility is obligated to pay for a portion or all of the cost of the relocation work, the utility shall be required to enter into a Funding Agreement which will obligate the utility in accordance with the project development process. The utility involved shall return an executed copy of the Funding Agreement along with a certified check covering the Engineer’s estimated cost for the relocation work prior to bid opening of the highway construction contract. The estimated cost in the Funding Agreement shall reflect the cost of the relocation work contained in the Central Office Engineer’s estimate. It is important to point out language also needs to be included that assures the private/publicly held utility will be responsible to pay “final costs” for their relocation work when the actual cost is established by the final construction billings.
   2. Responsibility
      • For private/publicly held utilities, under the project’s development process, preparation and processing of the Funding Document is the responsibility of the Central Office Utilities.
      • On state administered projects, the preparation and processing of billings to the private/publicly held utility, with whom the Funding Agreement has been prepared, is the responsibility of the Central Office Utilities and the cost is based on the estimate provided by the Central Office, Office of Estimating. It is extremely important that the District P & E Office makes sure the utility relocation work is clearly outlined in the project design plans so the Central Office, Estimating can provide the estimate for the work.
      • Within Central Office, the Office of Revenue and Fiscal Reporting, the Accounts Receivable Section will work with the utility in processing payment or reimbursement, if needed, after the final construction billings are provided.
   3. Procedure
      • Processing of the Funding Agreement under the project development process is outlined in Section 8210.02 of the manual.

8209.04 Subordination Agreement

A Subordination Agreement is used to protect a utility company’s compensable position that is provided them when their facilities are in an easement and the highway project is affecting that easement.

When the existing affected utility occupies an easement on property the Department will be acquiring in fee for road right of way, there is no additional private property that can be acquired for a new easement and the utility relocation will stay in the road right of way but outside of the utility’s existing easement, this Subordination Agreement will be needed to preserve the utility company’s right for relocation compensation should those facilities need to be relocated in the future. If the relocation of the existing facilities can be accomplished within the limits of the existing utility easement, a Subordination Agreement is not necessary. Under this scenario, the existing utility compensable rights will remain in place.

The creation of a Subordination Agreement is the responsibility of the District Real Estate Office with support from Central Office Utilities. The District Utility Coordinator will let the District Real Estate Administrator know that a Subordination Agreement will be needed in order to keep the utility’s relocation moving forward in a timely fashion. The Utility Coordinator’s information will include an explanation of why relocation of the facility to private property is not possible, a plan showing the proposed relocation within the new right of way and a legal description of the alignment of the relocated facility. The District Real Estate Office will provide a description that will be in a format which is in accordance with the recording requirements of the county where the document is to be filed.

Central Office Utilities will provide a Subordination Agreement to the District Real Estate Office and they will add language to the document that outlines what the District Utility Coordinator provided. The Utility Coordinator will then work with the utility to get the agreement signed. Once that is done, the District Real Estate Administrator will have the document signed on behalf of the Department’s Director, file the document with the county and send copies of the agreement to the utility, the District Utility Coordinator and Central Office Utilities.

8210. Process for Including Non-Reimbursable Public Utility Relocation Work in the Department’s Highway Construction Contract

8210.01 Non-Compensable Utility Relocation

When there is a public utility whose facilities relocation will be included in the highway project, but the relocation is not in a compensable position, the following steps need to be taken in order to process the utility owner’s payment responsibility:

1. Notification
   • The District Utility Coordinator notifies District P & E Office that the public utility wants its relocation work performed by the Department’s highway contractor and, because the relocation work is not eligible for reimbursement, authorizing and obtaining payment for the work will have to be processed. (The process for including the relocation design in the project plans is outlined in Section 8209.03, “A”)
2. Preparation
   • District P & E Office prepares preliminary legislation according to the project development process and submits same to the Local Public Agency that owns the utility.
3. Copy
   • District P & E Office obtains a copy of the adopted preliminary legislation and makes it part of the project file.
4. Update
   • The District Utility Coordinator keeps the public utility informed of the status of the cost estimate and obtains and documents concurrence from the LPA that, based on the updated estimate, they still want the relocation work performed by the highway contractor.
5. Final Legislation
   • Central Office, Office of Estimating prepares final legislation containing the Engineer’s estimate for the relocation work and submits it to the District P & E Office for coordination with the LPA according to the project development process.
6. LPA Acceptance
   • District P & E Office receives, from the public utility, adopted final legislation, executed Fiscal Officer’s Certificate and payment (prior to bid opening) of the Engineer’s estimate and submits to Central Office, Office of Estimating.
7. Legislation and Billing Retention
   • District P & E Office sends a copy of the adopted final legislation, original Fiscal Officer’s Certificate and contact information (name/phone number/address) of the LPA’s (utility owner) Fiscal Officer to Central Office, Office of Revenue and Fiscal Reporting. Upon receipt, the Central Office, Office of Revenue and Fiscal Reporting will retain the documentation in a file until time for final billing. (District P & E Office also retains a copy of the final legislation in the District’s Project File)
8. Filing of Documentation
   • Central Office, Office of Estimating sends the original adopted final legislation to Central Office, Utilities Section for placement in the permanent utility project file.
9. Estimating Provides Payment
   • Central Office, Office of Estimating sends the LPA’s (utility owner) check for payment to the Central Office, Accounts Receivable.
10. Payment Reconciliation
    1. Central Office, Office of Payroll and Federal Accounting confirms actual costs for relocation work and reconciles the billing according to the terms contained in the final legislation and bills/refunds the LPA based on the actual costs for the relocation work.
    2. Central Office, Accounts Receivable is responsible for closing out the account.

8210.02 Process for Including Non-Reimbursable Private/Publicly Held Utility Relocation Work In the Department’s Highway Construction

When there is a private/publicly held utility whose facilities relocation will be included in the highway project but the relocation is not in a compensable position, the following steps need to be taken in order to process payment responsibility:

1. Work Request
   • The District Utility Coordinator notifies the District P & E Office that the private/publicly held utility wants its relocation work performed by the Department’s highway contractor and, because the relocation work is not eligible for reimbursement, authorizing and obtaining payment for the work before the bids are taken will have to be processed. (The process for including the relocation design in the project plans is outlined in Section 8208.01 “D”)
2. Work Accepted
   • District Utility Coordinator keeps the utility informed of the Department’s willingness to include their relocation work in the project’s construction plans and maintains documentation associated with the utility’s request for such work to be performed.
3. Cost Identification
   • Central Office, Office of Estimating provides Central Office Utilities with a cost estimate of the relocation work and asks that office to work with the utility in getting a “Funding Agreement” processed and payment of the estimate provided for deposit before the project can be sent out for bid.
4. Utility Deposit Process
   • The District Utility Coordinator needs to provide Central Office Utilities with information on who to contact at the utility company to get the “Funding Agreement” signed by the utility and provide a certified check for a deposit to cover the cost of the estimate.
     1. Central Office Utilities forwards the original and two copies of the Funding Agreement to the utility with a request for execution of the agreement which outlines the terms of payment. The utility is notified of the date on when the signed “Funding Agreement” and certified check for deposit needs to be returned to the Central Office Utilities so that the project can be sent out to bid.
     2. When Central Office Utilities receives the signed “Funding Agreement” and certified check for deposit, the office has the agreement signed by the Director and sends a copy of the executed agreement back to the utility.
     3. Central Office Utilities sends the original executed “Funding
     4. Agreement” and the certified check to Central Office, Accounts Receivable for the deposit to be included in the project budget. A copy of the “Funding Agreement” and certified check is also sent to Central Office, Office of Estimating so that they are aware the deposit has been made and can move forward with their bidding process.
5. Payment Reconciliation
   1. When project construction is completed, Central Office, Office of Payroll and Federal Accounting confirms actual costs for the relocation work and reconciles the utility billing based on the terms of the “Funding Agreement” and bills/refunds the utility.
   2. Central Office, Accounts Receivable is responsible for closing out the account if additional funds are required from the utility.

8211. Utility Relocation Coordination on LPA Projects

8211.01 Utility Coordination for All LPA Projects

LPA (Local Public Agency) highway projects which are administered by ODOT (ODOT-let) for a City, County or Village, or those that are administered by a local agency only (Local-let), should follow all components of ODOT’s utility relocation coordination and utility reimbursement processes, as outlined in the Utility Manual. Since the cost of these highway projects is the joint responsibility of the LPA and the Federal Highway Administration (FHWA), not ODOT, it is important that all utility adjustments or relocations, involved in these projects, conform to the policies and procedures set forth in this Manual. ODOT’s District Utility Coordinator should work with the LPA in assuring that compliance with these policies and procedures occurs in a timely fashion and the affected utilities are made aware of their responsibilities to provide their relocation information in a timely fashion and perform the relocation of their facilities to meet the construction schedule of the highway project.

The District Utility Coordinator and Central Office Utilities are directly responsible for review of all utility relocation reimbursements that are to be paid for with Federal dollars and to assure the utility relocation reimbursement documentation meets all requirements as outlined in Section 8300 of the Utility Manual. Upon notification by the District Utility Coordinator, as to the acceptability of the utility relocation information for compensation that was submitted, the LPA is responsible for issuing the approval to the utility. Also, the District Utility Coordinator must notify the LPA of its obligation to deposit funds with the Department for payment of all utility relocation costs not eligible for Federal participation. Finally, the LPA must be advised that it is responsible for all costs associated with construction delays caused by utilities not relocating their facilities in a timely fashion. It is important to note, that the utility coordination process, outlined in this Utility Manual and associated with all LPA highway projects, provides an opportunity for the District Utility Coordinator to give guidance to the LPA’s utility coordinator and that information will be very helpful in making sure all utility coordination responsibilities are met.

8211.02 LPA Agreement/Legislation

Depending on the type of LPA involvement in highway projects, there are two ways in which ODOT deals with the project’s delivery. If the project is ODOT-let, the District works with the LPA on getting Local Project Legislation that recognizes ODOT is selling/administering the construction contract on behalf of the LPA and standard language within the LPA legislation agreements is that the LPA is responsible for working with the utilities and assuring their facility relocations are performed in a timely manner. These projects go through ODOT’s Office of Estimating and are sold through ODOT’s Office of Contracts. The LPA’s utility coordinator should prepare a Utility Note and provide it to the ODOT REA so it may be included in the Right of Way Certification Letter. The District Utility Coordinator will post the note on the “O” Drive and update it, if needed, just before the project goes out for sale.

If the project is Local-let, it requires the execution of an LPA Agreement which has standard language noting that the LPA is responsible for utility relocation. There is a Utility Note provided but it is not posted on the “O” Drive.

In all cases, the LPA Agreement or LPA Legislation handling the project between ODOT and the LPA must clearly define the responsibilities of each party, including the handling of the utility relocation functions and utility reimbursement. In this regard, the District Utility Coordinator will be available to provide guidance to the LPA’s utility coordination counterpart regarding necessary utility relocation activities but it is the LPA’s responsibility to make sure all utility relocation activities are performed, as needed, to assure the highway project is constructed in a timely fashion.

In both scenarios, the LPA is ultimately responsible for the relocation of utilities and, thus, the production of the Utility Note. The amount of ODOT oversight/involvement may vary by District, but the only real difference is the
requirement to post the Utility Note on the “O” Drive for ODOT-let projects. (Refer to the ODOT web site www.dot.state.oh.us, and go to Planning, the Office of Local Projects, and Manual of Procedures-Locally Administered Transportation Projects for more information on utility coordination and reimbursement project processes).

8212. Utility Coordination for a Design-Build Project

There are cases where the Department selects the Design-Build Process for the construction of a project. Depending on the nature of the project, this process can provide efficiency to the time-line in getting the project built. However, because of the dramatic adjustment to the project’s design methods, it does require significant changes to the utility coordination efforts provided by the District Utility Coordinator. Utility coordination needs to be adjusted because, under the Design/Build process, when the utility is made aware of the project they need to understand there is no initial design information available for them to base their utility relocation evaluation on.

The utility may need educated on the D/B process. This early explanation and education of the D/B process will assist the utility in understanding their role in the process.

The utility must understand the D/B process timing, between the final design and the beginning of construction, is greatly accelerated. While a commitment of the utility’s relocation timeframe may be difficult, the acknowledgement of the Department’s need for responsiveness in the relocation is critical to a D/B
project’s success.

8212.01 Initial Utility Information

When the District selects a project for the Design/Build process, the District Utility Coordinator shall evaluate the project’s location and determine what utilities are in the project’s area. Once identified, the Coordinator must put together a list of utilities and contact for each and make the information a part of the Design/Build process. The Coordinator shall also send project information to each utility so that they are aware of the project and the process under which it will be built.

Providing, not only a list of potential utility relocations for inclusion into the project’s information base, providing any and all existing as-built utility information is vital. This information will be used by the D/B contractor in determining the most efficient design and could ultimately influence the project’s final design.

Subsurface Utility Engineering (SUE) should be considered for every D/B project when existing underground utility installations are of concern. Better utility information will lead to a reduced bid. Level “A” SUE work is the most beneficial for the D/B contractor because it can provide definitive underground utility
elevations and locations. It should be considered for high risk utilities. Level “B” SUE work can provide valuable and useful information and can be a cost effective investment. The District Utility Coordinator should work with the District Project Manager to determine the necessity of the SUE work.

8212.02 Potential Utility Relocation

It is important for the District Utility Coordinator to review the characteristics of the Design/Build project and, if it looks like the project construction will cause a utility relocation, the Coordinator must contact that utility and ask the utility to provide information on how long it would take for them to do their relocation. That relocation timeframe is to be made a part of the project schedule because such information is an important component of the District’s evaluation in determining how long it will take the Design/Build contractor to build the project. It is understood that this relocation timeframe is based off of very preliminary information and the relocation timeframe will depend upon the ultimate project design.

8212.03 Utility Coordination Process Responsibilities Prior to Design/Build Contractor Selection

After all of the above outlined utility information is put together, the District Utility Coordinator shall work with each utility that has relocation responsibilities and, if the District Real Estate Office needs to acquire road right of way, the Coordinator will let the utility know when the right of way will be available for their relocation. In all cases, where it is clear that the utility will need to relocate, the Coordinator shall identify where the utility can be placed and ask that the utility get their relocation work performed as soon as possible.
 

So, prior to selecting the Design/Build contractor, the District Utility Coordinator’s responsibility is to focus on all issues associated with how the Design/Build project will affect utilities and, when it can be determined that a relocation needs to be performed, the Coordinator must work with that utility to see if they can get their relocation work underway and, hopefully, complete it before the Design/Build contractor is selected.

Under the Department’s Project Development Process (PDP) for a Design/Build project, the District Utility Coordinator’s responsibilities are as follows:

1. Requirements of utility coordination on a Design/Build process is the same as for all projects through the Feasibility Study and the Alternative Evaluation Report. This includes:
   1. Utility Assessment
   2. Utility companies are contacted and asked to locate their underground facilities within the project area
   3. Utilities which conflict with the proposed project work are identified for relocation
   4. Determine which utilities are in a compensable position and provide an estimate for the relocation cost
2. Determine which utilities are located in the area of the project. Gather and provide all known utility information and provide this information to the DBT during the bidding process. List all underground and overhead utilities, similar to a Utility Note.
3. Direct the utility owners to relocate or adjust all affected facilities within the limits of the proposed construction (unless otherwise noted in the D/B contract).
4. Coordinate early with the utilities to establish realistic relocation schedules upon final design
5. Attend all utility meetings after the sale of the project.
6. Authorize project funds for utility relocations that are eligible for reimbursement and issue permits to the utilities that require relocation within the right of way.
7. Determine eligibility of costs if the utility relocation is included in the project construction.
8. Obtain and keep records of all coordination correspondence between the DBT and utilities.
9. Assist in the coordination if utilities are non-responsive to the DBT.

8212.04 Outline Utility Coordination Process Responsibilities for the Design/Build Contractor that is Selected

The District Utility Coordinator must work with the District P & E staff in placing language in the project scope that outlines what utility coordination activities will be the responsibility of the selected Design/Build Team. This would include:

1. Stake the existing right of way in the field and perform clearing and grubbing within the right of way in order to allow utility relocation and reduce potential delays.
2. Be cognizant of the project’s impact on utility facilities. In the event utility relocations are required, do not preclude legal occupancy of the highway right of way by the relocated facilities.
3. Coordinate all existing utilities with construction activities. Ensure that potential delays in coordination and relocation of the affected utilities are minimized.
4. Hold a meeting at or near preliminary review between the DBT, the District Utility Coordinator and the utility companies to determine if any significant utility relocations can be eliminated or mitigated.
5. Perform SUE required for utility relocations at the Department’s option.
6. Coordinate all design for relocation or accommodation of any utilities within the project limits.
7. Determine and show on the plans the names of all existing utilities within the project limits.
8. Identify and resolve utility conflicts and reflect the resolutions and decisions accepted on the plans and details.
9. Call any utility meetings needed to ensure that the concerns are addressed on the plans involving utilities.
10. Notify the District’s Project Engineer and Utility Coordinator at least two days in advance of a utility meeting.
11. Take responsibility for working with the individual utilities to ensure that all utility concerns are addressed and that any required utility relocation plans, estimates and support materials are developed and copies are provided to the District Utility Coordinator.
12. Keep the District Utility Coordinator aware of all utility coordination information.

8212.05 Utility Reimbursement Process for a Design/Build Project

If it is determined that the utility’s relocation is in a compensable position, the process for handling the reimbursement is the same as all Department projects.

The District Utility Coordinator must work with the utility in capturing all information needed to confirm their eligibility and have the utility provide the RE 75-1 Estimate Form and support documentation that would then be submitted to Central Office Utilities for review and approval.

After the relocation work is completed, the Coordinator will then work with the utility in obtaining the RE 75-2 Billing Form and all support information and submitting the information to Central Office Utilities for review and payment.

All funds needed to provide utility compensation are placed in the project budget but they are not part of the funds used to compensate the DBT.

8213. Utility Coordination for an Enhancement Project

“Enhancement Projects” are primarily performed by LPAs because the nature of the project is to make improvements to the “looks” of the roadway system that is located within LPA boundaries, as opposed to constructing additional roadway capacity. Under Ohio law and Federal definition, an “Enhancement” Project, which makes these types of improvements to the “looks” of the roadway system, is handled like all other roadway projects, including the utility coordination. When the utility is in right of way by permit, and the project provides right of way for utility relocation, the utility is responsible for performing its relocation at its own cost.

However, there is a situation where the utility is in a partial reimbursement position. If an aerial utility facility cannot be relocated to roadway right of way that is outside of the project’s improved area, and the utility must place its facilities underground in order to meet the enhancement characteristics of the project, the utility will be paid for the cost difference between the estimated cost of its traditional aerial relocation and the actual cost of placing their facilities underground. The District Utility Coordinator shall work with the LPA (if involved), Central Office Utilities and the utility in determining this reimbursement amount and the process used will be the same as a traditional utility reimbursement.

8214. Checklists and Documents to be Used in the Utility Coordination Processes

8214.01 Checklists

1. Field Review of Utilities
   • What utilities are within project limits – Aerial – Underground Types of facilities – Transmission – Distribution
   • Location of facilities
     • Public road right of way
     • Private right of way
     • Parallel with roadway
     • Crossing roadway
   • Ownership of utilities –
     • Private utility under the control and direction of private section officials.
     • Public utility under the control and direction of an elected public body (i.e. City Council, County Commission, etc.).
     • Publicly held utility under the control and direction of private sector officials and public stock holders (i.e. Columbia Gas, AEP, etc.).
   • If there is a bridge involved, are there any utilities;
     • Within the bridge or under the sidewalk Attached to outside of the bridge
     • Below the bridge in a waterway
     • Below the bridge in another roadway or railroad right of way
     • Can the project be constructed with utilities in current location
   • Are there any special considerations which will impact the project;
     • Facilities that require a large lead time to relocate, such as electric steel poles which take months to order or communication cables requiring extended splicing time.
     • Facility that has a restriction on when they can be taken out of service such as gas in winter heating season, electric at peak demand or splicing moratorium on communication cables.
   • Are there any utilities that might need to be included in the project construction plans?
     • Public utilities such as water and/or sanitary sewer pipelines. Accommodation on a bridge such as electric, gas or communication utility facilities.
     • Right of way requirements: Will additional right of way be needed to accommodate construction of the project, safety or utility relocation?
     • Would the project benefit from the use of Subsurface Utility Engineering (SUE)?
       • Consider overall project requirements
       • Consider critical needs for accuracy in design process
       • Could possible utility conflict be eliminated?
       • Could utility relocation be minimized?
2. Work in Construction Plans
   • Is the Ohio Utility Protection Service (OUPS and the Oil & Gas Producers Underground Protection Service (OGPUPS) information on the Title Sheet?
   • Are the utilities, addresses, phone numbers and contacts listed in the General Notes?
   • Review the scope work – is work necessitated by the project?
   • Is the work eligible for project participation and properly reflected in the General Summary? Are any ineligible costs properly reflected in the General summary?
   • Are there any “betterments” involved with the relocated facility and does the General Summary properly show applicable percentage splits or ineligible cost items?
3. Special Items to Consider
   • Privately owned gas or water valves and manholes to be adjusted to grade should not be included in the construction plans to be performed by the highway contractor. This work is typically not eligible for reimbursement and the Department does not have the legal authority to allow our contractor to work on private utilities. Therefore, these items should be performed by the utility owner.
   • The following note is an example of a note which should not be included in the construction plans: All fire hydrants, valves and valve boxes removed shall be left on site to be picked up by the City. When removed, these items become the property of the contractor and we cannot dictate to the contractor what is to be done with these items. Also, any utility item which is removed and not reused by the contractor, must have a salvage value determined and a credit provided to the project. Therefore, it should be left up to the contractor as to what it does with these items.
   • Utility/Contractor coordination notes should not be added to the General Summary at the request of a private utility. Sections 105.07 and 107.16 of the Construction and Material Specifications adequately cover required coordination between the contractor and the utilities, as well as, covering the issue of utility facility protection. Often, these notes require the contractor to locate, expose, protect and/or relocate existing utility facilities. This is the responsibility of the utility, not the highway contractor. Furthermore, these notes do not have corresponding bid items assigned which are necessary for the contractor to be paid for the work performed. Finally, the highway contractor is working for the Department and not the utility.
4. Review of Estimate/Billing
   • Property rights included?
   • Percentages of participation properly calculated to two decimals and properly supported – pole count list or underground calculations
   • Contractor information included – continuing contract on file in Central Office Utilities or bid information provided – tabulation of bids and copy of low bid
   • Material list included showing item, quantity, unit cost and extension must agree with plan
   • Salvage list included covering all items removed – whether of value or not
   • – showing item, quantity and value – must agree with plan
     • Salvage – removed materials returned to stock – credit to project at current stock prices
     • Scrap – removed materials sold for scrap – scrap value is the credit to the project
     • Junk – removed materials of no value – disposed of after inspection by state
     • Temporary Salvage – removal of all recoverable temporary materials – returned to stock at current stock prices – less 10% depreciation
   • Betterments and/or accrued depreciation properly credited and supported
   • Temporary material and salvage – each is shown and supported in the estimate separately from the permanent material and salvage – must agree with plan
   • Certificate signed by an officer of the utility concerned is submitted
   • Billing is less than, or reasonably close to, the dollar amount of the Estimate Letter attached, explaining substantial overrun of estimate (10% or greater)
   • Items of material supplied by company show number of unit cost and total cost. Items of material not supplied by company are supported by evidence of payment
   • Transportation and/or equipment charges show miles or hours and applicable rate per mile or hour
   • All items including damages, are supported
   • Property purchased which has been recorded should be supported with seller, type of conveyance, amount paid, volume, page and county of record and proof of payment
   • Damage payment proof included description of type of damages Amount of, and method of computing, betterment has been certified
   • Item(s) which, as submitted, might cause undue delay in processing billing have been corrected or explained
   • Bill is arithmetically correct

8300 - Guidance for District Utility Coordination

8301. Utility Reimbursement Eligibility

The Department’s responsibility to reimburse a utility for the relocation of their facilities that are affected by a highway project has to be met with an efficient and well defined process. This portion of the Manual provides instructions on how the District Utility Coordinator, Central Office Utilities, the LPA, when involved, and the affected utility work together to assure all aspects of the Department’s reimbursement process are met.

8301.01 Policy & Procedure

The Department’s responsibility for reimbursing a utility for relocation of its facilities is defined in Section 5501.51 of the Ohio Revised Code and explained in this section of the Manual. Reimbursement of utility relocation costs to the State by the Federal Administration is authorized by 23 USC and outlined in 23 CFR 645 Sub-Part “A”. In this regard, it must be clearly understood that the Federal Highway Administration does not pay utilities for relocation work performed, but rather, will reimburse the individual states based on the legal obligation of the state to pay the utility. Under the ORC, in order to be reimbursed, the utility must provide “vested interest” documentation in the real property its facilities occupy. It is important to note that Federal dollars can only be used when the utility receives approval for reimbursement before they begin the physical utility relocation work.

The procedure for providing compensation to a utility for its relocation activity is based on the RE 75-1 Estimating Form and the RE 75-2 Summary of Billing Form. The processes, associated with providing the appropriate information by the use of these forms, will be outlined in the future components of this 8300 Section.

8301.02 Reimbursing Private/Publicly Held Utilities

Private or publicly held utilities are eligible for reimbursement when existing facilities are affected by the project and located on property where the utility has a compensable property right as follows:
 

1. On property owned by the utility
2. On private property where the utility has a valid easement from the property owner
3. On private property where the utility has a valid prescriptive right (affidavit required)
4. On public road right of way where the utility has a valid easement which predates the rights held by the state

Reimbursement eligibility must be substantiated by the utility providing the state with a file copy of the pertinent document (easement or affidavit) or by verifying the applicable recording data (deed book, volume and page) which supports the reimbursement claim by the utility. Reimbursement eligibility does not extend to, or include, additions to or betterments of the existing utility facilities. If none of this “property right” criteria is met, the utility would not be eligible for reimbursement of the costs associated with the relocation work. The District Utility Coordinator must make sure the utility provides proper documentation associated with this process and that documentation has to be made part of all information the utility is required to provide when going through their reimbursement request.

8301.03 Reimbursing Public Utilities

Reimbursement eligibility of a public water line, sanitary sewer line, electric, steam or other facilities owned by a governmental agency is established when the existing facilities are affected by the highway project and located on property where the public utility has a compensable property right as follows:

1. On property owned by the governmental agency that owns the public utility
2. On private property where the public utility has a valid easement
3. On public road right of way (including state road right of way) that is within the corporation limits of the government agency that owns the public utility
4. On public road right of way outside the jurisdiction of the governmental agency that owns the public utility where the utility has a compensable agreement with the governmental agency having jurisdiction

Furthermore, there are these specific project commitments which must be made by the governmental agency in order for participation in utility relocation costs to apply:

1. Through proper cooperative legislation, the governmental agency consents to the project and agrees to make all existing right of way, within its jurisdiction and necessary for the project, available. (Refer to the ODOT Project Development Process for timing and requirements for preliminary legislation)
2. The governmental agency agrees to arrange for the relocation of other private or publicly held utilities occupying existing highway or street right of way without cost to the State
3. Relocated utility installations shall be made in accordance with Department policy on the accommodation of utilities, except where prior approval by the Department is obtained for a modification to the policy
4. Relocated utility facilities will be adequately maintained, without cost to the State, by the governmental agency upon completion of the relocation work
5. The governmental agency agrees to save the State harmless from any and all claims or damages arising from, or growing out of, any utility relocation involved in the project.

If these provisions and eligibility requirements are met, the Department will participate in the costs of relocations of utility facilities to the same extent as it participates in the other costs of the project. Reimbursement eligibility does not extend to, or include, additions to or betterments of the existing utility facilities.
 
The Department will not participate in public utility relocation costs when the existing utility facility, owned by the involved governmental agency, is located by permit within state road right of way that is outside of the corporate boundaries of the involved governmental agency that owns the affected utility. In conjunction, reimbursement of the relocation cost of public owned utilities, affected by the highway project and located on private property, is governed by the same criteria which applies to private/publicly held utilities.

8302. Utility Reimbursement Components

The Department’s utility reimbursement process focuses on a variety of work activities that are eligible for reimbursement and the District Utility Coordinator/ the LPA (when involved) and Central Office Utilities works with the eligible utility in capturing all required information that must be presented in order to verify and confirm all costs associated with the utility’s relocation process.

8302.01 Preliminary Engineering and Engineering Services

When the utility’s relocation is eligible for reimbursement, the utility company’s engineering/design portion of the utility relocation process is conducted in two ways and the appropriate documentation, associated with the engineering/design work, needs to be provided in the following format:

1. Use of Utility Company’s Staff
   • If the utility company uses its staff to perform the engineering/design work, and is eligible for reimbursement under Section 8301, the utility must enter documentation in RE 75-1 Estimate Form showing the costs associated with the preliminary engineering and/or engineering design services their staff is providing in putting together their relocation plans.
2. Use of Consulting Engineers
   • When a utility company, that is eligible for reimbursement under Section 8301, is not adequately staffed to perform the necessary preliminary engineering and/or construction engineering associated with the relocation of the affected facilities, the utility may use consulting engineers, architects or other technical services for that work. The use of outside consultants to perform these services can be authorized by the State upon inclusion of appropriate costs and support with the preliminary estimate. Appropriate support will be the applicable rate schedule and/or contract covering the rates and services and the appropriate documentation needs to be provided.

8302.02 Utility Easement Replacement

If the affected utility facilities are in a location that the utility acquired from a property owner that gave the utility a “property right”, the Department will be acquiring that property for road right of way to service the project and the utility will be relocating their facilities into another location of “property right”, all costs to the utility, associated with the replacement of their “property right”, are eligible for reimbursement. To meet that reimbursement, the following information needs to be provided:

1. Authorization
   • When the highway improvement project necessitates relocation of utility facilities that are in a “property right” situation that is held by the utility, under Section 5501.51 of the ORC, the utility’s relocation activities are eligible for reimbursement.
2. Eligible Costs
   • When a utility has a property right as identified in Section 5501.51 of the ORC (own property, easement, etc.) and is in an “eminent domain” position, all costs associated with the utility’s efforts in obtaining a new easement to support the relocation of their facilities, in accordance with 23 USC 123 and 23 CFR 645 regulations, are eligible for reimbursement. Expenses incurred by the utility, which are incidental to the acquisition of a replacement “property right” (normally an easement), may be reimbursed. These expenses may include such items as:
     1. Salaries and expenses of utility employees while engaged in the appraisal and/or negotiation of the “property right” acquisition
     2. Amounts paid an independent appraiser/appraisers
     3. Recording costs
     4. Deed fees and similar costs normally paid incidental to land acquisition
   • The utility shall be in a position to justify amounts paid for the “property right”. The written valuation shall be accomplished prior to negotiation for acquisition. In all cases, it is expected that sound valuation and acquisition practices will be followed by the utility.
   • When there is reimbursement for replacement of a “property right”, there will be no charge to the highway project for that portion of the existing utility properties involved that is being transferred to the State for highway purposes. The existing rights held by the utility will be released to the State prior to payment of the utility relocation billing.
3. Relocation Occupants
   • If property/easement acquisition by the utility requires that a structure be taken and the occupants relocated, the procedures of the Department’s Relocation Assistance Program, as required by Chapter 163 of the ORC, must be met. Since the environmental document for the project must address these impacts, the utility shall notify the District Utility Coordinator of this situation in the early stages of the project development.

8302.03 Contract Forces and Rental Equipment

The District Utility Coordinator needs to work with Central Office Utilities, the LPA (when involved) and the utility itself in obtaining information on all aspects of a utility reimbursement. The use of contract forces and/or rental equipment to perform utility relocation work can be authorized, either under an approval of a continuing contract or an appropriate bid solicitation process. In either situation, a request to use contract forces and/or rental equipment must be made by the utility and approval must be given by Central Office Utilities prior to the beginning of the relocation work. Contract information must include rates to be billed and/or unit prices to be charged for the work performed. Reimbursement for extra work, material, equipment or unanticipated work necessitated by the project must have prior approval by Central Office Utilities and be adequately supported. The following needs to be provided:

1. Continuing Contracts
   • A proper continuing contract request should include a statement that the utility is not staffed or equipped to perform the relocation work and, if not previously provided, a copy of the utility’s current continuing contract needs to be provided for use by Central Office Utilities. After an existing continuing contract has been approved, it is not necessary for the utility to submit a copy to the State each time its use is needed. If the continuing contract does not cover work to be performed, a quotation may be obtained from the continuing contractor to perform the work. The quotation must be detailed in scope of work, quantities, unit rates and total costs to the extent that a comparison with the continuing contract can be made. Conversely, if rates do not exist, a cost-plus system or incentive clause system cannot be used for utility relocation work without prior approval from Central Office Utilities.
   • Because the utility company has some concerns about Ohio’s “public information” rule, a “Non-Disclosure” Agreement can be provided which significantly protects the contract from public review.
2. Solicitation of Bids
   • A proper bid solicitation request needs to include a statement that the utility is not staffed or equipped to perform the relocation work and the utility must provide a copy of the bid proposal, a tabulation of the bids and a complete copy of the low bid. Whenever possible, at least three (3) prospective bidders should be solicited. If the utility elects to use a contractor other than the low bidder, the obligation to the State will be limited to the amount of the low bid unless there are sound reasons provided by the utility as to why the low bid cannot be accepted.

8302.04 Material Identification/Evaluation Process

When a utility relocates its facilities, the materials removed from existing systems may be handled by the utility company in ways in which they have value to the utility. To provide credit to the Department, there are processes that establish the value and those costs need to be subtracted from the total reimbursement the Department is paying for the utility relocation. The items involved are:

1. Permanent Facilities
   • The utility must provide appropriate credit to the project for the remaining value of existing affected facilities which are removed. The credit to the project is based on the manner in which the following removed facility is disposed of:
     1. Salvage Materials – These are removed materials which return to the utility company’s stock. Credit is given the project for these removed materials at current stock price.
     2. Scrap Materials – These are removed materials that are sold for a scrap value. The scrap value of these removed materials is the credit given to the project.
     3. Junk Materials – These are removed materials with no salvage or scrap value and can be disposed of following inspection by the State.
2. Temporary Facilities
   • Temporary salvage only applies to the credit given the project for the removal of recoverable facilities which have been installed as a part of a temporary relocation to accommodate the highway project. These items should be returned to utility stock and a credit given to the project at current stock prices, minus 10% for depreciation.
3. Inspection
   • The Department and FHWA shall have the right to inspect recovered material prior to disposal by sale or scrap. This requirement will be satisfied by the utility giving notice to the District Utility Coordinator of the time and place the material will be available for inspection. This notice is the responsibility of the utility and the utility may be held accountable for full value of the disposal material if notice is not given.
   • Upon receipt of the notification from the utility that materials are available for inspection, the District Utility Coordinator shall establish the date and time for the inspection. The date set for the inspection shall be a minimum of two days after notification except in the case of emergency. Each party shall document the time and place for the inspection. The District Utility Coordinator shall be responsible for conducting inspection at the time and place indicated, and shall complete an inspection report.
4. Credits
   • Establishing the credit amounts is done as follows:
     1. If the removed materials are returned to the utility company’s stock, the credit is established from the materials’ stock prices.
     2. If the removed materials are in a condition unsuitable for use by the utility, but have been determined to have scrap or sale value, disposal may be made in either of two methods. 1. The recovered items can be sold to the highest bidder following an appropriate bid solicitation process or 2. The materials can be sold as scrap. In either case, the proceeds of the sale shall be credited to the project.
     3. Where the new replacement facility includes material of a type different than the materials being replaced (i.e. aluminum cable for copper cable), the credit for the materials recovered from existing facilities need not exceed the current cost of the replacement materials.
     4. The removal costs associated with the salvaging of the existing facilities shall not exceed the value of the recovered materials. Existing affected facilities should be removed only if required by the highway project or required by environmental mandate or law. Exceptions to this criteria must be approved by Central office Utilities.

8302.05 Betterments

When the Department is obligated for a portion or all of the costs associated with a utility relocation, a determination shall be made as to whether or not there will be a “betterment” regarding the new facility. The following guidance deals with the betterment situation:

1. Determination
   • Betterments are size, capacity or functional upgrades of an existing affected utility facility which are not required by the project, environmental mandates or law. No betterment credit would be required for additions or improvements to utility facilities when the following specific criteria is met:
     1. When the improvement is required by the highway project, such as an increase in the length of a facility relocation, taller poles, addition of conduit or casing, special backfill measures or a request for temporary work.
     2. When replacement materials are equivalent, but not identical, to industry standards.
     3. When replacement materials are no longer regularly manufactured, the next highest grade or size of material may be utilized.
     4. When the improvement is required by regulatory mandate or law.
     5. When the improvement is required by current design practices regularly followed by the utility in its own work and there is a direct benefit to the highway project.
   • Additions or improvements incorporated into the relocation work, at the election of the utility, are not eligible for reimbursement. Each utility relocation plan and estimate must be evaluated to assure that all items, included in the proposed rearrangement, are necessary for the highway construction and/or restoration of the utility back to its original functional condition. It is understood that all issues, regarding betterment, will be resolved prior to approval of the utility relocation plan and estimate.
2. Work in Construction Plans – Removals
   • Whenever utility relocation work is incorporated into the highway construction plans, the existing affected facilities shall be abandoned in place, removed and disposed of, adjusted to grade or removed and reset. These facilities shall not be removed and stored for retrieval by the utility owner. Disposal of removed facilities is to be determined by the highway contractor. In the event that an exception to this criteria would apply, Central Office Utilities’ approval is required and the utility would be billed for the appropriate credit due the project in accordance with Section 8302.05, “E” of this Utility Manual.
3. Casing Pipe
   • The use of casing pipe is considered a betterment and not eligible for reimbursement, unless the Department has required the use of casing or the policy of the utility is to use casing for all highway crossings.
4. Spare Conduit
   • Where an existing conduit system is affected by a highway project and all existing conduits are full and in use, the replacement system may incorporate one extra conduit without being considered a betterment. When utility work is included in the highway construction plans, the District Utility Coordinator shall make a determination regarding betterment of the proposed facility. The District Utility Coordinator will provide appropriate coordination with the designer to assure that any betterments are properly reflected in the highway plans.
5. Credits
   • A betterment credit is a comparison of material, labor, handling and additive costs between replacement of an in kind facility and the proposed facility. The difference in the cost comparison will be the betterment credit due the project. In the event the existing material is no longer carried or used by the utility, the replacement in kind material costs must reflect regular purchase quantities generally used by the utility and not special order quantities and prices. At the discretion of Central Office Utilities, betterment credits may be based on a percentage of total costs derived by comparative estimates. However, a comparison of alternative competitive bids will not be used in the determination of a betterment credit.
   • When utility work is to be performed on a force account basis and a betterment is involved, the amount of the betterment must be credited to the project in the estimate and include itemized comparison supporting the calculations and credit. The method for calculating the betterment credit must be approved with the estimate and be consistently applied at the final billing.
   • When work is included in the highway construction plans and a betterment is involved, the utility will be billed for the cost of the betterment in accordance with the provisions of Section 8302.05, “A”. The preferred method for calculating the betterment credit is to develop a percentage to be applied to the applicable bid items.

8302.06 Accrued Depreciation

On highway projects which involve utility reimbursement, the utility shall provide a credit to the Department for accrued depreciation in accordance with 23 CFR 645, Sub-Par “A”. This credit applies only to affected major utility facilities such as a building, pump station, filtration plant, power plant, substation or other similar facility.

Credit for accrued depreciation is not required for the relocation of service lines, distribution lines, transmission lines or facilities which are rehabilitated and/or moved, rather than replaced.

The utility will determine the method for calculating the accrued depreciation credit based on existing accounting procedures and subject to Central Office Utilities approval. The credit is expressed as a percentage based on a ration of the depreciated life of the facility and the total estimated life of the facility. The percentage is then applied to the original cost of the facility to arrive at the applicable credit. Detailed material must be included to support the credit which is provided in the estimate.

8302.07 Partial Utility Reimbursement

There are situations where the utility facility that is being relocated has a portion in easement and a portion in road right of way. It is up to the District Utility Coordinator to provide information as follows:

1. Proportional Basis
   • Utilities can be reimbursed on an equitable proportional basis for costs associated with the relocation work when only a segment of the existing facility is eligible for reimbursement. The utility must provide the District Utility Coordinator with a relocation plan that shows the portions that are in easement and the portions that are in road right of way by permit. The Utility Coordinator will then evaluate the plan and establish a “percentage” of that portion of the utility relocation that is eligible for reimbursement.
2. Percentage Evaluation
   • Percentages of participation are based on the existing facility which is affected by the highway project between the tie-in points of the relocated facility. The percentages are calculated as a ration of eligible or ineligible facility to the total affected facility. Then, the percentage of the project participation will be applied to the total cost of the estimated utility relocation work. Calculations are based on affected poles that are removed, replaced or relocated for aerial facilities and affected lineal feet for the underground facilities. All percentage calculations are to be extended to two decimal places and are to be supported by an appropriate pole count sheet or underground calculation breakdown. The electronic RE75-1 Estimate Form automatically calculates the correct percentage of participation between ODOT and the utility.
3. Unlike Facilities
   • Unless both existing affected utility facilities are eligible for 100% reimbursement, the District Utility Coordinator, in working with the utility, must not combine unlike facilities in the calculation of percentages of participation (aerial and underground or transmission and distribution). The disparity in costs associated with dissimilar facilities can have an adverse impact on either the utility or ODOT regarding the appropriate allocation of costs within the estimate.

8303. Utility Reimbursement Estimates

8303.01 Estimating Procedure

The Department has created a utility reimbursement process that meets the regulatory requirements that are established under both Federal and Ohio law and outlines a format for capturing information from the utility that confirms their position of compensation and eligible relocation items for payment.

Central Office Utilities provides approval for utility reimbursement and works with the District Utility Coordinator in obtaining the information by having the utility use the Department’s RE 75-1 Estimate Form in the following manner:

1. Preparation for Utility Reimbursement
   • The Department’s responsibility, to reimburse a utility for its relocation of facilities, is based on both Federal and State law and regulations. The following list of requirements are in place to give the District Utility Coordinator guidance on what they need to do to make sure those governmental directions are met:
     1. Detailed estimates, accompanied by a relocation plan, property rights and contractor information (if applicable), shall be prepared by each affected utility when the utility is eligible for, and proposes to claim, reimbursement for the costs associated with the relocation of the existing affected utility facilities. All estimates must be prepared on the RE 75-1 Estimate Form. Costs associated with preliminary engineering, right of way acquisition, labor and materials (temporary and/or permanent), supplies transportation, use of a contractor, rental equipment, consultant services, construction engineering, inspection, accounting, administration, overheads and supervision are eligible to be included in the preliminary estimate. Approval of the reimbursement will not be granted without the estimate and associated property rights having been submitted and reviewed and the RE 75-1 Estimate Form signed by an authorized utility company representative. In conjunction, utility relocation work which is performed prior to review and approval of the plan and estimate is ineligible for State and/or Federal reimbursement.
     2. All charges associated with the items on the estimate should be shown as lump sum costs. In addition, the costs for new materials, salvage, consultant fees, betterments and accrued depreciation require support documentation along with the estimate form. The charges for these items must be supported at the time of the estimate submission in order to verify the relationship of the costs to the proposed utility relocation work.
     3. Whenever a utility proposes to use contractor services or rental equipment, the costs associated with the work should be shown in the spaces provided on the estimate form. Contractor information must accompany the plan and estimate submission. If there are issues associated with the utility providing contractor information, the District Utility Coordinator will ask Central Office Utilities to provide assistance.
     4. The percentages of project and utility participation, established in accordance with the provisions set forth in Section 8302.07, “B” and verified by the relocation plan, shall be shown in the spaces provided on the estimate form. In conjunction, all percentage calculations must be supported within the estimate.
     5. If regularly used by the utility in its own operation, the use of unit costs, such as broad gauge units of construction, may be approved for estimating purposes by Central Office Utilities. The Department must verify that the unit costs and supporting records are representative of actual direct and indirect costs and are accumulated under valid accounting procedures. Unit costs are not valid for final bills, which must be based on actual costs.
2. Material Funding & Funding Adjustments
   • There are certain factors which can affect the proper allocation of costs within the preliminary estimates. Following is information applicable to the development of the estimate which will provide the utility with a compatible replacement facility while assuring the proper expenditure of public funds:
     1. Material List – The estimate must include a material list covering all temporary and/or permanent materials to be installed which supports the cost figures reflected in the body of the estimate. Proposed materials included in the estimate must match those shown on the utility’s relocation plan in size, class and type. For each item to be installed, the material list should include quantity, unit cost and applicable cost extension. The iron and steel materials also have to meet the Federal “Buy America” Regulation as outlined in Section 8203 “I”.
     2. Salvage List – The estimate must include a salvage list covering all temporary and/or permanent materials being removed which supports the cost figures reflected in the body of the estimate. Whether of value or not, all materials removed should be included in the salvage list and must match the items shown on the plan size, class and type. For each item to be removed, the salvage list must include quantity, unit value and applicable cost extension.
     3. Removal Costs – The removal costs associated with salvaging of an existing affected utility facility shall not exceed the value of the recovered material. Existing affected utility facilities should be removed only if required by the highway project or required by environmental mandate or law. Exceptions to the criteria must be approved by Central Office Utilities.
     4. Joint-Use Facilities – The relocation of joint-use utility facilities is subject to the same criteria as other relocation submissions. Although one utility will generally take responsibility for the pole or conduit relocation, each utility involved is required to provide a relocation plan, and estimate if applicable, clearly showing the work to be performed. Reimbursement eligibility would be subject to the compensable rights held by each individual utility and the approval of an acceptable plan estimate covering the utility relocation costs to be incurred.
     5. Conversion of Aerial to Underground – If a compensable utility elects to replace an existing aerial facility with a new underground system, the State’s reimbursement obligation is limited to the cost of a replacement of an in kind aerial facility. In the event that the highway project would require an existing compensable aerial utility facility to be placed underground, the State would reimburse the utility for all eligible costs, excluding betterments. The eligible costs are defined as the cost difference between the aerial relocation and the underground relocation.
     6. Gas Loss – Payments for lost gas during pipe line tie-ins or purging operations is a reimbursable cost. The estimate should include documentation to support the value of the projected gas loss by providing volume (usually mcf), a unit value per mcf and the appropriate extension. This information will provide a comparison with the costs included in the final billing, which must reflect the actual volume of gas lost and a cost based on the rates at the time the utility relocation work was performed.
     7.  Spare Conduit – Where an existing conduit system is affected by a highway project and all existing conduits are in use, the replacement system may incorporate one extra conduit (same size as the existing conduit) without being considered a betterment. Additional conduits, either for future expansion or at the election of the utility, are the cost responsibilities of the utility.
     8. Safety Requirements – The costs associated with safety or environmental requirements imposed by law are eligible to be reimbursed to the utility.
3. Lump Sum Utility Estimate and Billing Process
   • An alternate process has been developed to streamline utility reimbursement and still assure accuracy and fairness for both the State and the utility. Lump sum estimates can be used to cover the cost of a replacement in kind relocation of an affected utility facility for reimbursable amounts of less than $100,000. Although lump sum estimates are infrequently used and require additional information at the plan and estimate approval stage, time savings and diminished problems are realized at final billing. A lump sum estimate must be supported by a complete analysis of the estimated cost of the proposed adjustment and shall be subject to prior approval by Central Office Utilities and, if necessary, the Federal Highway Administration.
   • Estimates must be prepared on the RE 75-1 Estimate Form and the estimated cost for each item must be shown in the applicable section of the form in a lump sum format. Each item of cost shown on the estimate must be supported by an itemized sheet detailing costs such as man hours by class and rate, equipment by type, size and rate, materials by items and prices, etc., which will give a clear understanding of the costs associated with the relocation work. Payroll additives and other overhead rates must be itemized individually with a statement of what is included in each cost.
   • A lump sum estimate must be accompanied by a relocation plan which together will give a clear picture of the utility relocation work to be performed. Percentages of participation, established in accordance with the criteria set forth in Section 8302.07, “B” and verified by the plan, shall be shown in the space provided on the estimate. A lump sum must be thoroughly reviewed by Central Office Utilities to determine that the costs are accurate and reasonable. It must be clearly understood that approval of the lump sum estimate establishes the actual amount to be paid to the utility for the utility relocation work performed. Upon completion of the utility relocation work, a bill is submitted in the approved amount with proper documentation and proofs of payment.
4. Processing Utility Relocation Plans and Estimates
   • Utility relocation review responsibilities require knowledge of highway design and construction, utility design and construction, safety criteria and ODOT and/or FHWA law, policy and procedure. While ODOT’s Central Office Utilities is responsible for the review and approval of the utility relocation reimbursement, the utility is responsible for assuring proper design, installation, operation and maintenance of the proposed utility facilities. All plans and estimates will be prepared in accordance with the provisions of this Section. Also, a plan and estimate review checklist (Section 8214.01, “D”) is a viable reference for both the creation and review of the utility relocation submissions. In addition, exceptions to approved utility relocation policy must be submitted to Central Office Utilities for review, comment and approval prior to any authorization being issued to the utility.
   • Prior to an estimate being sent to Central Office Utilities for approval, it is required that the District has received federal authorization for the utility costs and a funding event has been added to ELLIS to match the estimate that the utility has submitted.
5. Utility Relocation Work Performed Prior to Approval
   • Proper Central Office Utilities review and approval of the utility relocation and reimbursement is critical to assuring that the utility relocation work, be performed, is compatible with the construction requirements of the highway project and that the costs are properly charged and supported.
   • Therefore, utility relocation work, which is performed prior to review and approval of the plan and estimate, is ineligible for State and/or Federal reimbursement. Furthermore, if it is necessary for the utility to deviate from the approved construction plan, estimate, materials list or salvage list, the utility must notify the District Utility Coordinator of the change/changes and not perform the utility relocation work adjustment until the District Utility Coordinator provides approval based on their coordination with Central Office Utilities.
   • It is critical that the utility stay in communication with the District Utility Coordinator to assure reimbursement and keep the project from being delayed. Overrun costs above ten percent (10%) of the original estimate may require a revised RE 75-1 Estimate Form. It is imperative for the utility to submit their cost changes as soon as possible for review by the District Utility Coordinator and Central Office Utilities, get approval and continue their relocation work. The District Utility Coordinator must document the justification and process in the same manner as the original submission, including having the utility submit a revised plan and estimate.
6. Central Office Utilities Estimate Review Responsibilities
   • Under the Programmatic Agreement addressed in Section 8207.01, the Federal Highway Administration has placed compliance assurance with Central Office Utilities in regards to certain aspects of the utility relocation/reimbursement process.
   • Central Office Utilities is responsible for assuring statewide continuity in the application of State and Federal laws, rules, policies and procedures regarding utility reimbursement eligibility, betterments, contractor/consultant use and safety.
   • In order to discharge this responsibility, the Programmatic Agreement with FHWA assigns Central Office Utilities as the approving agency for all reimbursable utility relocation submissions and all utility relocations, reimbursable or not, involving Federal Oversight Review projects. Utility relocation submissions outside the project scope of this Central Office responsibility are processed directly by the District Utility Coordinator.
   • Central Office Utilities review and approval of utility relocation reimbursement submissions must take place prior to any construction authorization being issued to the utility by the District Utility Coordinator. It is incumbent upon the utility to provide timely submission of the utility relocation plans and estimates to the District Utility Coordinator in order to allow for proper review and approval by Central Office Utilities. Failure to obtain proper ODOT approval could result in a revision to the proposed relocation and/or jeopardize reimbursement.
7. Relocation Approval to the Utility
   • Upon completion of the plan and estimate review process and approval by Central Office Utilities, the District Utility Coordinator needs to authorize the utility to proceed with their proposed relocation work. The authorization to the utility needs to include information pertinent to the relocation submission such as approved percentages of reimbursement participation, contractor approval and contingencies and coordination requirements that is all outlined with the RE 75-1 Estimate Form and attached information.
   • After Central Office Utilities reviews and approves the utility’s plan and estimate, the District Utility Coordinator is also responsible for sending that approval to the utility and provide coordination of the following functions between the District and the utility:
     1. Furnish the District Construction Office with a copy of the approved plan and/or estimate, request that inspection of the utility’s relocation be provided to verify performance and quality of the utility work and advise if any special conditions or coordination needs to be performed during project construction.
     2. Request that the utility notify the District Construction Office or District Utility Coordinator, at least two working days prior to beginning their relocation work, in order to permit assignment of inspection personnel to review the relocation work.
     3. Maintain contact with the utility and the District Construction Office to monitor the utility relocation work.
     4. When necessary, arrange for inspection of materials recovered from the utility relocation work.

8304. Utility Billings

8304.01 Utility Reimbursement Billing Procedure

The Department’s payment for all actual costs associated with the utility’s relocation process is captured by using the RE 75-2 Summary of Billing Form and all required verification information. Central Office Utilities has the responsibility to approve the reimbursement and works with the District Utility Coordinator and Central Office Finance to assure payment is made.  The following steps are used to provide all needed information:

1. Preparation
   • The final bill must be prepared on the electronic RE 75-2 Summary of Billing Form and the certification on the last page must have an original signature of a responsible officer of the utility. The items of cost must be shown in the applicable sections of the form in a manner that will allow comparison with the approved plan and estimate that was submitted by the utility when they were preparing the RE 75-1 Estimating Form information to receive approval for their compensation.
   • In addition, each item listed on the RE 75-2 Summary of Billing Form shall be shown as a lump sum and shall be supported by itemized sheets which give a clear understanding of the costs associated with the utility relocation work. All contractor payments shall be substantiated by invoices from the contractor and a copy of the cancelled check or payment record from the utility. Payments for easements acquired to handle the utility’s relocation must be supported by proof of payment. Each billing shall show, in spaces provided on the Re 75-2 Summary of Billing Form, complete information regarding the utility’s payment activity.
   •  Upon review and acceptance by the District Utility Coordinator, the final bill, including the original invoice, is to be forwarded to Central Office Utilities for final review and payment processing. Additional guidance associated with the billing process is covered under Item “C”, “Billing Verification by District” of this Section.
2. Costs Ineligible for Reimbursement
   • It should be noted that there are utility expenditures which would not be eligible for reimbursement by the Department. Costs associated with AFUDC charges (allowance for funds during construction), Ohio Sales tax, betterments, overtime not required by the highway project and work performed without approval are examples of inappropriate expenditures which will not be reimbursed to the utility and should be excluded from the billing. Any questions regarding the reimbursement eligibility of expenditures need to be referred to Central Office Utilities for review and payment decision.
3. Billing Verification by District
   • Prior to submission of the RE 75-2 Summary of Billing Form and all support documentation to Central Office Utilities for final review and payment, the District Utility Coordinator must work with all District individuals involved in the utility coordination process to check the bill for mathematical accuracy, assure the utility relocation work was performed in accordance with the approved plan and estimate, confirm the start and completion dates of the utility relocation work and verify that any contingencies involved with the original estimate approval were addressed. The District Utility Coordinator needs to review the current project funding status to assure that adequate funds have been encumbered to pay for the utility relocation bill. If funding is insufficient, the District Utility Coordinator must notify District Finance and request the additional funds are added to the utility relocation encumbrance and notify Central Office Utilities of this funding increase so that the office can monitor the project funding and make payment after the additional encumbrance has been confirmed.
   • If the utility reimbursable amount in the bill is more than 10% over the approved estimate, the explanation of the cost overrun must be included in the billing information. Under the utility relocation coordination process, if the utility was to make an adjustment to their relocation work that would cause this increase in cost of more than 10%, the utility is required to notify the District Utility Coordinator in order to get approval for the additional cost prior to performing the work related to the estimate increase. When there is an increase of more than ten percent (10%), the utility must provide a detailed letter of explanation which shall accompany the final billing invoice. Central Office Utilities will evaluate and determine if the overrun costs are acceptable for payment.
   • The District Utility Coordinator’s review of the utility relocation bill must assure that the following items are addressed prior to forwarding the bill to Central Office Utilities for approval, processing and payment:
     1. The first page of the RE 75-2 Summary of Billing Form must be accurate as to identification of the utility, the complete address, highway project designation (PID), tax identification number or applicable W-9 form, an invoice or work order number, address where the invoice may be audited and dates for starting and completing the utility relocation work.
     2. Each item of cost listed on the RE 75-2 Summary of Billing Form must be supported by itemized detailed sheets that show man hours by class and rate, equipment by type size and rate, material items and prices, etc. which will give clear understanding of the costs associated with the utility relocation work. The utility also must provide certification information that verifies that all iron and steel materials used in the utility relocation were manufactured in America and meet the FHWA “Buy America” regulations as outlined in the Department’s “Guidance for Meeting the Buy America Regulation” which is on-line.
     3. All costs associated with the utility’s easement acquisition must be properly supported by proof of payment which is handled by listing the name of the grantor, copy of payment, and copy of the acquired easement.
     4. If contract costs are included in the bill, to support payment, invoices and proofs of payment need to be submitted. This would include a copy of the canceled check or payment record from the utility.
     5. If there has been salvage material (Section 8303.01, B “2”), the credit needs to be properly documented and supported by detailed sheets.
     6. If a Betterment is involved, it needs to be supported by details compatible with the approved estimate and properly credited. (Section 8208.01, “F”)
     7. If a credit for accrued depreciation is due, the amount shown must be supported by detail sheets reflecting the method used to determine the amount of credit.
     8. The percentages of participation related to the eligible and ineligible reimbursement for the utility relocation work must agree with that item approved in the estimate.
     9. Is the total amount of the bill reasonably close to the total amount of the approved estimate? If the amount of the bill is substantially more than the estimate (10% greater), utility documentation associated with the District Utility Coordinator being notified of the increase must be added to the billing process.
     10. Major deviations from the approved plan and estimate must be clearly explained, properly supported and approved. (See Section 8303.01, “E”)
     11. The certification on the last page of the RE 75-2 Summary of Billing Form must be properly signed by a certified utility representative. Also, the “Buy America” box of the RE 75-2 Summary of Billing Form must be checked. If the box is unchecked, ODOT cannot process utility billing for final payment. (See Section 8203.03, “I”)
     12. The billing information must comply, in all respects, with the utility billing checklist included in Section 8214.01, “D” of the Manual.
     13. Reimbursement funding, based on the original estimate, must have been encumbered by the District. If funding for payment of the final bill is insufficient, the District Utility Coordinator must work with District Finance to get the additional funds added to the encumbrance before Central Office Utilities can process billing approval and payment.

After the billing has been checked and necessary corrections made, the District Utility Coordinator shall forward the original and one copy of the complete RE 75- 2 Summary of Billing Form that has been signed by an authorized utility company representative, along with attachments and pertinent correspondence between the utility and District Utility Coordinator, to Central Office Utilities for review, processing, approval and payment.

8304.02 Central Office Utility Payment Process

Central Office Utilities is responsible for performing all of the final steps needed to confirm the cost of the utility’s relocation and provide payment when the utility is in a compensable position. The following list of activity identifies the work Central Office Utilities undertakes to complete the bill payment process:

1. Utility Bill Review and Payment Verification
   • Upon receipt of the billing information from the District Utility Coordinator, Central Office Utilities is required to make a complete review of the billing package to determine that the utility’s relocation work was performed in accordance with the approved plan and estimate and confirm all information associated with a utility relocation change that resulted in an increase of at least 10%. The review also confirms the billing package is complete and in proper form, is adequately supported, is mathematically correct and complies with all State and Federal requirements. Also, Central Office Utilities provides final verification that the funding status, as provided by the District, is made to assure that adequate funds are available for payment.
2. Release and Special Agreements
   • Upon completion of its billing review, Central Office Utilities shall prepare the appropriate instruments (Release Agreement or Special Agreement and Waiver of Damages) that need to be executed by the utility.  The purpose of these instruments is to state the amount of payment to the utility, identify the highway project and location of the utility rearrangement and to release the Department from any further claims of compensation or damages regarding the utility’s relocation of its facilities.
   • The Release Agreement is prepared by the District Utility Coordinator and forwarded to Central Office Utilities for processing. By use of this document, the utility releases to the Department any existing easement rights held within the highway right of way where their existing facilities had been removed. The utility must be relocating to a point outside of the existing utility easement and additional property rights are acquired by the utility and the cost of those rights are being reimbursed by the State for replacement of their easement. In its preparation, the District Utility Coordinator must provide a legal description of the property involved. All Releases of this nature must be notarized and recorded in the county of record. The original instrument is retained by Central Office Utilities and copies are provided to the District Utility Coordinator and utility. The District Utility Coordinator will see to it that the District Real Estate Office has the Release recorded in the county of record.
   • When necessary, Central Office Utilities will prepare the Special Agreement and Waiver of Damages when the utility does not have to vacate its existing easement and their relocation takes place within the limits of that easement. The agreement must be notarized, but does not have to be recorded in the county of record. The original agreement document is retained by Central Office Utilities, with copies provided to the District Utility Coordinator and the utility.
3. Payment and Federal Participation
   • Once a Release or Special Agreement and Waiver of Damages instrument is executed by the utility, Central Office Utilities will submit the billing to the Central Office of Accounting for further processing and issuance of a warrant (payment). The warrant is then issued and sent to Central Office Utilities for forwarding to the utility. If the utility prefers, and proper approval has been secured, payment can be made through Electronic Funds Transfer (EFT). With either payment method, once payment is made to the utility, Central Office Utilities will let the District Utility Coordinator know of that payment. If applicable, Central Office Utilities will request the Central Office of Payroll & Federal Accounting process the bill for Federal participation.
4. Audits
   • Under the Ohio Revised Code, all utility billings are subject to audit. Audits will be performed by Central Office Finance and will be performed under the provisions of 23 CFR 645, other applicable State and Federal requirements and in accordance with ODOT auditing procedures. When an audit of a utility reimbursement is to be performed, Central Office Utilities shall prepare and audit packet consisting of the following items:
     1. A copy of the bill from the utility.
     2. A copy of the estimate and any revisions.
     3. A copy of the utility relocation plan and any revisions.
     4. A copy of authorization to the utility to perform the utility relocation work, including the resolution of any contingencies.
     5. A copy of the bid tabulation, a copy of the bid from the successful contractor and a copy of the approval covering use of the low bidder or, if applicable, a continuing contractor.
     6. A copy of the utility salvage inspection notice to the Department.
     7. A copy of the salvage report.
     8. If applicable, a copy of the utility letter explaining any cost overrun.
     9. A copy of the easement bill
     10. A copy of any documentation or explanation of variance from normal procedure.

8304.03 Partial Billings

There are times when the large cost of the utility relocation or the financial health of the affected utility has significant monetary impact and the utility requests the Department provide payment of partial billings during the utility relocation process. Central Office Utilities will only consider providing a partial billing payment process if the District Utility Coordinator confirms the utility has begun its relocation work and is meeting the time frame for completing its work so that the highway project is not delayed. With Department approval for such a request, Central Office Utilities will handle the process under the following conditions:

1. Preparation
   • The Department may consider, at the request of the utility, partial billing submission as a means to lessen the relocation’s cost impact on the utility, regardless of the financial condition or corporate size of the utility. This option allows the utility to capture initial costs incurred during the preliminary engineering, easement acquisition, and materials necessary for the relocation of the utility’s facilities. Upon incurring additional reimbursable relocation costs, the utility may submit additional partial billings, provided those invoices are not submitted more frequently than one hundred twenty calendar days (120) or upon incurring $100,000 additional costs, whichever comes first. In no case will a partial bill or total of multiple partial bills equal more than fifty percent (50%) of the reimbursable amount of the approved utility relocation estimate. Partial bills will be accepted when submitted on the RE 75-2 Summary of Billing Form and are prepared in accordance with the following criteria:
     1. Partial bills must be prepared in the same manner as final bills.
     2. The word “Partial” shall be clearly marked on sheet 1 of the RE 75-2 Summary of Billing Form.
     3. Partial bills will be accepted when the costs submitted are actual accrued costs on the books of the utility and materials have actually been used in the relocation work as the date of the billing.
     4. Partial bills must be submitted with all inclusive actual accrued costs up to the date of the billing, less amounts previously billed on the same project.
2. Partial Billing Processing
   • Verification is made by the District Utility Coordinator that the amount of the relocation work performed and the labor, materials and equipment used are in accordance with the billing.  The District Utility Coordinator shall then check the partial billing for completeness, mathematical accuracy and proper support documentation. After the bill has been checked, the District Utility Coordinator shall forward the bill to Central Office Utilities for review, processing and payment. A Release or Special Agreement Waiver of Damages is not required for a partial billing since the application instrument will be prepared and executed upon submission and processing of the final bill.  The final bill shall be prepared within one year following the completion of the utility relocation work and shall include all prior costs included in the partial billings. If the utility fails to submit costs within one year following the completion of their relocation work, then the actual cost paid to the utility to date by ODOT will be considered as final payment. If the utility is unable to submit its final bill within one year following completion of their relocation work, then the utility may file a written request with ODOT seeking a limited extension of time within which to submit a final bill. Such request may be granted at the discretion of the Department.

8304.04 Lump Sum Billing

The requirements of this Section generally applies to utility billings submitted under the lump sum estimate and billing process. Within one year following completion of the utility relocation work, a final billing should be prepared on the RE 75-2 Summary of Billing Form. All costs must be documented or supported as initially reflected in the approved estimate and all proofs of payment must be included. Following the necessary reviews by the District Utility Coordinator and Central Office Utilities and execution of the appropriate instrument by the utility, a warrant will be issued in the approved amount reflected in both the estimate and final billing.

8304.05 Billing Process for LPA Projects

All utility adjustments, relocations and Federal dollar compensation on ODOT-let and Local-let LPA projects must conform to the policies and procedures set forth in Section 8211 of this Manual. Estimate review and approval, as well as billing review and payment, for ODOT-let projects will be done by Central Office Utilities.

8400 - Abbreviations and Definitions

AASHTO

American Association of State Highway & Transportation Officials

AESTHETIC QUALITY

Those desirable characteristics in the appearance of the highway and its environment, such as: harmony between natural and manufactured objects in the environment, continuity of visual form without distracting interruptions and simplicity of functional design

ANSI

American National Standards Institute

ASTM

American Society of Testing and Materials

AUGERING

The procedure of making a hole below the surface by use of an earth auger

AVERAGE DAILY TRAFFIC

The average 24-hour volume, being the total volume during a stated period divided by the number of days of that period. Unless otherwise stated, the period is a year. The term is commonly abbreviated a “ADT”

AWWA

American Water Works Association

BACKFILL

Replacement of excavation with suitable material per Construction and Material Specification (CMS), compacted as specified around and over a pipe, conduit, casing or gallery

BEDDING

Organization of soil or other suitable material to support and underground facility

BORDER AREA

The area between the traveled way and the right of way line

BORING

The procedure of making a hole below the ground by drilling

CAP

Rigid structural element surmounting a pipe, conduit, casing or gallery

CARRIER

A pipe directly enclosing a transmitted fluid (liquid, gas or slurry). Also, an electric or communication cable, wire or line

CASING

A larger pipe enclosing a carrier

CFR

Code of Federal Regulations

CLEAR ZONE

The roadside border area, starting at the edge of the traveled way, available for safe use by errant vehicles. The desired width is dependent upon traffic volume, speed and roadside geometry. The ODOT location and Design Manual should be used as a guide for establishing clear zones for various types of highway and operating conditions

CLEAR ROADSIDE POLICY

This policy is employed by a transportation department to provide a clear zone in order to increase safety, improve traffic operations and enhance the aesthetic quality of highways. This is done by designing, constructing and maintaining highway roadsides as wide, flat and rounded, as practical, and as free as practical from natural or manufactured hazards such as trees, drainage structures, non-yielding sign supports, highway lighting supports, utility poles and other ground mounted structures
The policy should address the removal of roadside obstacles which are likely to be associated with accident or injury to the highway user.

When obstacles are essential, the policy should provide for appropriate countermeasures to reduce hazards. Countermeasures include placing utility facilities at locations which protect out-of-control vehicles, using breakaway features, using impact attenuation devices or shielding. In all cases, full consideration shall be given to sound engineering principles and economic factor.

CMS

Construction and Material Specification of the Ohio Department of Transportation, including supplemental specifications

COATING

Material applied to, or wrapped around, a pipe

CONTROL OF ACCESS

• Limited Access – The condition where the right of owners or occupants of abutting land or persons to access, light, air or view in connection with a highway, is fully or partially controlled by public authority
• Full Control of Access – Means that the authority, to control access, is exercised to give preference to through traffic by providing access connections with selected public roads only by prohibiting crossings at grade or direct private driveway connections. In effect, under full L/A, the authority provides public road connection to the through roadway by constructing highway interchanges, as opposed to at grade crossings or private drive access.
• Partial Control Access – Means that the authority, to control access, is exercised to give preference to through traffic to a degree that, in addition to access connections with public roads, there may be some crossings at grade and some private driveway connections

COVER

Depth to top of facility below grade of roadway, ditch or other surface

CRADLE

Rigid structural element under, and supporting, a carrier or casing

DIRECT BURIAL

Installing a utility facility underground, without encasement, by plowing or trenching

DIRECTIONAL BORE

A bore using guiding device which enables the bore to change direction to avoid conflicts and obstructions

DRIVING

The procedure of placing pipe or casing below the surface by applying force in intermittent blows

ENCASEMENT

Poured concrete completely surrounding a carrier or casing

ENCROACHMENT

Unauthorized use of highway rights of way or easements by such items as signs, fences, buildings, utilities, vehicle parking, storage, etc.

FHWA

Federal Highway Administration, United States Department of Transportation

GALLERY

A structure large enough to house, inspect, repair or replace one or more utility lines

GATHERING LINES

Pipelines that are used to transfer products to processing facilities, as opposed to public consumers

HIGHWAY, STREET OR ROAD

A general term denoting a public way for the transportation of people, materials, goods and services, but is primarily used for vehicular travel. The term refers to the entire area within the right of way. Various descriptions are:

• Arterial Highway – A general term denoting a highway primarily for through traffic, usually on a continuous route
• Bypass – An arterial highway that permits traffic to avoid part, or all, of an urban area
• Divided Highway – A highway with separated roadways for traffic traveling in opposite directions
• Expressway – A divided arterial highway with full, or partial, control of access generally having grade separations at major intersections
• Freeway – A divided arterial highway with full control of access
• Frontage Road – A local street or road, auxiliary to and located along the side arterial highway, for service to abutting property or adjacent areas and to provide control of access
• Major Highway – An arterial highway with intersection at grade and direct access to abutting property; and in which, geometric design and traffic control measures are used to expedite the safe movement of through traffic

JACKING

The procedure of installing pipe below the surface by application of force to the trailing end of the capped conduit or pipe

MANHOLE

An opening in an underground system which workmen or others may enter for the purpose of making installations, removals, inspections, repairs, connections or tests

MEDIAN

The portion of a divided highway separating the traveled way for traffic in opposite directions

NESC

National Electric Safety Code

NORMAL

Crossing at a right angle

OAC

Ohio Administrative Code

ODOT

Ohio Department of Transportation

OGPUPS

Oil & Gas Producers Underground Protection Service

OMUTCD

Ohio Manual on Uniform Traffic Control Devices

ORC

Ohio Revised Code

OUPS

Ohio Utilities Protection Services

PERMIT

An agreement by which the highway authority regulates and/or gives approval of the use and/or occupancy of highway rights of way by public utility facilities or private lines. (A Non-Standard Permit is one in which the application contains a feature in variance with applicable policies contained in this section of the Manual or minimum standards for design) This document (permit) does not convey any estate in the land

PIPELINE

A continuous carrier used primarily for the transportation of fluids (liquid or gas) from one point to another, using gravity or pressure flow

PLOWING

Direct burial of utility lines by means of a “plow” type mechanism which breaks the ground, places the utility line and closes the break in the ground in a single operation

PRESSURE

Relative internal force in a pipe (expressed in psi – pounds per square inch)

PRIVATE UTILITY

A utility whose ownership and operation is under the control and direction of a private individual, company or corporation

PUBLIC UTILITY

A utility whose ownership and operation is under the control and direction of an elected public body or pseudo-public agency, i.e. City Council, County Commission, Water Authority, etc.

PUBLICALY HELD UTILITY

A utility whose ownership and operation is under the control and direction of private sector officials and public stock holders and regulated by the Public Utilities Commission of Ohio (PUCO)

PUCO

Public Utilities Commission of Ohio

QAR

Quality Assurance Review

RIGHT OF WAY

A general term denoting land, property or interest therein which is acquired, dedicated or reserved by the Ohio Department of Transportation or all Counties, Cities or Villages for transportation purposes. Lands acquired under the Highway Beautification Program (23 USC 319) shall be considered highway right of way

ROADSIDE

A general term denoting the area adjoining the outer edge of the roadway. Extensive areas between the roadways of a divided highway also may be considered roadway

ROADWAY

The portion of a highway, including shoulders, for vehicular use. A divided highway has two or more roadways

SAFETY REST AREAS

A roadside area which has parking facilities that are separated from a roadway and provided for motorists to stop and rest for short periods. It may include drinking water, restrooms, tables and benches, telephones, information and other facilities for travelers

SCENIC OVERLOOK

A roadside area beyond the shoulder which is provided for motorists to stop their vehicles and safely view the scenery

SERVICE DROPS OR LINES

Any line supplying utility service to individual consumers from a distribution line

SHOULDER

The portion of the roadway contiguous with the traveled way, outside of the edge of the pavement, for accommodation of stopped vehicles, emergency use and lateral support of base and surface courses

SLEEVE

Short casing through pier or abutment of a highway structure

SP

Standard Procedure

TRAVELED WAY

The portion of the roadway for the movement of through traffic

TRENCHED

Where the utility facility is installed in a narrow, open excavation

TUNNEL

Enclosed excavation through which the utility facility is to be installed

USE AND OCCUPANCY AGREEMENT

The document by which the highway authority regulates and/or gives approval of the use and occupancy of highway rights of way by utility facilities or private lines. At ODOT, this is the Highway Use Permit

USC

United States Code

UTILITY

“Utility” shall mean, and include, a private, public or publically held cooperative owned line, facility or system used for producing, transmitting or distributing communications, cable television, power, electricity, light, heat, gas, oil crude products, water, steam, waste, storm water not connected with highway drainage, or any other similar commodity, including any fire and police signal system or street lighting system, which directly or indirectly, serves the public. The term “utility” shall also mean the utility company inclusive of any substantially owned or controlled subsidiary. For the purpose of this part of the manual, the term includes utility-type facilities which are owned, or leased, by a governmental agency for its own use or, otherwise, dedicated solely to government use. The term “utility” includes those facilities used solely by the utility which are a part of its operating plant. Service lines privately owned and devoted exclusively to supplying the various commodities to the owner, and not direct or indirectly serving the public, are not considered to be a utility.

VENT

Appurtenances to discharge gaseous contaminants from a casing