Ep Manual Combined
Ep Manual Combined
This Eighth Edition (revised July, 2013) of the Encroachment Permits Manual describes Departmental
policy, revisions and legislative actions that affect the encroachment permit process. It also provides
information on the intergovernmental review process, procedures of the permitting process, storm
water management, as-built plan requirements, utility encasement requirements, and other related
programs and Departmental policies.
The manual’s purpose is to maintain uniform methods and procedures in the issuance of
encroachment permits. Special situations and circumstances that require deviation from departmental
design standards and policy are subject to approval by Headquarters Division of Design.
Additional information applicable to encroachment permit work may be found in other Departmental
manuals.
The Encroachment Permits Manual is updated regularly. For the latest official version including any
updates, users can view it at:
https://dot.ca.gov/programs/traffic-operations/ep/ep-manual
If a paper copy is maintained by the manual holder, it is important for the manual holder to maintain
and use an up-to-date manual. This will insure proper reference to the latest policies and procedures.
Responsibility for keeping the manual current belongs to the manual holder.
Table of Contents
101 WHAT IS AN ENCROACHMENT PERMIT? ................................................................... 1
102 STATUTORY AUTHORITY .............................................................................................. 2
103 WHO NEEDS AN ENCROACHMENT PERMIT? ............................................................ 2
104 ENCROACHMENT PERMITS ISSUED BY CALTRANS ............................................... 3
105 ROUTINE ENCROACHMENT PERMITS ISSUED BY CITIES OR COUNTIES .......... 3
106 WORK EXEMPT FROM WRITTEN ENCROACHMENT PERMITS ............................. 3
107 OFFICE LOCATIONS AND HOURS ................................................................................ 3
108 OVERVIEW OF THE ENCROACHMENT PERMIT PROCESS ..................................... 4
108.1 Oversight Projects vs Encroachment Permit Projects ................................................... 4
108.2 Maintenance Work Performed by Volunteers ............................................................... 6
Chapter 100
The Permit Function
The California Department of Transportation (Caltrans) is the steward of the California State
Highway System (SHS). The safety of the traveling public, highway workers and permittees is
our primary concern. Caltrans also cooperates with other public agencies and with private parties
to promote the safe use of our highways.
Caltrans issues encroachment permits to:
• Ensure the safety of the traveling public, highway workers and permittees,
• Protect, maintain, and enhance the quality of the State highway system during and after
permitted work,
• Ensure that the proposed encroachment is compatible with the primary uses of the State
highway system,
• Protect the State’s and public’s investment in the highway facility, and
• Ensure that temporary uses of State highway right-of-way for special events, filming, etc.
are conducted safely and with minimum inconvenience to the traveling public.
Encroachment permits are issued under the authority of law. In processing permit applications,
Caltrans draws upon the extensive experience of its workforce in advising permittees to use safe
procedures and equipment.
An encroachment permit is not a property right. It is permissive authority for the permittee or the
permittee’s authorized agent to enter the State Highway right-of-way to construct, alter, repair,
improve facilities, or conduct specified activities. The permittee is responsible for the
encroachment and the condition thereof, and the permittee is bound by the General Provisions,
Special Provisions, and any other terms and conditions under which the encroachment permit
was issued as long as the encroachment remains in, under, or over the State Highway right-of-
way.
A permittee cannot transfer or assign an encroachment permit to another party. An encroachment
permit is not transferred to a new owner when the property or facility (e.g. utility) is sold. New
property or utility owners must apply for and obtain their own encroachment permit as soon as
possible after the sale. The new encroachment permit should be fee exempt and issued for notice
and record purposes.
An encroachment permit must be obtained for all proposed activities for placement of
encroachments within, under, or over the State highway right-of-way. Some examples of work
requiring an encroachment permit are: utilities, excavations, encroachment renewals,
advertisements (when allowed by statute), vegetation planting or trimming, surveys, mail boxes,
driveways, installation or removal of tire chains for compensation, special events, and
commercial filming activities.
Encroachment permits are not issued to allow building structures to extend into the State
highway right-of-way, e.g., bay windows, cornices, and decorative features that extend beyond
the surface of a building. To do so would grant exclusive use of public property to private
entities without compensation. (Exception: see Advertising Displays, Section 501.3).
All applications for commercial filming permits must be submitted through the California Film
Commission. Additional information can be found at:
http://film.ca.gov/
California Government Code Section 11020 requires all State Agencies to be open for the
transaction of business from 8:00 a.m. to 5:00 p.m. except weekends and holidays. Staggered
lunch hours must be used to provide continuous service throughout the day.
1) Creates 5,000 square feet or more of new non-highway impervious surface (Order,
Provisions E.2.d.2.a), or
2) Creates 1 acre or more of new highway impervious surface (Order, Provisions E.2.d.2.a),
or
3) Is within, or partially within an Environmentally Sensitive Area (ESA) or may discharge
to an ESA, or
4) Requires a Storm Water Data Report (SWDR).
To assist in the determination, the District Permit Engineer can arrange a pre submittal
conference to obtain input from the District Encroachment Permits Office, Program/Project
Management, Design, and Traffic Operations. Inclusion of other functional units depends on
project scope and features. Meeting outcomes and basis for decisions should include the same
items above and may include items such as: cost estimate verification; availability of
reimbursement funding; Right of Way processes; increase in State tort liability; Structure Design
involvement; and Electrical unit review.
If the construction cost increases above $1,000,000, the encroachment permit application is then
denied and the project must be reviewed and approved using the Oversight Project process.
Oversight Projects – These projects are generally complex and are financed with a sales tax
measure, locally funded non-sales tax, or private funds. Project Development has
responsibility for these projects including workplan development, plan review, obtaining
encroachment permits and executing cooperative or highway improvement agreements. For
more information on the Oversight Project process, see the Project Development Procedures
Manual and Deputy Directive DD-23-R1 and Section 500.10 “Oversight Projects” of this
Manual.
An “Encroachment Permit Administrative Route Slip” (form TR-0154) is used by the Project
Manager to request from the District Permit Engineer the issuance of an encroachment permit.
The TR-0154 certifies that the project has been reviewed and approved and does not require any
further coordination. Encroachment permit staff charges expended effort to the Oversight
Project’s Project Code and not to an Encroachment Permits Project Code.
Encroachment Permit Projects – These projects are 100% funded, designed, and constructed
by a local agency, transportation agency, Sales-tax measure sponsor, or a private entity. Projects
are non-complex and construction cost within the existing or future State right-of-way is under
$1 million. The project scope is defined, funding secured, and plans are complete. Some types of
encroachment permits require cooperative agreements or highway improvement agreements.
If the work is routine utility or drainage work, the encroachment permit process is followed.
Only Encroachment Permit projects should be administered entirely by the District
Encroachment Permits Office.
The State representative responsible for overseeing the project construction will be provided by
the Construction Unit if construction cost exceeds $300,000. Projects with construction costs of
$300,000 or less, may be overseen by either the Construction Unit or the Permits Unit (see
PDPM Chapter 2, Section 5).
Table of Contents
201 APPLICATION PROCEDURE (Rev 04/19) ....................................................................... 1
201.1 Application Forms and Documents (Rev 04/19) ........................................................... 1
201.2 Permit Application Fee .................................................................................................. 1
201.2A Fee Exempt Encroachment Permits ...................................................................... 3
201.2B Fee Calculations .................................................................................................... 5
201.2C Billing and Overdue Accounts .............................................................................. 7
201.3 Refunds .......................................................................................................................... 9
201.4 Permit Number ............................................................................................................ 10
201.5 Processing Encroachment Permit Applications (Rev 04/19) ...................................... 11
201.6 Tracking Permit Applications ..................................................................................... 13
202 REVIEW PROCESS .......................................................................................................... 16
202.1 General Criteria for Evaluation of Encroachment Permit Applications (Rev 04/18) . 16
202.1A Conflicting Permits ............................................................................................. 17
202.1B Location of Encroachment within the State Highway Right-of-way .................. 18
202.1C Traffic Considerations ......................................................................................... 18
202.1D Traffic Control System Plan Changes ................................................................. 20
202.1E Traffic Unit Review ............................................................................................ 20
202.1F Field Review before Issuing Permit ........................................................................ 20
202.1G Other Reviews ..................................................................................................... 20
202.2 Project Report or PEER Document ............................................................................. 20
202.2A Projects Requiring a Permit Engineering Evaluation Report (PEER) ................ 21
202.2B Projects Not Requiring a PEER .......................................................................... 22
202.3 Oversight Projects ....................................................................................................... 22
202.3A Pre-Approved Cooperative Agreements (Rev 04/17) ......................................... 23
202.3B Issuing Encroachment Permits for Oversight Projects ........................................ 23
202.3C Public Transit Projects ........................................................................................ 23
202.3D Project Development Procedures ........................................................................ 24
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 04/2018 2-i
© 2018 California Department of Transportation. All Rights Reserved
Chapter 200 – Processing Permits
Chapter 200
Processing Permits
This chapter describes the requirements and procedures for processing an Encroachment Permit
Application Package (EPAP) which includes the “Standard Encroachment Permit Application”
(form TR-0100), appropriate checklist(s), associated forms, plans, supporting documentation and
applicable fees.
into the appropriate State bank account per the current “Accounting Bulletin on Cash Handling
Policy” and must log all payments on the “Encroachment Permit Log” (form TR-0111) (see
Section 201.2C).
1. Utility Permits
Utility companies have been granted deferred billing and receive Progress Billing statements
from the HQ Division of Accounting on a monthly or quarterly basis when supported by a
“Progress Billing/Permit Closure” (form TR-0129). Accounting will not issue Progress Billing
invoices to utility companies unless Accounting receives a form TR-0129 from the District
Encroachment Permits Office. All staff shall maintain records of their time expended on
“Encroachment Permit Report (Diary)” (form TR-0130) for each permit, to assist the District
Encroachment Permits Office in maintaining accurate records of all time expended on permits.
A “Progress Billing/Permit Closure” (form TR-0129) is used to record all inspection costs and to
close out a permit file. It must be signed and dated by the District Permit Engineer, an
authorized representative or the District Oversight Resident Engineer (RE) when applicable. It is
then submitted to the HQ Division of Accounting for billing purposes.
2. Annual / Biennial Permits
These permits are issued on a yearly or two-year basis for conventional highways. Fees for
Annual / Biennial Permits are charged a minimum of two hours of review to recover the time
expended in the office for processing and administration. This privilege allows public
corporations, utility companies, and in some cases private corporations (ex: survey permits) the
feasibility of performing everyday routine tasks and installations (service installations, etc.)
without having to apply continuously for a permit. This privilege is revocable at any time by
Caltrans.
administratively exempt permits other than those listed below. Authority to waive fees is
delegated to the Districts under the following types of administratively exempt permits
and activities:
• Adopt-A-Highway Program
• Airspace rental (AS permits)
• Borrow or disposal areas used by a State contractor with approval in their contract
to borrow or dispose within State Highway right–of-way outside of contract limits
• Crop identification signs installed through the California Farm Bureau
Federation’s Crop Identification Program
• Double Permits (DP) issued for projects subsidized with any State and/or Federal
Highway Funds
• Oversight projects (Project Manager will manage fees through cooperative
agreement)
• Double Permit (DP) for utility tree trimming
• Entities with prior property rights providing for the encroachment (e.g. rail roads)
• Environmental Enhancement projects
• Flags of the United States and the State of California displayed on sidewalks
• Landscape Maintenance (LM Permits)
• Locally funded project identification signs
• Mail and newspaper delivery boxes or newspaper vending machines (MB
Permits)
• Permits for utility ownership that are installed by developers
• Memorial/Historical plaques and Blue Star memorial highway markers authorized
by legislative resolution, at approved location sites
• Native American Tribal Developments or activities (associated with reservations
or Rancherias)
• Projects authorized by a “Consent Letter” (Appendix D)
• Railroad crossing maintenance (RX Permits)
• Required construction signs outside State or locally funded contract project limits
• State ordered utility relocation covered by a Notice to Owner issued by District
Right of Way (UR Permits)
• Transportation Art Program permits (AP permits)
• Caltrans initiated rider (RD Permits)
• Municipal Parades by community-based nonprofit organizations (see Section
514.1, Special Events) commemorating recognized governmental holidays (e.g.,
Federal, State, and Local). Any other parade or special event by a nonprofit
organization shall require permit fees. With City/County support for this type of
special event, the District Permit Engineer may issue a permit. Approval of the
parade shall be as described in Section 514.1.
Department-Furnished Materials
The cost of materials purchased or supplied by Caltrans to be used on encroachment
permit projects (i.e. Traffic signal controllers, lighting, etc.).
Transportation Laboratory Inspection Cost
The fee for inspection work or laboratory testing by the Division of Engineering
Services, Office of Materials Engineering and Testing Services (METS), shall be at
the hourly rate multiplied by the current “Standard Average Hours” published by the
Transportation Laboratory. Districts with work not shown on the “Standard Average
Hours” publication shall contact the Transportation Laboratory directly for an
estimate.
Oversight Projects
Permits’ staff hours for oversight projects (see Section 108.1 of this Manual) are
charged directly to the oversight project’s project code.
Check the Highway Improvement or Cooperative agreement for a fee exemption;
many sales tax and local projects are fee exempt.
The total fee is the sum of the fee components. The District Permit Engineer records all hours
and calculations on the “Encroachment Permit Fee Calculation Sheet” (form TR-0406). The
District Permit Engineer ensures review hours are reported on the “Encroachment Permit
Application Review” (form TR-0110) and the “Permit Engineering Evaluation Report” (PEER)
(form TR-0112).
Table 2.1
Permit Log Form Use
1. A copy of the “Encroachment Permit Log” (form TR-0111) and all billing or refund
requests, as listed on the log, should be mailed weekly to Accounts Receivable in the
HQ Division of Accounting. It is not necessary to begin a new log sheet each week
after sending the copy.
2. Continue to use the first column for all encroachment permit numbers assigned to
applications when they are accepted (logged in). These will be in chronological order
from the beginning of each year. In the designated columns, enter the applicant's
name, location of work, payment type, amount of any deposit/fee paid to the District
Cashier, and date logged in.
3. When a deposit/fee is paid to the District Cashier after the initial deposit, a refund is
requested, or a billing document is sent to Accounts Receivable for progress/final
billing, use the next available line on the current sheet. Use the second column to
enter the permit number for the payment or billing. Use the sixth column for the
amount of the billing or payment to the District Cashier. Use the seventh column for
the date payment was received by the cashier--for refunds, show a negative amount in
the sixth column. No other columns need to be completed.
If the bill is not paid within 30 calendar days from the bill date, the HQ Division of Accounting
will send a past due notice to the permittee. If still not paid, a second past due notice is sent after
60 calendar days from the bill date. Both past due notices request payment and inform the
permittee that if the account remains unpaid, it may be subject to collection activities from a
private collection agency. The HQ Division of Accounting monthly sends a list of permittees
with past due accounts to the HQ Encroachment Permits Office and the appropriate District
Encroachment Permits Office. Each District Office will maintain a list of permittees with past
due accounts and inform them when they apply for a new permit that new permits may not be
issued until resolution with the HQ Division of Accounting.
The District Permit Engineer is responsible for assisting the Division of Accounting in the
collection of encroachment permit fees. For significant backlog of accounts due, the District
may:
1. Require upfront payment of fees;
2. Require a payment/performance bond;
3. Revoke annual maintenance permits and require separate permits for each work element;
4. For those not given the right to a permit by law, deny encroachment permit applications.
The District must forward all performance and payment bonds to HQ Division of Accounting.
When provided by the District, the performance bond information will be used by the HQ
Division of Accounting to attempt to collect the overdue amount from the bonding company
ENCROACHMENT PERMITS MANUAL
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© 2018 California Department of Transportation. All Rights Reserved
Chapter 200 – Processing Permits
before sending the account to a collection agency. Most performance and payment bonds expire
a year after Caltrans accepts the work as complete. Therefore, the District should send the
“Progress Billing/Permit Closure” (form TR-0129) and the performance/payment bond to HQ
Division of Accounting before the bond expires.
All unpaid accounts may be turned over to a collection agency after 180 calendar days from the
bill date unless arrangements have been made through the Permit Engineer for payment of the
account. The arrangements must be acceptable to the HQ Division of Accounting. After four
years have lapsed since the permit completion date, statutes prohibit the invoice and supporting
documentation of the “Progress Billing/Permit Closure” (form TR-0129) from being turned over
to a collection agency.
201.3 Refunds
A refund is provided when the total deposits exceed Caltrans’ expenses associated with the
permit. A minimum cost of one hour's time at the current Hourly Rate is retained as an
application-processing fee when a refund is appropriate. The District Encroachment Permits
Office shall refund all fees for inappropriately accepted applications (Table 2.2 indicates the
refund of permit fees when appropriate for various circumstances of permit applications).
Refunds shall be documented on the “Progress Billing/Permit Closure” (form TR-0129) signed
and dated by the District Permit Engineer, an authorized representative, or the District Oversight
Resident Engineer (RE) when applicable. The completed “Progress Billing/Permit Closure”
(form TR-0129) shall be sent to:
HQ Division of Accounting
Attention: Accounts Receivable Branch-Encroachment Permits
The date and amount of the original transaction, copies of any checks, along with all account
information, should be indicated on the “Progress Billing/Permit Closure” (form TR-0129).
The HQ Division of Accounting will issue a refund to the payer, or, in cases where there are
multiple parties (permittee, authorized agent/contractor), the refund will be issued to the party
who made the payment unless written mutual documentation (between the permittee and their
authorized agent/contractor) indicates that the refund should be issued to the other party.
In accordance with California Government Code section 13144, refunds exceeding $10,000
require approval by the California Department of Finance. The following documentation is
required:
Table 2.2
Refunds of Permit Fees
Permit fees may be refunded as shown in this chart, depending upon the status of the permit
application.
Status of Permit Application Appropriate Refund
A SF (Set Hours) permit is denied as a result The unexpended portion of the total fee
of the review process. collected for inspection, field work, bridge
tolls, and miscellaneous fees.
An AX permit is denied as a result of the That portion of the deposit that represents
review process. collected but unexpended review and
inspection fees.
The applicant cancels the permit application The collected but unexpended review and
before a permit is issued. inspection fees.
The permittee cancels the permit application That portion of the total fee collected that
after the permit is issued but before work has represents inspection and field work.
started.
The permittee cancels the permit application None.
after the permit is issued and after work has
started.
CHRONOLGICAL NUMBER:
A four digit, serially issued number from 0001 to 9999, starting with 0001 each
calendar year. A numbering machine (simplex) is used to stamp the application
form, with a permit number when the application pays the fee or deposit. The
District Accounting Office controls the setting of the machine number.
Each District has a numbering machine (Simplex) to number the permit application in the format
illustrated below. The first two of the six digits represents the year the application is accepted.
The last four digits are the chronological numbers of the application. The Permit Type Code is
entered manually. The Billing Type Code is indicated by manually striking out three of the four
symbols 6, 7, N or A.
SIMPLEX STAMP
___ ___ ___ ___ ___ ___
Year Chronological Number
At the start of each calendar year, the Simplex machine must be reset so the correct year is
indicated and the chronological number is adjusted back to 0001.
1. Preliminary meetings,
2. The Encroachment Permits Management System database (EPMS) (see Section 201.6),
3. A response time goal of 30-calendar days or less for most EPAPs. The process, actions
and timelines are as follows:
hours. These hours are not charged to the applicant. EPAPs that require more than six hours
should be reviewed by the District Permit Engineer to ensure the project is within the definition
of an encroachment permit project.
As part of the application intake process, every EPAP submitted to Caltrans must receive an
application date stamp. The application date stamp differs from the “Date of Acceptance” and is
referenced in EPMS (see Section 201.6) as the “Application Received Date.” The “Application
Received Date” reflects the date on which an EPAP is received in the District Encroachment
Permit Office or one of its field offices. The Encroachment Permit Office must date-stamp the
EPAP upon receipt, regardless of the method by which the application is delivered to Caltrans
(ex. by hand or mail). The “Application Received Date,” along with the “Date of Acceptance”
recorded in EPMS, provides useful information to monitor District performance, and assists
management to ensure that EPAPs receive timely initial screenings. The initial screening review
time should not exceed 2 business days.
After initial screening of the EPAP for completeness, the Permit Engineer must email and mail a
hard copy of a letter to the applicant, acknowledging receipt of the EPAP and informing the
applicant of either a conditionally accepted or rejected application status. The standard
acknowledgement letter templates are available on the Encroachment Permits’ intranet site.
If the EPAP was accepted, the Permit Engineer will enter the application information into EPMS
and EPMS assigns a tracking number. The EPAP is then distributed to the necessary Caltrans
units to review for compliance with policy, design, and construction standards. These reviews
and comments are due back to the Permit Engineer within 8 calendar days from the date of
distribution. Once the comments are compiled, the Permit Engineer will make a determination
as to whether or not an encroachment permit should be issued.
If additional information, revisions, or supporting documentation is needed, the Permit Engineer
must email and mail a hard copy of a letter to the applicant informing the applicant the
application is denied based upon the need for revisions and/or supplemental information.
The applicant is given a period of 10 calendar days to resubmit with the requested revisions
and/or additional information. If a resubmittal or a response is not received from the applicant by
the given date, the file will be deemed abandoned and closed.
If the application is denied due to noncompliance with Caltrans’ standards and/or policies, a
denial letter will be sent to the applicant detailing the reason(s) for the denial and instructions on
the appeal process (see Section 304).
The database assists management to ensure that statutory time constraints are complied with, and
that reviews are done on time.
Districts are responsible for maintaining the integrity of the information in the database. Any
unauthorized modifications to the database could result in non-retrievable functionality and loss
of data. Any issues with the database shall be reported immediately to HQ Encroachment
Permits.
The District Permit Engineer assigns the responsibility of data input and maintenance of the
database to members of their staff. These staff members may provide monthly reports to the
District Permit Engineers with the most current information on the progress of application
packages, and existing permits that they are responsible for (see Table 2.3).
Table 2.3
Procedures for Maintaining the Permits Database and Tracking Permits
Specific steps for maintaining the permits database and for tracking permits are as follows:
1. Permit applications are logged into the database to create a permit record when the
Simplex numbers are stamped on new permit applications. This step starts the 60-
calendar day statutory period for permit approval or denial. The record should include
pertinent information shown on the application, including:
• Application Received Date
• Permit number
• Name of permittee
• Date application is Simplex stamped and receives a permit number
• Project location (county, route, and post mile)
• Description of proposed work
• Comments concerning the application (e.g., longitudinal encroachment, etc.)
• Performance Bond and Payment Bond numbers (when applicable)
• Estimated cost of work within State highway right-of-way
• Caltrans’ project code (ID) if applicable to the project
• Applicant’s Reference Number /Utility Work Order Number
• Set fee, deposit, or total fee (use as applicable)
• Permit writer (person coordinating review of the application)
• Name of inspector (if known)
• Primary permit number (if record is for a Double Permit “DP” or permit rider)
2. Enter the dates that requests for review are sent to appropriate reviewing functional
units.
3. Enter the dates that reviews are returned to Encroachment Permits and request each
functional unit log the number of review hours to permits (fee based and fee exempt).
Enter the review hours that were charged to the permit’s project code on the database
and on the “Progress Billing/Permit Closure” (form TR-0129).
4. Each business day, the person responsible for maintenance of the database prints the
list of reviews that are past due and asks reviewing units to respond.
5. Respond in writing to all applications requiring additional information after all reviews
are returned. Enter into the database under “letter sent” the date that any letter is sent to
an applicant.
6. Issue permit when all reviews are returned and the application is complete, and the
issue date and expiration date are entered in the database. Additional fields completed
are:
• Date permit is issued
• Permit expiration date
• Performance Bond and Payment Bond Numbers (if applicable)
• Total fee (if applicable)
• Date application is complete (the date all reviews are returned as acceptable)
ENCROACHMENT PERMITS MANUAL
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© 2018 California Department of Transportation. All Rights Reserved
Chapter 200 – Processing Permits
• Name of inspector
• Transportation Laboratory’s standard or estimate of hours
7. Enter the date additional information is received. Review procedures start and are
processed as in Steps two (2) through six (6) above.
8. Notify the District Permit Engineer each day of applications older than 45 calendar
days that have not been acknowledged by Caltrans. Permit Engineers must respond
immediately to these applications to avoid permits being granted by default.
9. Print a weekly list of expired permits and require time extensions or completion
notices. Inform permit inspectors regarding permits in their area of responsibility.
10. Enter in the database the completion date, actual inspection hours, and any time
expended by other Caltrans units. Submit completed “Progress Billing/Permit Closure”
(form TR-0129) to the HQ Division of Accounting for billing. All fields should be
filled out indicating hours and total fees/deposits and balance.
11. Enter permit riders through the “Edit Permit” screen of the primary (parent) permit,
using a new Simplex number. Manage any reviews required for the rider as in Steps
one (1) through six (6) above.
a. Complexity, or
b. Location, in the same area where Caltrans has proposed or has the intent for a
future improvement.
3. Highway Improvement Projects costing greater than $1,000,000 but less than $3,000,000
would be allowed to follow a streamlined process similar to the Encroachment Permit
Process, except that Capital Outlay Support staff would take the lead in processing.
Concept and project approval would be through completion of a Permit Engineering
Evaluation Report (PEER). After approval of the PEER, an encroachment permit would
be issued.
4. Highway Improvement Projects $3,000,000 or greater would be processed through the
normal Project Development Process and would receive an encroachment permit at the
end of that process. Exceptions to this policy would require approval of the Chief
Engineer.
Existing policy allows Caltrans to require the full Project Development Process for complex
projects (e.g. projects that require California Transportation Commission action). Under this
new policy, Caltrans will retain the right to increase the level of documentation and processing
for those projects that are deemed complex.
Submittals are reviewed to determine the impacts of the encroachment on:
conflicting encroachments at no cost to the State as a condition of the permit. Priority is given to
the first encroachment.
disasters, earthquakes, storm damage, hazardous material spills, vehicular accidents, etc.;
nevertheless, DTM notification is required.
The District Permit Engineer or designee submits the proposed lane closure through the District
Traffic Manager for review before sending it on to the District LCRC. If the DTM can reduce the
delay to less than 30 minutes, then the District LCRC review is not necessary. The submittal to
the DTM should contain information listed in the TMP Guidelines shown in Appendix E.
Transportation Management Centers (TMC) in metropolitan areas must be notified at least seven
days in advance of any planned lane closures.
In addition to the lane closure submittal, the applicant should develop a contingency plan that
identifies actions to be taken to restore or minimize effects on traffic during lane closure
operations when the congestion or delay exceeds original estimates. The Contingency Plan
should contain information shown in the TMP Guidelines shown in Appendix E.
Approval
Proposed lane closure submittals must be sent to the District Traffic Manager (DTM) in
sufficient time to allow approval at least 7 days in advance of lane closure operations.
The project’s complexity may dictate the amount of lead-time required. LCRC approval
is only for lane closure dates and times requested.
The District Permit Engineer assumes responsibility for notifying the DTM if there are
changes to the originally approved closure. The DTM shall review approved lane closure
plans 3 days before the date and time of the proposed lane closure operation. If in the
DTM’s opinion the changes materially alter the nature of the original proposal, the LCRC
will reevaluate the revised proposal.
Evaluation Statement
The District Permit Engineer shall prepare a statement on projects that exceed expected
delay or run outside of the closure window. The statement shall be prepared within 5
working days of exceeding the threshold criteria (for statement explanation see the TMP
Guidelines shown in Appendix E).
Exception
Unless the traffic delay threshold is exceeded, LCRC approval is not required.
MOBILE WORK
Encroachment activities for mobile work (slow continuous motions and/or frequent stops within
a traffic lane) must comply with the requirements provided in Conventional Highway Mobile
Work Special Provisions (see Appendix K). The activities are:
• Moving operations (work activities, such as striping, sweeping, etc.) that move along the
road without stopping, usually at slow speeds.
• Short-term work activities that can be performed during light traffic volumes, do not
interfere with traffic, and do not place the employee in jeopardy. Examples of such work
include pavement patching, pavement marker replacement, etc.
Several references are made on the standard plans to "approach speed,” which could be a posted
speed limit, an off-peak 85-percentile speed, or an estimated speed determined by driving
through the job site several times. Many areas are not posted, so this reference is intended to
allow judgment in applying the realistic speed of traffic where necessary to determine traffic
control devices and requirements.
All Highway Improvement Projects that are between $1,000,000 and $3,000,000 require at least
a PEER. These reports, and their preparation, are discussed fully in the Project Development
Procedures Manual. Their preparation is either the responsibility of Project Development or
Traffic Operations.
However, on projects less than $1,000,000 the District Encroachment Permits Office must verify
that the responsible reviewing units have considered the need for the appropriate report and have
correctly completed the “Encroachment Permit Application Review” (form TR-0110).
Table 2.4
Permit Procedures for Projects Requiring a PEER
These permit procedures are followed for projects that require a “Permit Engineering
Evaluation Report” (PEER):
1. The appropriate fee is determined and the application is accepted.
2. Engineering and technical reviews are performed; additional information is requested
from the applicant if it is needed to perform the reviews. A permit may be denied based
upon conclusions of the reviews.
3. A “Permit Engineering Evaluation Report” (PEER) (form TR-0112) is prepared.
4. Bonding requirements are determined.
5. Additional fees, if required, are collected.
6. An encroachment permit is issued to the applicant and distributed to other Caltrans’
units.
7. The applicant begins work authorized by the permit. Project work is inspected by
Caltrans for compliance with the permit.
8. As-built plans are received, a “Progress Billing/Permit Closure” (form TR-0129)
signed and dated by the District Permit Engineer, an authorized representative or the
District Oversight Resident Engineer (RE) when applicable is issued, and bonds are
released.
9. Records are microfilmed and the project is closed out.
http://www.dot.ca.gov/hq/esc/osfp/osfp-manual/osfp-manual.htm
be considered an Oversight project. Responsibilities and costs for project development work,
right-of-way, construction, utilities, liability, ownership, operation, and maintenance must be
established in a Cooperative Agreement with Caltrans. Project Development is the responsible
division to guide the project proponent through the project development process.
A copy of the fully executed agreement and approved plans shall be delivered to the District
Encroachment Permits Office before an encroachment permit is issued to the transit agency and
its contractor for construction work within State highway right-of-way.
Environmental documents are not professional engineering documents and therefore do not
require preparation by a California Registered Engineer.
Table 2.5
Procedures for Materials Testing
These procedures are followed by Caltrans for testing materials used in work authorized within State highway
right-of-way:
1. Permit Engineers and reviewing units evaluating applications must determine if fabricated materials
require inspection by Caltrans’ Transportation Laboratory. The Transportation Laboratory unit is
required to inspect all electrical components of signals, State-owned lighting, metal poles, mast arms,
foundation bolts, and signs. A complete list of items is found at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smb.htm
2. Include this statement in the text of the permit: “Your attention is directed to Section 6 of the State
Standard Specifications, reference to Engineer in the State Standard Specifications shall include State
Representative.”
3. Send one permit copy (including plans and special provisions) to the Transportation Laboratory in
Sacramento when inspection is required.
4. When the “Notice of Materials to be used” (form CEM-3101) is received from the permittee, the State
representative should review, sign, date, and forward the form to the District Encroachment Permits
Office. (Enter the permit number in the space for “Contract Number” on the form.)
5. District Encroachment Permits Office then makes copies for their files and transmits form CEM-3101 to
the Transportation Laboratory.
6. When the CEM-3101 form is received, the Transportation Laboratory inspects materials and returns a
“Report of Inspection of Materials” (form TL-0029) to the District Encroachment Permits Office for
transmittal to the State representative.
7. State representatives must ensure that all material requiring Transportation Laboratory inspection has an
inspection release tag and must refuse installation of untagged materials until proper inspection is
completed.
Provision requiring notification of State representatives serving areas affected by project work
having significant traffic impacts.
If a public corporation is self-insured, the permit shall include a clause that states:
“The permittee shall indemnify and save harmless the State of California, California
Department of Transportation, the directors, officers, employees, and/or agents of the
State of California and/or of the California Department of Transportation thereof
connected with the work or activity authorized by this permit, including but not limited to
the Director and the Engineer, from all claims, suits or actions of every name, kind, and
description, brought forth, or on account of, injuries to or death of any person including
but not limited to workmen or participants and the public, or damage to property resulting
from the performance of the activity authorized by the permit, except as otherwise
provided by statute. The duty of the Permittee to indemnify and save harmless includes
the duties to defend as set forth in Section 2778 of the California Civil Code.”
“It is the intent of the parties that the permittee will indemnify and hold harmless the
State of California, California Department of Transportation, the directors, officers,
employees, and/or agents of the State of California and/or of the California Department
of Transportation from any and all claims, suits of actions as set forth above regardless of
the existence or degree of fault or negligence on the part of the State, the permittee, the
employee or volunteer of any of these, other than in the active negligence of the State, its
officers and employees.”
Any deviation from the liability insurance requirements must be reviewed by the HQ Legal
Division.
Caltrans’ policy requires that all of Caltrans’ employees, volunteers, and visitors to highway
work zones follow safety and work procedures outlined in Caltrans’ “Safety Manual,” other
Caltrans manuals, and specific written instructions. “Volunteers” include people participating in
the Adopt-A-Highway program, and “visitors” include people participating in filming and
special events.
203.3C Claims
Claims against permitted work are classified in two primary categories, and guidance by the
Caltrans’ Legal Division is necessary in both cases.
1. Public claims by persons not related to Caltrans
Claims made against a permittee or Caltrans for permitted work are referred to the HQ
Legal Division immediately. HQ Legal provides direction to Permits for handling
inquiries and requests for files.
2. Caltrans’ claims against a permittee
post a 100% payment bond and a 50% performance bond of the value of work within the
right-of-way prior to the issuance of their Double Permit “DP,” naming the State as sole obligee.
Regardless of the bonding situation, the local public entity permittee shall obtain final
construction acceptance and approval from Caltrans before the local public entity gives final
construction approval to its contractor (General Provision, Item 9).
Table 2.6
Guidelines for Bonds
Use these guidelines when working with bonds for authorized work within State highway right-of-way:
1. The obligee is the entity receiving benefit from the bonds supplied.
2. The obligor is the entity named as owner or payer of the bonds.
3. The District Encroachment Permits Office shall require bonding as specified in an executed cooperative
or highway improvement agreement for Oversight projects (projects over $1,000,000). Agreements are
processed by Caltrans’ Project Manager and copied to the District Encroachment Permits Office for
information. Bonds shall name obligee as provided for in the agreement.
4. In the absence of a cooperative agreement, bonding requirements shall be specified in the encroachment
permit and/or General Provisions for local public entity projects costing $1,000,000 or less. In such
cases, the contractor performing work for local public entities who have complied with terms of previous
permits, do not require bonding with the State when they execute bonds in favor of the local public
entity for at least 100% of the project (General provisions, Item 24). This provision applies only to
contractors working for local public entities. It does not apply to private entity bonding.
5. Bonding requirements shall be specified in the encroachment permit for privately funded projects
costing $1,000,000 or less in the absence of a highway improvement agreement. Under the terms of the
permit, either the developer or contractor (preferably, the developer) is bonded at 100% for payment and
at 50% for performance of the estimated construction costs for work within the State highway
right-of-way. The bond shall name only the State as obligee.
6. Performance bonds supplied for privately funded work involving new traffic signal equipment or for
work on highway structures shall not be less than $10,000. They are retained until the permittee
furnishes accurate as-built plans for permit work.
7. Utilities and individuals, their contractors and tree-trimming companies:
8. Utility work or private residential improvements not maintained by Caltrans do not require bonding
unless prior experience indicates poor performance by owner or contractor, such that work may not be
completed in compliance with permit terms. When bonding is required, bonds should reflect Caltrans’
determination of the value for the highway facility that may require repair (roadway, base and surface,
sidewalks, lighting, State-maintained landscaping, tree values, etc.). Such determinations should not
include equipment owned by others or work outside the State highway right-of-way. The bond shall
name only the State as obligee.
Section 6500 deals with trenches, excavations, structures, falsework, scaffolding, and demolition
and reads as follows:
“6500. For those employments or places of employment that by their nature involve a
substantial risk of injury, the division shall require the issuance of a permit prior to the
initiation of any practices, work, method, operation or process of employment. The
permit requirement of this section is limited to employment or places of employment that
are any of the following:
a. Construction of trenches or excavations that are five feet or deeper and into which a
person is required to descend.
b. The construction of any building, structure, falsework, or scaffolding more than three
stories high or the equivalent height.
c. The demolition of any building, structure, falsework, or scaffold more than three stories
high or the equivalent height.
d. The underground use of diesel engines in work in mines and tunnels.”
All Permit Engineers should follow section 6500 strictly. Section 6509 states “any person, or
agent or officer thereof; who violates this chapter is guilty of a misdemeanor.”
Therefore, the face of each encroachment permit must indicate if a Department of Safety and
Health (DOSH) permit is required and the DOSH permit number (if available).
The following agencies and activities are exempt from the requirement to obtain DOSH permits
(Construction Safety Orders):
The District Director (or designated representative) signs routine letters of denial and may ask
headquarters to deny unusual applications. Reasons for denial shall be detailed in writing to the
applicant.
Encroachment permits SHALL be denied for:
• Projects that adversely affect the safety, capacity, or integrity of the State highway.
• An encroachment that is an integral structural portion of a building (above or below the
surface). This includes roof eaves, new bay windows, and cantilevered upper floors.
• Bungee jumping from State structures, (except when approved for a filming permit).
• Gathering vegetable matter, except for research or education.
• Longitudinal encroachments, except for public utility and franchise facilities.
• Storage tanks, loading platforms, private truck scales.
• Temporary political signs (California Business and Professional Code 5405.3).
• Charging parking fees on a State Highway.
• Encroachments specifically prohibited elsewhere in this manual.
Encroachment permits MAY be denied when:
• The applicant has not complied with the provisions of prior permits.
• The applicant is delinquent with payment on prior permits.
• The project does not have concurrence by a local agency.
• The environmental effects are significant and cannot be mitigated or mitigation is
unfeasible.
• A proposed development plan includes an emergency or other access, to access-
controlled right-of-way.
Except as otherwise provided for public agencies and franchise holders, encroachment permits
are revocable on five (5) days’ notice (California Streets and Highway Code, Section 673). All
such notices shall be signed by the District Director or a designated representative. A letter is
used to revoke and cancel permits.
Caltrans has no statutory authority to allow private use of State highway right-of-way without
compensation. To do so would constitute a gift of public funds under Article 16 of the California
Constitution. Consequently, permit applications for grading, excavating, removing materials, or
placing an embankment not related to a highway improvement are considered individually.
Requests for these types of encroachments require an approved encroachment policy exception
(see Chapter 300). Permit applications are acceptable if all the following items are satisfied:
1. Caltrans is compensated for removal of material or use of the State highway right-of-way.
2. No safety hazard is created.
3. No additional maintenance is created.
4. No additional liability is assumed by the State.
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Chapter 200 – Processing Permits
204.2 Appeals
During the course of the encroachment permit process, the applicant may not agree with permit
requirements that the District supports. If the applicant requests an exception, the District may
confer with the appropriate headquarters contact. Procedures to obtain exceptions to design
standards, policies and practices, are mentioned in Sections 301 through 303. For the submission
of appeals by applicants of District, Headquarters or FHWA decisions, refer to Section 304.
Permit writers prepare, initial, and/or sign, and present the permit package to the approving
engineer. The approving engineer, typically the District Permit Engineer, should be the highest
ranking within the District Encroachment Permits Office. Approval authority may be delegated
by the approving engineer to a permit engineer that is a California-licensed engineer, except that
RT permits and DP permits when no engineering review is required may be delegated to an
unlicensed engineer. The approving engineer must approve permits with their signature. The
permit writer may not be the same person as the approving engineer or as the person delegated
approval authority by the approving engineer. The issuance procedure intends to provide a
segregation of duties to assure reasonable administrative control over the permit issuance
process.
Districts may authorize Maintenance Area Superintendents to issue permits (i.e. chain installer
permits) and/or “Consent Letter” (form TR-0131) for one-day litter removal, salvage operations,
gathering of donated landscape materials, vegetation control, removal of minor forest products,
etc. Superintendents must not exceed this specified authority, and any appropriate fees shall be
collected. Approval by the Deputy District Director for Maintenance is required for Consent
Letters covering multiple dates (maximum of three consecutive calendar days).
9. Copy of letter on acceptance of maintenance and liability by city or county – each permit
copy.
10. “Certification by Contractor” (form TR-0113) – permittee completes form.
11. Copy of “Payment Bond” (form TR-0018) – each permit copy.
12. Copy of “Performance Bond” (form TR-0001) – each permit copy.
13. “Notice of Materials to be Used” (Form CEM-3101) – permittee completes form.
14. Approved plan set (with “Encroachment Permit Dept.” stamp) – each permit copy.
15. Approved city/county Standard Plans (attachment to # 14) – each permit copy.
16. “Progress Billing/Permit Closure” (form TR-0129) – Encroachment Permits staff
completes form.
17. As-Built Plans Submittal Route Slip used for locally advertised structure projects -
completed by permittee, see Appendix K.
18. Storm water requirements – to permittee and file copy.
19. “Certification of Compliance with Americans with Disabilities Act” (form TR-0405) –
permittee completes form once during package submittal and again after construction.
All correspondence related to the permit, one set of all documents that were reviewed and
approved (Plans, Application, Reports, Storm water documents, agreements, supporting
documentation, etc.), and a copy of the issued permit must be included in the permit file for
every permit.
Prior concurrence from FHWA is required for proposed work that is located on federal-aid highway systems
(access-controlled right-of-way and some conventional highways), including but not limited to the following:
1. Installation of any longitudinal privately owned (not under California Public Utilities Commission
(CPUC) regulations) pipeline or other types of utility-like facilities.
2. Placing utilities longitudinally within the median area of all access-controlled highways.
3. Tower Crane Encroachments.
riders must be issued prior to the expiration date of the original permit. If a permit has expired,
the permittee is required to stop all work and must obtain a new permit prior to resuming work.
Verification of storm water and all other applicable requirements shall be made prior to issuance
of the rider. The rider may not be extended beyond the date of termination of the permit activity
when permittee/applicant is operating under the United States Environmental Protection
Agency’s (U.S. EPA) small construction Rainfall Erosivity Waiver (REW). A Notice of Intent
(NOI) and Waste Discharge Identification (WDID) number are required as a condition of time
extensions for permit riders operating under a U.S. EPA REW.
A maximum of two time extension riders may be issued. Each extension shall be for a maximum
of 90 calendar days. Longer extension periods may be granted on a case-by-case basis at the
discretion of the District Permit Engineer.
The rider form must be Simplex numbered and include a cross-reference to the original permit.
The District Permit Engineer may place the permittee on probation for a period of up to six
months. The District Permit Engineer informs the permittee that no work will be allowed to
resume until the District can be assured that all conditions of the permit are met.
When a permittee is placed on probation, the District Permit Engineer may elect to suspend all
annual permits that bear the name of the permittee. The permittee will be required to submit an
application for every instance and location separately, for the duration of probation.
If the District cannot resolve the issues of the violations, and contacts headquarters in regards to
this permittee, HQ Office of Encroachment Permits may suspend all permits in that permittee’s
name statewide.
The District Permit Engineer shall notify the Maintenance Area Managers of the permittee’s
suspension. Maintenance Supervisors shall ensure that any encroachment work within State
highway right-of-way is covered by an encroachment permit, and that any violations are posted
and reported immediately to the Area Regional Maintenance Superintendent.
With AX (Actual Hour) Permits, the District Encroachment Permits Office should submit the
“Progress Billing/Permit Closure” (form TR-0129) signed and dated by the District Permit
Engineer or the District Oversight Resident Engineer (RE), when applicable, to the HQ Division
of Accounting on a monthly or quarterly basis for billing purposes.
Inspectors should record the following information on the Diary regarding work performed under
an annual utility encroachment permit:
• Permit number
• Location of work (county, route, and post mile)
• Date and time of proposed work
• Type of work performed
• Name of utility contact and telephone number
• Utility company work order number
Instructions for making as-built revisions to the as-advertised plans shall be in accordance with
Caltrans’ Structures’ “OSFP Information & Procedures Guide,” in the section titled “Structure
As-Built Plans,” and with the “Bridge Design Details Manual,” Section 1-21 As-Built Plan
Corrections.
When the permit involves structure work, Caltrans’ Oversight Structure representative shall
notify either the District Oversight RE or the District Permit Engineer when the final structure
completion records (except as-built plans) have been received and are satisfactory. Similarly, the
Caltrans’ Structure OSFP Liaison Engineer will notify the District Permit Engineer, an
authorized representative, or the Oversight RE upon receipt of satisfactory structure as-built
plans.
• Anything that obstructs or prevents the use of the highway by the public or creates a
potential safety problem.
• Rubbish, trash, refuse.
• Advertising signs (exceptions see: Sections 501.3A, 501.7, 501.7A&B, 501.8, 500.6A,
521.1, 517.7).
• Temporary political signs (see California Business and Professions Code, section
5405.3).
If the unauthorized encroachment is an encroachment which Caltrans would normally process for
consideration of approval and issuance of a permit, and the only basis for removal would be the
lack of a valid encroachment permit, then the work must be discontinued until an encroachment
permit application is submitted, reviewed, approved and a permit is issued.
An exception may be given, by the permit inspector for that geographical location or by the Area
Maintenance Superintendent with verbal concurrence of the permit inspector, to allow a minor
encroachment to remain before a permit is issued if all the following conditions are met:
1. A permit application has been submitted and received;
2. The encroachment conforms to Caltrans’ policies, other than the requirement to obtain a
permit before encroaching into State highway right-of-way;
3. It does not adversely affect traffic safety or obstruct or prevent the use of the highway by
the public;
4. It does not affect the condition or appearance of the highway;
5. The person or entity causing the unauthorized encroachment agrees to follow the
recommendations of the Maintenance superintendent or State representative;
6. It does not involve tree removal or trimming.
The exception process described above does not relieve the encroaching party from any civil or
criminal penalties or waive any cause of action or right to recovery or other remedy that Caltrans
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Chapter 200 – Processing Permits
may have, associated with the encroachment. (See California Streets and Highways Code,
sections 722, 723, 724, 727, 729, 730, 730.5, 732, 734.)
Maintenance may request law enforcement assistance when the person placing an unauthorized
encroachment refuses the order/demand to discontinue or remove the unauthorized
encroachment. It is imperative to keep good documentation, and photos should be taken and
kept with the records.
The law enforcement agency should be informed of the specific section of the California Streets
and Highways Code being violated. Maintenance should take the steps recommended in Table
2.9 to enable support of its action by Caltrans’ Legal Division.
Table 2.9
Procedures for Resolving Unauthorized Encroachments
Complete copies of permit files shall be microfilmed and the record shall be retained
indefinitely. Districts should follow the “Permit File & Plan Set Guidelines” (Appendix F) when
preparing permit files and the plan sets for microfilming.
In some instances, a permit file may contain notes on sticky-notes; these should be collected and
taped to an 8-1/2” x 11” piece of paper.
in “Set Fee” (SF) permits may the “actual hours” shown on “Progress Billing/Permit Closure”
(form TR-0129) and diaries vary from hours charged to permittees.
The hours charged on “Actual Fee” (AX) permits must agree with hours on diaries and “Progress
Billing/Permit Closure” (form TR-0129). Field inspectors on a monthly or quarterly basis must
submit “Progress Billing/Permit Closure” (form TR-0129), especially for annual or biannual
permits.
Table of Contents
301 APPROVAL OF EXCEPTIONS BY HEADQUARTERS DIVISION OF DESIGN,
CHIEF (Rev. 07/2018) .................................................................................................................... 1
302 ENCROACHMENTS WITHIN ANY STATE HIGHWAY RIGHT-OF-WAY (Rev.
07/2018) .......................................................................................................................................... 1
303 ENCROACHMENTS WITHIN ACCESS-CONTROLLED RIGHT-OF-WAY (Rev.
07/2018) .......................................................................................................................................... 2
304 APPEAL OF PERMIT DENIAL ......................................................................................... 5
304.1 Appeal Process to the Department Director .................................................................. 5
304.2 Appeal Package ............................................................................................................. 5
304.3 Final Determination and Costs ...................................................................................... 6
Chapter 300
Exceptions to Policy
301 APPROVAL OF EXCEPTIONS BY HEADQUARTERS DIVISION OF
DESIGN, CHIEF (Rev. 07/2018)
This Chapter is presented for the convenience of the applicant and public. The material is
repeated from the Project Development and Procedures Manual (PDPM) and in the case of
discrepancy the PDPM will take precedent.
The Division of Design, Chief, shall review and approve exceptions to Statewide policies and
boldface design standards that govern encroachments and access to encroachments within the
State highway right-of-way. The Division of Design, Chief, has delegated approval of underlined
design standards to the District Directors.
The Division of Design, Chief, is responsible for establishing procedures and guidelines
governing the preparation of specific requests for variances and exceptions and the information
that must be included in a request. Standard practice is to process all applications from written
requests submitted to the Division of Design, Chief. Prior approval is required if personal
appearances by District personnel or the applicant are necessary. Encroachment proposals listed
in Sections 302 and 303 are to be submitted with District recommendations signed by the District
Division Chiefs of Project Development, Right of Way, Traffic Operations, and Maintenance.
Requests submitted to the Division of Design, Chief, for consideration of exceptions shall
include the items listed in Table 3.1.
When possible, encroachment exceptions on the same project should be submitted in one
presentation to allow a correct decision. If it is not possible to submit one presentation, the
transmittal letter should explain fully why the cases must be submitted separately. Address all
correspondence to the attention of the Division of Design, Chief.
3. Changes in facilities that alter the conditions under which the original encroachment was
approved.
4. Placement of utility facilities within the median area of any State highway.
5. Existing utilities proposed to remain in an existing tunnel when that tunnel is part of a
highway project.
6. Drainage diversions.
7. Groundwater disposals.
8. Privately owned longitudinal facilities.
• Present and proposed location of utilities, and physical features that affect the
proposed location. (Use a dashed colored line to show existing facilities and a
solid line in the same color for relocated position of the facility.)
• Trace of slope catch points.
• Fencing and location of locked gates where access is proposed.
• Location of existing drainage facilities.
• Other features, such as topography, where pertinent.
• The plan need not be a special drawing; copies of project drawings are suitable.
Whenever feasible, the plan should be an 11-inch high strip map as long as
necessary to show the entire encroachment. However, separate sheets will suffice.
4. The Interstate number when Interstate projects are involved.
5. On access-controlled routes, a statement explaining federal participation in right-of-way
purchase or construction cost.
6. Profiles, cross sections, and contour grading, if necessary to clarify design.
7. A list of all utility facilities located within the limits of a proposed highway project that
involve longitudinal encroachments.
8. A full explanation of the route and method by which the permittee will gain ingress and
egress to the encroaching facility.
9. A statement indicating if utility facilities must be relocated to permit construction, and if
the utility might be allowed to remain in place during the initial construction but would
require relocation for the ultimate construction.
10. A statement indicating if allowing a utility facility to remain within the right-of-way
would present a serious safety problem or would cause highway maintenance problems.
11. The District's recommendation regarding disposition of a utility facility.
12. A full explanation of the available alternatives to the proposed encroachment, together
with costs and potential consequences if the requested encroachment is not approved. If
a discussion of alternatives is not submitted, the request may be returned as non-
responsive.
13. Estimated savings to the State that would accrue by proceeding as proposed.
14. Status of environmental clearance.
15. Concurrence by Structures Maintenance when structures are involved.
16. Signature approval of the Division Chiefs for Project Development, Right of Way,
Traffic Operations, and Maintenance in the District.
c) Applicant’s name, company or organization, mailing address, and telephone number, and
the same information for any person or entity designated by the applicant to represent
applicant in the appeal; and
d) Identification of all locations, including district, county, route, and post mile, at which the
applicant and/or person or entity acting on behalf of the applicant proposes to encroach
onto Department property as described in section 660 of the Streets and Highways Code
or to perform any act or activity described in sections 670 or 670.1 of the Streets and
Highways Code; and
e) Description of the proposed encroachment onto Department property as described in
section 660 of the Streets and Highways Code and/or the proposed act or activity
described in sections 670 or 670.1 of the Streets and Highways Code, which the applicant
and/or person or entity acting on behalf of the applicant proposes to perform or conduct
under the denied encroachment permit being appealed, including three (3) complete sets
of plans and any applicable specifications, calculations, maps, and other supporting
documents; and
f) A $2,000 deposit towards the applicant’s fifty percent (50%) share of the administrative
costs of conducting the appeal. The deposit shall be made by check or money order made
payable to the California Department of Transportation; and
g) Notice of whether the applicant requests to make a presentation to the Department
Director or the Department Director’s designee.
Throughout sections 304 to 304.3 of this manual, “60 days” means sixty calendar days, unless
the sixtieth (60th) day lands on a holiday or weekend as defined in section 12a of the Code of
Civil Procedure, in which case the computation of time shall be as provided in section 12a of the
Code of Civil Procedure.
Table of Contents
401 COMPLIANCE WITH STATE ENVIRONMENTAL LAWS AND REGULATIONS .... 1
402 PROJECTS EXEMPT FROM CEQA REQUIREMENTS .................................................. 2
402.1 CEQA Statutory Exemptions ........................................................................................ 2
402.2 CEQA Categorical Exemptions..................................................................................... 3
403 CALTRANS AS A CEQA RESPONSIBLE AGENCY ...................................................... 5
403.1 Intergovernmental Review (IGR) and Permit Procedures ............................................ 6
404 CALTRANS AS A CEQA LEAD AGENCY ...................................................................... 7
404.1 Procedures ..................................................................................................................... 7
404.2 Initial Study ................................................................................................................... 7
404.3 Environmental Impact Report or Negative Declaration ................................................ 7
405 COMPLIANCE WITH FEDERAL ENVIRONMENTAL LAWS...................................... 7
405.1 FHWA Categorical Exclusions ..................................................................................... 9
405.2 Programmatic Exclusions (1990 Programmatic Agreement) ...................................... 11
406 ENCROACHMENT PERMITS STORM WATER MANAGEMENT ............................. 12
406.1 Overview and Background .......................................................................................... 13
406.2 Best Management Practices and Storm Water Document Selection and Preparation 14
406.2A BMP Selection..................................................................................................... 14
406.2B Storm Water Document Selection ....................................................................... 15
406.3 Encroachment Permit Application Review ................................................................. 19
406.3A Erosion and Sediment Control Plan .................................................................... 20
406.3B Water Pollution Control Program ....................................................................... 20
406.3C Storm Water Pollution Prevention Plan .............................................................. 20
406.3D Dewatering Plan .................................................................................................. 21
406.4 Construction Site Inspection ....................................................................................... 21
406.4A Erosion and Sediment Control Plan .................................................................... 21
406.4B Water Pollution Control Program ....................................................................... 21
406.4C Storm Water Pollution Prevention Plan .............................................................. 22
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Chapter 400 – Environmental Requirements
Chapter 400
Environmental Requirements
401 COMPLIANCE WITH STATE ENVIRONMENTAL LAWS AND
REGULATIONS
Most encroachment permits issued by Caltrans do not involve projects that are federally funded
or that require federal approvals. Projects with no federal involvement are subject only to state
environmental laws and regulations. Under state law Caltrans has discretionary approval
authority, as provided in Section 670 of the Streets and Highway Code, to approve projects that
encroach within the State’s highway right-of-way. This discretionary authority gives Caltrans a
“Responsible Agency” status under the California Environmental Quality Act (CEQA) for the
part of a project that requires work within the State’s highway right-of-way. For purposes of
CEQA, the term "Responsible Agency" includes all public agencies other than the Lead Agency
which have discretionary approval power over the project.
For example, the increased traffic generated by construction of a residential subdivision could
require installation of channelization on a State highway intersection to lessen the traffic impact.
The “Lead Agency,” is the public agency that has principal responsibility for carrying out or
approving the whole project. In this example, the Lead Agency would normally be the local
agency that approves the subdivision and provides final conditions of approval on the project.
Caltrans would, in this situation, be a Responsible Agency because it has discretionary approval
authority only over the channelization improvements within the State’s right-of-way but not over
the subdivision itself.
Whether the encroachment permit applicant is a public agency or a private entity, a public
agency other than Caltrans is usually the Lead Agency. An exception to this situation would be
if Caltrans is the only public agency with approval authority or if several public agencies have
discretionary authority over the project and the public agencies involved agree that Caltrans
should be the Lead Agency. When Caltrans is the Lead Agency under CEQA for projects
sponsored by others, it determines the appropriate level of environmental review for the project
and is responsible for preparing documents or causing them to be prepared. As a Lead Agency,
Caltrans can require the applicant to provide all information necessary to prepare a Categorical
Exemption (CE), a Negative Declaration (ND) or an Environmental Impact Report (EIR) that
complies with the provisions of CEQA.
In accordance with California Streets and Highways Code, section 671.5 (a), Caltrans is required
to either approve or deny an encroachment permit application submittal within 60 calendar days,
upon determination that the submittal is complete. Section 671.5 grants Caltrans the authority in
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Chapter 400 – Environmental Requirements
determining what constitutes a complete submittal. The District Permit Engineer acts on behalf
of the District Director in making that determination.
In addition to other required documentation, Caltrans requires that an approved environmental
document accompany the “Standard Encroachment Permit Application” (form TR-0100). All
required documentation, including environmental, must accompany the encroachment permit
application before Caltrans deems the application complete. This is the case regardless of
whether Caltrans is the Responsible or the Lead Agency. No new information can be required
from an applicant once the application form with its accompanying documentation has been
accepted as complete. However, the applicant can be asked to clarify, correct, or otherwise
supplement the information submitted.
• installation, maintenance, and repair of pipelines not to exceed one mile in length
(Section 15282(l))
• minor alterations to utilities for purposes of complying with Health and Safety Code
(Section 15282(n))
• emergency projects that meet the criteria set forth in Section 15269
An emergency is defined in CEQA as a state of emergency that has been proclaimed
by the Governor pursuant to the California Emergency Services Act. Statutorily
exempt emergency projects include:
projects undertaken or carried out to maintain, repair, restore, demolish, or
replace property or facilities damaged or destroyed as a result of a disaster
Emergency repairs to a public service facility that is necessary to maintain
service essential to public health and safety.
specific actions that are necessary to prevent or mitigate an emergency,
excluding long term projects for the purpose of preventing or mitigating a
situation that has low probability of occurrence in the short-term.
projects undertaken, carried out, or approved by a public agency to
maintain, repair or restore an existing highway damaged by fire, flood,
storm, earthquake or subsidence.
Projects or actions which could alter significant historical resources are not included in this
exemption, except when the resource's condition poses a clear and imminent danger requiring
immediate action to prevent or mitigate loss of, or damage to, life, health, property, or essential
public services (Public Resources Code, Section 5028).
A historical resource (e.g. architectural, archaeological, and cultural) is defined in Public
Resources Code Section 21084.1 as a resource listed in, or determined to be eligible for listing
in, the California Register of Historical Resources. Historical resources included in a local
register of historical resources, as defined in subdivision (k) of Section 5020.1, or deemed
significant pursuant to criteria set forth in subdivision (g) of Section 5024.1, are presumed to be
historically or culturally significant for the purpose of Section 21084.1.
The emergency exemption also does not apply to highways designated as official state scenic
highways or to any expansion or widening of highways damaged by natural disasters.
Other State laws that protect historical, archaeological and biological resources also may apply.
The CEQA Guidelines, Statutory Exemptions Section, should always be consulted to ensure that
a project, as described, meets all the specific criteria of an exemption.
• repair, maintenance, and minor alteration to existing highways and streets, sidewalks,
gutters, bicycle and pedestrian paths and similar facilities including grading for the
purposes of public safety (Section 15301(c))
• addition of safety or health protection devices for use during construction (Section
15301(B)(f))
• new copy on existing on and off-premise signs (Section 15301(B)(g))
• maintenance of existing landscaping excluding the use of economic poisons (Section
15301(B)(h))
• demolition and removal of small structures (Section 15301(B)(l))
• replacement or reconstruction of existing structures located on the same site and having
substantially the same purpose and capacity (Section 15302)
• replacement or reconstruction of existing utility systems involving no expansion of
capacity (Section 15301(c))
• conversion of overhead electric utility distribution system facilities to underground where
surface is restored to prior condition (Section 15302(d))
• construction and location of limited number of new, small, facilities (Section 15303)
• minor alterations to land, water and vegetation that does not involve the removal of
healthy mature scenic trees (Section 15304)
• grading on land with a slope of less than 10% except in a waterway, in any wetland, or in
an officially designated scenic area (Section 15304(a))
• new gardening and landscaping (Section 15304(b))
• fill into previously excavated land (Section 15304 (c))
• minor temporary use of land with negligible effect on environment such as sale of
Christmas trees (Section 15304(e))
• minor trenching or backfill where the surface is restored (Section 15304(f))
• maintenance trenching (Section 15304(g))
• creation of bicycle lanes in existing right-of-way (Section 15304(h))
• fuel management activities within 30 feet of structures to reduce volume of flammable
material (Section 15304(I))
• basic data collection, research, experimental management and resource evaluation
activities (Section 15306)
The CEQA Guidelines, Categorical Exemption Section, should always be consulted to ensure
that a project, as described, meets all the specific criteria of an exemption.
It is recognized that activities that normally are exempt from CEQA may have a significant
effect on the environment in certain circumstances. Exceptions to categorical exemptions are
outlined in the CEQA Guidelines in Section 15300.2. These exceptions may occur in
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Chapter 400 – Environmental Requirements
particularly sensitive environments where the project may impact on environmental resources of
hazardous or critical concern. Categorical exemptions may not be applicable when:
preparing comments on documents received by the District. The District should advise local
agencies of its need for early coordination on projects requiring permits from Caltrans.
In cases where the encroachment area has been identified as environmentally sensitive or may
contain biological, historic or archeological resources, the IGR should consult with the District
environmental specialists regarding the need for special studies. If the Lead Agency is preparing
a categorical exemption the IGR should coordinate with the District specialists regarding the
appropriateness of an exemption in the specific circumstance. If the Lead Agency is preparing an
ND or EIR the IGR should coordinate with the District environmental specialists to comment
prior to the receipt of the permit application. During the public review period for the
environmental document, the District has an opportunity to examine the document and to
comment on it. The comments of the environmental specialists regarding environmental
compliance and documentation requirements should be included in the District's comment letter
to the Lead Agency. Comments should encourage the Lead Agency to consult with the Native
American Heritage Commission (NAHC) regarding any cultural concerns within the project
area. If the project is within or contiguous to a reservation or rancheria, the District's comments
shall include a recommendation that the tribe be contacted.
A permit application must include a Notice of Exemption or a certified environmental document
(EIR or ND). For permits involving an EIR or ND, the Permit Engineer must certify on the
permit that the information in the EIR or ND was reviewed and considered before permit
approval.
files). The IGR Coordinator may then provide the District Permit Engineer with a list of
mitigation measures requested during IGR/CEQA review process and a copy of the conditions of
project approval included in the final environmental document.
The IGR Coordinators and permit engineers should not give any approval of project alternatives
(either direct or implied) which will encroach within State highways having access-controlled
right-of-way. Such encroachments require approval from Headquarters’ Division of Design.
404.1 Procedures
Applications for permits that require preparation by Caltrans of a Categorical Exemption
Determination form, a ND or an EIR are evaluated by the Permit Engineer, the Environmental
Branch Chief, and other interested units as appropriate. Caltrans requires the project applicant to
provide sufficient information so that Caltrans can prepare or cause the preparation of
environmental documents. However, when Caltrans is the Lead Agency all environmental
documents must reflect the independent evaluation and analysis of Caltrans.
biological resources are known or are highly likely to be found, review by the District
Environmental Branch is necessary to ensure compliance.
Compliance with federal laws and regulations may involve the preparation of NEPA documents
or joint compliance documents that meet both federal and state requirements (e.g. a Categorical
exemption/exclusion (CE/CE), a Finding of No Significant Impact /Negative Declaration
(FONSI/ND), or an Environmental Impact Statement/Environmental Impact Report (EIS/EIR)),
Caltrans can require the applicant to provide all necessary information and/or to prepare the
environmental document. Requirements of the federal and State environmental acts are similar
and the supporting documentation is generally compatible. Therefore, it usually is possible to
perform a single environmental analysis that satisfies both federal and State requirements when
federal approval is required. When preparing joint documents the stricter of the federal or State
requirements take precedence. While most of the document's content and processing can be
combined, some aspects of the environmental process require separate state/local and federal
actions. Examples include, but are not limited to the following:
1. Approval Procedures
State and federal agencies must take separate actions in the approval of environmental
documents. FHWA issues determinations and approvals involving federal-aid
projects and the NEPA. The State or local Lead Agency adopts the environmental
document and approves the project under CEQA.
Categorical exemptions/exclusions are documented on Caltrans's Categorical
Exemption, Categorical Exclusion/Programmatic Categorical Exclusion
Determination Form available on line at:
http://www.dot.ca.gov/ser/forms.htm
When a project has federal involvement both the CEQA and NEPA portions of the
form must be completed. To comply with CEQA the CE form is filed with the State
Clearinghouse, Governor's Office of Planning and Research (OPR). For purposes of
federal compliance the form is processed differently depending on whether the
federal exclusion is programmatic categorical or categorical (see Section 405.1 and
405.2).
When a Negative or Mitigated Negative Declaration/FONSI has been prepared the
Lead Agency must file a Notice of Determination with the State Clearinghouse
(OPR). In compliance with NEPA the federal agency must prepare a statement which
sets forth its finding that the project will have no significant impact. This finding is
attached to the Environmental Assessment for the project. The documents are then
forwarded to the District Permit Engineer for filing before issuing a permit.
When an EIR/EIS has been completed the state or local Lead Agency must make
findings and adopt a statement of overriding consideration for any impacts that are
not mitigated below a level of significance. The federal agency must prepare a
Record of Decision (ROD).
2. Circulation Requirements
State and federal circulation requirements differ for the ND and FONSI. Unlike
CEQA NDs, FONSIs do not have a specified public comment period. Caltrans
applies the state requirement of a 30-day public circulation period for joint
documents.
3. Categorical Exclusions/ Categorically Exemption Differences
CEQA lists 32 standard categories of exemptions to which all state and local agencies
must adhere. By contract, each federal agency adopts its own list of categorical
exclusions that differ from agency to agency. FHWA has adopted exclusions which
are listed in 23 CFR 771.117 (see Section 405.1). Under the authority provided in
Section 771.117(d) Caltrans and FHWA have concurred through a programmatic
agreement on additional actions which are deemed to have no environmental impact
(See Section 405.2)
Documentation for state exempt projects must include information as to whether the
project is statutorily or categorically exempt, and if the latter, under what class of
exemptions. Documentation for federal exclusions must indicate if the project is a
programmatic categorical exclusion (PCE) or a categorical exclusion (CE). For
projects with federal involvement both the CEQA portion and the NEPA portion of
the CE form is completed. If the project is exempt under 23 CFR 771.177 or falls
under the provisions of the 1990 programmatic agreement no federal agency review
or concurrence is required for either local agency projects or projects on the state
highway system. If the project is not a programmatically excluded action, the signed
CE form is forwarded to FHWA for signature by the FHWA Transportation Engineer.
• The actions does not have any significant environmental impacts as described in 23 CFR
771.117(a);
• The actions does not involve unusual circumstances as described in 23 CFR 771.117(b);
• Activities which do not involve or lead directly to construction, such as planning and
technical studies; grants for training and research programs; research activities as defined
in 23 U.S.C. 307; approval of a unified work program and any findings required in the
planning process pursuant to 23 U.S.C. 134; approval of statewide programs under 23
CFR part 630; approval of project concepts under 23 CFR part 476; engineering to define
the elements of a proposed action or alternatives so that social, economic, and
environmental effects can be assessed; and Federal-aid system revisions which establish
classes of highways on the Federal-aid highway system.
• Approval of utility installations along or across a transportation facility.
• Construction of bicycle and pedestrian lanes, paths, and facilities.
• Activities included in the State's highway safety plan under 23 U.S.C. 402.
• Transfer of Federal lands pursuant to 23 U.S.C. 317 when the subsequent action is not an
FHWA action.
• The installation of noise barriers or alterations to existing publicly owned buildings to
provide for noise reduction.
• Landscaping.
• Installation of fencing, signs, pavement markings, small passenger shelters, traffic
signals, and railroad warning devices where no substantial land acquisition or traffic
disruption will occur.
• Emergency repairs under 23 U.S.C. 125.
• Acquisition of scenic easements.
• Determination of payback under 23 CFR part 480 for property previously acquired with
Federal-aid participation.
• Improvements to existing rest areas and truck weigh stations.
• Ridesharing activities.
• Bus and rail car rehabilitation.
• Alterations to facilities or vehicles in order to make them accessible for elderly and
handicapped persons.
• Program administration, technical assistance activities, and operating assistance to transit
authorities to continue existing service or increase service to meet routine changes in
demand.
• The purchase of vehicles by the applicant where the use of these vehicles can be
accommodated by existing facilities or by new facilities which themselves are within a
CE.
• Track and railbed maintenance and improvements when carried out within the existing
right-of-way.
• Purchase and installation of operating or maintenance equipment to be located within the
transit facility and with no significant impacts off the site.
• Promulgation of rules, regulations, and directives.
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Chapter 400 – Environmental Requirements
• Any known hazardous materials sites or hazardous materials remains within the
right-of-way.
• The action conforms to the Air Quality Implementation Plan that is approved or
promulgated by the Environmental Protection Agency in air quality nonattainment areas.
• The action is consistent with the State’s Coastal Zone Management Plan.
• The action does not affect federally listed endangered or threatened species or critical
habitat.
All determinations made by Caltrans under the programmatic approach must be documented.
The documentation shall be available for FHWA review upon request.
If one or more of the above conditions are not satisfied the categorical exclusion requires the
review and approval of FHWA. Separate environmental documentation which demonstrates that
the specific conditions or criteria for the CE's is satisfied and that significant environmental the
impacts will not result must be submitted to FHWA to support the classification. A categorical
exclusion will not apply if there are any "unusual circumstances" (23 CFR section 771.17).
Unusual circumstances include:
The applicant must incorporate Design Pollution Prevention BMPs for all projects that disturb
soil, or are near or in an Environmentally Sensitive Area 1 (ESA). Construction site BMPs are
required during construction. Post-construction BMPs are used to minimize the project’s
potential effects on water quality. Projects with post-construction BMPs may need to be
approved using the Oversight Project process (see Section 108) not the Encroachment Permit
process.
All BMPs must be Caltrans approved. For approved BMPs, tools, and further guidance, go to:
http://www.dot.ca.gov/hq/oppd/stormwtr/bmps.htm
For further information go to Appendix A in the Caltrans Storm Water Quality Handbooks,
Project Planning and Design Guide (PPDG):
http://www.dot.ca.gov/hq/oppd/stormwtr/ppdg/swdr2012/PPDG-May-2012.pdf
Section 406 - Encroachment Permits Storm Water Management is organized as follows:
406.1 Overview and Background
406.2 Best Management Practices and Storm Water Document Selection and
Preparation
406.3 Encroachment Permit Application Review
406.4 Construction Site Inspection
406.5 Construction Site Quality Control/ Quality Assurance Plan
406.6 Notice of Termination
406.7 Record Keeping and Archiving
406.8 Encroachment Permit Stormwater Training
http://www.waterboards.ca.gov/water_issues/programs/stormwater/caltrans.shtml
The Order contains three basic requirements:
1. Caltrans must comply with the requirements of the Construction General Permit (CGP) or
the Lake Tahoe Construction General Permit
2. Caltrans must implement a year-round program in all parts of the State to effectively
control storm water and non-storm water discharges
3. Caltrans storm water discharges must meet water quality standards through
implementation of permanent and temporary construction BMPs and other measures
To comply with the Order, Caltrans has developed a statewide SWMP. The SWMP is the
Caltrans policy document that describes how Caltrans conducts its storm water management
activities (i.e., procedures and practices), provides descriptions of each of the major management
program elements, discusses the processes used to evaluate and select appropriate BMPs, and
presents key implementation responsibilities and schedules. All projects within the State
right-of-way, regardless of who funds or administers the project, are required to comply with the
SWMP.
Caltrans uses the encroachment permit process as a quality assurance program to ensure project
sponsors comply with storm water laws and regulations. For a glossary of terms used in this
section, go to:
http://www.waterboards.ca.gov/water_issues/programs/stormwater/docs/constpermits/wqo_2009_0009_app_6.pdf
During the project planning and design process, the applicant is responsible for incorporating
treatment BMPs for all projects subject to the Order, and which meet the following criteria:
Table 4 1
Threshold for Consideration of Structural Treatment BMPs
Project Category Threshold – Net New Impervious Surface (4)
Non- Highway Facilities 5,000 square feet or more
(Rest Areas and Vista Points, Park and Ride
Lots, Maintenance and support facilities)
Highway (1) (3) 43,560 square feet (1 acre) or more
(1) Pedestrian/bike path projects do not require treatment BMPs.
(2) If the net impervious area constitutes 50 percent or more of the original facility, post-construction BMPs will be designed for
the entire facility.
(3) Emergency projects are exempt from treatment BMPs based on the immediate need to provide service and protection for the
public.
(4) Routine Maintenance Activities are not required to incorporate treatment BMPs.
The applicant must use Caltrans approved BMPs. For a list of BMPs, go to:
http://www.dot.ca.gov/hq/construc/stormwater/factsheets.htm
Caltrans approved treatment BMPs include: Biofiltration strips and swales; infiltration devices;
detention devices; wet basins; media filters; multi-chamber treatment train; dry weather flow
diversion; gross solids removal devices; traction sand traps. See the PPDG for further guidance
on use, design, and specifications.
All new development and redevelopment projects subject to consideration of treatment BMPs
must also analyze the project’s potential to contribute to hydromodification impacts. There are
many different approaches to managing hydromodification impacts from urbanization. In
general, in-stream solutions are most appropriate for Caltrans facilities, and focus on managing
the receiving stream to accept localized flow changes without becoming unstable.
applicant should use the guidance titled “Calculating Land Disturbance Areas in LUPs” in the
CGP, A.2 for DSA calculations.
Where discrete LUP construction projects within a larger common plan of development are
located at least 1/4 mile apart and the area between the projects is not being disturbed, each
individual project can be treated as a separate plan of development provided any interconnecting
road, pipeline or utility project that is part of the same “common plan of development” is not
concurrently being disturbed.
For information on non-contiguous projects refer to EPAs Fact Sheet (page 7 of 52, 2nd
paragraph)
http://www.epa.gov/npdes/pubs/cgp2008_finalfactsheet.pdf
An applicant’s questions pertaining to DSA, discharge exemption, permit coverage, and general
storm water requirements should be addressed to the District Encroachment Permits Storm Water
Coordinator (EPSWC). Final determinations are made by the local Regional Water Quality
Control Board (RWQCB). The applicant must submit a letter of concurrence from the local
RWQCB concerning the determination on whether discharges from a part of a larger common
plan or DSA may be exempted from coverage under the CGP.
All storm water documents should provide a simple narrative and diagram that locates the
construction site, identifies potential pollutant sources on site, and shows the location of the
design, construction, and post-construction BMPs. The storm water documents should also
describe measures which eliminate or reduce pollution of storm water runoff by any chemicals
and materials used during each phase of the construction process. The level of detail will vary
with the intensity, size, and type of construction.
No Disturbed Soil Area and No Construction Site
The applicant is not required to submit a storm water document if the project does not disturb
any soil and does not have a construction site: projects such as hanging banners or conducting
traffic counts.
Erosion and Sediment Control Plan
The applicant must submit an ESCP if the construction site meets all of the following conditions:
1. Total DSA is less than one-quarter (¼) acre
2. Construction site does not discharge directly 2 or indirectly 3 to receiving waters 4
3. Is not within an ESA nor discharges to an ESA
2 Direct Discharge: Any discharge from the MS4 that does not meet the definition of an indirect discharge (Order).
3 Indirect Discharge: Any discharge from the MS4 that is conveyed to the receiving water through 300 feet or more of an unlined
ditch or channel as measured between the discharge point from the MS4 and the receiving water (Order).
4 Receiving Water: A river, lake, ocean, stream or other watercourse into which wastewater or treated effluent is discharged as
provided in the “Terms of Environment” (U.S. EPA Office of Communications, Education, and Public Affairs: December 1997).
The applicant must submit six copies of the ESCP with the encroachment permit application
package.
The applicant must refer to the local entity (City or County) or local Municipal Storm Water
System owner for guidance on preparing this storm water document. The applicant must also
incorporate any local city and county requirements.
The ESCP must provide the name and contact information for the construction superintendent or
property owner, and must show on a construction site layout sheet the location of: selected
BMPs; concentrated flows; project entry and exit; material storage; stockpiles.
Water Pollution Control Program
The applicant must submit a WPCP if the construction site is not in an ESA, and does not
discharge to an ESA, and meets one of the following conditions:
1. The total DSA is less than one-quarter (¼) acre and discharges directly, or indirectly, to a
receiving water body
2. The total DSA is one-quarter (¼) acre or more but less than one (1) acre
3. The total DSA is one (1) acre or more but less than five (5) acres, and qualifies under the
U. S. EPA Rainfall Erosivity Waiver (REW) certification.
The applicant must submit six copies of the WPCP, the Qualified Storm Water Pollution
Prevention Plan Practitioner’s (QSP) certification and contact information, and if applicable, the
US EPA REW certification. If submitting an EPA REW, then the applicant must also submit the
Notice of Intent (NOI), the Sediment Risk form, and other appropriate documents through the
SWRCB Storm Water Multiple Application & Report Tracking System (SMARTS).
The WPCP must be prepared by a QSP. The QSP must use the Caltrans WPCP template.
For the WPCP template and preparation manual for completing it, go to:
http://www.dot.ca.gov/hq/construc/stormwater/
Construction Sites under the US EPA REW seeking Time Extension (Rider): A time extension cannot be
issued until the applicant submits a revised EPA REW certification from SMARTS. If the new
construction times do not qualify for REW certification, the applicant is required to submit a
SWPPP and a Waste Discharge Identification (WDID) number as a condition of the
encroachment permit time extension.
Storm Water Pollution Prevention Plan
The applicant must submit a SWPPP if the construction site meets one of the following
conditions:
1. Total DSA is one (1) acre or more and does not have an REW
2. Is within an ESA or may discharge to an ESA
to Section 13-4.03G of the Standard Specifications. The dewatering plan may involve designing,
installing, operating, maintaining, and removing a temporary active treatment system for the
accumulated water, groundwater or surface water from excavation or temporary containment
facilities. Active treatment systems must conform to the CGP, Appendix F.
The permit writer will verify that the IA certification is in SMARTS. A permit to construct
cannot be issued until Caltrans receives the WDID number from the applicant.
described in the WPCP. The Contractor is required to hire a QSP for the construction site. If the
QSP is not appointed, the WPCM or the QSD shall perform the responsibilities of the QSP. The
Contractor’s WPCM must be a QSP to implement the WPCP. [Section 131.01D (2)].
The contractor must ensure that employees receive water pollution control training before
starting work at the job site. If the BMPs identified in the WPCP are not effectively controlling
discharges, the QSP must amend the WPCP and place effective BMPs. If an amendment is
required, work must stop until the permit inspector has accepted the WPCP amendment. The
District Permit Engineer (DPE) can require an independent, third party QSD (IA) for WPCP
projects.
The Quality Control/ Quality Assurance (QC/QA) Plan applies to all WPCP projects (See
Section 406.5).
LRP, or permittee. The LRP or permittee and IA must meet to develop a plan that will correct the
non-compliance. No work can be done, except for corrective actions, until the permit suspension
is lifted.
The permit inspector removes the suspension after receiving written notification from the IA that
the site is in compliance.
The contractor’s Double Permit may be revoked and other permits may be suspended. In
addition, the LRP may be required to secure bonds for future work within the State right-of-way.
The following documents are gathered by the IA for submittal to the District NPDES
Coordinator during implementation of action three:
1. Copy of the Encroachment Permit
2. Signed (IA and permit inspector) “Notification of Non-Compliance” (form TR-0134)
3. Photos describing the time and extent of the discharge
4. Copy of the project’s vicinity map indicating approximate location of storm drain or
receiving waters
5. Copy of the water pollution control plan sheet(s) or site plan to indicate the location of
discharge and failed construction site BMPs
6. Documentation of verbal or written communication with the Contractor’s WPCM
The “Notification of Non-Compliance” (form TR-0134) describes when reporting is required.
The HQ and District EPSWCs, and DPEs will assist Districts in assuring staff receive the
required training and refresher courses to enable them to carry out the quality assurance aspects
of the Encroachment Permit Program.
• Excess Soil (E.g.: utility mainline trenching, etc.): Projects that result in excess soil
which cannot be reused within the work limits and needs to be transported off of the
project site qualify under this classification.
o “Hazardous Materials and Hazardous Waste Management Special Provisions”
(TR-0408) must be included in all permits. (See appendix K)
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• All highway widening and reconfiguration projects: All highway widening and
reconfiguration projects, and projects involving right-of-way dedication must follow the
following protocol:
o Permittee will be required to perform sampling and analysis of the soils for lead
and other contaminants of concern that will be excavated. For this activity,
permittee will be required to submit an initial EP application for sampling. A
Sampling and Analysis Plan (SAP), and a Health and Safety Plan (HaSP) must be
submitted along with the application for review by the District Hazardous Waste
(HW) management office. HaSP must be prepared, signed, and sealed by a
Certified Industrial Hygienist (CIH). The final soil assessment report including
chain of custody, laboratory data, and statistical analysis must be submitted to
Caltrans for review. Upon the permit review, additional environmental documents
may be required. The HW management office will review the report and
recommend the need for soil management restrictions in the permit.
o Permittee can then submit the permit application for full project review and
approval. Package must include a Lead Compliance Plan (LCP) and a soil
management plan, if applicable, as recommended by the HW management office.
The package must be sent for review and approval by the HW management office.
o “Hazardous Materials and Hazardous Waste Management Special Provisions”
(TR-0408) must be included in all permits. (see Appendix K)
• The permittee is not responsible for clean-up of contaminated material which Caltrans
would be legally required to clean up regardless of whether an encroachment permit project
is proposed or not. However, encroachment work should not be allowed within the
contaminated areas until clean-up is complete, unless permittee is willing to clean-up
within their proposed project limits within state right-of-way at their own expense to move
forward with their encroachment work.
Table of Contents
500A Certification of Compliance with the Americans with Disabilities Act (ADA) ............. 3
500 ADMINISTRATIVE ENCROACHMENT PERMITS .................................................. 5
500.1 Adopt-A-Highway ........................................................................................................... 5
500.2 Landscape Administrative Permits.................................................................................. 6
500.2A Transportation Art ................................................................................................. 7
500.2B Gateway Monuments............................................................................................. 7
500.2C Community Identification ..................................................................................... 7
500.2D Blue Star Memorial Highways and Roadside Memorials ..................................... 7
500.3 Airspace Development .................................................................................................... 8
500.3A General Requirements ........................................................................................... 8
500.3B Column Protection............................................................................................... 10
500.3C Fencing ................................................................................................................ 10
500.3D FHWA Approval on Interstate System ............................................................... 10
500.3E Encroachment Permit Application ...................................................................... 10
500.3F Telecommunications (Wireless) .......................................................................... 10
500.3G This section was left blank intentionally ............................................................. 11
500.3H Permanent Record ............................................................................................... 11
500.3I Parklets (New 03/19) ........................................................................................... 12
500.4 Permits Issued by Cities and Counties .......................................................................... 17
500.5 Chain Installer Operations (Rev. 01/18)........................................................................ 19
500.6 Commercial Use ............................................................................................................ 20
500.6A Newspaper Vending Machines............................................................................ 20
500.6B Safety Roadside Rest Areas and Vista Points ..................................................... 21
500.6C Demonstration & Experimental Projects for Commercial Use of Right-of-way 22
500.7-500.9 These sections were left blank intentionally.................................................... 23
500.10 Oversight Projects ......................................................................................................... 23
501 GENERAL TYPES OF PERMITS ............................................................................... 25
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 5-i
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 500 - Specific Encroachment Permits
503.2 CHP/Caltrans/CFC Joint Policy Guidelines for Filming on State Highways ............... 36
503.3 Procedures for Reviewing and Issuing Filming Permits ............................................... 37
503.4 Liability Insurance for Commercial Filming................................................................. 38
503.5 Permit Types for Commercial Filming Activities ......................................................... 39
503.5A Intermittent Traffic Control/Driving Shot with CHP Escort ............................... 39
503.5B Traffic Control..................................................................................................... 40
503.5C No Moving Traffic .............................................................................................. 40
503.5D Film Rider ........................................................................................................... 40
503.5E Special ................................................................................................................. 40
503.5F Facilities .............................................................................................................. 41
503.6 Inspecting and Monitoring Filming Permits ................................................................. 41
504 FENCE (New or Modification) ..................................................................................... 42
505 GEOPHYSICAL TESTING ......................................................................................... 43
505.1 Cable Crossing .............................................................................................................. 43
505.2 Seismic Vibrator ............................................................................................................ 45
505.2A Testing Method Allowed ..................................................................................... 45
505.2B Vibrators .............................................................................................................. 45
506 LANDSCAPE ............................................................................................................... 45
506.1 Responsibilities ............................................................................................................. 47
506.1A Maintenance, Replacement and Repairs ............................................................. 47
506.1B Pesticide Use ....................................................................................................... 48
506.2 Standards for Conventional Highway and Access-Controlled Highway Planting and
Irrigation Plans .............................................................................................................. 48
506.3 Landscape Permit Types ............................................................................................... 52
506.3A Conventional Highways ...................................................................................... 52
506.3B Access-controlled Right-of-way ......................................................................... 52
506.3C Maintenance ........................................................................................................ 53
506.3D Tree Pruning (Trimming) and/or Removal ......................................................... 53
507 MAIL AND NEWSPAPER BOXES ............................................................................ 60
508 MISCELLANEOUS...................................................................................................... 61
508.1 Contractor’s Yards and Plant Sites................................................................................ 61
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 5-iii
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 500 - Specific Encroachment Permits
514.1 Conditions and General Requirements for Special Events (Rev. 12/19) ...................... 85
514.2 Nonprofit Organizations ................................................................................................ 87
514.3 Categories of Special Events ......................................................................................... 88
514.4 Special Events within Access-controlled Right-of-way, Toll Bridges, and the Interstate
System ........................................................................................................................... 89
514.5 Joint Policy Guidelines for Special Events ................................................................... 89
514.6 Special Events Involving Vending ................................................................................ 90
514.7 Liability Insurance for Special Events .......................................................................... 91
515 SIGNALS AND LIGHTING ........................................................................................ 93
515.1 New Facilities or Modifications to Existing Facilities .................................................. 93
515.2 Traffic Signal Controllers.............................................................................................. 95
515.3 Payment for Traffic Signal Control Equipment ............................................................ 95
516 SURVEYS ..................................................................................................................... 95
516.1 Multi-year Survey Permits (Annuals) ........................................................................... 95
516.2 Accident Reconstruction ............................................................................................... 96
516.3 Archaeological Surveys ................................................................................................. 97
516.4 Land Surveys ................................................................................................................. 98
516.5 Literature Distribution at Toll Bridges, On Ramps, etc. ............................................... 98
516.6 Research Projects Funded by FHWA............................................................................ 99
516.7 Soil Surveys ................................................................................................................. 101
516.8 Traffic Counts ............................................................................................................. 101
516.9 Unmanned Aircraft Systems (UAS) (New 12/19) ...................................................... 101
517 TRAFFIC CONTROL AND TEMPORARY SIGNALS AND SIGNS ..................... 102
517.1 Traffic Control on Conventional Highways ................................................................ 102
517.2 Temporary Signals ...................................................................................................... 103
517.3 Ramp Closures ............................................................................................................ 103
517.4 Planned Checkpoints on Conventional Highways ...................................................... 103
517.4A Charitable Solicitations ..................................................................................... 104
517.5 Portable Changeable Message Signs ........................................................................... 105
517.6 Snow Closures ............................................................................................................. 105
517.7 Temporary Directional Signing ................................................................................... 106
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 5-v
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 500 - Specific Encroachment Permits
Chapter 500
Specific Encroachment Permits
This chapter describes specific types of encroachment permits, their codes and requirements. The
District Encroachment Permits Office uses permit codes for categorizing projects, determining
application completeness, and file management. Specific permit codes for utility facility
installation, maintenance and relocation are described in Chapter 600.
Table 5.1A and Table 5.1B lists encroachment permit types, codes and sections that discuss their
requirements.
Table 5.1A
Administrative Permit Codes
SECTION CODE TITLE RESPONSIBLE UNIT
500.1 AH Adopt-A-Highway Maintenance
500.2A AP Transportation Art Landscape Architecture
500.2B GM Gateway Monuments Landscape Architecture
500.2C ID Community Identification Landscape Architecture
500.2D MM Blue Star Memorial Highways, Markers, Roadside Landscape Architecture
Memorials, and Historic Plaques
500.3 AS Airspace Development Right of Way
500.4 CC City and County Issued Permits City/County
500.5 CN Chain Installer Maintenance
500.6 CU Commercial Use Landscape Architecture,
Maintenance,
Right of Way or
Telecommunications
500.10 OP Oversight Projects Project Development
Table 5.1B
Specific Permit Codes
Section Code Description Section Code Description Section Code Description
501.3A AD On-Premise Advertising 507 MB Mail Box 516 SV Surveys
Displays
501.3B Arcades 508 MC Miscellaneous 516.1 Multi-year survey permits
501.3C Awnings 508.1 Contractor’s Yard & Plant 516.2 Accident Reconstruction
501.3D Marquees 508.5 Grading 516.3 Archaeological Surveys
501.7 BR Banners/Decorations/Signs 508.6 Mowing Grass 516.4 Land Surveys
501.8 BS Bus Shelters & Benches 508.7 Material Removal 516.5 Literature Distribution
501.10 CD Commercial Development 508.8 Parking Meters 516.6 Research Projects
501.12 CS Curb, Gutter, Sidewalk 508.9 Engineering Services 516.7 Soil Survey
502.1 DD Major Drainage Facilities 508.10 Survey Monuments 516.8 Traffic Counts
502.2 DM Minor Drainage Facilities 508.11 Gathering of Roadside 517 TK Traffic Control,
501.14 DP Double Permit Vegetation Materials 517.1 Conventional Highway
503 Filming Permits 509 OA ODA Visibility 517.2 Temporary Signals
Improvement Request
503.5A FI Intermittent Traffic Control 517.3 Ramp Closures
503.5B FL Traffic Control 510.1 RC Commercial Driveway 517.4 Planned Checkpoints
503.5C FO No Moving Traffic 511.1 RD Rider Initiated By Caltrans 517.4A Charitable Solicitations
503.5D FR Film Rider 510.2 RM Reconstruct Driveway 517.5 PCMS
503.5E FS Special 510.3 RP Road Approach 517.6 Snow Closures
503.5F FF Facilities 510.4 RS Single Family Driveways 517.7 Temp. Directional Signing
504 FN Fence 511.2 RT Rider for Time Extension 517.8 Const. Identification Signs
505.1 GC Cable Crossing 511.3 RW Rider to Modify Work 518 TN Tunnel Under Road
505.2 GV Seismic Vibrator 512 RX RR Grade Crossing Maint. 519 WL Wall
506 Landscape Permits 513 SC Early Entry 520 MW Monitoring Well
506.3A LC Conventional Highway 514 SE Special Events 521 SI Signs
506.3B LF Freeways 515 SN Signal & Lighting 521.1 Guide Signs
506.3C LM Maintenance 521.2 Fire Hydrant Markers
506.3D LT Tree Trimming and/or 521.3 Fire Protection Signing
Removal
Section 500 of this chapter describes Administrative Encroachment Permit codes. These permit
codes are reviewed and approved by Caltrans functional units other than the District
Encroachment Permits Office. Subsequent sections describe categories of permits including
those that are complex and often include several permit codes.
Table 5.2A
ADA Certification by Responsible Functional Office
Section Permit Description Responsible Section Permit Description Responsible
Code Office Code Office
500.3 AS Airspace Development Right of Way 500.2A AP Transportation Art Landscape
Architecture
500.6C CU Demonstration and Right of Way 500.10 OP Oversight Project Project Delivery
Experimental projects
Table 5.2B
ADA Certification by the District Office of Encroachment Permits
Section Permit Description Section Permit Description
Code Code
501.8 BS Bus Shelters and Benches 511.1 RD* Rider initiated by Caltrans
*Not all projects under this code will require ADA certification.
500.1 Adopt-A-Highway
Permit Code AH
A fee exempt permit issued for the Adopt-A-Highway (AAH) Program allows participation by
individuals, businesses, agencies, and organizations for roadside enhancement involving: litter
removal, vegetation control, tree and shrub planting, wildflower planting, and graffiti removal,
within the State right-of-way. In recognition for their participation, signs are placed within the
right-of-way identifying the group. Certain highway segments may not be appropriate for
adoption because of narrow shoulders, steep slopes, poor visibility, etc.
Participants in the AAH Program may adopt segments of a highway and perform the work
themselves or hire a professional contractor to perform work on their behalf.
When a contractor is hired, Districts should issue a fee-exempt Double Permit “DP” to the party
actually performing the work. The “DP” must include all applicable AAH provisions, liability
insurance, etc. Bonding is not required.
The “Adopt-A-Highway Program Application” (form MTCE-018) is used for all AAH inquiries
and is submitted by the applicant to the District AAH Coordinator. The AAH Coordinator will
review the application and inform the applicant via an “Application Status Letter” whether the
group meets participation requirements and whether the requested site(s) is/are available.
If the group meets participation requirements but the requested site(s) is/are not available, the
group is placed on a waiting list.
If the group meets participation requirements and a requested site(s) is available for immediate
adoption, the District AAH Coordinator prints a pre-filled “Adopt-A-Highway Permit
Application” (form TR-0103) and includes it with the Application Status Letter. Additional
documents (plans and schedules, recognition panel design proof, etc.) are also requested at this
time. Applicants are also given a deadline for returning the documents.
Once the “Adopt-A-Highway Permit Application” (form TR-0103) and additional
documentation are submitted and approved, they are forwarded to the District Encroachment
Permits Office along with the “Attachment A (Adopt-A-Highway Special Provisions)” (form
MTCE-09) for issuance of the permit.
AAH Special Provisions include Safety Requirements (see Appendix K). These special
provisions must be included in their entirety in all AAH Permits. Any highway segment that does
not allow the total use of these special provisions should not be included in the AAH Program.
The AAH Program Application and additional information can be found at:
https://dot.ca.gov/programs/maintenance/adopt-a-highway
Transportation Art, Gateway Monuments, Community Identification and Blue Star Memorial
Highways.
https://dot.ca.gov/programs/design/manual-project-development-procedures-manual-pdpm
Additional information on the Victims Memorial Sign Program is on the Victims Memorial Sign
Program website:
https://dot.ca.gov/programs/traffic-operations/victims-memorial-signs
License Agreement. The District Airspace Manager submits the following documents to the
District Encroachment Permits Office for the issuance of the encroachment permit:
500.3C Fencing
A Caltrans standard 6-foot high chain link fence may be installed around the perimeter of the
leased area with gate locations shown on the plans. Security may be enhanced by the installation
of vertical brackets on the fence posts and attaching three strands of barbed wire to the brackets.
The use of razor ribbon coils atop the fence is prohibited. An encroachment permit for new
fencing is required, but not required for normal maintenance repair. The terms and conditions for
maintenance are included in the Airspace Lease Agreement.
Alternative fencing materials (e.g., masonry, wood, etc.) can be used, but require DARC
approval. The District Airspace Manager will forward a copy of the DARC’s comments and
approval of the plans and specifications, including comments by HQ Structures Maintenance, to
the District Permit Engineer as part of the encroachment permit application package.
Once a parklet proposal package has been approved by the Region / District Division Right of
Way and Land Surveys Office of Real Property Services - Property Management, Airspace,
Clearance & Demolition unit, a complete application package along with an “Encroachment
Permit Administrative Route Slip” (form TR-0154) is forwarded to the District Encroachment
Permits Office to request the issuance of an administrative encroachment permit. This certifies
that the project has been reviewed and approved and does not require any further coordination.
A complete application package must contain:
• A completed “Standard Encroachment Permit Application” (form TR-0100).
• “Encroachment Permit Administrative Route Slip” (form TR-0154).
• “Certification of Compliance with Americans with Disabilities Act” (form TR-0405).
• Copy of the fully executed Right of Way Use Agreement.
• Local interest and support for the parklet in the form of an adopted ordinance, resolution,
or written consent from all the local public entities impacted directly.
• Approved Design Standard Decision Document for all Highway Design Manual design
exceptions.
Project Narrative
The project narrative must include a short project description (800 words or less) which must
include the following elements:
1. Identify the proposed parklet as an element of the Caltrans Complete Streets and Multi-
Modal Transportation Plan.
2. Identify benefits from the parklet to the neighborhood in the immediate vicinity.
3. Identify how the community can participate in the creation and/or stewardship of the
parklet.
4. Identify the proposed schedule for opening of the parklet.
5. Provide information of the parklet designer, including experience in the design of similar
facilities.
3. Parklets are located along the curb line on highways where on-street parking spaces exists
(parallel, diagonal or perpendicular parking). Parklets may be considered in locations
where marked parking spaces are not available if marking is provided by the local public
entity.
4. For parallel parking, the parklet structure must be set back 48 inches from adjacent marked
parking spaces. For diagonal and perpendicular parking spaces, the edge of the parklet
structure must be set back 36 inches from the adjacent parking space on either side.
5. No portion of the parklet may extend more than 36 inches above the surface of the roadway,
except for landscape planting.
6. Landscape planting must be free from thorns. Trees must be small trees as defined in
chapter 900 of the Highway Design Manual. Trees must be single trunk. Select tree
species that can be maintained with an 8-foot clearance from the surface of the roadway
to the lowest branches and foliage. Select plant species, excluding trees, which can be
maintained to not extend into the travelled way or adjacent parking space and with a
maximum height of 42 inches above the road surface.
7. The local public entity must establish the location of a parking stall line/edge of travel way.
8. Parking spaces adjacent to parklets must have parking bumpers a minimum of 4 feet from
both sides of the parklet.
9. Space for curbside trash collection of adjacent property owners on both sides of the parklet
must be considered.
10. Parklet railing opening must not exceed 4 inches for visual identification and to keep
children from leaving the parklet area and encroaching into the traveled way.
11. Parklet substructure must accommodate the crown of the road and provide a slip resistant
level surface.
12. No bolting to the state highway or curb is allowed.
13. Parklets must
• comply with the American with Disabilities Act (ADA) and Design Information
Bulletin 82. ADA certification is required (See Section 500A).
• not be placed over ADA parking spaces or adjacent to red, yellow, white, or green
curb zones, hydrants, newspaper vending machines, or postal collection boxes.
• not restrict access to emergency vehicles, transit routes or public utilities.
• not inhibit drainage capacity.
• be located in well-lit areas.
• be at least one parking space distance from any intersection curb returns.
• be a minimum of 2 feet from the established parking stall line, edge of travel way,
or bicycle lane, whichever allows for the greatest distance between the parklet and
public traffic.
• have a minimum height of 24 inches for visual identification for approaching
vehicles.
• have a flush transition at the sidewalk to avoid tripping hazards. Object markers
and delineators must be used to enhance the visibility of the parklets.
• be closed off to pedestrians on 3 sides, and open to the sidewalk side only. No
pedestrian access will be allowed from the vehicular traffic side.
To avoid creating a distraction to the traveling public, parklets must not include the following
elements:
1. Colors or combination of colors usually reserved for official traffic control devices
described in the California Manual of Uniform Traffic Control Devices (CA MUTCD).
2. Illumination including blinking or intermittent lights.
3. Text that makes special interest, private, religious, or political statements.
4. Text that includes business names, trade names, jingles, or slogans.
5. Reflective glaring surface finishes.
6. Out of scale with its surroundings.
7. Seating that is not integrated into the design elements.
8. Interference with traffic control devices.
9. Moving elements (kinetic art) or simulated movement.
10. Symbols or icons, including flags and logos.
12. All colored curb zones (red, yellow, green, white, blue).
2’
MIN
Photos must also be provided with the parklet submittal package and taken from specific angles
around the proposed parklet site. Photos must depict existing conditions, drainage, utilities,
sidewalk, curb and gutter, and pavement conditions. Image files are to be named using the
conventions shown in Figure 2:
The city or county must maintain files on all permits issued on State highways. Federal
regulations require Caltrans to monitor permits on the National Highway System. The city or
county must make the permit files available for inspection at the request of the District Permit
Engineer.
Table 5.3 lists the procedures that must be utilized by cities and counties in reviewing and
processing permits issued on behalf of Caltrans.
Table 5.3
Caltrans’ Procedures for Reviewing and Processing Permits
Issued by Cities and Counties
Use these procedures in reviewing and processing encroachment permits issued by cities and
counties:
1. The city or county reviews the permit application for completeness and sends it to the
respective Caltrans’ District Permit Engineer.
2. The permit application is then Simplex stamped in the District Office and a copy is sent
back to the city or county to issue the permit.
3. The city or county then issues the permit and sends a copy to Caltrans. Caltrans retains a
copy in the District Encroachment Permits Office and sends a copy to the appropriate
Caltrans permit inspector and the area maintenance superintendent for information
purposes only.
4. Any Caltrans’ administrative or permit processing charges are not billed on permits
issued by cities or counties.
5. Any Caltrans’ normal cursory inspection monitoring is not billed for permits issued by
cities and counties.
District Division of Maintenance staff is responsible for ordering sets of consecutively numbered
chain installer safety vests from the California Prison Industry Authority (CALPIA). Each
permittee receives one vest with their permit. A permittee may apply for a second chain installer
permit in another District, provided there is no established waiting list.
Loss of a permit or vest must be immediately reported to the District Encroachment Permits
Office that issued the permit. A duplicate permit will be issued upon payment of the
administrative fee (equal to one hour multiplied by the Standard Hourly Rate). A replacement
vest will be issued upon payment of the administrative fee plus the cost of the vest itself.
Vests not used during the year may be retained in storage for future use.
The number of permits available for issuance is limited. First consideration must be given to
prior applicants of the previous winter season, providing their permits were not suspended for
more than 30 days or revoked during the previous winter season.
Any permits suspended near the end of the winter season, and/or if the suspension is found to be
ineffective at the time so ordered in the opinion of the District Permit Engineer, may be applied
to the next winter season if so stated in the letter of suspension to the permittee.
Appeals of any punitive action taken against a chain installer permittee must be submitted in
writing within five (5) business days to the District Permit Engineer.
A written decision must be rendered within ten (10) business days from the receipt of the written
appeal. The District Permit Engineer’s written decision may be appealed in writing within five
(5) business days, to the District Director in which the permit was issued. The District Director’s
decision must be rendered in writing within ten (10) working days from the receipt of the appeal,
and this decision is final (There are no further administrative rights of appeal.).
Penalties noted in the “Chain Installer Permit Application/Release of Liability” (form TR-0106)
and the “Chain Installer Permit” (form TR-0107) are the minimum. Severe penalties may be
imposed for any infraction of Permit Conditions if warranted by the circumstances, or by the
permittee’s conduct.
Districts may remove existing newspaper vending machines placed without a permit and cite
them as illegal encroachments. When vending machines obstruct pedestrians or present a traffic
hazard, the news organization must relocate or remove the obstructing vending machines.
Coin-operated newspaper vending machines featuring sex-oriented magazines and newspapers
are not permitted within State right-of-way [California Penal Code Section 313.1 (c) (1)].
Newspaper vending machines must have a minimum 2 feet horizontal clearance to the face of
curb and provide 4 feet of clear sidewalk. They must comply with standards for clear recovery
zone and breakaway design if Districts determine that the installation would constitute a fixed
object. Vending machines displaying advertising for other than the newspaper must be removed.
Newspaper vending machines are not authorized, and permits are not issued, within
access-controlled right-of-way except as provided in Section 500.6B. Maintenance will
immediately remove machines located within the access-controlled right-of-way, except for
those statutorily authorized in roadside rest areas under a “Newspaper Distribution Agreement”
(form TR-0150, see Appendix B) prepared by the District Landscape Architect.
Solicitation, the distribution of goods or literature, the use as a public forum, and vending
activities are not permitted in safety roadside rest areas and vista points except as
described below.
Activities that require a permit and the responsible Headquarters jurisdiction are listed as
follows:
The Streets and Highways Code, Section 220.5 authorize the placement of vending machines and
any associated shelter or structure to house the vending machines at safety roadside rest areas.
One permit is issued for each site to the California Department of Rehabilitation for construction
and maintenance of vending machine and any associated shelter or structure to house the vending
machines. A double permit is issued to the contractor installing and maintaining the vending
machines and any associated shelter or structure to house the vending machines.
For additional permitting information, see the California Code of Regulation, Title 21, Division
2, Chapter 20, Article 4.
Uses not requiring a permit and the responsible Headquarters jurisdiction are listed below:
Agricultural Displays and Traveler Information Centers are governed under the terms of
agreements administered by the Maintenance and Landscape Architecture. Other proposed
activities or uses may require an encroachment permit. For determinations, contact Headquarters
Office of Permits.
The Encroachment Permit application package must contain the information listed below for
permit issuance on Oversight Projects:
1. A completed “Standard Encroachment Permit Application” (form TR-0100).
2. A completed “Encroachment Permit Administrative Route Slip” (form TR-0154)
provided by the responsible functional unit transmitting project approval and all
required items. This form indicates that the project has addressed all concerns by
Caltrans functional units and is “ready to proceed”.
3. A copy of the Approved Project Initiation Document (PEER, PSR-PDS, PSR).
4. A copy of the fully executed Cooperative or Highway Improvement Agreement.
5. Right of Way Certification, including high and low risk utility clearances.
6. Written substantiation by the functional reviewing unit that all comments and revisions
requested have been addressed.
7. All plans (except for utility plans) are signed and stamped by a California Registered
Engineer.
8. The proper Caltrans functional unit has signed off on all specialty design plan sheets
(signalization, signing, striping, electrical, etc.).
9. Construction oversight information provided (Project Code, Resident Engineer’s name,
location, and phone number).
10. Seven (7) sets of folded plans, in U.S. Customary (English) units must be provided,
reduced copies are preferred. Additional plan sets may be required prior to issuance of
the permit, depending on the type of project.
11. Functional reviewing units requiring a copy of the permit package must submit their
request in writing.
• Normal distribution of the permit package:
Maintenance Regional Manager – 1 Project Development – 1
District Construction Division – 2 Permits Office – 1
Permittee – 1 Permittee’s Contractor – “DP”
• If applicable, also include:
Traffic Electrical – 1 HQ Structures – 1
Structures Construction – 1
Additional information for the applicant:
1. Applicant’s contractor will be required to obtain an Encroachment Permit, coded “DP”
(double permit).
a. The cooperative agreement must contain a fee waiver statement; otherwise, the
Contractor will be required to pay the encroachment permit hourly rate for the
total actual time of inspection and oversight expended.
b. The applicant must provide substantiation that the Contractor has met the
Bonding requirements in Sec. 3-1.05 of Caltrans’ Standard Specifications and
must be included within the Contractor’s Permit.
ANNUAL/ BIENNIALS
District review (Hydraulics, Traffic Operations, etc.) is required for a new biennial permit. The
District Permit Engineer may elect to re-issue the permit without the District review if all
Caltrans’ requirements are satisfied and field conditions have not changed from the original
biennial permit, for the same permittee.
Permits may be issued as a two-year permit (biennial) subject to the discretion of the District
Permit Engineer as indicated in the appropriate sections of this chapter and the next chapter. A
summary of these permits is as follows:
Table 5.5
BR Banners SV Engineering Services
BS Bus Shelters & Benches Land Surveys
GC Cable Crossing (Geophysical) Research Projects Funded by FHWA
GV Seismic Vibrator (Geophysical) Soil Surveys
LM Landscape Maintenance Traffic Counts
LT Tree Pruning (Trimming) and/or Removal RX Railroad Grade Crossing Maintenance
MC Mowing Grass by Adjacent Property Owners TK Planned Sobriety Checkpoints
Grading
OA Outdoor Advertising Visibility Improvement UB Utility Maintenance
Table 5.6
Guidelines for Allowing a Structure to
Overhang the Conventional Highway Right-Of-Way
An advertising display structure may overhang State right-of-way if it satisfies all of these
conditions:
1. Conforms to local building code.
2. Structurally adequate.
3. Supporting structure is outside the right-of-way. This includes freestanding or attached
to the building it serves (except in special cases where arcades are permitted).
4. Overhang may not extend closer than 24 inches horizontally from the curb face.
Exceptions are in historical districts where overhangs are permissible to the curb face.
Curbs or other approved safety barriers should protect sign structures.
5. Preferred minimum vertical clearance from the sidewalk is 12 feet. A minimum 8 feet
clearance is acceptable when local codes are satisfied.
6. No flashing, rotating or intermittent lights are allowed except for approved public
service information signs. Signs containing red, yellow, or green lights are not
permitted when they interfere with perception of traffic signals.
7. Wording on the sign may identify only the name of the owner or occupant of the
premises or to identify the premises, goods sold or produced, or services rendered on
the premises.
8. Displays must not interfere with or hide traffic signals or traffic signs.
9. Any future change in wording or location of a sign requires a separate permit.
501.3B Arcades
Arcades are quasi-permanent, awning-type structures that cover sidewalk areas. They generally
are supported by buildings and, when permitted, by freestanding posts on the sidewalks. ADA
Certification is required if poles are proposed in the design.
Arcades must not be a structural part of the building roof trusses. They also must not interfere
with traffic signals and signs, nor have structural posts that reduce horizontal sidewalk clearance
to less than that required under the current Design Information Bulletin 82 (DIB 82). For other
requirements, see Table 5.7.
501.3C Awnings
An awning is a temporary removable or retractable shelter supported entirely from the exterior
wall of a building. Awnings may identify only the owner or place of business.
501.3D Marquees
A marquee must be supported entirely by the building. Any drainage from the marquee must not
fall on, or drain across, the sidewalk.
Table 5.7
Guidelines for Installation of Banners in
Conventional Highway Right-of-way
are local agencies and civic organizations, but individuals may make applications for flags
displayed within the right-of-way immediately fronting their property.
501.8B Advertising
Generally, advertising within the right-of-way is prohibited by the California Constitution for to
allow it could be a gifting of public funds. Specifically, it is prohibited by State statute (Streets
and Highways Code 721 and Business and Professions Code 5403). Even if Caltrans received
revenues for sign placement, such signs would soon clutter the highways, become a distraction to
motorists, and degrade any scenic value. However, advertising on bus shelters and benches is
permissible (Business and Professions Code 5408.5) provided advertising displays are not within
660 feet of and visible from any roadway segment on the National Highway System. Advertising
displays within 660 feet of, and visible from, any urban highway must be consistent with federal
laws and regulations.
Advertising displays must be placed only at approved passenger loading areas and must not
extend beyond the exterior limits of the shelter or bench. Advertising must not exceed two
display panels per shelter or bench.
501.8C Clearance
Complete State ADA design requirements are provided in the current Design Information
Bulletin 82 (DIB 82).
developments, and an “SN” permit code should be considered if the work involves primarily
signals and lighting.
If highway improvements are required, all pedestrian facilities within the limits of the project’s
scope need to comply with the current Design Information Bulletin 82 (DIB 82). If the pedestrian
facility on one corner of an intersection requires modification in order to comply with DIB 82,
then all adjacent corners connected by a pedestrian path are considered to be within the scope of
work and are required to comply with DIB 82.
property frontage cannot be mandated by Caltrans unless the local agency has placed that
condition on the applicant. Requiring excessive dedications is a form of inverse condemnation
where there is a loss of assets without proper compensation.
Imposing mitigation conditions as a requisite for a construction permit may be unconstitutional
unless the conditions are directly related to the project. Relationship of conditions to the project
must conform in nature and extent and be substantiated with quantifiable data.
Local agencies have elected authority over their jurisdiction, and by that authority can develop
and implement general and specific plans. Encroachment permit engineers should work with
District and local agency planning units to assist with plans that will ensure the future highway
needs. Local agencies should be made aware that continued operational capacity of the highway
relies on their effective plan implementation and management.
When private property is dedicated to the State as a mitigation measure, the applicant must
supply the encroachment permit engineer the following information:
1. A copy of title report with its documents
2. A legal description
3. Parcel map of the area
4. Copies of any recorded maps referred to in the documents
Documentation for the area to be dedicated is checked, revised if necessary, and returned to the
applicant. The applicant obtains required signatures and returns the deed to Caltrans for signature
by the Deputy Director of Right of Way. The deed then is returned to the applicant for recording
and returned to Caltrans for our files. An encroachment permit is not issued until the deed has
been recorded.
safety lighting are classified as SN or CD permits and are not allowed under a CS permit because
they require intensive review and inspection.
Designs for curb ramps that are proposed in new construction or as a retrofit must satisfy
requirements shown in the standard plans.
Multi-year CS permits may be issued to local agencies (cities and counties) for up to two years.
Should standards change during the term of the encroachment permit, the permittee must comply
with current State standards and specifications. CS permits authorize reconstruction, repair, and
replacement of existing curbs, gutters, curb ramps, and sidewalks. These structures must conform
to existing dimensions, configurations, alignments, and grades. Drainage facilities must not be
modified and healthy trees must not be removed.
502 DRAINAGE
Encroachment permits for constructing drainage facilities are classified as major or minor
projects. Any diversion of drainage run-off onto highway right-of-way are not allowed. Drainage
diversions require an approved exception from the Chief, Headquarters Division of Design.
503 FILMING
To encourage motion picture and television filming in California, the California Legislature
established the California Film Commission (CFC) as a one-stop permitting authority for the use
of state-owned property and state employee services for making commercial motion pictures or
still photography. The District 7 Encroachment Permits Office (Los Angeles) is the Caltrans
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Chapter 500 - Specific Encroachment Permits
Statewide Film Coordinator (CSFC) and acts as the film liaison to approve or deny all
applications for film activities under Caltrans jurisdiction (Government Code, Section 14998 et
al., Executive Order S-15-04).
Film production companies submit applications to the CFC in Hollywood who in turn forwards
the application to the District 7 Encroachment Permits Office. The CSFC coordinates with
Encroachment Permit staff in the other Districts where the film activity is proposed. Each
District must designate staff as a District film coordinator.
The CSFC issues the encroachment permit for filming only after obtaining permit provisions and
requirements from the affected Districts and submits the encroachment permit to the CFC for
inclusion to the CFC film permit. The CSFC, whenever feasible, approves or denies an
application within 24 hours. If not feasible, the CSFC will contact the CFC within five working
days from the receipt of the application and provide an estimated approval/denial date. This date
must be within 10 calendar days from receipt of the application.
Table 5.8
Permit Application Package for Filming Permits
The encroachment package submitted to Caltrans by the California Film Commission must
include:
1. A completed California Film Commission permit application
2. If required, lane closures or detour plans approved by the affected governments
3. Resolutions from all impacted governments indicating approval of the filming
activities and lane closures or detour plans. Resolutions should conform to Caltrans'
sample format. These resolutions are required when a directional road closure of a
State highway (or local road) for filming exceeds five minutes. Sample resolutions and
letters of approval are included in Appendix I. When time is of the essence, forms
included in Appendix I may be completed by a local official in lieu of a resolution.
Table 5.9
Procedures for Reviewing and Issuing Filming Encroachment Permits
1. The production company calls the CFC to discuss filming on a State highway. If the company
contacts Caltrans directly, relating to the availability or feasibility of highway facilities, basic
information, and guidance should be provided if requested. The production company should be
referred to the CFC for the submittal of a CFC Permit Application [California Film
Commission, 7080 Hollywood Boulevard, Suite 900, Hollywood, CA, 90028, (323) 860-2960
x 104].
2. The production company provides details about location, date, proposed activity, meeting
locations, etc., to the CFC.
3. The CFC verifies that basic insurance is on file and prepares the Caltrans Permit Application
Package.
4. The CFC sends the Permit Application Package to the Caltrans Statewide Film Coordinator
(CSFC), calls to verify receipt, and discusses the application with the CSFC.
5. The CSFC contacts the District film coordinator in the District where filming is proposed. The
District film coordinator checks with field inspectors and Traffic Operations (if appropriate) to
determine the acceptability of the proposal and define any special requirements If proposed
activities are unique, headquarters Legal is consulted to determine if additional liability insurance
is needed. The District film coordinator provides this information to the CSFC verbally and in
writing.
6. The CSFC coordinates with the Film Media Relations Officer of the California Highway Patrol
and establishes required involvement of the CHP, conditions, and requirements. The SC-5
(“Special Event Ahead”) signs are not allowed during traffic control for filming.
7. The CSFC prepares the encroachment permit, including the estimated fees for review and
inspection to be charged on the permit, and sends it to the CFC. A copy is sent to the District film
coordinator and/or field inspector in the District where filming is proposed. The CSFC must
also provide a copy to the Transportation Permits Office when a highway closure and/or
detour are required.
8. The CFC attaches Caltrans' encroachment permit to the CFC permit. The production company
picks up the CFC permit from the CFC and pays Caltrans' permit fee to the CFC.
10. The CFC submits fees collected by the CFC for all Caltrans permits monthly to the Film Transfer
Account.
name the State of California, California Department of Transportation, the directors, officers,
employees, and/or agents of the State of California and/or of the California Department of
Transportation as being additionally insured.
Insurance coverage required by the DPE normally ranges between the following two extremes
shown in Table 5.10, depending on the risk. Special filming activities involving stunts,
pyrotechnics, and aircraft flying below an altitude of 500 feet may require additional insurance
as set by headquarters Legal.
Table 5.10
Liability Insurance Required for Commercial Filming
503.5E Special
Permit Code FS
FS encroachment permits authorize filming within an access-controlled right-of-way and filming
activities requiring detours, stunts, pyrotechnics, aircraft flying below 500 feet in altitude, or
other unique activities.
FS permits generally require engineering expertise by Caltrans to review or inspect. Permit fees
are based on actual hours spent for review and inspection. The CFC collects estimated fees
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Chapter 500 - Specific Encroachment Permits
before issuing a permit. If the actual hours spent on review and inspection differ from the
estimated fees upon completion of the filming activities, Caltrans submits to the CFC the
adjusted fees and the CFC bills or refunds the difference between the estimated and actual fees.
503.5F Facilities
Permit Code FF
FF permits authorize filming activities within a Caltrans facility, which is defined to include any
real estate property not part of the State highway or access-controlled right-of-way system. A
Caltrans facility includes any office building, maintenance station, maintenance facility, Park and
Ride lot, and house that is used or operated by Caltrans. Any requested activity within a Caltrans
facility must not disrupt or interfere with any State business.
FF permits generally require review and inspection by the Caltrans staff responsible for the
operations of the facility. Permit fees are based on actual hours spent for review and inspection.
The CFC collects estimated fees before issuing a permit. If the actual hours spent on review and
inspection differ from the estimated fees upon completion of the filming activities, Caltrans
submits to the CFC the adjusted fees and the CFC bills or refunds the difference between the
estimated and actual fees.
work, stunts, and pyrotechnics is required, Caltrans may differ inspection to the CHP to monitor
for quality control, safety, and security. Where significant state work, stunts, or pyrotechnics are
present, both CHP and Caltrans will jointly inspect and monitor.
This prohibition of emergency access must apply to any additional emergency access to existing
development. Existing emergency access granted in the past, such as breakaway fence panels,
gates, and sod-block surfaces, may remain if installed under a valid permit.
Fencing in conventional highway right-of-way is limited to protection of pedestrians and
excavations. This includes temporary fences that close off construction sites adjacent to the
right-of-way when pedestrian traffic is detoured or occurs on existing and temporary sidewalks.
Private property fences are not allowed in conventional State highway right-of-way.
Fences along conventional highways generally are placed on the abutting property and are
owned and maintained by the property owner. Caltrans has no control over pedestrian access
through conventional right-of-way and the fences do not serve as a barrier. However, vehicular
gates for private, agricultural, and commercial driveways must be approved as discussed in
Section 510.
Table 5.11
Requirements for Cable Crossings
505.2B Vibrators
Truck-mounted vibrators commonly are used to generate test waves. They operate alone or in
groups and stop to place a vibrating pad on the ground surface.
Vibrators must be placed and operated as close to the right-of-way line as possible, with a
minimum clearance of 4 feet from the paved shoulder or toe of slopes on embankments. They
must not be operated on any paved surface and must not be operated within access-controlled
right-of-way.
Vibrators must be operated so that no damage will occur to: vegetation, wells, culverts,
headwalls, structures, or other improvements. Districts concerned about underground utility
damage may require proof of notification and approval by utility owners in the area before
starting permitted work.
506 LANDSCAPE
Highway planting may be provided by others, at their cost, within conventional highway
right-of-way and within access-controlled right-of-way.
Submit permit requests to install planting, irrigation systems, landscape features or to control
roadside vegetation within the State right-of-way (including tree pruning and removal) to the
District Encroachment Permits Office for review and approval by the District Landscape
Architect or Permits Landscape Architect.
Trimming, pruning or removal of vegetation or trees to improve visibility to or from a
commercial or residential development (e.g. improving views), is not allowed within the State
right-of-way.
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Chapter 500 - Specific Encroachment Permits
Requests to place irrigation facilities or vines on new and existing structures must be reviewed
and approved by Structures Maintenance.
Planting within State highway right-of-way is allowed through:
1. The encroachment permit process: Landscape encroachment permits assist non-Caltrans
entities to install landscaping within Caltrans right-of-way. The encroachment permits
process helps ensure that the planting work installed by others:
• Conforms to Caltrans policies, procedures and standards
• Protects the traveling public, the public’s investment, and the interests of adjacent
land owners and businesses
• Achieves a proper balance between safety, aesthetics, cost effectiveness, and
resource conservation
• Does not increase Caltrans roadside maintenance workload.
2. A Caltrans-administered contract that is funded partly or totally by others: The preferred
method for handling participation by others is through an encroachment permit and an
agreement with the local agency (see Project Development Procedures Manual, Chapter
16 Cooperative Agreements). In this case, a Right-of-Way Use Agreement is not
required.
3. Leasing the planting area to the owner of the abutting property: A Right-of-Way Use
Agreement is required.
A Right-of-Way Use Agreement may also be required with the encroachment permit if the
proposed project:
506.1 Responsibilities
Table 5.12
Responsibilities – Highway Planting Funded by Others
New Landscape & Irrigation Replacement of Existing Landscape
Facility
Permittee Maintenance* Permittee Maintenance**
Conventional
Project sponsor Local Agency Project sponsor Local Agency
Highways
Access-Controlled
Local Agency Local Agency Local Agency Local Agency
Highways
* A maintenance agreement with the local agency is required to ensure maintenance in perpetuity. Maintenance includes all on-
going water and electrical utility costs and all other maintenance expenses.
** If the replacement proposed is like to like, Caltrans will maintain the new installations once a 3-year plant establishment
period is completed, if it was maintained by Caltrans prior to the replacement.
Some projects may be managed as an Oversight Project, see Section 108.1 for information
regarding Oversight Projects.
A Maintenance Agreement may be required, refer to Chapter 13 of the Project Development
Procedures Manual for information regarding Maintenance Agreements.
https://dot.ca.gov/programs/design/manual-project-development-procedures-manual-pdpm
Projects sponsored by a local agency are not charged for plan review. The local agency’s
contractor must have a double permit (DP). Inspection fees and DP processing fees must be paid
before the DP is issued.
Government agencies are exempt from the insurance requirement, but a bond may be required
under certain circumstances.
Table 5.13
Requirements and Standards for Landscape Plans
Table 5.14
Design Guidelines for Conventional and Access-Controlled Highway Planting and
Irrigation
3. Irrigation lines under continuous pressure are not allowed. A normally closed master valve to shut off
water when the irrigation system is not operating is required.
4. Provide gate valves or ball valves with ID markers, to isolate groups of remote controlled valves or areas
of the irrigation system.
5. Provide separate remote controlled valves for supply lines operating overhead sprinklers at the top,
intermediate, and toe of slopes.
6. Anti-siphon, anti-drain valves or check valves are required.
7. Trees must be irrigated by separate remote controlled valves.
8. Irrigation lines proposed under paved surfaces must be installed in conduit or sleeves.
9. Design all irrigation systems with a water velocity of no higher than 5 feet per second (fps).
10. Design and operate irrigation systems to minimize fogging and overspray of water onto paved surfaces.
11. Provide uniform water coverage when using overhead sprinklers.
12. Bubblers and sprinklers must be pressure-compensating or be equipped with pressure-compensating
devices.
13. Drip irrigation or subsurface irrigation may be used if approved by the District Landscape Architect or
Permits Landscape Architect.
14. When necessary, a subsurface drainage system must be provided in irrigated medians to prevent water
flowing onto the roadway and to prevent lateral infiltration of water into the structural section of
roadway and must be approved by the District Permit Engineer.
Table 5.15
Tree Wells
Tree wells are allowed on Conventional Highways only. The following conditions apply to tree
wells:
1. Tree wells must allow for soil volume appropriate to the future tree size. Small trees require a minimum
of 200 cubic feet, medium trees require a minimum of 450 cubic feet, and large trees require a minimum
of 700 cubic feet of soil volume.
2. Openings for tree wells in paved areas must have a minimum of 3' x 3' square or a 3’ radius circle.
3. If irrigation is not feasible, install two deep water pipes (vertical, 4'' diameter perforated plastic pipes
filled with ½” to ¾” crushed rock) in opposite corners of each tree well.
4. Plant trees in the center of the tree well.
5. Tree wells must be safe for pedestrians. Install tree well grates, where appropriate, that are flush with the
adjacent pavement and comply with ADA requirements.
6. Tree guards may be provided to protect trees in tree wells from damage or where desirable for aesthetic
purposes.
7. Trees and tree wells in parking lots should be given a minimum of 64 square feet of opening in the
pavement. If this requirement cannot be met, install deep water pipes and root barriers.
8. Root barriers must be installed to prevent tree roots from causing sidewalk and pavement damage.
Table 5.16
Plants in Containers
Plant containers are permitted only when all of the following conditions are met:
1. Plant containers made of wood, brick, metal, concrete, ceramic, fired clay or other
appropriate material may be used.
2. Plant containers located on sidewalks or on the roadside must be a minimum of 2’ back
from the curb face. Plant containers must allow for a minimum 5’ walkway.
3. Plant containers on medians must be a minimum of 6’ back from the curb face and at
least 100’ from the longitudinal end of the median.
4. Plant containers must be secured to the sidewalk to prevent overturning or shifting and
placed to avoid creating a pedestrian or vehicular hazard. The permittee is responsible
for temporary relocation, when necessary, to install, repair, or replace facilities.
5. The proposed plant species for the container must be specified in the permit
application.
6. Proper maintenance of the plant and container is required.
7. A minimum of $10,000 liability insurance is required when permits are issued to
private entities for installing plant containers.
8. No advertisement, slogans or any text is allowed on or in plant containers.
recovery zone) and large trees must not be less than the minimum required; however, the Permit
Engineer, District Landscape Architect, or Permits Landscape Architect may require clearances
of a greater amount. Clear recovery zone requirements are specified in the Highway Design
Manual, Section 902.2.
A copy of each LF permit, including plans, bid date, and completion date, must be sent to the
Headquarters Landscape Architecture Program, Landscape Classifications, for record keeping,
determination, and designation of landscaped access-controlled right-of-way relative to the
regulation of outdoor advertising displays.
506.3C Maintenance
Permit Code LM
LM permits authorize limited term maintenance of planting and irrigation systems within the
State right-of-way. Maintenance responsibilities in perpetuity must be authorized through a
Maintenance Agreement. Only replacement and repairs are authorized by LM permits (no new
planting).
Two-year LM permits for landscape maintenance may be issued to local agencies (cities and
counties). Contractors may perform work for the local agency under a double permit (refer to
Section 510.14).
LM permits also authorize roadside vegetation control by private property owners who have
entered into an agreement with Caltrans Maintenance. All requests by private property owners to
assume responsibility for roadside vegetation control must be directed to the District Landscape
Specialist.
Food and Agriculture Code, Division 4, Part 1, Chapter 6.5, Roadside Vegetation Control, (5501
to 5509) provides a voluntary mechanism by which private property owners and Caltrans may
enter into mutually acceptable agreements to promote coordinated programs for roadside
vegetation control. If such an agreement includes provisions whereby the property owner
assumes responsibility for vegetation control, a Maintenance Encroachment Permit (Code LM) is
required for the work.
Table 5.17
Consent Requirements for Tree Pruning and/or Removal
The following table explains property owner consent requirements for tree pruning and/or
removal:
1. Trees with trunks located entirely within the State right-of-way may be pruned or
removed without obtaining consent from the adjacent property owner.
2. Trees with trunks located entirely within the State right-of-way with limbs overhanging
adjacent City or County property must not be pruned or removed without first
receiving consent from the local agency. It is the permittee’s responsibility to obtain
the consent letter from the local agency.
3. Trees with trunks located on the right-of-way line must not be pruned or removed
without obtaining consent in advance from both Caltrans and the adjacent property
owner – these trees are joint property. Trees which interfere with safe highway
operations are exempt from this requirement.
4. Trees with trunks located entirely outside the right-of-way that have limbs that
overhang the right-of-way may be pruned without obtaining consent from the adjacent
property owner if the tree interferes with safe highway operations.
*In some locations, local agency consent may be required for any tree pruning or removal work.
Utility contractors may place woodchips produced from tree pruning within the right-of-way
after a Consent Letter is obtained from the Caltrans Maintenance Area Superintendent.
Authorized disposals, under these conditions, must be accomplished within one working day.
Disposals made without prior authorization are illegal.
Utility companies may apply for annual tree pruning (trimming) permits, issued directly to the
utility companies involved, not to the company’s contractors. Annual tree pruning permits are
issued for conventional highways right-of-way and only in specific situations within
access-controlled right-of-way. They are not issued for access-controlled right-of-way. The
utility company must furnish a list of contractors with its application. Additional agents are
included only by a rider to a previously issued permit. A fee-exempt double permit (NDP) will
be required when the applicant lists a contractor that previously has been uncooperative. The
permit does not include the NDP contractor as an agent unless the applicant and the NDP
contractor provide written assurance that full cooperation will be provided.
Table 5.18
Permit Requirements for Electric Utility Tree Pruning
1. The electrical utility permittee must verify that the height of the utility lines provide the
minimum clearances necessary for trees that are maintained at a 40’ height. This is
especially true for utility lines over trees whose normal growth habit precludes pruning
to less than 40’ (for example, conifers, single central leader trees of natural conical or
pyramidal-type crown development). Exceptions to this requirement may be allowed
when these trees:
• Have a growth habit that can facilitate healthy growth and a natural form
despite repeated pruning and thinning operations. Trees in this category include
open, round crowned types, with several leaders or main branches forming their
crown framework.
• Allow utility lines to be placed through or below their crowns, minimizing
pruning, maintaining main leader and limbs, avoiding permanent disfiguration
of their crowns.
• Have been top pruned for many years, and the reconditioning necessary to
reestablish their natural growth habit is not cost effective.
• Consist mainly of volunteer growth from roadside seedlings or stump sprouting
and are determined by the District Landscape Architect to add little or no value
to the desired condition of the roadside.
2. The District will notify the utility company if further tree pruning is not desired, either
at 40’ height, or at another height determined to be best for the tree species. This
notification provides the utility company time to modify their facility, minimizing
additional pruning that may harm the trees. The utility company is typically allowed
two growing seasons to complete these modifications, during which light pruning is
permitted by Caltrans.
Table 5.19A
Permit Requirements for Electric Utility Tree Removal
1. The electrical utility permittee must verify that removal of volunteer trees from stumps
and seedlings located directly under electrical lines that may grow into electrical lines
provide little or no functional roadside value as determined by the District Landscape
Architect or Permits Landscape Architect. Seedlings are defined as non-planted or
volunteer trees with trunk less than 4 inches in diameter, and under 20 feet in height.
2. Obtain approval from the District Landscape Architect or Permits Landscape Architect
to remove trees in the following conditions:
• Clear cutting of volunteer trees, stumps, or seedlings under electrical lines.
• Removing groups of seedlings or volunteer trees that provide highway
screening for adjacent property.
• Removal of trees that require compensation, such as those that provide high
species value, historic landscape value, highway screening, wildlife habitat, or
other functional landscape benefit. Negotiating of replacement tree,
compensation, or mitigation planting measures will first be required.
Information on determining the fair value of an existing tree may be found in
the most recent edition of the “Guide for Plant Appraisal” available from the
International Society of Arboriculture. Removal of trees that provide high
species value, historic landscape value, highway screening, wildlife habitat or
other functional landscape benefit requires a separate permit.
3. Obtain approval from the District Landscape Specialist to remove trees in the
following conditions:
• Trees (which by mutual agreement) that pose potential hazard, such as; leaning,
uprooted, or dead trees. Providing replacement trees, compensation, or
mitigation planting will not be required.
• Trees (which by mutual agreement) that are of low species value, in poor
condition due to obvious poor health or severe structural defects, that do not
provide highway screening, wildlife habitat or other functional landscape
benefit. (Consult the Western Chapter, International Society of Arboriculture
Species Classification and Group Assignment pamphlet as a reference to
determine low species value.) Providing replacement, trees, compensation, or
mitigation planting will not be required.
4. To remove trees specified under 2 and 3 above, submit a completed Caltrans/Electric
Utility Tree Removal Request (Form TR-0168), to the District Landscape Specialist for
approval. Include one or more photographs of each tree to be removed. Remove trees
only after the Tree Removal Request is approved and signed by the District Landscape
Specialist or designee. Keep a copy of the signed Tree Removal Request at the work
site during tree removal operations.
Table 5.19B
Permit Requirements for Gas Utility Tree Removal
Tree removal permits over sub-surface gas utilities are subject to the following requirements:
5. Upon completion of the review process, the gas utility company must document the
agreed upon approach in the final report and submit the report along with the tree
removal permit application.
The USPS requires that all new and replacement mailboxes be approved by the postmaster
general. The following information is from the Postal Operations Manual (POM) and USPS-
STD-7B01. Further information and a list of approved manufacturers are located at
www.usps.com.
Curbside mailboxes must be placed so that they may be safely and conveniently served by
carriers without leaving their conveyances. They must be reasonably and safely accessed by
customers. Boxes must also be located on the right-hand side of the road and in the carrier’s
direction of travel in all cases where driving on the left-hand side of the road to reach the boxes
would pose a traffic hazard or violate traffic laws and regulations. On new rural or highway
contract routes, all boxes must be on the right side of the road in the carrier’s direction of travel.
Boxes must be placed to conform to State laws and highway regulations. Carriers are subject to
the same traffic laws and regulations as are other motorists. Customers must remove
obstructions, including vehicles, trash cans, and snow, that make delivery difficult. Generally,
mailboxes are installed at a height of 41 to 45 inches from the road surface to the bottom of the
mailbox or point of mail entry. Mailboxes are set back 6 to 8 inches from the front face of the
curb or road edge to the mailbox door. Because of varying road and curb conditions and other
factors, the Postal Service recommends that customers contact the postmaster or carrier before
erecting or replacing their mailboxes and supports. (POM, Section 632.524)
Boxes should be grouped wherever possible, especially at or near crossroads, service turnouts,
or other places where a considerable number of boxes are presently located. (POM, Section
632.525)
Any mailbox that is found to violate Caltrans or U.S. Postal Service standards must be removed
by the postal patron upon notification by Caltrans.
508 MISCELLANEOUS
Permit Code MC
MC permits authorize a variety of activities within State right-of-way that are not covered by
other specific permit types addressed in this manual. Some of these activities are described in the
following discussion.
• The site is excess land, (a Category 2B or 2C hold is required), and the Right of
Way Excess Lands Branch processes the hold.
• The site is airspace property, see the Right of Way Manual. Analysis must be
approved by the District Airspace Review Committee, and an encroachment
permit is required.
• The property is being held for future construction, see the Right of Way Manual.
• The project engineer notifies District Right of Way of the proposed use and the
target date for advertising the construction contract and informs District
Encroachment Permits that the contractor will be applying for an encroachment
permit.
The project engineer is responsible for ensuring that local and environmental approvals
are obtained and that appropriate language is placed in the Special Provisions for the
contract.
The resident engineer ensures that the contractor properly protects, maintains, and leaves
the property in a satisfactory condition at the end of the use, as required by the Special
Provisions.
2. Requests by Contractors to Use Non-Designated State Property Located Outside Project
Limits.
An encroachment permit is required to use non-designated State highway right-of-way
outside contract limits. Other Caltrans property is managed by a lease or rental
agreement.
Upon receipt of a contractor’s request to use State property outside of the contract limits
and not designated in the Special Provisions, the resident engineer directs the contractor
to the appropriate District Right of Way unit (Airspace, Property Management, or Excess
Land). For excess land rentals, a Category 2B or 2C hold is required, and the analysis
must be approved by the Excess Lands Branch (see Right of Way Manual.) For rental of
property held for future construction, see the Right of Way Manual.
District Right of Way assists the contractor, as needed, in securing local approvals and
environmental clearance. It also coordinates its activities with District Encroachment
Permits to ensure that the encroachment permit contains appropriate wording.
Payment for use of State property is based on fair market value.
Competitive bids should be sought by Right of Way for removing, harvesting, or pruning of
State highway plants, with leases not to exceed 20-acre (8.09 ha) parcels. Successful bidders
need an encroachment permit before starting work; the permit is fee-exempt.
Performance bonds are required on all permits (except public agency permits) authorizing work
on signals or structures. The bond must be a minimum of $10,000 and must be retained until the
permittee furnishes accurate as-built plans and other completion records for the permit work.
All materials used in the permanent construction must be individually tagged as inspected by
Caltrans or must be accompanied by a certificate indicating compliance with the permit. These
must be furnished by the permittee on a timely basis. This requirement does not preclude
Caltrans from testing materials when deemed necessary.
The permittee must provide field engineering for line and grade controls and must furnish
Caltrans with completion records including reproducible as-built plans upon completion of the
work. As-built plans furnished to Structures must be original-quality, full-size reproducible.
“Copies of Corner Records filed or Record of Surveys recorded in compliance with the Business
and Professions Code must be forwarded to the District Surveys Engineer.”
• Do not work on the roadway or shoulders, on bridges, in tunnels or near railroad tracks.
• Do not cross access-controlled right-of-way traffic lanes on foot. Use caution when
crossing conventional highways. Use crosswalks and signals where available.
• Face oncoming traffic as you work and keep an eye on traffic. Be prepared to move
quickly, if necessary.
• Discontinue work before dusk. Do not work when fog or other conditions reduce
visibility for drivers.
• Do not work when roadway is wet or icy.
• Do not touch or remove materials which you suspect may be toxic or hazardous. Items to
avoid include powders, chemicals, smelly substances, suspicious packages, chemical
drums or containers, weapons, syringes or hypodermic needles, dead animals and broken
glass. Notify Caltrans or law enforcement (California Highway Patrol, Sheriff, etc.) of the
location of weapons or suspected toxic substances immediately.
• Do not compact trash bags. Injuries from broken or jagged objects may occur.
• Wear hard hats, either ANSI Class II or III compliant vests, safety glasses or goggles and
other personal safety equipment as advisable.
• Wear long pants and substantial leather shoes or boots with ankle support.
• Watch your footing and stay off steep slopes, drainage facilities or places from which you
might fall.
• Do not use portable music devices that require the use of headphones or earbuds
• Do not run, throw objects or engage in horseplay or any other activity which may distract
drivers.
• Do not consume alcoholic beverages or drugs before entering or while on the roadside.
• Be alert where snakes may be located. Also be alert for stinging insects and poisoning
plants (e.g. poison oak).
Proposals for installing LESDs within access-controlled right-of-way must also comply with
guidance and requirements established in Project Development Procedures Manual Chapter 17,
Section 1, Article 4, “Non-Utility Encroachments within Access Control Right-of-Way".
Table 5.19C
Law Enforcement Surveillance Devices Permitting Criteria
1. Encroachment permits authorizing installation, ownership, and/or operation of LESDs
within the State highway right-of-way can be issued only to local law enforcement
agencies or the CHP.
2. Annual maintenance permits can be issued to the owner of the LESDs to maintain
the infrastructure installed within non-access controlled right-of-way.
3. A double permit is required if a contractor is installing or maintaining the installations
for the permittee.
4. The entire LESD system must be independent from any Caltrans structure, pole,
communication system, power supply, or other Caltrans-owned facilities.
5. Poles or other fixed objects installed to mount LESDs must meet horizontal clear
recovery requirements described in the Highway Design Manual Topic 309-Clearances.
These poles are considered discretionary fixed objects and will be allowed only if
shielded behind existing guardrail, barrier or other safety device. If there are no
existing shielding devices, the poles must be placed 52 feet horizontally or 8 feet
vertically up-slope from the edge of traveled way.
6. At minimum, the permittee's LESD system installation plans must:
a) Include all electrical, electronic, civil, and mechanical work pertaining to the
LESD system;
b) Show the electrical installation, and demonstrate that it operates independent of
Caltrans highway infrastructure; and,
c) Utilize separate conduit with distinctively marked pull boxes.
7. Caltrans shall have no direct access to or control of the surveillance data collected by
LESD.
8. Other than the LESD permits issued to the CHP, the permittee must notify and send a
copy of each issued LESD encroachment permit to the local CHP Office.
9. Upon termination of surveillance activities, the permittee must notify Caltrans District
Permit Office in writing within 30 days and remove all LESD infrastructure from
Caltrans' right-of-way. If the permittee fails to comply, Caltrans may remove the
LESD system and the permittee must reimburse Caltrans for all associated costs of
removal and storage.
The Headquarters Landscape Architecture Program reviews and comments on all appeals. If the
Landscape Architecture Program denies the appeal, it will be the final decision by Caltrans and
the applicant will have no further rights to appeal.
Table 5.20
Guidelines for Visibility Improvement Requests (VIRs)
General Conditions
1. Work must be performed in accordance with the guidelines of the International Society of Arboriculture current ANSI
A300 Standards.
2. The tree pruning contractor must be licensed by the California Contractors State License Board and hold a current C61
or D49 license.
3. Visibility improvement modification must not detract from appearance, compromise function, or adversely affect the
maintainability or longevity of the vegetation. Within these limitations, the intent is to maintain:
a. Visibility of off-premise displays; and,
b. Visibility of on-premise displays.
4. Pruning must not disfigure or compromise the plant’s health.
5. Only one pruning per each 12-month time period will be allowed.
6. Removal of more than 15% of any tree’s canopy within a 12-month time period or more than 25% during any 24-month
time period is not allowed.
7. Apply supplemental water to pruned trees as recommended by the District Landscape Architect or District Maintenance
Landscape Specialist. To conserve domestic potable water, water must be either recycled or non-potable. Comply with
the requirements of non-potable and recycled water use in Section 10-6 “watering” of the Standard Specifications.
8. Where planting is owned and maintained by the local entity, e.g., on a conventional highway comply with the pruning
requirements of the local entity.
9. Pruning will only be allowed during a horticulturally appropriate time of year, based upon the tree species, solar
exposure (to prevent sun scald), climate zone, and biological constraints (endangered species, nesting birds, etc.). The
District Maintenance Landscape Specialist will evaluate and specify in the permit the required time to prune.
10. A bond or cash deposit may be required.
11. Pruning or removing Blue Oak, Engelmann Oak, Valley Oak or Coast Live Oak trees is not allowed. State agencies are
required to preserve and protect native oak woodlands and to provide for replacement plantings whenever Blue,
Engelmann, Valley, or Coast Live Oak trees are removed from native woodlands (Senate Concurrent Resolution No.
17, passed September 1989).
12. Place mulch beneath pruned trees. Mulch must be 4-inches deep, not touch the trunk of the tree, and extend 5-feet
beyond the outer edge of the tree canopy (drip-line). Do not place mulch in drainage ditches, in paved areas, or closer
than 5-feet of the paved roadway edge. An exception to required mulch placement may be granted by the District
Landscape Architect or the District Maintenance Landscape Specialist if existing site conditions do not allow for mulch
placement.
If the only project element is the driveway, then sidewalks directly adjacent to the driveway are
considered to be out of the project scope. If other elements of the property frontage are being
constructed or reconstructed, then all elements must comply with the current Design Information
Bulletin 82 (DIB 82). ADA certification is required (See Section 500 and Chapter 200).
Permits must not be issued for servicing vehicles parked within State right-of-way. These
establishments should be set back on private property to allow for service outside the
right-of-way.
• A road maintained for general public use that has dedicated right-of-way or easements
and serves multiple property ownerships.
• A road maintained at public expense and that connects to a public agency facility serving
the public, such as a State park, a Native American reservation, a county government
center, a city landfill, etc.
A public road usually exceeds one-quarter mile in length. It functions as part of the local
circulation system providing access to land uses indicated in local general plans. The California
Transportation Commission may require that construction of a public road be started when
Caltrans grants a permit for connection of the road to the State highway. The California
Transportation Commission also may require that authorization for a new road connection be
voided if construction of the public road is not undertaken within a specified period.
A private road connection to the State highway system is any connection other than public road
connections and driveways. For example, a private road connection includes a stub connection,
which is a publicly used access opening. A stub connection usually is less than one-quarter mile
in length and serves privately-owned property which is (or is planned to be) used for commercial
business or other development (for example, a shopping center, manufacturing plant, industrial
park, condominium complex, etc.). This definition does not preclude a city or a county from
having jurisdiction and maintenance responsibility over a proposed stub connection, but such
would not relieve the property owners from paying compensation for the private access rights to
be acquired from other private property owners.
New private road connections on access-controlled highways are handled as right-of-way
transactions using Director’s Deeds and are processed through the California Transportation
Commission. Compensation is obtained for the enhancement of values, which is based on
appraisals of the property with and without the new private connection less the appropriate costs
of any required State highway modifications or mitigation. The compensation never is less than
the value of State highway modifications or mitigation measures required for Caltrans to
accommodate the new access.
Descriptions of road approaches in the Highway Design Manual are condensed. Complete and
detailed procedures for review and approval by the California Transportation Commission are
described in Caltrans’ Project Development Procedures Manual.
Before issuing an encroachment permit to establish a driveway for a logging operation, the
permit engineer should review the California Department of Forestry’s (CDF) timber harvest
plans. These plans are sent from the Intergovernmental Review Coordinator to the permit office.
Table 5.21
Minimum Standards for Road Approaches and Driveways
Road approaches and driveways generally must comply with these minimum standards:
1. Typical rural driveways with unimproved frontage on conventional State highways
must conform to guidelines shown in Appendix J.
Exceptions may be made on low-traffic highways or where a highway is non-standard
or is to be soon abandoned. Approval of exceptions for responsibilities that have not
been delegated to the districts will be made by the Chief, Office of Project Support.
Approval of exceptions for responsibilities that have been delegated to the districts will
be made by the appropriate district representative as outlines in the district’s design
delegation agreement.
2. Design of urban driveways with improved frontage and access openings on
expressways must be in conformance with Caltrans’ Highway Design Manual.
3. Public road connections to freeways, and the crossing of freeways must conform to the
provisions of Caltrans’ Project Development Procedures Manual.
4. Curb ramps at curbed public road connections must conform to Caltrans’ Standard
Plans.
5. ADA certification is required if the driveway is part of an access route or pedestrian
facility.
After plan approval, the permittee must submit a fee to cover any additional review and
estimated inspection costs associated with new work. When the new work is substantial and may
require extensive inspection, the permit engineer has the option of changing an “As Set” permit
to “Actual Cost” inspection when the rider is issued.
3. Permit inspection may be provided, without fee, to insure compliance with traffic control
and roadway construction.
Additionally, railroad companies enter into lease agreements with communication service
providers to install fiber optic cables within their right-of-way. Some of these cables pass
through easements (e.g., grade crossings or grade separations) acquired by Caltrans from the
railroads. Although Caltrans is under an easement agreement to use their property for highway
purposes, the railroad retains the right to allow other uses of their property provided the lessee’s
activities do not conflict with highway safety or operation.
A fee exempt encroachment permit should be issued to the provider for installing fiber optic
cable within Caltrans’s easement. Permits are marked “For Record Purposes Only.” The railroad
company controls the location and inspection of the cable installation while the District performs
inspection to mitigate potential highway and traffic impact.
Send new railroad grade crossing applications to Headquarters Division of Rail, Division of
Design, Chief, and Structures for review. They must include full details and the District’s
recommendation. Details include:
1. Service to be rendered.
2. Commercial development dependent on proposal.
3. Engineering features.
4. Railroad operation.
5. Volumes of traffic.
6. Description and sketch of crossing location.
7. Effect on highway operation.
8. Railroads property rights and CPUC action.
9. Construction requirements, traffic handling plans, etc., considered necessary by the
District for protection of public traffic.
These details are incorporated in special provisions for railroad construction projects.
statement, so that compliance is met upon receipt of an executed contract. The contractor must
sign and submit the form with the permit application. The form reads:
“ATTACHMENT NO. 1 TO APPLICATION FOR ENCROACHMENT PERMIT
CERTIFICATION BY CONTRACTOR FOR CONTRACT NO.________________
I am aware of the provisions of Section 3700 of the Labor Code which requires every
employer to be insured against liability for worker’s compensation or to undertake self-
insurance in accordance with the provisions of that code, and I will comply with such
provisions before commencing the performance of the work of this contract.
______________________
Contractor
Licensed in accordance with an act providing for the registration of contractors
License No. ____________.”
The permit engineer must contact District Construction before issuing the permit to ensure the
contractor’s request is acceptable and obtain the resident engineer’s name for inspection
purposes.
Encroachment permits issued to State contractors for borrow or disposal areas outside the
contract limits are similar to a “Notice to Relocate” and are exempt from permit fees when those
locations are designated in the contract. If locations are not designated in the contract, the
contractor must obtain a lease from Right of Way and an encroachment permit.
When several Districts are involved, a lead District is designated by headquarters Permits and a
single permit is issued by the lead District after coordination with the other district(s).
Not more than 4 (four) permits for the same activity at the same location must be issued in any
calendar year (Section 682.5 of the Streets and Highways Code).
Permittees are responsible for all traffic control and fees for special events and must
independently coordinate all activities with other affected jurisdictions.
Special event activities that conform to the California Vehicle Code and do not interfere with
public traffic do not require a permit or are handled by the Traffic unit as an incident-response,
as for example, high-density traffic before and after a major football game.
Whenever a special event is allowed, Caltrans may restrict the use of or close any State highway
whenever Caltrans considers such closing or restriction of use necessary (Streets & Highway
Code Section 124):
a) For the protection of the public.
b) For the protection of such highway from damage during storms or during construction,
improvement, or maintenance operations thereon.
Caltrans’s authority to issue encroachment permits for special events on State highways is
derived from Streets and Highways Code Section 124, 670, and 682.5.
Legal authority for a local legislative body, e.g., city or county to close portions of State
highways for special events comes from Sections 21101 and 21104 of the California Vehicle
Code. These sections read in part:
Section 21101 Local authorities may adopt rules and regulations by ordinance or resolution on
the following matters:
(e) Temporarily closing a portion of any street for celebrations, parades, local special events, and
other purposes when in the opinion of local authorities having jurisdiction such closing is
necessary for the safety and protection of persons who are to use that portion of the street during
the temporary closing.
In addition, Districts should consider the following questions before deciding to issue or deny an
encroachment permit for a special event. At the discretion of the District Permit Engineer, issued
permits may include provisions to resolve these questions:
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 5-84
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 500 - Specific Encroachment Permits
• Is there a staging area for event participants, and is there the potential for traffic
operational problems at the staging area?
• Has the applicant obtained the cooperation of local law enforcement?
• Has the applicant made arrangements for emergency services for participants if needed?
• Has the applicant established clear rules for event participants, and have these been
communicated to the participants?
• Is this a competitive event based on gender? Is there any prize compensation for
participants? Is the compensation identical for each gendered category at each participant
level?
• Are pets allowed in the event?
• Are sweep vehicles needed to pick up any stragglers at the end of the event?
• Are there any restrictions such as no bicycles, no skates, or other wheeled contrivances?
• Are there any restrictions on the age and physical condition of the participants?
• Have public transit agencies been notified of the event if it might affect transit operations
or schedules?
• Is it necessary to notify emergency services such as police and fire departments? Have
arrangements been made for passage of these vehicles through or around an event?
• Clean up
An event may be canceled, postponed, or terminated at any time if, in the opinion of Caltrans,
weather or other conditions present unacceptable hazards. This clause must be included in the
permit:
“If rain, fog, or other elements significantly affect safety for event participants or
vehicular traffic, Caltrans may take whatever action is necessary to protect the public.
Also, if for some unforeseen reason the traffic demand for the State facility significantly
exceeds the anticipated demand, it may be necessary to terminate the event.”
The permittee must pay required fees and charges. These fees include review and analysis of
traffic handling proposals, answering correspondence, coordinating with law enforcement
agencies, etc. In addition, the California Transportation Commission has established the
following requirement by Resolution G-18 (8-25-78):
“… that a toll charge equal to that charged for a 7-axle truck be and it is hereby
established for each such event involving the use of a state-owned toll bridge…” The
event sponsor must provide a bridge toll receipt as proof of payment prior to permit
issuance.
Encroachment permit fees are not required of nonprofit organizations possessing a resolution for
conducting municipal parades that are considered a civic event. For example, to qualify for fee
exemption, parades are held on legal holidays such as: Independence Day, Veterans Day, etc.,
and conducted by veterans' organizations, schools, and youth organizations.
The applicant must provide proof that the responsible enforcing agency is aware of the special
event and that special enforcement will be provided if it is necessary. This proof must be
documented.
Caltrans issues encroachment permits to cities, counties, and nonprofit organizations for special
events and cooperates with a special event sponsor but must not be considered a sponsor or
cosponsor of any event. Permits are issued only when:
1. The event is sponsored by a nonprofit organization.
2. Local interest and support for the activity is evidenced by an ordinance, resolution, or
written consent (see Appendix I) from all local governments impacted directly. Local
resolutions are required for all special events unless a prior resolution clearly shows the
intent to cover repeat events. For example:
• If a previously-adopted resolution (still in effect) shows the intent to hold the
special event on an annual basis, or
• Written approval is provided from an individual delegated authority by the elected
body by ordinance (see Appendix I).
3. The time and date of the event are acceptable to Caltrans and are specified on the permit
to maximize safety and minimize traffic disruption. Event sponsors are required to
schedule events at a time when traffic volumes are low. If the event requires lane
closures, an analysis must be made to determine whether remaining lanes can carry
expected traffic volumes. A lane closure must be limited to the shortest period of time
necessary to hold the event.
4. The proposed use will not significantly detract from the safe operation of the highway,
unreasonably delay or inconvenience the traveling public, or expose participants to
unusual hazards. Safe operation for the motoring public and the event participants is a
primary concern when planning special events. If the event requires using a lane next to
high-speed traffic, it is desirable to provide a buffer lane between the event lane and live
traffic lanes.
When a buffer lane cannot be provided, detouring traffic around the event should be
considered. A detour route should take into account traffic volumes, length of detour, and
impact on emergency vehicles. The encroachment permit must define the route for event
participants and include the detour plan.
5. The applicant provides insurance to cover the State’s potential liability.
Prize Compensation Requirements:
If the event awards prize compensation to competitors in gendered categories, the Permittee is
required to ensure and certify that the prize compensation is identical for each gendered category
at each participant level. (Streets and Highways Code, Section 682.7)
The Permittee is responsible for responding to all claims and/or complaints related to prize
compensation for all gendered categories at each participant level. The Permittee must
substantiate and show that the prize compensation for each gendered category was identical for
the competitors at each participant level receiving prize compensation upon request. Should the
Permittee fail to demonstrate compliance with gender equity, the subsequent event permit
requests will be denied until demonstration of compliance is satisfactory.
• A community chest
• A fund or foundation
• A civic league or organization (boy scouts, veteran’s organization, etc.)
• A chamber of commerce or a business league
• A recreational club
• A fund or foundation, a fraternal beneficiary society, order or association (lodges-
-Elks, Moose, etc.)
2. Is the organization formed and operated exclusively for one or more of the following
purposes?
• Charitable
• Religious
• Scientific
• Testing for public safety
• Literary
• Educational
• The prevention of cruelty to children and animals
• National or international amateur sports competition (only if none of its activities
provide athletic facilities or equipment)
3. None of the organization’s net earnings benefit private shareholders or individuals.
4. None of the organization’s activities is propaganda, influencing legislation, or a political
campaign.
5. None of the proposed activities can include vending within the State right-of-way (see
Section 514.6) unless vending is an incidental part of the special event (authorized under
Section 682.5 of the Streets and Highways Code).
Table 5.22
Encroachment Package for Special Events Permits
The final encroachment package submitted to Caltrans by the applicant must include these
materials:
1. A completed and signed application for an encroachment permit and the appropriate
fee.
2. Traffic control plans.
3. Detour plans approved by all affected Local entities (cities, counties and Tribal
governments).
4. Resolutions or approvals from all impacted governments indicating formal approval of
the special event and detour plans. Resolutions should conform to Caltrans’ sample
format (Appendix I).
5. Fully completed and signed Encroachment Permit Application Checklist – Special
Events (form TR-0410).
6. A certificate of liability insurance naming the State of California, California
Department of Transportation, the directors, officers, employees, and/or agents of the
State of California and/or of the California Department of Transportation as additional
insured and in an amount determined by Caltrans to be appropriate for the event.
Cities, counties, public schools, local improvement districts, and other local or
State agencies are exempt from insurance requirements.
Access-controlled right-of-way ramp closures normally do not require insurance for special
events occurring outside the right-of-way.
Table 5.23 indicates the general criteria for the three risk categories. When the risk of an event is
believed to be unusual, the Districts should contact Headquarters Permits to obtain an insurance
amount beyond those indicated in Table 5.23. District permit engineers should review high-risk
special events and present the information to Headquarters Permits. Caltrans Legal will establish
an insurance amount.
Table 5.23
Insurance Requirements for Special Events
installation, or it can include text stating “Own and maintain street lighting facilities installed by
‘X’ under Permit Number ___.”
Design and construction standards for signals and lighting must conform to the latest Plans
Preparation Manual, Standard Plans, Standard Specifications, 1996 Caltrans Traffic Manual
(Sections 9-06 through 9-13) for lighting, California Manual on Uniform Traffic Control Devices
(Part 4, Highway Traffic Signals) for signals, and the Signal, Lighting Electrical Systems Design
Guide.
For continuous street lighting, the installations may conform to local standards, but Districts
should ensure that the facilities meet minimum requirements for wind loading, breakaway, and
location within the right-of-way. The District Traffic Electrical unit determines when lighting
installations are considered safety lights that may require ownership by Caltrans.
When permit work for signals and State-owned lighting is completed, the as-built plans are
signed by the appropriate inspector and copied for District Traffic Electrical and Maintenance.
Permit inspectors and Maintenance electrical staff should ensure that copies of as-built plans for
signals are placed inside traffic signal controller cabinets.
Plans for installation of traffic signals and lighting designed by private and local agency
engineers should be reviewed by the District Traffic unit. If roadwork is involved, the entire
package must be reviewed by Traffic Electrical (i.e., signal and lighting plans, striping plans,
roadway plans, and any contract specifications or special provisions).
Minimum plan requirements for work involving or affecting signals, lighting, and electrical
systems are shown in Table 5.24. Caltrans will not accept the job as complete until the permittee
provides the Office of Encroachment Permits with one (1) 20 ft. (1: 240) scale reproducible film
and an electronic copy of as-built plans within 30 days after completing authorized work.
Table 5.24
Minimum Plan Requirements for Signals, Lighting, and Electrical Systems
Plans for signals, lighting, and electrical systems must comply with these minimum
requirements:
1. Separate 20 ft. (1: 240) scale plans on standard layout sheets 22''x 34''
2. Reproducible film media and an electronic copy provided for review
3. Using an existing as-built reproduction as a plan base is not acceptable.
4. Design details (such as right-of-way lines, striping, crosswalks, and curb ramps) must
be shown.
5. All supporting documentation must be provided (for example, draft environmental
impact reports, traffic studies, and traffic warrants)
6. These are general requirements; Districts may require additional submittals for
approval
7. ADA certification is required (See Section 500 and Chapter 200)
516 SURVEYS
Permit Code SV
SV permits may be issued for property survey work, traffic counts, research and materials
investigations, test wells, and preliminary surveys for highway improvements, depending upon
accessibility, traffic conditions, available highway facilities, etc. Requests for survey assistance
and an estimate of costs should be referred to the District Surveys Engineer or responsible unit.
Table 5.25
Guidelines for Issuing Permits for Accident Reconstruction Surveys
study groups hired to investigate sites identified in environmental impact reports. All
applications are reviewed by District Environmental staff, with Maintenance and Traffic units
often involved also.
Traffic and pedestrian safety is provided by the permittee when open excavations are proposed.
Excavations are managed and protected in the same way as trenches adjacent to the traveled way.
An archaeological survey sometimes is required because finds are unearthed during the course of
other permitted work. These investigations are approved by the original permit, and no other
permit is issued.
Table 5.26
Conditions for Research Projects Funded by FHWA
Research projects funded by FHWA are subject to these conditions:
Safety Equipment
• The contractor, as part of the research project, must not flag, direct, obstruct, or interfere
with public traffic or close lanes or shoulders. Any such work that is necessary is done by
State maintenance personnel. A Caltrans maintenance employee must be present at all
times for research projects that involve traffic control, lane closures, or shoulder closures,
or any work on lanes.
• The contractor’s vehicles must not have activated rooftop flashing lights. They must not
be parked on traffic lanes and must be parked off the paved shoulder where practical.
• The contractor’s work must be done according to conditions of the Maintenance Manual,
except when the encroachment permit provides other restrictions.
• Work on lanes and crossing of access-controlled right-of-way lanes usually must be
prohibited unless the lane is closed. Caltrans’ policies regarding limited-time work on
lanes along highways that have low volumes apply only if authorized by the permit and
only if traffic volumes are low.
• The contractor’s personnel must not be closer than six feet to moving traffic at any time.
Technical Equipment
• Caltrans cannot loan or rent to the contractor any equipment needed for research
operations, such as time-lapse cameras, radar sets, etc.
Fires
• The contractor must comply with all local, State, and federal fire regulations. Open
flames or fires are permitted only in vehicles parked over bare ground or pavement or
when vegetation is wet and the appropriate officials have declared the fire season ended.
• The contractor must have one shovel per vehicle when any work is performed in grass,
brush, or forests during the dry season.
• Vehicles must not be parked on tall, dry grass.
To mitigate driver distraction, UAS should not be flown lower than 100 feet above the ground.
Launching and landing must be at least 50 feet from the edge of traveled way unless Intermittent
Traffic Control (rolling break) closure is implemented. UAS operators should be as far as
possible from the edge of travelled way while operating UAS and as close to the right of way
property line as possible.
UAS operations within SHS right-of-way may be permitted only when associated with
authorized construction work or other permitted activities such as filming, special events,
surveys, or accident reconstruction work. UAS operations for other purposes, such as recreation,
private, or business uses are not allowed within the SHS right of way.
UAS permit requests associated with Caltrans capital projects or Architectural & Engineering
(A&E) contracts are to be managed as administrative permits (See Encroachment Permit
Manual, Section 500, Administrative Encroachment Permits) with respective project leads
(Design, Construction, or A&E Contract Manager) providing oversight responsibilities.
All permitted UAS operation activities must comply with the Caltrans UAS Operations
Handbook (Handbook), which provides procedures and requirements to conduct UAS operations
within the SHS right of way. The Handbook can be accessed at the Division of Aeronautics
internal website. The Encroachment Permit Special Provisions for Unmanned Aircraft Systems
(UAS) Operation must be attached to every encroachment permit issued for UAS operations.
In addition to supporting documents, applicants must provide a completed Unmanned Aircraft
Systems (UAS) Operation Data (form TR-0414) and proof of insurance (see the Handbook) with
their EPAP. After the project is complete, the permittee must provide an Unmanned Aircraft
Systems (UAS) Post Operation Data (form TR 0415) before the project can be accepted as
complete by the State’s representative.
Law enforcement agencies must first consult with the CHP and get their concurrence for the
checkpoint operation before District Traffic review. In addition, the enforcement agency must
supply a completed encroachment permit application and a list of locations for the various
checkpoints. Districts should cooperate with law enforcement in identifying checkpoint locations
and establishing safe, effective traffic control. The District Traffic Operations unit must review
the proposed locations for safety and suggest alternatives for unacceptable locations. Locations
may be added by permit rider after permit issuance.
State Standard Plans T-11 governs the use and placement of traffic control devices, and
provisions of Section 12 of the Standard Specifications are required. Sign messages shown in T-
11 may be modified to address the operation.
7. A meeting with responsible agency personnel, the charity, the permittee, the California
Highway Patrol (CHP), and Caltrans must be held prior to the issuance of the permit to
go over all issues, restrictions, time constraints and the TMP.
8. The District Permit Engineer may require CHP or other law enforcement personnel to
assist the permittee with traffic control at the District Permit Engineer’s discretion.
9. A letter from the applicant stating that all of the above have been completed and
acceptance of the provisions provided in same.
10. No more than 4 (four) permits for the same activity at the same location must be issued in
any calendar year (Section 682.5 of the Streets and Highways Code).
11. Charitable solicitation must not be performed within access-controlled right-of-way
facilities.
12. Local agencies are exempt from encroachment permit fees for charitable solicitations.
Table 5.28
Requirements for Tunneling
Tunneling must satisfy the requirements for bore and jacked pipe (see Section 603.6A) and
these additional requirements:
1. Tunneling is authorized when the permittee provides full-time inspection and is
monitored by a Caltrans representative.
2. The permittee must set and check a survey grid over the centerline of the pipe jacking
or tunneling operation. Copies of the survey notes should be submitted to the Caltrans
representative at Caltrans’s discretion.
3. Caltrans may require sand shields as ground conditions change.
4. The method used to check the grade and alignment must be approved by Caltrans’
representative before work begins.
5. Pressure grouting for liner plates, rib and spilling, or rib and lagging tunnels must be at
every 8' section or at the end of work shift before the next section is excavated. All
grouting must be completed by the end of each workday.
6. A method for securing the headway at the end of each workday is required. Breast
plates must be installed during working hours for running sand or super-saturated soil.
519 WALL
Permit Code WL
Retaining walls and soundwalls often are proposed by local agencies and developers as part of
their work outside State right-of-way. Local agencies may perform advance construction of
soundwalls within State right-of-way when the project is in Caltrans’ State Transportation
Improvement Program (STIP) but funding is uncertain. In these cases, cooperative agreements
between Caltrans and local agencies specify Caltrans’ future participation in reimbursement, plan
requirements, and construction standards.
The applicant is responsible for the design, construction, and future maintenance of walls
constructed outside State right-of-way. Plans for construction within the right-of-way are
reviewed by District Project Development, Environmental, Landscape Architecture,
Maintenance, and Headquarters Structures. Project plans should include access gates and fire
hose openings. Caltrans must maintain soundwalls built within the right-of-way. Structures
Maintenance must approve plans for walls to be used for retaining purposes.
Applicants should store materials and provide access to the construction site from outside State
right-of-way. When access from outside State right-of-way is limited, Districts may allow work
and materials storage within the right-of-way but must maintain the clear zone or require K-rail
protection. Permittees may relocate access control fences to ensure continuity of the fencing and
allow for permitted work.
Upon completion, permittees must remove the fencing in front of the wall, set new end posts
with bracing approximately 4'' from the wall, and connect the remaining access fence. Salvaged
fence is delivered to the nearest State maintenance facility. Retaining walls must have standard
CL-6 fencing or a minimum 6' soundwall above ground surface (see Section 504).
Regional water quality control boards and county representatives oversee the testing well
operation, abandonment, and compliance with the Department of Water Resources’ standards.
A maximum expiration date of 5 years is to be used for MW permits. The permittee will need to
reapply for a new MW permit (not a rider) as needed.
The owner of the required clean up must submit a minimum $5,000.00 performance bond prior
to permit issuance.
521 SIGNS
Permit Code SI
521.1 Guide Signs to Points of Local Interest
When State (conventional) highways also function as a community’s “Main Street” local
agencies may place supplemental guide signs to points of local interest when approved by
District Traffic Operations. Policies governing placement of guide signs are located in the
CA-MUTCD. Signs may indicate directions to locations that do not meet Caltrans’ minimum
qualifications or to those places of community interest, which normally do not warrant signing
by Caltrans. Examples of destinations that may receive signing include:
∗ Business Districts ∗ Libraries ∗ Public Parking
∗ City Halls ∗ Museums ∗ Visitor Information Centers
∗ Civic Centers ∗ Parks and Zoos ∗ Hospitals (emergency service)
∗ Community Swimming Pools ∗ Police Agencies
Sign installation and maintenance must be by the local agency at no cost to the State. Sign
locations must be limited to areas where they do not block or interfere with warning, regulatory,
or other guide signs necessary for the safe and efficient operation of the highway. Sign panels
should be clearly marked as to city or county ownership. ADA certification may be required if
supports are placed in an access route (See Section 500 and Chapter 200). Encroachment permits
for placement of guide signs are issued as fee-exempt and may be biennial.
Table of Contents
600 INTRODUCTION (Rev 04/18) .......................................................................................... 1
600.1 Utility Permitting and Billing Process .......................................................................... 3
601 ADMINISTRATIVE UTILITY PERMITS ........................................................................ 4
601.1 State Required Relocation............................................................................................. 4
Permit Code UR ................................................................................................................... 4
601.1A Performing Relocation Work .................................................................................... 6
601.2 Utility Wireless Installations (Rev 04/18) .................................................................... 6
Permit Code AS .................................................................................................................... 6
601.3 SAFE Telephones ......................................................................................................... 6
Permit Code US .................................................................................................................... 6
602 UTILITY ACCOMODATION POLICY ........................................................................... 7
602.1 Conditions of Occupancy within State Highway Right-of-way (Rev 04/18) ............... 7
602.2 Utility Owner Prior Rights ............................................................................................ 8
602.3 Encroachments No Longer in Use (Rev 04/18) ............................................................ 8
602.4 Utility Encroachments within Access-controlled Right-of-way ................................... 9
602.4A Access Encroachments .............................................................................................. 9
602.4B Transverse Encroachments within Access-controlled Right-of-way ........................ 9
Permit Code UJ .................................................................................................................... 9
602.4C Longitudinal Utility Encroachments within Access-controlled Right-of-way ........ 10
Permit Code UL.................................................................................................................. 10
602.5 Utility Encroachments within Conventional Highway Right-of-way ........................ 11
602.5A Transverse Utility Encroachments within Conventional Highway Right-of-way .. 11
Permit Code UJ .................................................................................................................. 11
602.5B Longitudinal Utility Encroachments within Conventional Highway Right-of-way 12
Permit Code UL.................................................................................................................. 12
602.5C Temporary Steel Plate Bridging - With a Non-Skid Surface (Rev 04/18) .............. 14
602.6 Utility Encroachments and General Construction on Scenic Highways .................... 16
602.6A Utility Facilities ....................................................................................................... 16
602.6B General Construction ............................................................................................... 18
602.7 Utility Encroachments on Structures .......................................................................... 18
602.7A Utilities Within or on Bridges ................................................................................. 18
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 06/2018 6-i
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 600 - Utility Permits
Chapter 600
Utility Permits
600 INTRODUCTION (Rev 04/18)
Caltrans policy is to allow utilities within conventional highway right-of-way subject to
reasonable conditions and to exclude them from within access-controlled right-of-way to the
extent practicable with few exceptions. Requests for utility encroachments that are not allowed
by Caltrans policy or utility access within access-controlled right-of-way require an approved
encroachment policy exception.
The primary purpose of these policies is to protect both the public and highway workers from the
hazards of a damaged, exposed, cut, or penetrated utility. The secondary purpose is to protect the
public’s investment in the highway system (see Project Development Procedures Manual
[PDPM] Chapter 17). In the event of there being a discrepancy between this manual and the
PDPM, the PDPM shall govern.
Caltrans policy does not allow the installation of septic tanks, leach fields, or any other facility
that may lead to future costs for the State.
When Caltrans issues a permit for installation of public utility facilities, it does not inspect the
installation for compliance with the utility or public corporation standard. Compliance with
industry standards is the responsibility of the public utility or public corporation.
Registered Engineer's Seal and Signature requirements on utility plans are discussed in section
202.5A.
The most common utility and franchise facilities are:
• Water
• Sewer
• Broadband
• Cable Television
• Electrical
• Natural Gas
• Telephone - Cellular
• Telephone - Landline
• Common-carrier petroleum pipelines
Services, products, and commodities, such as those mentioned above, that are provided as a
service to the public are called public utilities. Public corporations and private companies may
own and operate facilities for the transmission and distribution of utilities. Public corporations
are owned by the local governing body, e.g., the Sacramento Municipal Utility District (SMUD)
and are governed by State law and CPUC regulations. Privately owned companies providing
service to the public, such as, Pacific Gas and Electric (PG&E) and Southern California Edison
are regulated by the State law and CPUC regulations. Also, privately owned companies that do
not generally provide utility service to the public and are not regulated by the CPUC, may
service the public under a franchise by the local governing body (e.g. city or county).
Before a privately owned utility company can offer its services to the public it must, in most
cases, first obtain a Certificate of Public Convenience and Necessity (CPCN) from the CPUC.
After the CPCN is granted, the utility company must file its tariffs (rates) with the CPUC. Upon
approval and under CPUC regulation, the utility company can sell its services to the public.
Qualifying utility companies are issued a User Fee Number by the CPUC.
In some cases, only certain segments of a company's facilities may be public utilities, while other
segments are used exclusively by the company. If there is any question regarding the status of a
permit applicant or a specific facility segment as to a public utility, contact the appropriate
Branch (Energy, Telecommunication, or Water Utilities) of the CPUC's Advisory and
Compliance Division. They will verify the status of the company or facility.
Streets and Highways Code Section 117 grants Caltrans the authority to issue permits, under
Chapter 3 (commencing with Section 660), for the location in the right-of-way of any structures
or fixtures necessary to telegraph, telephone, or electric power lines or of any ditches, pipes,
drains, sewers, or underground structures.
Caltrans has developed minimum standards for the occupancy and use of the State highway
right-of-way for utility facilities.
This chapter addresses requirements for the initial placement and subsequent adjustment,
relocation, and replacement of utility facilities within State highway right-of-way. It also
describes specific requirements associated with these permit codes:
Table 6.0A
Administrative Utility Permit Codes
SECTION CODE TITLE
601.1 UR State required relocation
601.2 AS Utility wireless installations
601.3 US SAFE telephones
Table 6.0B
Utility Permit Codes
SECTION CODE TITLE
603.2A BB Telecommunications (including broadband)
602.7A UB Utilities within or on bridges
603.4A UC Conventional Aerial
604 UE Utility Annual Maintenance
603.4B UF Access-controlled Aerial
602.4B
UJ Transverse encroachments
602.5A
602.4C
UL Longitudinal encroachments
602.5B
603.5 US Service Connections, Potholing, Modifications and Miscellaneous Utility Work
603.6B UT Open-cut road
This information is provided on the face of the notice, and the issued permit may mimic the
notice to simplify procedures and avoid conflicting statements. The District Encroachment
Permits Office sends copies to Maintenance, Construction, and the area permit inspector for
information. Construction is responsible for inspection and permit completion including the
“Progress Billing/Permit Closure” (form TR-0129).
The law governing liability for the cost of relocating utility facilities encroachments is complex
and must be interpreted uniformly and fairly. The Right of Way Utilities section is responsible
for the cost sharing decisions.
All permits for local agency projects constructed by encroachment permit without a cooperative
agreement must contain this clause:
“If existing public or private utilities conflict with the construction PROJECT,
PERMITTEE will make necessary arrangements with the owners of such utilities for
their protection, relocation, or removal. PERMITTEE must inspect the protection,
relocation, or removal of such facilities. Total costs of such protection, relocation, or
removal which STATE or PERMITTEE must legally pay, will be borne by
PERMITTEE. If any protection, relocation, or removal of utilities is required, including
determination of liability for cost, such work must be performed in accordance with
STATE policy and procedure. PERMITTEE must require any utility company
performing relocation work within the STATE's right-of-way to obtain a State
Encroachment Permit before the performance of said relocation work. Any relocated
utilities must be correctly located and identified on the as-built plans.”
Encroachment permits for developer projects being constructed without a highway improvement
agreement must contain the following clause:
“If existing public or private utilities conflict with the construction PROJECT,
PERMITTEE will make necessary arrangements with the owners of such utilities for
their protection, relocation, or removal. PERMITTEE must inspect the protection,
relocation, or removal of such facilities. Total costs of such protection, relocation, or
removal must be borne by PERMITTEE in compliance with the terms of the Highway
Encroachment Permits, Case Law, Public Utility Regulations, and Property Rights.
PERMITTEE must require any utility company performing relocation work within the
STATE's right-of-way to obtain a State Encroachment Permit before the performance of
said relocation work. Any relocated utilities must be correctly located and identified on
the as-built plans.”
State highway projects constructed under cooperative or highway improvement agreements do
not require the above clauses in the permit provisions because similar provisions must be
included in the respective agreements.
“Certification of Compliance with the Americans with Disabilities Act” (form TR-0405) is
required for the installation of SAFE phones.
Filling abandoned pipes with sand, two-sack slurry cement, or Controlled Low Strength Material
(see Appendix H) is required to protect the highway.
Table 6.2
Transverse Utility Encroachments within Conventional Highway Right-of-way
The following restrictions apply to transverse utility encroachments within conventional highway right-of-way:
1. The number of crossings must be minimized.
2. Underground distribution facilities on each side of the highway should be considered to avoid numerous
crossings by service connections.
3. Crossings should be normal (90 degrees) to the highway alignment where practical.
4. Clearances of overhead crossings must conform to regulations of the California Public Utilities Commission.
5. An existing authorized encroachment that will not affect new highway construction may be left in place at the
District's discretion, provided the District determines that it will not constitute a safety hazard or obstruction
to construction.
6. New installations under an existing roadbed must be made by boring and jacking, directional drilling or other
methods approved by the District.
7. Sag pipes (inverted siphons) must be avoided whenever sedimentation in the sag is a possibility. Air vents and
provisions for draining the sag must be required when sag pipes are unavoidable.
8. Tunneling under conventional highways must conform to the requirements for access-controlled right-of-way.
9. Bore pits or manholes at street intersections should be located behind the State highway curb line where
possible.
10. Supports for overhead lines in conventional highway right-of-way must be as close to the right-of-way line as
possible, with a desirable minimum clear recovery zone identified in Topic 309 of Highway Design Manual,
and meet the requirements of Design Information Bulletin 82 (DIB-82).
11. Traffic must always be protected, and barriers or protective devices are required as necessary.
* Must meet CRZ requirements established in Topic 309 of Highway Design Manual
Requests for longitudinal encroachments by privately owned companies for their own use are not
allowed. Any deviations require an approved encroachment policy exception.
When highways are widened, existing and new installations should adhere to setback limits or
should be protected. Consideration should be given to allow utility owners to place such
encroachments underground in parking areas.
In urban areas, manholes should not be located where there is a break in grade between the
pavement and gutter or in major traffic lanes of a cross street. In areas where snow removal
equipment is used, consideration should be given to slightly depressing the manhole.
Any existing underground facility located under the roadbed of a new unconstructed highway
may be permitted to remain in place during its useful life provided its depth complies with
current standards and does not require relocation (as determined by the District Right of Way
Utility Coordinator and Project Development) resulting from highway construction.
If the encroachment is a public utility facility, consideration must be given to the likelihood and
extent of future service connections that will require cutting the pavement. Rules governing new
installations will determine whether existing facilities must be relocated, or may be replaced in
the same location, after expiration of their useful life.
High priority pipelines (see section 603.1) are not permitted within the right-of-way unless they
are dedicated to public use (for example, the pipeline carries products of more than one owner
and is under CPUC jurisdiction). Companies having franchise rights from local agencies may
place their facilities within the right-of-way with an approved encroachment policy exception.
Existing legally-placed service facilities may be permitted to remain in place if they do not
interfere with highway construction, operations, or maintenance.
See PDPM, Chapter 17, Section1, Article 4 for Caltrans’ policies related to utility encroachments
within conventional highway right-of-way for additional information.
drilled 2 inches into the pavement. Subsequent plates are to be butted and tack welded to
each other.
Method 2 For speeds less than 45 mph:
Approach plate(s) and ending plate (if longitudinal placement) shall be attached to the
roadway by a minimum of two (2) dowels pre-drilled into the corners of the plate and
drilled 2 inches into the pavement. Subsequent plates are to be butted and tack welded to
each other. Fine graded asphalt concrete shall be compacted to form ramps, maximum
slope 8.5 percent with a minimum 12 inches taper to cover all edges of the steel plates.
When steel plates are removed, the dowel holes in the pavement shall be backfilled with
either graded fines of asphalt concrete mix, concrete slurry, epoxy or an equivalent that is
satisfactory to the Caltrans' representative.
The permittee is responsible for maintenance of the steel plates, shoring, asphalt concrete ramps,
and ensuring that they meet minimum specifications.
Unless specifically noted or granted in the provisions of the permit, or approved by the State
representative, steel plate bridging SHALL not exceed four (4) consecutive working days in any
given week and should not be left through the weekend. Backfilling of excavations shall be
covered with a minimum 3 inches temporary layer of cold asphalt concrete.
The following table shows the underlined minimal thickness of steel plate bridging required for a
given trench width (A-36 grade steel, designed for HS20-44 truck loading per Caltrans Bridge
Design Specifications Manual).
Trench Width Minimum Plate Thickness
10 inches ½ inch
1 foot 11 inches ¾ inch
2 feet 7 inches 7/8 inch
3 feet 5 inches 1 inch
5 feet 3 inches 1 ¾ inch
NOTE: For spans greater than 5 feet 3 inches, a structural design shall be prepared, signed, and
stamped by a California Registered Civil Engineer.
All steel plates within the right-of-way whether used in or out of the traveled way shall be
without deformation. Inspectors can determine the trueness of steel plates by using a straight
edge and should reject any plate that is permanently deformed.
Steel plates used in the traveled portion of the highway shall have a surface that was
manufactured with a nominal coefficient of friction (COF) of 0.35 as determined by California
Test Method 342 (see Appendix H). If a different test method is used, the permittee may utilize
standard test plates with known COF available from each Caltrans District Materials Engineer to
ENCROACHMENT PERMITS MANUAL
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Chapter 600 - Utility Permits
correlate skid resistance results to California Test Method 342. Based on the test data, the
permittee shall determine what amount of surface wear is acceptable, and independently
ascertain when to remove, test, or resurface an individual plate.
Caltrans’ Permit Inspectors should not enforce plate removal unless it is permanently deformed
or delivered without the required surfacing. The utility owners and contractors are responsible
for maintaining plates and ensuring that they meet minimum specifications. They will also
independently determine when to accept, test, or reject a plate. However, an inspector should
document in a diary all contacts with the utility owners and contractors.
A “Rough Road” (W8-8) sign and a “Steel Plate Ahead” (W8-24) sign with black lettering on an
orange background must be used in advance of steel plate bridging along with the required
construction area signs. These signs must be used along with any other construction area signs.
Surfacing requirements are not necessary for steel plates used in areas not open to traffic, such as
parking strips, on shoulders not used for turning movements, or on connecting driveways, etc.
District Landscape Architecture and Right of Way Utilities are responsible for reviewing
applications for proposed utility work in scenic highway corridors.
When the proposed work is non-complying, the applicant is notified by Caltrans’ Encroachment
Permit Office to provide Caltrans with the exception approval from the Energy Division
Reliability Section of the CPUC.
Encroachment Permits are issued for work within a scenic highway when existing overhead
distribution utilities are in need of repair, replacement, upgrade, or increased capacity if there is
no significant change in appearance. No significant change in appearance is defined as no
increase in the diameter of the distribution line.
California Public Utility Code Section 320 stipulates that utility owners must not install new
overhead distribution facilities on scenic highways without first obtaining an exemption from the
CPUC.
For purposes of CPUC Section 320, the following work does not constitute installation of new
overhead distribution facilities and does not require a CPUC exemption:
1. Removing or replacing sections of worn or deteriorated cable with like-size cable or
smaller.
2. Removing or replacing worn or damaged equipment, including but not limited to:
transformers, connectors, protective devices or repeaters with like-size or smaller
equipment.
3. Replacing a deteriorated pole with like-size or smaller pole.
4. Performing any necessary emergency work to continue service, provided any non-
complying facility is corrected when the emergency is over.
5. Installing new or relocated overhead transmission facilities (50 kV or greater).
6. Performing reconductoring or an increase in capacity of existing facilities with no
significant change in appearance. This includes replacing the existing conductor with a
new conductor of a different capacity or changing the voltage of the line.
7. Temporarily relocating poles for other construction purposes provided such poles are
removed or returned to their original position within 3 months of the completion of the
construction work.
8. Installing new overhead service connections including necessary transformers and
protective devices from existing distribution lines.
9. Installing guys as necessary for existing distribution lines.
With respect to electric and communications overhead distribution facilities (less than 50 kV)
within the scenic highway corridor, utility owners may not perform any of the following work
without first obtaining an exemption from the CPUC:
1. Install new facilities.
affect the safety, design, construction, traffic operations, maintenance, or the stability of the
bridge and they meet the following conditions:
Table 6.4
Additional Requirements for Utility Facilities Located on Bridges
Utility facilities located on bridges must comply with the standard requirements and the following additional
requirements:
1. Location:
a. Permitted encroachment preferably must be located between girders.
b. Encroachments should not be exposed to view and must not be permitted on the exterior of a bridge
unless they are enclosed and spear as an integral part of the bridge.
c. Structures Maintenance may approve exceptions for unusual circumstances
d. On very wide structures having an expansion joint in the median, installation normally can occur
between the two interior girders in the median.
2. Encroachment applications must include adequate plans of installation and pertinent details showing:
a. Bridge number
b. Location of encroachment on bridge
c. Method of attachment to bridge
d. Type of material transported
e. Weight per foot of facility including load, encasement, etc.
f. Maximum operating pressure
g. Maximum flow rate of high-pressure water lines in the event of a full rupture
h. Wall thickness of pipe
3. Gas pipelines require additional information according to CPUC General Orders.
4. Pipelines carrying highly volatile fluids must show the location of the nearest automatic shut-off valves
on each side of the structure. Shut-off valves are required to be within a reasonable distance of the
structure.
5. Pipelines conveying water, sewage, and low volatile fluids must include evidence of compliance with
corrosion control requirements of the Federal Department of Transportation and the CPUC.
6. Electrical and communication conduits must indicate maximum voltage and description of carrier conduit.
Additional information such as induced voltage calculations may be required by Structures (e.g. “Data for
High Voltage Cables on Bridges” form DS-M-0080, see Appendix D).
7. Access to utility facilities on undercrossing structures or bridges over waterways is prohibited from the
surface of the traveled way of the State highway. Manholes in the shoulder area or sidewalk area may be
authorized. Access to utility facilities on overcrossing structures, by means of manholes, may be
authorized where necessary and feasible.
8. Basic Specifications
a. Exposed pipes or sleeves must be painted or covered with an approved coating that must match the
color of the structure and be maintained to the satisfaction of Caltrans. The permittee must pay the
costs of repainting or protecting the encroachment.
b. High pressure systems:
1) Must conform to API specifications and to ASTM specifications covering sizes and types not
covered by API.
2) If operating pressures are over 200 psig:
• Wall thickness must conform to CPUC General Orders.
• Maximum allowable hoop stresses for gas must be 40 percent of the specified minimum yield
strength.
• Maximum allowable hoop stresses for other high volatile fluids must conform to ANSI,
except that the maximum hoop stress under the “test pressure” must not exceed 90 percent
of the yield strength.
• A pressure test at 1.5 times maximum operating pressure must be conducted for 24 hours.
• Radiographic inspection of all field welds must be made.
c. Sewer lines will not be steel pipe unless corrosion protective measures are provided.
d. Other pipelines may be steel, cast iron, ductile iron or approved material.
e. Electrical and communication conduits must conform to CPUC General Orders. High voltage lines
are not permitted where the traveling public could be endangered and/or the integrity of the bridge
steel elements, rebar, and prestress cables is compromised due to the presence of excessive induced
voltage in them.
1. High priority utilities (see section 603.1) and pressurized facilities operating at 60 psig or greater must be
encased throughout the structure in a steel sleeve.
a) The sleeve must have a diameter sufficiently larger than the largest outside diameter of pipe (but not less
than 4 inches) to facilitate removal and replacement of the pipe.
b) The space between the pipe and encasement must be vented effectively at each end of the structure so that
no pressure buildup is possible. It is not permissible to vent into the earth or backfill material because of
explosion possibilities.
c) In unusual instances, it may be impractical to provide encasement because of curvature, space limitations,
etc. Subject to approval by the Office of Structures Maintenance, the wall thickness of the carrier pipe
must be increased in such instances.
3. Electrical and communication lines must be encased in rigid metallic conduit or other approved material. All
electrical conduits must be grounded according to the General Orders of the CPUC and the Electrical Safety
Orders of Cal-OSHA.
4. When not required, encasement should be considered if clearance is impaired or the utility facility is near such
hazards as high-tension power lines, flood channels, subsiding ground, etc.
highway. Once a State highway facility is determined to be a limited space facility the following
conditions will apply:
1. The first applicant requesting an encroachment permit for the installation of a
communication facility will be required to enter into a Master Agreement for
Longitudinal Encroachment on Limited Facilities.
2. The Master Agreement must contain all of the conditions that govern the installation,
operation, use, and maintenance of said communication facility.
3. Each Master Agreement must be reviewed and approved by Caltrans legal.
• Natural gas pipelines greater than 6” in diameter, or with normal operating pressures
greater than 60 psig
• Petroleum pipelines
• Pressurized sanitary sewer pipelines
• High-voltage electric supply lines, conductors, or cables that have a potential to ground
of greater than or equal to 60 kV
• Hazardous materials pipelines that are potentially harmful to workers or the public if
damaged
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Chapter 600 - Utility Permits
Permits Office. Broadband proposals must be processed for a detailed plan review through
Environmental, Design, Structures, and Traffic Operations as applicable. Broadband installation
requests should be prioritized and all reasonable efforts should be made to complete the review,
and approve or deny such requests within 40 calendar days.
Planned Transportation Partnering Process:
Caltrans may provide partnering opportunities in planned transportation projects with Wired
Broadband Stakeholders to incorporate wired broadband facilities within the State highway
right-of-way.
For a wired broadband facility to be installed as a part of a planned transportation project, the
facility planning, design, and construction must follow the Caltrans project development and
delivery procedures, and design guidance as outlined in the Project Development Procedures
Manual, Highway Design Manual, Project Development Workflow Tasks Manual and other
pertinent Caltrans manuals and guidance.
The Administrative Encroachment Permit Process (see Section 500) is used for these types of
projects. Permit code BB must be used for all such permits.
After construction of the project is completed but prior to the final acceptance of the project,
stakeholders must apply for and secure an encroachment permit to assume ownership of the
facility. Thereafter, separate permits for work such as routine or emergency maintenance must be
applied for and secured.
Additional information is available on the “User Guide on Incorporating Wired Broadband in
State Highway Right-of-Way”.
http://dot.ca.gov/wiredbroadband/
When a telephone owner requests a permit to maintain existing telephones that were installed
without a permit, Districts should review the facility for conformance to current policy. When
appropriate, the telephones can remain in place and a permit can be issued.
All telephones must provide telephone company operator assistance.
• Digging less than 6 inches. below existing ground level within the roadside area (outside
the roadway)
• Digging within the existing limits of the pavement structural section within the roadbed
• Reconstruction of concrete or asphalt pavement driveways, sidewalks, curb ramps, curbs,
gutters, and dike
• Reconstruction of bridge approach slabs
• Construction or reconstruction of guardrail, thrie beam barrier, and end treatments
• Installation of roadside signs and markers
• Hand digging or digging by air-lance, hydro-excavation, and vacuum excavation
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Chapter 600 - Utility Permits
• Natural gas service lines less than 2 inches in pipe diameter that have normal operating
pressures of 60 psig or less
• Subsurface electrical service connections with a potential to ground of 50 volts or less
• Service connections (laterals) for water, sewer, telephone, telecommunication, and cable
service
All State owned utilities must be plotted on the plans.
Based on the Memorandum dated November 9, 1994, “Exception to Policy - Uncased High-
pressure Natural Gas Pipelines” (see Appendix H) and Special Provisions TR-0158 (see
Appendix K), Caltrans allows an exception to this encasement policy on a case by case basis for
the transverse installation of uncased high pressure natural gas pipelines, provided all of the
requirements listed in the memo and Special Provisions are met.
a) The minimum wall thickness required for steel encasements is based on lengths and diameters of
pipes. See Table 6.8.
b) Encasements must extend to the highway right-of-way lines unless Caltrans determines that is
impractical.
c) A sleeve is preferred to a reinforced concrete jacket when practical. Considerations include soil
conditions, height of embankment, and economic conditions.
d) A sleeve under the highway must meet "D-Loading, H20-Loading and culvert requirements
regarding strength and service life.
e) A sleeve should have an inside diameter that is 4 inches larger than the outside diameter of the
carrier pipe. A larger clearance may be required under unusual conditions, such as settlement.
f) There is a spacing requirement when placement of multiple encasements is requested. The
distance between multiple encasements must be the greater of either 24 inches or twice that of the
diameter of the larger pipe being installed.
g) Encasement ends must be plugged with un-grouted bricks or other suitable material approved by
the Caltrans' representative.
h) The Caltrans' representative may require the permittee to pressure grout, filling any voids
generated in the course of the permitted work. Grouting must be at the expense of the permittee.
Grout holes when placed inside the of the pipe, generally on diameters of 36 inches or greater,
must be on 8 feet centers, longitudinally and offset 22 degrees from vertical, and staggered to the
left and right of the top longitudinal axis of the pipe. Grout pressure must not exceed five (5) psig
for a duration sufficient to fill all voids.
i) Wing cutters when used must only add a maximum of 1 inch in diameter to the outside diameter
of the encasement pipe. Voids in excess of the Standard Specifications must be grouted.
j) A band welded to the leading edge of the encasement pipe should be placed square to the
alignment and not on the bottom edge of pipe. A flared lead section on bores over 100 feet must
not be permitted.
k) The length of the auger strand must be equal to that of the section of encasement pipe.
l) Highway lighting and signal facilities are exempt from these encasement requirements.
m) See Table 6.5 for additional encasements requirements for utilities on structures.
Table 6.8
Required Thickness for Steel Pipe Casings
Minimum Wall Thickness
Casing Diameter Up to 150’ in length Over 150’ in length
6 inches to 28 inches ¼ inches ¼ inches
30 inches to 38 inches 3/8 inches ½ inches
40 inches to 60 inches ½ inches ¾ inches
62 inches to 72 inches ¾ inches ¾ inches
When existing facilities are covered by a Joint Use or Consent to Common Use agreement with a
utility company, the agreement specifies the utility’s right to remain within the access-controlled
right-of-way and fees associated with the permit. A request for new longitudinal encroachments
requires an encroachment policy exception and normally is not permitted.
Installation or removal of overhead conductors crossing access-controlled right-of-way require
traffic control by the California Highway Patrol (CHP) and usually occur on weekend mornings.
The CHP can perform a rolling break in traffic on most highways to allow up to a five-minute
clearing. These breaks are adequate for simple cable installation. Utility personnel carry the
conductors across the access-controlled right-of-way lanes and hoist them into place on the
opposite side of the access-controlled right-of-way.
On larger conductor crossings such as transmission lines, Districts may determine that safety nets
are needed to prevent transmission lines from falling on traffic during cabling installations.
Temporary safety-net support poles are placed at protected locations outside shoulders and in
medians. If locations for temporary supports are not available, the utility company may use K-
rail and sand barrel crash cushions. After rope-nets are strung during CHP traffic breaks, other
work is then allowed to proceed.
Requirements that apply to transmission line supports for overhead lines crossing
access-controlled right-of-way are shown in Table 6.10. Consideration should be given to
underground facilities when spanning roadways with aerial facilities is not feasible.
Table 6.10
Requirements for Line Supports for Overhead Lines Crossing Access-controlled
Right-of-Way
Line supports for overhead lines crossing access-controlled right-of-way must comply with
these requirements, they:
1) Must be located outside the right-of-way or between the right-of-way line and access
control line if different. Any deviations require an approved encroachment policy
exception.
2) Should have a minimum lateral clearance of 52 feet from the edge of a through lane
and 52 feet from the edge of a ramp lane, when possible.
3) Should not be permitted in medians.
4) Should not be permitted on cut or fill slopes.
5) Must not impair sight distances.
6) Must be compatible with access requirements.
Permit code US can be used for modifications to existing utility facilities in place, pole
replacements, relocation, or other miscellaneous utility work not covered under the scope of
other utility permit codes.
Owner of the pole must be the permittee. If it is joint ownership, permittee must be one of the
owners and obtain authorization from other co-owners, authorizing pole replacement. Permitee
must provide authorization letters from co-owners, if requested by the state representative.
Owner or entity (in case of joint ownership) to whom the permit is issued is responsible for
coordinating utility relocation with other utilities (co-owners or tenants) sharing the pole.
Coordination must happen before installing new pole, and all utilities transfer to the new pole
must be scheduled to be completed within 15 calendar days from installation of new pole. A
schedule/timeline of new pole installation, all utility transfers and removal of old pole must be
submitted to Caltrans Permit Inspector at pre-construction meeting. Utility will be considered
non-compliant if permit requirements are not complied with, resulting in corrective action
including but not limited to requiring bonds or revoking annual permits or rescinding deferred
payment privileges or requiring double permit from contractors of the utility, until the
compliance issues are rectified to the satisfaction of the District Permit Engineer.
see forms TR-0151 and TR-0152 in Appendix E. Requirements for trenchless technologies may
be increased or modified as needed by the DPE or delegate at his or her discretion.
Utility installations and service installations are not permitted to be placed within culverts or
drainage structures within State highway right-of-way.
The requirement for encasement of utility installations is for the protection of the traveling public
and to minimize the amount of disturbance to the structural integrity of the roadbed. Please refer
to section 603.2C for encasement requirements. Any deviations require an approved
encroachment policy exception. For additional information on trenchless technologies, see
Appendix E and Design Information Bulletin (DIB) 83-04 Section 9.1.2.2 “Trenchless
Excavation Construction Methods”
http://www.dot.ca.gov/design/stp/dib/dib83-04.pdf
8. Detailed pipe calculations, confirming ability of product pipe to withstand installation loads
and long term operational loads including H20.
9. Proposed composition of drilling fluid (based on soil analysis) viscosity and density.
10. Drilling fluid pumping capacity, pressures, and flowrates proposed.
11. State right-of-way lines, property, and other utility right-of-way or easement lines.
12. Elevations.
13. Type of tracking method/system.
14. Survey Grid establishment for monitoring ground surface movement (settlement or heave)
due to the drilling operation.
Note: ** May be waived by the District Permit Engineer on HDD jobs with pipe size of 6 inches
or less in diameter and on a transverse crossing less than 150 feet in length.
All additional permit conditions must be set forth in the special provisions of the permit.
The permittee/contractor must, prior to and upon completion of the directional drill, establish a
Survey Grid Line and provide monitoring.
Upon completion of the work, the permittee must provide an accurate “As-Built” drawing of the
installed pipe.
603.6A-2E Soils Investigation
A soils investigation should be undertaken, suitable for the proposed complexity of the
installation to confirm ground conditions. Engineering judgment must be utilized when requiring
the extensiveness of the soil analysis. A soil analysis is required in order to obtain information on
the ground conditions that the contractor will encounter during the HDD operation.
If the contractor can go to the project site and do an excavation with a backhoe to one foot below
the proposed depth of the bore, that excavation can be considered a soil investigation. In all cases
when an excavation is made in creating of an entrance and exit pit for a HDD project, that is an
example of a soil investigation. The HDD process is in itself a continual and extensive soil
analysis as the pilot bore is made and it encounters the varying soils and formations the drilling
slurry will change colors, therefore providing the contractor with continual additional
information.
The purpose and intent of the soil analysis is to assist the contractor in developing the proper
drilling fluid mixture, and to ensure Caltrans that the contractor is aware of the conditions that do
exist in the area of the proposed project. This prepares the contractor in the event they should
encounter a zone of pre-tectonics, and that they would need additives or preventive measures in
dealing with inadvertent returns (frac-outs).
The discretion on the extensiveness of the soil analysis is left to each individual District Permit
Engineer (DPE) respectfully, for their respective areas. The inspectors play a large role in
assisting the DPE in making decisions on the extensiveness. Each individual inspector has a
general knowledge of the soil conditions in their area of responsibility.
In many circumstances the soil information has already been prepared, either by Caltrans or by
City and County Entities. This information if existing should be provided to the requesting
permittee, if there is a structure within 1/2 mile of the proposed project, then Caltrans has already
done an extensive soil analysis and the information is stored in our Maps & Records Branch. As-
Builts, on our access-controlled right-of-way provide stationing and detailed information
regarding soil information, cut and fill areas.
603.6A-2F Determination of Soil Investigations
The District Permit Engineer (DPE) should determine the extensiveness of the soils investigation
to be performed based on the complexity of the HDD operation. The DPE in consultation with
the District Materials Engineer may recommend according to the guidelines listed below, a
combination of, or modify the guideline to fit the respective area:
• Projects less than 500 feet in length, where the product or casing is 8 inches or less
in diameter:
A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) subsurface strata, fill, debris and material
• Projects less than 800 feet in length, where the product or casing is 14 inches or less
in diameter:
A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) subsurface strata, fill, debris and material
b) particle size distribution (particularly percent gravel and cobble)
• Projects where the product or casing is 16 inches or greater in diameter:
A geotechnical evaluation by a qualified soil engineer to determine the following.
a) subsurface strata, fill, debris and material,
b) particle size distribution (particularly percent gravel and cobble),
c) cohesion index, internal angle of friction, and soil classification,
d) plastic and liquid limits (clays), expansion index (clays), soil density, water
table levels, and soil permeability,
• Projects where the product or casing is 24 inches or greater in diameter:
603.6A-3 Microtunneling
Microtunneling is a hybrid of the tunneling industry (miniaturization of tunnel boring machines)
and the pipeline industry where pipe jacking has been used for more than 100 years.
Microtunneling does not require personnel entry into the tunnel. Microtunneling is a special
construction method suitable for many conditions where open-cut construction methods are not
cost effective, too disruptive, or not physically possible.
603.6A-3A Microtunneling Permit Application Submittal
The encroachment permit application package must consist of two separate submittals. The first
submittal must be by the Owner of the installation. The second submittal required must be by the
owner's contractor, when applying for the "DP"
The encroachment permit application package must contain a construction plan, site layout plan,
project schedule, communication plan, safety and emergency procedures, company’s experience
record, in addition to the information listed as follows:
The first submittal by the owning agency must contain the following plans and information:
1. Drive lengths
2. Proposed depth
3. Shaft; jacking and receiving shafts, manhole construction, shaft backfill, and shoring
removal;
• Type of shaft;
a) Sheet Pile
b) Beams and Lagging
c) Trench Box
d) Auger Drilled and Lined
e) Caissons
4. Intermediate jacking stations;
• Number of Stations;
a) Required by Specifications
b) On site
5. Geotechnical; including ground water information
• Geotechnical evaluation by a qualified soil engineer to determine the following;
a) Boring logs & plan locations of borings and cross sections, Subsurface
strata, fill and ground water elevations
b) Particle size distribution (particularly percent rock and cobble),
c) Cohesion indexes, internal angle of friction, and soil classification,
d) Plastic and liquid limits (clays), expansion index (clays), soil density, and
penetration tests,
e) Rock strength; rock joint fracture and orientation, water table levels, and
soil permeability,
f) Areas of suspected and known contamination should also be noted and
characterized.
• Should the soil investigation determine the presence of rock, cobbles, and/or
boulders, determination of the following information would be required;
a) Depth and extent of rock
b) Rock type
c) Rock strength
d) Rock joint/fracture spacing
e) Hardness
f) RQD
g) Estimated range of sizes & frequency of occurrence of cobbles and
boulders.
Boreholes or test pits for road crossings must be undertaken on both sides with one or more
additional boreholes or test pits in the median where conditions permit. Additional boreholes or
ENCROACHMENT PERMITS MANUAL
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© 2018 California Department of Transportation. All Rights Reserved.
Chapter 600 - Utility Permits
test pits should be considered if substantial variation in soil conditions are encountered. Where a
proposed installation parallels an existing road, boreholes or test pits should be undertaken at
approximately 250 to 410 foot intervals.
603.6A-3B Contractor's Submittal
The second submittal by the owner's contractor must contain the following plans and
information:
1. Shaft; soil stability at portals and ground improvement.
2. Dewatering plans for jacking and receiving shafts, if any.
3. Shoring design for jacking and receiving shafts.
4. Survey control plan: lasers, laser mounting, laser checking.
5. Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
• Buried points
a) Rebar points, or
b) MPBX (Multi-point borehole extensometers)
6. Recycling information; slurry mix and polymer additives, slurry separation plant type,
and spoils disposal;
a) Removal of slurry in dump trucks.
b) Removal of slurry in tankers.
c) Settlement ponds.
d) Muck piles on site.
7. Contingency plan information;
a) Ground improvement plans when required at portals and/or behind thrust
block/reaction wall due to weak and unstable soil conditions.
b) Obstruction removal through emergency (911) shafts or other means.
c) Mechanical breakdowns and recovery of the MTBM through 911 shafts or other
means.
d) Control of hydrofracture and slurry loss.
e) Remediation of loss of ground and excessive ground surface settlement.
A soil shoe may be installed on the leading edge of the casing, either by fabrication on site or
obtained from the manufacturer. No installation should be less than a service connection of 30
inches.
Lubrication must only be utilized to reduce friction and increase production. The amount of
lubrication directed to the outside of the pipe must only be of a sufficient amount required to fill
the void between the outside of the pipe and soil, as created by the soil shoe.
Lubrication to the inside of the casing must only be an amount adequate to assist in spoil
removal when the ram is completed.
Welding of the casing at joints must be as per the manufacturer’s recommendations.
The use of straps at each joint on pipe diameters of 12 inches or larger is required as is the use of
the manufacturers’ specified welding wire or rod.
Spoil removal for rammed encasements of 30 inches in diameter or less, may utilize pressurized
air or water.
Air pressure must not exceed 150 psi and water pressure must not exceed 300 psi.
Encasements larger than 30 inches in diameter must have the spoils removed by other means
than by pressurizing of the pipe, such as, manual, auguring, vacuum, washing or other means.
The Receiving Pit must be steel plated entirely when the spoils are to be removed from within
the encasement by means of air or water pressurized methods.
2. the existing depth of cover, “rule of thumb” depth of cover should be at least 10X the
difference in the upgrade of the existing diameter to be burst.
3. whether or not the existing line has been viewed by video, do not allow line to be burst
blind.
4. is this proposed line straight or are there bends in the line.
5. if bends are existing in the line, the location of the bend will have to be excavated and
new pits re-established at those locations.
6. require that the contractor provide a list of equipment to be on site to handle an
emergency, in the event that bypass pumping is required to maintain the existing service
in the event of a problem.
7. as to what method will be utilized (static, pneumatic, burst and jack, or hydraulic).
The California Code of Regulations (CCR) mandates the following requirements for Tunneling
Projects.
The Owner or Local Entity proposing the construction of the tunnel must make a full submittal to
the Department of Industrial Relations, Cal/OSHA, to determine tunnel classification (CCR
8422).
Development of a check-in/check-out procedure to ensure an accurate account of personnel
underground in the event of an emergency (CCR 8410).
Development of an Emergency Plan that outlines duties and responsibilities of all personnel on
the project during an emergency. The plan must include ventilation controls, firefighting
equipment, rescue procedures, evacuation plans, and communications (CCR 8426).
Cal/OSHA requires a State of California certified person performing the duties of gas tester or
safety representative to be certified by passing a written and an oral examination administered by
the Cal/OSHA Mining & Tunneling Unit (CCR 8406(f), (h)).
A certified safety representative must direct the required safety and health program and must be
on-site while employees are engaged in operations during which the Tunnel Safety Orders (TSO)
apply (CCR 8406(f)).
The certified safety representative must have knowledge in underground safety, must be able to
recognize hazards, and must have the authority to correct unsafe conditions and procedures
subject to the TSO (CCR 8406(f)).
A State of California certified gas tester is required for the following operations:
interior of the tunnel, it must be justified by the original subsurface geotechnical investigation
and design.
Tunnel lining and bracing should consist of steel ribs and steel spreaders (dutchmen) with wood,
concrete, or steel lagging, or with bolted steel liner plates.
Fireproof materials should be utilized in all construction of plant structures, above ground,
within 100 feet of the shaft or tunnel. The use of flammable materials or wood shoring would
require that adequate fire protection be provided.
Ventilation systems must be established and provide a minimum of 200 cfm per worker.
• A ring expander must be used to expand the rib continuously outward and upward.
• Liner plates must be designed based on joint strength, minimum stiffness, critical
buckling of the liner plate wall, and deflection, or flattening of the tunnel section.
• On tunnels with a diameter greater than 10 feet, the placement of ribs inside of liner plate
may be required.
• When the geotechnical investigation has determined that silts and fine sands exist, that
may flow under pressure, all liner plates must include a neoprene gasket adhered to each
flange face.
603.6A-6E Lagging
Lags are generally started at spring line and continue upwards towards the crown.
Lag spacing consists of three methods:
1. Wedging – done by driving a block of wood between the earth and the lag at each end, or
by driving a wedge between the rib and the lag.
2. Stops – by welding small angles to the ribs outer flange to prevent sliding.
3. Clamps – which are applied to wood or steel lags.
If the spacing of lags between ribs is used in tunnel construction, packing between lags with
filler may be required.
• Lags are boards of steel plates placed longitudinally against the roof and walls of the
tunnel excavation.
• Steel lagging may consist of channel, liner plate or corrugated metal.
• Steel lagging thickness must be designed on strength based upon the geotechnical
investigation, soil analysis, and loading.
• Wood lagging thickness must be designed on strength based upon the geotechnical
investigation, soil analysis, loading. Generally wooden lags common size are 3 inches by
6 inches, and the length is cut according to the spacing of the ribs.
• A minimum of one liner plate per ring with a 2 inch diameter coupling for grouting is
required.
603.6A-6F The Construction of Shafts / Pits
Shafts / pits should be constructed of a proper size and shape, and equipped as to allow work to
be carried on safely.
• Shafts must be constructed of driven steel sheet pilings, steel bracing and tight wood, or
steel lagging or steel liner plates and ribs.
• The removal of spoils should be accomplished by mechanical means (muck box).
• All shafts must be provided with guardrail and a toeboard.
• When ladders are utilized within the shaft or pit, cages and/or safety devices must be
provided on depths of 15 feet to 20 feet, platforms must be provided at depths of greater
than 20 feet.
• Ventilation systems must be established and provide a minimum of 200 cfm per worker.
• All equipment must maintain a minimum clearance of 25 feet from openings.
• Upon completion of project all shafts, pits and drifts that are not part of the finished
product must be backfilled.
603.6A-6G Placement of Shafts / Pits
Shafts /Pits must be:
• Preferred to be located as far from the traveled way as feasible. At minimum, should be
located 10 feet from the edge of pavement in rural areas, or at least 5 feet beyond the
concrete curb and gutter or AC dike in urban areas, or at least 5 feet beyond the toe of
slope of embankments.
• In the event of any ground movement over or adjacent to construction, all work must be
suspended, except that which will assist in making the construction site secure and
prevent any further additional movement of the ground.
• Excavation should not be advanced beyond the edge of the shield, except in rock.
• The geotechnical engineer/engineering geologist must determine the allowable amount of
tunnel length unsupported by bracing, based on the geotechnical investigation and design.
• All voids between the excavation and the liner must be grouted after setting of ribs and
lagging, if not expanded to full contact with the surrounding ground, as determined by the
Safety Engineer.
• A log must be maintained of all surrounding utilities and facilities.
603.6A-6I Dewatering
When ground water is anticipated, pumps of sufficient capacity to handle the flow must be
maintained at the site. Observation must be maintained to detect any settlement, displacement, or
washing of fines into the pit, shaft or tunnel. A NPDES permit is required if the water is not put
in the sewer.
603.6A-6J Grouting
Grouting should be kept close to the heading (working front of tunnel). It may be required to add
pea-gravel and fly ash to the grout. The pea-gravel would assist in consolidation and the filling
of the voids, fly-ash works as a lubricant allowing the grout to free-flow.
• The use of grout stops may be utilized if necessary or if required by the Safety Engineer.
• Grouting must be performed when ordered by the Safety Engineer.
• At no time must progression of the tunnel exceed 6 feet beyond the grouting of the
exterior void.
• Pressure on the grouting gauge should not exceed the capacity of the lining, sufficient to
fill all voids.
• A gauge must be provided which will accurately indicate working pressure and must be
monitored constantly during grouting procedures.
• Grouting must start at the lowest point and proceed upwards simultaneously on
alternating sides.
• When grouting is complete at that location a threaded plug must be installed into the
coupling.
603.6A-6K Materials
The form “Notice of Materials to be used,” form CEM-3101 is required.
• The manufacturer must provide a Certificate of Compliance, to ensure tensile and yield
strengths.
• Steel lagging may consist of channel, liner plate or corrugated metal.
• Steel lagging thickness must be designed on strength based upon the geotechnical
investigation, soil analysis, and loading.
• Wood lagging thickness must be designed on strength based upon the geotechnical
investigation, soil analysis, loading. Generally wooden lags common size are 3 inches by
6 inches, and the length is cut according to the spacing of the ribs.
• When the geotechnical investigation has determined that silts and fine sands exist, that
may flow under pressure, all liner plates must include a neoprene gasket adhered to each
flange face.
• Ensure Manufacturer’s Specification Data Sheets (MSDS) are provided stipulating
recommended:
Specifications of steel spreaders (spacing, tolerances).
Specifications of steel rib (section lengths, spacing, etc.)
o Rock strength
o Rock joint/fracture spacing
o Hardness
o RQD
o Estimated range of sizes & frequency of occurrence of cobbles and boulders.
603.6A-6M Contractor's Responsibilities
The contractor is responsible for providing:
• Tunnel project construction plans and specifications, calculations and details, method of
construction, to include the adequacy of the shield and liner material stamped by a
California Registered Structural or Civil Engineer, with a minimum of five (5) years’
experience in sub-structural design of tunnels.
• “Notice of Materials to be used,” form CEM-3101.
• Method of construction plan.
• A Licensed Surveyor.
• Proof of rib expanders and/or liner supports.
• Working schedule of the project.
• Contingency plan for dealing with ground loss work.
• Shaft; soil stability at portals and ground improvement plan.
• Dewatering plans for entry and exit shafts/pits, if needed.
• Installation and monitoring of SWPPP or WPCP facilities and conditions.
• Shoring design for entry and exit shafts/pits.
• Survey control plan: lasers, laser mounting, laser checking.
• Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
o Buried points
603.6A-6N Key Points of Inspection
Meet and confer with the Safety Engineer hired by the Owner/Permittee, explain exactly what is
expected and required on a daily report, and any issues of concern.
State Representative and Safety Engineer/Safety Representative, together both should:
1. Review the geotechnical investigation.
2. Review the emergency and contingency plans.
3. Inspect the roadway and shoulder area for existing cracks in the ground and mark them.
4. Inspect the area for all-existing utility facilities and sub-structures.
5. Check and confirm any requirements or concessions requested by any Utility companies
with the owner and the contractor.
6. Ensure that a Survey Grid line has been established over proposed alignment of tunnel.
7. Make a determination on the frequency of surface monitoring that will be required and
identify what would constitute additional monitoring and/or surveying.
8. Inspect and ensure there is sufficient space for the staging area, that equipment and
workers can work safely.
9. Establish the limits of minimum clearance.
Safety Engineer/Safety Representative – start of project and construction of shafts/pits.
1. Request to see OSHA permit and tunnel classification sheet.
2. Ensure the contractor has equipment on site to handle an emergency, and in the event that
ground loss occurs.
3. Inspect installation of SWPPP or WPCP facilities and conditions.
4. Have knowledge of the soil conditions, density, and water table (sand, clay, cobble, etc.).
5. Inspect the shafts/pits for Cal OSHA (trenching and shoring) requirements.
6. Ensure that guardrails and toe-boards are secured around shafts.
7. Ensure the flooring of the shaft/pit is lined with gravel or ballast rock.
8. Ensure that the sump pumps setup and that they are adequate for dewatering.
9. Ensure all electrical cords and facilities are properly secured.
10. Inspect materials to be used against list provided by contractor.
11. Obtain receipt of the certificates of compliance from the manufacturer on all materials
delivered and to be used for the project.
12. Ensure that ventilation system is adequate and installed.
13. Ensure a location is designated for spoils, that they are adequately stockpiled and
removed.
Safety Engineer/Safety Representative – daily inspection
1. Ensure that laser is verified every morning prior to start of work.
2. Inspect SWPPP or WPCP facilities and conditions
3. Check traffic control, signs, and delineation.
4. When warranted request line to be re-surveyed to determine heaving or subsidence, if
greater than 0.2 inches take corrective measures.
5. Visually inspect gauge during grouting operations.
6. Inspect ventilation equipment, request copies of contractor’s records of maintenance.
7. Ensure safety equipment is worn at all times by everyone.
8. Notify State Representative in the event of an incident or accident.
9. Ensure that all excavations are adequately protected with Type-K barrier and chain link
fence around them or covered with steel plates.
State Representative and Safety Engineer/Safety Representative – close of project
1. Upon completion, visually inspect the area of installation, highway and shoulder area to
ensure no new cracks, heaving or subsidence have occurred.
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 06/2018 6-53
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 600 - Utility Permits
• Designed plans and specifications, calculations and details (structural and falsework).
• A geotechnical investigation and soil analysis by a licensed geotechnical engineer is
required. It must provide identification of any locations of difficulty, changes in soil
formation, or mixed face conditions that could present or create ground loss, exploratory
soil corings and logs are required along the alignment of the project.
Construction or Structures Construction will review false work and shoring submittals.
Submittals may be routed through Structure Maintenance.
603.6A-7B Sub-structural Design and Calculations
When the distance between a tunnel and an existing structure is less than twenty times the
tunnel's diameter, it must be sent to Division of Engineering Services (DES) for review of the
potential lateral loading effects to the pilings and foundation. As in Section 603.6B-7, submittals
may be routed through Structure Maintenance.
Otherwise, Sub-structural Project submittals, listed below and submitted with the “Certification
of Experience” (form TR-0133) do not require review by DES.
1. Microtunneling projects.
2. Bore & Jack, HDD, or Pipe Ramming (diameter is 30-in or larger and requiring
structural/sub-structural design, investigations and calculations)
3. Tunneling for the placement of tunnel support systems (rib & lagging, or steel liner plate
requiring structural/sub-structural design, investigations, and calculations).
4. Drainage boxes and systems.
All Sub-structural Project submittals require the following:
• The District Encroachment Permits Office is responsible for verification of the California
Registered Engineers stamp, validation of the date of expiration against the dated plan set
and calculations. The permit office engineer must validate the RE’s stamp at the web site
listed below, by entering the RE’s number. A copy of the results must be printed and
included within the permit file. The encroachment permit may be issued, upon
completion of the normal review process (Traffic, Environmental, R/W, etc.).
http://www2.dca.ca.gov/pls/wllpub/wllqryna$lcev2.startup?p_qte_code=ENG&p_qte_pgm_code=7500
• Designed plans and specifications, calculations and details (liner plates, rib, & lagging,
bracing, etc.)
• A geotechnical investigation and soil analysis by a licensed geotechnical engineer is
required. It must provide identification of any locations of difficulty, changes in soil
formation, or mixed face conditions that could present or create ground loss, exploratory
soil corings and logs are required along the alignment of the project.
• When the length of the tunnel is greater than 400 feet, alignment holes may be required.
Alignment holes must be drilled at a maximum spacing of 200 feet and a casing of 4
inches to 6 inches in diameter installed vertically, to a depth necessary for the installed
casing to extend into the tunnel excavation. When alignment holes fall within the
pavement area of the roadway, the pavement must be saw-cut, a cover must be placed
over the end of the casing at grade, and the space around the casing within the roadway
filled with concrete (EXCEPT within access-controlled right-of-way).
603.6A-7C Project Owner’s / Permittee’s Responsibilities
On projects deemed by Caltrans as requiring full-time inspection, the project owner/permittee is
responsible for providing a third-party full-time inspector.
On projects over 30 inches diameter and deemed as requiring full-time inspection, the project
owner is responsible for providing:
• Proof of experience, as stipulated by the District Office, in respect to diameter and length
of proposed project.
• Tunnel support system construction plans and specifications, calculations and details,
method of construction, to include the adequacy of the shield and liner material stamped
by a California Registered Structural or Civil Engineer, with a minimum of five (5)
years’ experience in sub-structural design and preparation of calculations.
• “Notice of Materials to be used,” form CEM-3101.
• Method of construction plan.
• A Licensed Surveyor.
• Proof of rib expanders and/or liner supports.
• Working schedule of the project.
• Contingency plan for dealing with ground loss work.
• Shaft; soil stability at portals and ground improvement plan.
• Dewatering plans for entry and exit shafts/pits, if needed.
• Installation and monitoring of SWPPP or WPCP facilities and conditions.
• Shoring design for entry and exit shafts/pits.
• Survey control plan: lasers, laser mounting, laser checking.
• Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
• Buried points
highway may be used for the work when one full lane width in each direction is available for
traffic. Trenching, backfilling, and paving operations must conform to Caltrans' standards.
Transverse trenching is not authorized within access-controlled right-of-way.
4. Lateral loads due to surcharges and from sources other than basic soil pressure (e.g.,
ground water) are determined and may be combined with the basic soil pressure diagram,
modified for practicability, the resulting lateral pressures become the design, lateral
pressure diagram.
5. The design lateral pressure diagram is applied to the system, and a structural analysis is
made. Again, there is a range from simplified to refined or complex procedures that can
be used.
In general, engineered drawings may be accompanied by the engineer's calculations. If railroads
are involved, a minimum of three sets of calculations and seven sets of plans must be submitted.
The railroads require a minimum of one set of calculations each from the designer and reviewer
and four sets of shoring plans. One additional complete set of calculations and drawings will be
needed for the OSC Sacramento Office.
Table 6.11
Procedures for Evaluating Proposals for Open Trenching
Follow these procedures to evaluate applications for open trenching:
1) The applicant must supply these items for consideration by the permit engineer:
• Profile plans or cross-sections showing the locations of all existing utilities, culverts,
or other permanent installations that restrict the bore.
• Soils information showing that trenchless technologies, such as Bore & Jack or HDD
are not feasible.
• Detail plan showing detailed restrictions.
• Any other information indicating that trenchless technologies are not allowable
methods in the area.
2) A design change is mandatory when the crossing location can be changed to allow boring
and jacking and not affect the function of a facility.
3) Trenched crossings of connecting local streets and public roads where traffic is not
adversely affected is acceptable with concurrence of the local agency that owns the
public connection.
4) Casing in open trenches may be required for future maintenance or added facilities.
5) The District Permit Engineer will review submitted materials to determine if the request
is reasonable. Reviewing units may include: Environmental, Field Inspection, Highway
Operations--Traffic Operations, Maintenance Materials Engineering, Project
Development, and Right of Way Utilities.
Utility Companies must submit copies of the Safety Data Sheets (SDS) for all chemical
compounds to be used in their pole treatment maintenance operations, along with the permit
application submittal.
Prior to any application or use of Tree Growth Regulators (TGR), prior approval must be
obtained from the District Landscape Specialist or their designee.
Utility Companies are to notify the District Landscape Specialist or their designee and the
District Encroachment Permits Office when there is any change or modification in the type(s) of
chemical(s) used in their pole treatment maintenance operations.
After each treatment Utility Companies are to record a list with the pole identification,
location(s), type of chemical(s) and quantities used for their pole treatment maintenance
operations. This information must be provided to District Permit Office upon expiration of their
UE annual permit and upon request of Caltrans during the life of the annual permit.
Chapter 700
Glossary and Definitions
Terminology used in policies and guidelines should depart little from conventional usage.
However, some terms need to have restricted or special meaning. This glossary defines terms
that are used commonly in this manual. Sources of definitions are AASHTO, FHWA, State
statutes, and Caltrans' manuals and standard specifications.
• • •
Agency – A public entity.
Airspace Development – Any development of airspace on or above the land within the State
highway right-of-way limits for non-transportation purposes.
Americans with Disabilities Act (ADA): - Federal civil rights law to establish a clear and
comprehensive prohibition of discrimination on the basis of disability. The Districts must follow
established procedures to certify that the project “as-built” complies with the ADA standards in
DIB 82.
Average Daily Traffic (ADT) – The average 24-hour volume of traffic, being the total number
during a stated period divided by the number of days in that period. The period is a year, unless
stated otherwise. (HDM Topic 62.8 (1))
Backfill – Material used to replace or the act of replacing material removed during construction.
Also may denote material placed or the act of placing material adjacent to structures.
Bar Hole – Using a probe (bar) to locate underground facilities.
Bedding – Composition and shaping of soil or other suitable material to support a pipe, conduit,
casing, or utility tunnel.
Blanket Permit – Caltrans’ written permission to enter State right-of-way and perform
authorized activities at more than one location within specified limits, and may be issued to be
valid for one or two years.
Boring – A horizontal drilling operation to place a carrier pipe or casing pipe progressively
behind the drilling face by jacking. Bore trailings are augered or mucked back through the pipe.
Buffer Strip – That portion of the roadside, usually vegetated, between the curb or curb line and
the sidewalk, or extending about 1.21 meter (4') or more from the curb where there is no walk.
Cable – An insulated conductor or combination of insulated conductors, enclosed in a sheath.
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 7-1
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 700 - Glossary and Definitions
California Manual on Uniform Traffic Control Devices (CA MUTCD) – Statewide adopted
standards and specifications for all official traffic control devices.
Caltrans – California Department of Transportation.
Cap – Rigid structural element surrounding a pipe, conduit, casing, or utility tunnel.
Carrier – A pipe directly enclosing a transmitted fluid (liquid or gas). Also an electric or
communication cable, wire or line.
Casing – A larger pipe, conduit, or duct enclosing a carrier.
Catch Point – The intersection of a cut or fill slope and the natural ground.
Categorical Exclusion – Federal terminology for an action that has no significant effects on the
environment and requires neither an environmental assessment nor an environmental impact
statement.
Categorical Exemption – State terminology for an exemption from the requirements of CEQA
for a project having no significant effect on the environment.
CEQA (California Environmental Quality Act) – The State environmental legislation that
establishes procedures for conducting an environmental analysis for all projects in California
(California Public Resources Code, Section 21000, et. seq.).
Clear Recovery Zone – As described in the HDM Topics 304.1 & 309.1, this is an unobstructed,
relatively flat (4:1 or flatter) or gently sloping area beyond the edge of the traveled way which
affords the drivers of errant vehicles the opportunity to regain control.
Coating – Material applied to or wrapped around a pipe.
Common Carrier – means every person and corporation providing transportation for
compensation to or for the public or any portion thereof. This includes pipelines that transport
petroleum products.
Communication Line – A transmission circuit, such as fiber optic, telephone line, telegraph
wire, fire alarm, or television cable.
Concurrent Resolution - Resolution requiring consideration and adoption by both the
California Assembly and Senate.
Conductor – A material that contains movable electric charges such as a wire carrying electric
current.
Conduit – An enclosed casing for protection of wires, cables, or lines. Conduits often occur in
multiple, usually are jacketed, and often extend from manhole to manhole.
Control of Access – The condition where the right of owners or occupants of abutting land or
other persons to access in connection with a highway is fully or partially controlled.
ENCROACHMENT PERMITS MANUAL
CURRENT AS OF: 07/2018 7-2
© 2018 California Department of Transportation. All Rights Reserved.
Chapter 700 - Glossary and Definitions
• Partial Control of Access (expressway) – Control is exercised to a degree that there may
be some crossings at grade and some private driveway connections, in addition to access
connections with selected public roads.
Conventional Highway – A highway with no control of access, which may be divided or have
grade separations at intersections. Abutting property owners have access rights.
Cooperative Agreement – An executed document that specifies the respective roles and
responsibilities of Caltrans and local government entities involved.
Coring – A small casing drilled into firm soil, which enters the pipe as it advances. The core is
removed by sluicing during or after drilling.
Cover – The depth to the top of pipe, conduit, casing, cable, or similar line or utility tunnel
below the earth or roadway surface.
Cradle – A rigid structural element below and supporting a carrier or casing.
CTC – California Transportation Commission.
CWA – Clean Water Act
Department – California Department of Transportation (Caltrans).
Design Exception – Written documentation of a design criteria decision, by an individual with
authority for such decision, to deviate from Caltrans’ design standards or policy.
Design Information Bulletin (DIB) 82 Pedestrian Accessibility Guidelines for Highway
Projects – Caltrans Policy to improve mobility for all travelers on the State Highway System. DIB
82 provides ADA design guidance and standards to comply with the various federal and state laws
and regulations on pedestrian accessibility.
Direct Burial – Installing a utility facility underground without encasement.
Discretionary Project – Requires analysis and consideration for its approval or disapproval.
District – A management region defined by the Department of Transportation (Caltrans).
District Utility Coordinator – The District Right of Way employee responsible for utility
relocations.
Discovery – A determination that an existing installation/facility has been modified or upgraded.
The installation/facility design or capacity exceeds that, which was allowed for placement under
the original encroachment permit.
Double Permit – A permit issued to someone performing work for the original permittee, e.g., a
contractor performing encroachment work for the owner permittee.
Drain – An appurtenance to discharge liquid contaminants from casings.
Duct – An enclosed tubular non-metal casing for protecting wires, lines, or cables. Often semi-
rigid or flexible.
Electric Lines – Overhead conductors with supporting structures or underground conductors and
the conduit in which they are contained.
Emergency Conditions – When a situation is life threatening, when traffic is severely impacted,
or when conditions are unsafe.
Encasement – Surrounding a carrier or casing with a structural element.
Encroachment – Includes any tower, pole, pole line, pipe, pipe line, fence, billboard, stand or
building, or any structure, object of any kind or character not particularly mentioned in this section,
or special event, which is in, under, or over any portion of the State highway right-of-way. (S&H
Code, Section 660)
Encroachment Permit – A revocable permissive authority for the permittee to enter State
highway right-of-way to construct facilities or conduct special events. An encroachment permit is
a valid contract between the State and the permittee. It is not a property right and is not transferable.
Environmental Assessment – A public document for which a Federal agency is responsible that
provides sufficient evidence and analysis for determining whether to prepare an environmental
impact statement or a finding of no significant impact.
Environmental Documents – Environmental impact reports and statements, negative
declarations, initial studies, and environmental assessments under CEQA and NEPA.
Environmental Handbook – A Caltrans publication of guidelines for complying with State and
federal environmental requirements.
Environmental Impact Report (EIR) – A detailed statement prepared under California
Environmental Quality Act (CEQA) describing and analyzing the significant environmental
effects of a project and discussing ways to mitigate or avoid the effects.
Environmental Impact Statement (EIS) – A detailed statement prepared under the National
Environmental Policy Act (NEPA) presenting studies and information needed to identify and
assess the significant effects a project may have on the quality of the human environment.
Existing facility – A facility installed in a prior era of time (months, years).
Expressway – An arterial highway for through traffic with at least partial control of access,
which may or may not be divided or have grade separations at intersections.
Nonprofit Corporation – An organization that is tax exempt under Title 26 of the United States
Code, Section 501(c)(3),(4),(6),(7),(8), 501(d) and the California Revenue and Taxation Code,
Section 23701(d).
Non-operational Right-of-way – State land used for, but not limited to, future highway use,
office buildings, District offices, maintenance facilities, and labs managed by the Division of
Right of Way.
NPDES – National Pollution Discharge Elimination System
Occupation of an Existing Facility – The placement of telecommunications within an existing
empty facility.
Operational Right-of-way – The area between the right-of-way limits utilized for the purpose
and protection of public travel.
Occupational Safety and Health Administration (OSHA) – A federal agency of the United
States that regulates workplace safety and health.
Overcrossing – A structure carrying a road or street over a State highway.
Overhead – An elevated structure carrying a highway over a railroad.
Owner – The individual, corporation, or organization responsible for an encroachment.
Pascal - Newton per square meter.
Pavement Structure – The combination of subbase, base course, and surface course placed on a
subgrade to support the traffic load and distribute it to the roadbed.
PEER – A Permit Engineering Evaluation Report is prepared to document the engineering
analysis of proposed work. The analysis includes review of the proposed improvements to
determine drainage, maintenance, operation, tort liability, and environmental impact on the State
highway system.
Pipe – A tubular product made as a production item for sale as such. Cylinders formed from
plate are not defined here as pipe.
Pipeline – A pipe used to transport liquids or gases.
Plowing – Direct burial by means of a “plow-type” mechanism that in a single operation breaks
the ground, places the line, and closes the break in the ground.
Pothole – An excavation to expose an underground facility.
Pressure – Relative internal pressure in psig (pounds per square inch gauge) or pascal (Pa).
Pressure Pipeline – Any pipeline flowing full shall be considered under pressure.
Probe – A rod used to locate an underground facility without exposing the facility.
Project Report – A detailed document that justifies Caltrans’ approval for a proposed State
highway project and includes the appropriate environmental documents.
PSIG (PSI) – Pounds per square inch gauge pressure.
Public Corporation – Includes federal, State, cities, counties, and public Districts (not including
privately-owned public utilities).
Public Road Connection – Provides an access opening through the right-of-way line which
serves abutting land ownerships whose remaining access rights have been acquired by the State.
Public Utility – Includes every common carrier, toll bridge corporation, pipeline corporation,
gas corporation, electrical corporation, telephone corporation, telegraph corporation, water
corporation, sewer system corporation, and heat corporation, where the service is performed for,
or the commodity is delivered to, the public or any portion thereof.
Public Utility Facility – Any pole, pole line, pipe, pipeline, conduit, cable, aqueduct, or other
structure or appurtenance dedicated to public use and used to provide a service to the public.
Public Works - All road, bridge, street lighting, or installation of signal work performed under
an encroachment permit issued and for acceptance into the State highway system, except work
performed solely to allow private encroachments onto the State highway or for utility and/or
drainage encroachments within the State highway.
RWQCB – Regional Water Quality Control Board
Relocation – Removal, rearrangement, reinstallation, or adjustment of a public utility facility
required by highway construction or improvement.
Relocation within State Rights-of-way – Relocation is required from an existing location to a
designated location remaining within the existing or proposed State rights-of-way.
Relocation out of State Rights-of-way – Relocation is required from an existing location to a
location out of the existing or proposed State rights-of-way.
Repairs – To correct problems with an existing installation/facility that is deemed inoperable by
the owner.
Replacement in Kind – When an owner cannot correct a problem with an existing facility and is
deemed inoperable, the owner shall replace that existing facility with another of the same size or
capacity.
Resolution – A written expression of the will of a legislative body, such as a city or town
council, county board, of the California Assembly or Senate.
Responsible Agency – A public agency, other than the Lead Agency, which has responsibility
under CEQA for carrying out or approving a project in California.
Rider – A document used to amend an approved encroachment permit. Amendments may be
initiated by the permittee for time extension or to modify work, or initiated by Caltrans to modify
permit requirements.
Right-of-way – A general term denoting land, property, or interest therein (usually in a strip)
acquired for or devoted to transportation purposes.
Rigid Pipe – Pipe designed for diametric deflection of less than one percent (1%).
Roadbed – That portion of the roadway extending from curb line to curb line or shoulder line to
shoulder line; divided highways are considered to have two roadbeds.
Roadside – A general term denoting the area adjoining the outer edge of the roadbed to the
right-of-way line. Extensive areas between the roadways of a divided highway also may be
considered roadside.
Roadway – That portion of the highway included between the outside lines of the sidewalks, or
curbs and gutter, or side ditches including also the appertaining structures, and all slopes, ditches,
channels, waterways, and other features necessary for proper drainage and protection.
Safety Roadside Rest Area – A designated area within and along State highways with parking
facilities provided for motorists to stop and rest for short periods. It may include drinking water,
toilets, tables and benches, telephones, information, and other facilities for travelers. (S&H Code
§220 and §220.5)
Scenic Highway – A State or county highway, in total or in part, that is recognized for its scenic
value, protected by a locally adopted corridor protection program, and has been officially
designated by the Department. The state scenic highway system is listed in S&H Code, Section
263 et al.
Scenic Overlook – A roadside area provided for motorists to stop their vehicles beyond the
shoulder, primarily for viewing the scenery in safety.
Scenic Resource – Includes but not limited to a stand of trees, a rock outcropping, or an historic
building; having scenic or visual qualities, as determined by a trained individual.
Semi-Rigid Pipe – Pipe designed to tolerate from one percent (1%) to three percent (3%)
diametric deflection.
Shoulder – The paved or unpaved portion of the roadway contiguous with the traveled way for
accommodating stopped vehicles, for emergency use, and for lateral support of base and surface
courses.
Sidewalk Sale – Use of the sidewalk for vending purposes. It may be permitted as a special
event, but otherwise is prohibited by Section 731 of the Streets and Highways Code.
Slab, Floating – A slab between (but not contacting) a utility line and a structure or pavement.
Sleeve – A short casing through a pier or abutment of a highway structure.
Special Event – A street festival, sidewalk sale, or community-sponsored activity, or community
approved activity as defined in Streets and Highway Code Sections 660 (b) and 682.5.
Special Funded Project – Any project on the State highway system developed with local or
private funds that is planned, developed and constructed efficiently and effectively in accordance
with standards and practices defined in various Caltrans policies, procedures, manuals and
guidance documents.. Utility and drainage encroachment projects normally are not considered
special funded projects (DD 23).
Special Provisions – Written requirements of an encroachment permit supplementary to the
General Provisions.
SWMP – The Caltrans Statewide Storm Water Management Plan. A description of the
procedures and practices used to reduce or eliminate the discharge of pollutants to storm drain
systems and receiving waters.
SWRCB – State Water Resources Control Board
Telecommunications – The installation of wiring, to include but not limited to fiber optic
cabling or hard wiring (copper or aluminum).
Telecommunication Facilities – The installation and placement of conduits (Steel, G.I.P.,
H.D.P.E., M.D.P.E., or P.V.C.) splice boxes, vaults, manholes, regeneration/boosting stations, or
cabinets.
Temporary Traffic Barrier – An object used to prevent vehicular access into construction or
maintenance work zones, and to redirect an impacting vehicle so as to limit damage to the
vehicle and injury to the occupants while providing worker protection.
Traffic Barrier – A device used to prevent a vehicle from striking a more severe obstacle or
feature located on the roadside or in the median to prevent crossover median accidents.
Transverse – A facility crossing from one side of a highway right-of-way to the other.
Traveled Way – The portion of the roadway used for movement of through traffic.
Trenched – Installed in a narrow open excavation.
Tunnel – A horizontal underground highway crossing of jacked pipe, liner plate, or wood
lagging work in excess of 30 inches diameter.
Undercrossing – A structure providing passage for a road or street under a State highway.
Underpass – A structure providing passage for a highway under a railroad.
Untrenched – Installed without breaking the ground or pavement surface, such as jacking,
boring, or mechanical compaction.
Upgrade – An upgrade consists of an increase in the size or capacity of the existing.
Utility Tunnel – An undercrossing for one or more utility lines.
Vent – An appurtenance used to discharge gaseous contaminants from casings.
Vista Point – A dedicated area, typically paved, beyond the shoulder that permits travelers to
stop and view a scenic area.
Walled – Partially encased by concrete placed alongside a carrier or casing.
Table of Contents
The following documents are available for purchase at: https://store.transportation.org/
Table of Contents
AGREEMENT WITH CITY/COUNTY TO ISSUE ROUTINE ENCROACHMENT PERMITS ON CONVENTIONAL
HIGHWAYS ……………...………………………………………………………………………………………………………………………………….B-1
Cooperative Agreements:
Maintenance Agreements:
Please contact the appropriate District Maintenance Agreement Coordinator for the following:
CONVENTIONAL HIGHWAYS
THIS AGREEMENT, made and executed in duplicate on (date) __________, by and between the State of
California acting by and through the Department of Transportation, hereinafter referred to as State and the
WITNESSETH:
A. RECITALS
The Parties hereto desire to provide for the (City/County) to perform particular encroachment permit
functions on (designated State highways) __________ within the jurisdictional limits of (City/County), to wit, the
issuance of routine encroachment permits and the control and inspection of work performed pursuant to said
permits, as provided for in Sections 130 and 676 of the Streets and Highways Code.
B. AGREEMENT
This Agreement shall supersede any previous AGREEMENT WITH CITY/COUNTY OF __________ TO ISSUE
C. In consideration of the mutual covenants and promises herein contained it is mutually agreed that
(City/County);
2. Shall follow State's policies as contained in State's Encroachment Permit Manual. A copy of said Manual
will be furnished upon execution of this Agreement.
3. Shall follow State's design standards unless (City/County's) standards are more restrictive. In the event of
conflict as to interpretation, State's standards shall apply.
4. May issue Encroachment Permits for the following routine encroachments without State's prior approval:
a.
b.
c. (etc.)
5. Shall collect sufficient fees from the permittee to cover its cost of permit administration, inspection and
B-1
© 2018 California Department of Transportation. All Rights Reserved.
other permit related costs. No cost for (City/County) administration, review or inspection shall be charged to
6. (City/County) shall assign qualified personnel to review permit application, plans and specifications, to
revise plans and produce permit with appropriate specifications, and to provide construction inspection or
monitoring and conduct final inspection of all work performed within the highway right-of-way.
7. Shall keep on file, subject to State's inspection, all permits issued on State highways; and shall forward
copies of all issued permits, along with Notices of Completion, As-Built plans (if any) and all other related
data to State's District Permit Engineer immediately upon completion of the work permitted or upon the
Nothing in the provisions of this agreement is intended to created duties or obligations to or rights in third
parties not parties to this contract or affect the legal liability of either party to the contract by imposing any standard
of care respecting the maintenance of State highways different from the standard of care imposed by law.
It is understood and agreed that neither the STATE nor any officer or employee is responsible for any
damage or liability occurring by reason of anything done or omitted to be done by the (CITY/COUNTY) under or in
connection with any work, authority or jurisdiction delegated to the (CITY/COUNTY) under this agreement. It is
understood and agreed that pursuant to Government Code Section 895.4 (CITY/COUNTY) shall defend, indemnify
and save harmless the State of California, all officers and employees from all claims, suits or actions of every
name, kind and description brought for or in account of injuries to or death of any person or damage to property
resulting from anything done or omitted to be done by the (CITY/COUNTY) under or in connection with any work,
The (CITY/COUNTY) waives any and all rights to any type of express and implied indemnity against the STATE, its
officers and employees arising from any work, authority or jurisdiction delegated to the (CITY/COUNTY) under this
agreement.
E. TERMS OF AGREEMENT
THIS AGREEMENT shall become effective and shall remain in full force and effect until amended or
terminated. This Agreement may be amended or terminated at anytime upon mutual consent of the parties hereto.
This Agreement may also be terminated by either party upon thirty (30) days written notice to the other party.
IN WITNESS WHEREOF, the parties hereto have set their hands and seals the day and year first above
B-2
© 2018 California Department of Transportation. All Rights Reserved.
written.
(CITY/COUNTY) OF _________
BY________________________
DEPARTMENT OF TRANSPORTATION
_____________________________
Attorney
_____________________________
City/County Attorney
B-3
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
© 2018 California Department of Transportation. All Rights Reserved.
Appendix C – FHWA
Table of Contents
FHWA
Table of Contents
The following public use forms can be found at: https://forms.dot.ca.gov/
For all internal (Caltrans’) use forms, visit the Caltrans Electronic Forms System (CEFS).
Table of Contents
GUIDELINES FOR MODEL 170 TRAFFIC CONTROL EQUIPMENT...................................................................... E-1
DEVELOPING SPECIAL FUNDED PROJECTS DEPUTY DIRECTIVE 23-R-2 (Rev 12/18) ....................................... E-6
ENCROACHMENT PERMIT - H SUPPORT DIAGRAM FOR AERIAL CROSSINGS (TR-0108) ............................. E-15
GUIDELINESS FOR THE PLACEMENT OF NEWSPAPER VENDING MACHINES IN SAFETY ROADSIDE REST AREAS
...................................................................................................................................................................... E-20
PROFESSIONAL ENGINEERS ACT (EXCERPTS FROM THE BUSINESS AND PROFESSIONS CODE).................... E-30
INCLUSION OF EXPIRATION DATE ON ENGINEERING AND LAND SURVEYING DOCUMENTS MEMO………… E-31
GUIDELINES FOR KIOSK ADVERTISING/DISPLAYS IN SAFETY ROADSIDE REST AREAS .................................. E-32
GUIDELINES FOR THE PLACEMENT OF TRAVELER DISCOUNT BOOKLETS IN SAFETY ROADSIDE REST AREAS .....
..................................................................................................................................................................... .E-44
Privately funded projects without a Cooperative Agreement - Project proponent pays costs for
Department furnished controller assembly.
These costs are updated annually, if necessary, after determining the average actual cost for the Department to acquire, test, stock
and ship the equipment to the local District. For additional equipment and their associated costs, please see the attached price list.
These costs should be included in the deposit prior to the issuance of the contractor's encroachment permit. In cases where there is a
long lead-time before starting work, these costs may be submitted immediately prior to performing work on a signal system.
Districts should determine and charge additional fees covering the actual cost to deliver, install, inspect, and turn on traffic signal
controllers.
Projects involving Cooperative Agreements - Project proponent pays costs for Department furnished
controller assembly
The traffic signal controllers, and all other actual costs incurred by Caltrans, are charged against the appropriate Cooperative
Agreement Expenditure Authorization. When there is Department participation in the project, the Department's share of the actual
costs of the project will be reduced by the actual cost of the controllers, which include controller fee, testing costs and any other
mandatory charges.
As each controller assembly is ordered, the districts shall instruct the Caltrans warehouse in Sacramento to charge the equipment to
the Encroachment Permit Expenditure Authorization (EA) 937700, using Subjob 3EPIC and Object Code 118. A Special
Designation (SD) of 7CONTROL must also be used if the permittee has paid a fee for the equipment.
For Cooperative Agreement projects, the district should instruct the warehouse to charge the equipment to the appropriate
Cooperative Agreement EA, with any applicable SD identified for the project (do not use an Encroachment Permit EA or SD on
these Cooperative Agreement Project
Rev. 10/2009
LOCALLY FUNDED
YES (Paid by Contractor) YES (Paid by Contractor) YES (Paid by Contractor)
W/O AGREEMENT
JOINT FUNDED
YES (As part of YES (As part of YES (As part of
PROJECTS WITH
Department’s Contribution Department’s Contribution Department’s Contribution
COOPERATIVE
and Charged to Coop EA) and Charged to Coop EA) and Charged to Coop EA)
AGREEMENTS
100% SPECIAL
FUNDED PROJECTS YES (Charged to Coop EA) YES (Charged to Coop EA) YES (Charged to Coop EA)
WITH AGREEMENTS
A B C D
1 Electrical Price List
Item
Description Price
2 Number
7440 0055 5 15' LONG HARNESS #1 FOR MODEL 500, 510 & 520 CMS
3 325.16
7440 0056 7 30' LONG HARNESS #1 FOR MODEL 500, 510 & 520 CMS
4 382.80
7440 0065 6 MODULE POWER SUPPLY MODEL 206L
5 138.65
7440 0070 6 MODEL 332L CABINET FOR 170/2070 CONTROLLER UNIT
6 3866.94
7440 0075 7 MODEL 334L CABINET FOR 170/2070 CONTROLLER UNIT
7 2893.70
7440 0090 8 MODEL 2070E ENHANCE ATC
8 1082.83
7440 0130 4 MODEL 400 MODEM LER SYSTEM 5004
9 171.43
7440 0131 6 HARNESS FOR MODEL C2P MODEM
10 36.43
7440 0134 2 MODEL 2070-7A EIA-232 SERIAL COMMUNICATION CARD
11 106.13
7440 0136 7 MODEL 2070-6A MODEM
12 456.78
7440 0137 9 2070-6B MODEM
13 539.47
7440 0140 5 MODEL 510 CMS SYSTEM LEFT HAND
14 58783.59
CONTROLLER,MODEL170E WITH QUAD ACIA AND MODEL
7440 0173 4
15 412C PROGRAM MODULE 1004.25
MODEL 500 CMS SYSTEM W/CMS CABINET AND #4 & #5
7440 0175 9
16 HARNESS RIGHT HAND 78038.62
7440 0177 3 MODEL 500 CMS CONTROL CABINET
17 4338.03
MODEL 510 CMS SYSTEM RIGHT WITH CMS CABINET AND #4
7440 0181 1
18 & #5 HARNESS 58642.52
MODEL 520 CMS SYSTEM WITH CMS CABINET AND #4 & #5
7440 0188 6
19 HARNESS 35676.03
7440 0196 3 MODEL 252RR ISOLATOR 2-CHANNEL AC
20 35.21
MODEL 500 CMS SYSTEM W/CMS CABINET AND #4 & #5
7440 0218 1
21 HARNESS LEFT HAND 59408.09
7440 0290 2 MODEL 200 SWITCH PACK
22 16.03
7440 0330 8 MODEL 210 MONITOR
23 230.31
ElectricalPriceListUpdated_03_29_2017.xlsx 3/29/2017
A B C D
ElectricalPriceListUpdated_03_29_2017.xlsx 3/29/2017
A B C D
ElectricalPriceListUpdated_03_29_2017.xlsx 3/29/2017
California Department of Transportation
Refer to
Director's Policy: DP-03, Safety and Health
DP-06, Caltrans’ Partnerships
DP-07, Project Delivery
DP-08, Transportation System
Management and
Operations (TSMO)
DP-10, Departmental Commitments
DP-14, Quality in Caltrans
DP-33, Sustainability
Responsible
Program: Project Delivery,
Division of Design
TITLE Roles and Responsibilities for Development of Projects on the State Highway
System
POLICY
The California Department of Transportation (Caltrans), as owner/operator of the
State Highway System (SHS), has the statutory (Government Code section
14000(c)) and inherent goal to ensure that all modifications or additions to the
SHS are:
Safe, operational, maintainable, environmentally compatible, and of good
value.
Efficient in providing multimodal movement of people and goods.
In the best interest of the general public.
Developed and constructed in compliance with laws and regulations that
govern the use of state and federal transportation funds.
Developed and constructed in partnership with vested stakeholders.
DEFINITION/BACKGROUND
The roles and responsibilities in planning, designing, and constructing
transportation projects on the SHS continue to increase in complexity due to the
influx of various transportation funding sources, the ability to use alternative
project delivery methods, regional transportation planning agencies’ active roles
in selecting and programming transportation projects, and these agencies’ ability
to contract with private architectural and engineering firms to deliver those
projects. Caltrans as steward of the SHS strives to ensure the appropriate
accountability and professional liability remain with project sponsors,
implementing agencies, and product suppliers. Caltrans seeks to ensure the
integrity of the SHS by defining the various roles and responsibilities of all parties
involved, and by ensuring the quality of transportation projects. The definitions
provided below are recognition of the parties’ interests related to transportation
project development.
Project Sponsor is the project advocate that acquires funding partners to ensure
adequate project funding.
Quality Assurance (QA) is the performance of all the planned and systematic
activities that provide confidence that the product requirements will be fulfilled.
National Environmental Policy Act Lead Agency is the public agency which
ensures federal compliance and approvals for a project.
CEQA Responsible Agency (Public Resource Code section 21069) is the public
agency, other than the lead agency, that has discretionary authority over a project.
RESPONSIBILITIES
Owner/Operator:
Performs QMA for all projects to ensure a quality project on the SHS.
Provides owner/operator approval as needed.
Provides written approval on risks the project sponsor is unable to mitigate or
avoid.
Fulfills the FHWA Stewardship and Oversight Agreement responsibilities.
Fulfills NEPA lead agency role and responsibilities when assigned by FHWA.
Fulfills CEQA lead agency role and responsibilities.
Performs CEQA responsible agency responsibilities, when not a CEQA lead
agency.
Project Sponsor:
Secures funding for the preparation and completion of all the project
components including quality management practices.
Identifies and seeks approval for the transportation need and purpose that
conforms to Caltrans Strategic Management Plan.
Evaluates and compares project outcomes to the established project goals.
Chooses an implementing agency for each project component.
Mitigates project risks and does not create undue risk for the owner/operator
unless necessary approvals are obtained using proper procedures.
Ensures the project management plan is implemented, including, but not
limited to, the QMP and risk management plan.
Implementing Agency:
Chooses the supplier for each project component.
Establishes and implements QAP and generates a QMP for each component.
Delivers quality project components on time, and within budget.
Verifies and accepts work performed by the supplier provided appropriate
documentation is obtained to allow for verification and acceptance.
Advertises, awards, and administers the construction contract.
Ensures that all project component closeout activities are completed in a
timely manner, including, but not limited to, survey control and right of way
monumentation, as-built plans, environmental commitments compliance, and
right-of-way.
Division Chiefs:
For each Division’s respective area of responsibility pertaining to the efficient and
timely delivery of quality projects and services:
Develop and implement standards, procedures, and best practices that are
aligned with Caltrans’ Strategic Management Plan.
Develop and implement guidance, tools, and training to ensure successful
delivery of quality projects.
Develop a QAP pertaining to their product and services for which Caltrans is
the implementing agency and responsible agency.
District Directors:
Assess the feasibility of the project sponsor’s ability to obtain funding for the
proposed project component(s) before Caltrans begins work.
Act as the Caltrans authority for any owner/operator approval for those
decisions delegated.
Concur on the project’s need and purpose relative to its public benefit and
impacts to the SHS.
Appoint a primary point of contact for each project.
Determine and provide those activities that ensure a quality project on the
SHS, including, but not limited to:
o Implementation of the QAP for each project component for which
Caltrans is the implementing agency.
o Implementation of QMA for all project components.
Ensure project decisions are made considering information gathered through
public outreach and involvement of stakeholders.
Enter into cooperative or highway improvement agreements as appropriate
with project sponsor(s) prior to expenditure of COS resources.
Inform stakeholders of the policies, standards, procedures, and best practices
required by Caltrans and FHWA.
Deliver on commitments made to partners and customers, based on statutory
authority and available resources, and ensure the timely delivery of quality
products and services for which Caltrans is the implementing agency.
Ensure that Caltrans functional units are properly resourced to deliver quality
products and services in a timely manner.
Determine the appropriate agency to be the lead under CEQA.
Approve and certify the CEQA environmental document if Caltrans is the
CEQA lead agency or approve the project if Caltrans is the responsible
agency.
Review and approve the project report or equivalent after consideration of the
CEQA.
If assigned, approve the NEPA environmental documentation.
Ensures all proposed projects are evaluated and prioritized for funding.
Project Managers:
Lead the project development team on issues and risks related to quality
management, scope management, schedule management, or cost management
issues for each project component utilizing appropriate documentation.
Facilitate resolutions and seek approvals for project related issues and risks
affecting the quality, scope, schedule or cost.
Ensure funding requirements are met.
10'
MIN
CROSS
20' to 30'
20' to 30'
MEMBER
NETTING
POLES POLES
POLES
5' MIN
5' MIN
Highway or Freeway
Existing
Ground R/W R/W
Line Line
CONSTRUCTION NOTES:
A MINIMUM OF 18' SHALL BE MAINTAINED OVER AND ACROSS HIGHWAY OR FREEWAY LANES.
NETTING SHALL BE MAINTAINED OVER AND ACROSS LANES UNTIL AERIAL FACILITIES ARE
PROPERLY SECURED IN PLACE.
CHP BREAKS SHALL NOT EXCEED 5 MINUTES FOR THE PLACEMENT OF NETTING.
PLACEMENT OF AERIAL LINES: Installation or removal of overhead conductors crossing a freeway require
traffic control by the California Highway Patrol (CHP) and usually occur on weekend mornings. The CHP can
perform a rolling break in traffic on most highways to allow up to a five-minute clearing. These breaks are
adequate for simple cable installation. Utility personnel carry the conductors across the freeway lanes and hoist
them into place on the opposite side of the freeway.
On larger conductor crossings such as transmission lines, 1" or greater in diameter, districts may determine that
safety nets are needed to prevent transmission lines from falling on traffic during cabling installations.
Temporary safety-net support poles are placed at protected locations outside shoulders and in medians. If
locations for temporary supports are not available, the utility company may use K-rail and sand barrel crash
cushions. After rope nets are strung during CHP traffic breaks other work is then allowed to proceed. Placement
of the aerial line may be by helicopter.
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION
BETONITE SEAL
3/4" REBAR driven 6" to 12" past the bottom of the borehole
( SOLIDLY ANCHORED )
NOTE:
12" - 18"
ABANDONMENT PROCEDURES
FG or OG FG
FG
FG or OG
FG - Finish Grade.
OG - Original Ground.
• All work must be authorized by the encroachment permit, and/or as directed by the
State's representative.
• A tracer wire must be placed on top of the conduit unless specified not to.
• Clearance between the trench wall and encroachment work less than 6 inches in width
shall be a minimum of 2 inches. Clearance between the trench wall and encroachment
work greater than 6 inches width shall be a minimum of 6 inches.
• When the trench width is less than 2’ the backfill for subgrade must consist of either
slurry cement or Controlled Low-Strength Material (CLSM).
• When trench width is greater than 2’ compacted aggregate base may be used for
backfill.
• Structure backfill must conform to Section 19-3.02C of the Standard Specifications.
• For trench located under unimproved surface, structure backfill can use the original
soil. Soil must be compacted by mechanical means. Ponding, jetting or flooding are not
allowed. Slurry cement backfill is optional at the discretion of the Caltrans District.
• Slurry cement backfill must conform to Section 19-3.02E of the Standard Specifications.
• Aggregate base shall conform to Section 26 of the Standard Specifications.
• CLSM must conform to Section 19-3.02G of the Standard Specifications. When CLSM
is utilized the mix design and test results must be submitted to the State's representative.
See Appendix H of the Encroachment Permits Manual for additional information.
• Cold planed surface and overlay shall be to the nearest lane line for the entire length of
the trench/disturbed areas, and/or as directed by the State's representative.
• A paving notch (“T” Cut) shall be cold planed in exist asphalt concrete to a minimum
width of 1.0’ beyond each side of the trench and to a depth of 3” for the final layer of
HMA.
• HMA or PCC to replace pavement section shall match existing pavement depth, unless
directed otherwise by the State’s representative.
• Hot mix asphalt must conform to Section 39 of the Standard Specifications.
• A tack coat of asphaltic emulsion conforming to Section 39-2.01C (3) (f) shall be applied.
• When the trench is within 4' of curb and gutter, additional cold planing may be required
at the discretion of the State's representative.
• Pavement markings and/or striping removed or damaged during construction must be
replaced as directed by the State's representative.
• Other trench related details are shown in Chapter 6 of the Encroachment Permits
Manual as well as the Trenching and Shoring Manual. Both publications can be found
on the State of California, Department of Transportation’s website.
NEWSPAPER
DISTRIBUTION
GUIDELINES
For
MAY 2009
NEWSPAPER DISTRIBUTION GUIDELINES
SPECIAL PROVISIONS & PERMIT CONDITIONS
APPLICATION SUBMITTAL
Streets and Highway Codes Sectio n 220.5 authorizes the placem ent of Newspaper Vending Machines,
herein after referred to as “distribution boxes,” at Safety Roadside Rest Areas (SRRA).
• Section 220.5 (c) authori zes the Departm ent the rights of determination in which SRRA are
suitable for placement of these facilities.
• Section 220.5 (d) authorizes the Department the right to determine a suitable fee.
Newspaper distribution boxes at Safe ty Roadside Rest Areas (SRRA) a nd Vista P oints are perm issible
when a Newspaper Entity has entered into a “Newspap er Distribution Agreement,” hereinafter referred to
as “Agreement”, through the District Landscape Architect.
The District Landscape Architect is responsible for all reviews, field studies, and document preparation
before sending the completed package, consisting of the Agreem ent, the required fee/deposit and a
completed Encroachment Permit Application to the District Encroachment Permits Office for perm it
issuance.
The Department retains all rights in determ ining whether or not the placem ent of Newspapers and
distribution boxes will be allowed within any SRRA a nd/or Vista Point. W hen the Department grants
permission to allow plac ement of these facilities, they shall be lim ited to a total of four units per SRRA
location. A copy of the agreem ent, permit and guidelines shall be provided to the requestor, and a copy
forwarded to Headquarters Landscape Architecture Program.
FEE / DEPOSIT
A check in the amount of four (4) hours of the encroach ment standard hourly rate shall be submitted with
the package to the District Perm its Office. This deposit/fee will cover proces sing of the application,
review, issuance of the perm it and inspection. All perm its issued for the placem ent of a Newspaper
within a SRRA shall be issued for a period of one year.
The permittee is responsible for all actual costs of the permitting process. When there are issues of non-
conformance that could resu lt in additional time expenditures the permittee shall be re quired to
compensate re-imbursement of that time expended.
Subcontracting under this permit will not be allowed for the placement of the newspapers.
The permittee is required to provide weekly maintenance checks on their distr ibution facility, to ensure
cleanliness of the area surrounding their facility.
A copy of the newspaper is the only item that will be allowed in the window of the door on the
distribution box.
The permittee is required to no tify the Distr ict Landscape Architect p rior to start of any work in the
States’ right-of-way, to include performing weekly inspections.
Vehicles shall be parked in the parking lot when filling or re-filling of the distribution boxes.
Any three violations of the special provisions or permit conditions within the term of the permit will result
in revocation of your permitted privileges.
All new installations of distribution facilities shall be installed and maintained by the permittee under the
direction of the District Landscape Architect and shall be in compliance with the following criteria:
Within each Safety Roadside Rest Area (SRRA), all di stribution facilities (boxes and pedestals) shall all
be of the sam e type, model, m anufacturer and color (s ee Attachment #1 & #2) so that a uniform
appearance is m aintained as d irected by the District Lan dscape Architect and per th e attachments
provided.
The distribution facilities sh all be located within the SRRA as di rected by the District Landscape
Architect, in the planted areas wherever practicable, ad jacent to walkways and electroliers to reduce the
exposure to vandalism and theft.
The distribution facili ty should be located in an area where it will be unobtru sive and not detract from
other elements of the S RRA. It will b e located so that it is conven ient and easily accessib le to th e
traveling public.
The front of the distribution facility should be parallel with the edge of the walkway.
The distribution boxes are to be securely fastened to square steel pedestal mounts, which are to be set in a
concrete footing located within the planted a rea. The top of the concrete footing is to be covered with
soil, mulch or ground cover to restore the area to its prev ious appearance to as great an extent as possible.
Distribution boxes furnished with a pedestal mount equipped with a st eel flange base designed to be
bolted to concrete surfaces are to used only where directed by the District Landscape Architect.
All distribution facilities shall be f ree of any advertisem ents and shall be maintained in a clean, neat and
attractive condition and in good repair at all times. Any facilities (boxes, pedestals) that are damaged, in a
state of disrepair, or due to wear and tear which are no longer in a presentable condition (clean, neat and
attractive) shall be replaced or rep aired by the permittee within (48) hours after discovery or notification
by the States’ representative to do so.
All distribution facilities which have been lost, stolen or vandalized and facilities that are no long er to be
used, shall be rem oved, replaced or repaired by the permittee within (48) hours after discovery or
notification by the District Landscape Architect to do so.
Any distribution facility that is missing, vandalized or unused and is not to be replaced shall be rem oved,
and the site shall be returned to its original condition.
DISTRIBUTION BOXES
FACE VIEW
24 1/8”
BEIGE COLOR
24 1/8”
SIDE VIEW
17 3/16”
TOP VIEW
Of
BASE TRAY
ATTACHMENT #2
PEDESTAL
3” x 3”
SQUARE TUBE
BEIGE COLOR
SOIL GRADE
CONCRETE
The distribution boxes are to be securely fastened to square steel pedestal mounts, which are to be set in a
concrete footing located within the planted area. The top of the concrete footing is to be covered with
soil, mulch or ground cover to restore the area to its previous appearance to as great an extent as possible.
Distribution boxes furnished with a pedestal mount and equipped with a steel flange base that are
designed to be bolted to concrete surfaces are to be used only where directed by the Department.
DEPARTMENT OF TRANSPORTATION
AND
GENERAL
1
occur. More information on termination of lane closures is contained under Joint
Responsibilities.
A. JOINT RESPONSIBILITIES
e. Ensure the TMCs are part of the plan, including interregional TMC
participation.
2
because of safety concerns or unacceptable traffic congestion, the following
protocol should be used:
B. CHP’S RESPONSIBILITIES
CHP Division and Area commanders, or their designees, will collaborate and
cooperate with responsible Caltrans personnel to minimize traffic congestion
(e.g., vehicle queuing, stopping, slow bumper-to-bumper vehicles) resulting from
planned lane closures. CHP Division and Area commanders will work with the
appropriate Caltrans District Division Chief, DTM, Resident Engineer,
Maintenance Region Manager, or person(s) designated by the District
Director to ensure the CHP’s concerns are adequately addressed in the TMPs
and contingency plans.
3
1. Review the plans in a timely manner to ensure CHP concerns, including
motorist and worker safety, are adequately addressed.
4. Verify that TMCs have been notified and are part of impending projects,
TMPs, and contingency plans.
C. CALTRANS’ RESPONSIBILITIES
The Caltrans TMP Coordinator will confer with the respective CHP Area
commanders to determine criteria and procedures for notification of planned
highway lane closures and changes to TMPs.
Depending on the project and impact on traffic, Caltrans may include CHP in the
development and review of TMPs.
2. Caltrans should ensure the contractor is able and prepared to comply with the
TMP and contingency plan as they relate to its performance of work.
Special events include, but are not limited to, activities such as parades,
marathons, bikeathons, walkathons, marches, triathlons, and other activities.
Filming operations are covered under separate guidelines.
4
PROFESSIONAL ENGINEERS ACT (Business and Professions Code §§ 6700 – 6799),
CHAPTER 7. PROFESSIONAL ENGINEERS, Article 3.
Rev. 04/2019
KIOSK
ADVERTISING/
DISPLAY
GUIDELINES
For
Safety Roadside Rest Areas
HEADQUARTERS LANDSCAPE
ARCHITECTURE PROGRAM
MAY 2009
KIOSK ADVERTISING GUIDELINES
SUBMITTAL
Requests for placem ent of an advertis ement/display within a Traveler/Tourist In formation Center,
hereinafter referred to as “Kio sk,” shall be subm itted by the respon sible person (City, County,
Chamber of Comm erce, Organization or Business Owner) for that activity, service or facility,
hereinafter referred to as the “Requestor,” to the District’s Representative.
Kiosk Advertising Guidelines are established from Barclays California Code of Regulations, Title
21·Public Works, Division·2 Departm ent of Transportation, Chapter·20 Permissible Activity and Use
of Safety Roadside Rest Areas (SRRA) and Vi sta Points in and along California State Highways,
which authorize the placement of commercial advertisements/displays within kiosks.
• Article 2, Section 2204 (b) authorizes the pl acement of c ommercial displays under an
agreement within Traveler Information Centers for a cost.
• Article 2, Section 2204 (d) defines Traveler Information Centers as kiosks.
• Article 2, Section 22 04 (f) auth orizes the Department to place Public Info rmation
displays/advertisements determined to be of a s pecific value, interest or assistance to the
traveling public, for a cost.
Streets and Highway Codes Sectio n 220.5 authorizes the placement of kiosks, within Safety Roadside
Rest Areas (SRRA), and the following advertisements/displays are allowed for placement at no cost.
Forty-percent (40%) of the kiosk space is devot ed to non-comm ercial public infor mation. The
remaining sixty-percent (60%) may be utilized as follows:
The format and conten t of the advertis ement/display will be provided f or review and consideration.
The District SRRA Coordinator or District Landscape Architect is responsible for review, approval and
processing of the submitted request.
Upon approval in writing from the Departm ent, the advertisement/display can not be changed or
altered in any way without the written consent of the Department.
Displays approved for placement can only provide public information regarding:
FEE
The entire fee of the agreem ent, per advertisement/display, is required due upon written approval of
the request. Payment of the fee shall be by pers onal or com pany check, m oney order or cashier’ s
check, made out to the Department of Transportation.
Districts will assess th e fee for the placem ent of the “advertising/display” based upon the following
criteria:
The assessed advertising fee is s ubject to change at the end of the existing agreement period entered
into by the requestor and the Department, at the discretion of the Department.
CONDITIONS OF INSTALLATION
Installation or removal of the advertisement/display upon any kiosk will solely be the responsibility of
the Department. Under no circum stances can the requestor install, repl ace, repair, alter or remove the
advertisement/display.
The Department reserves all rights, as stipulated within Barclays California Code of Regulations:
• to reject or refuse at its sole discretion any advertisem ent/display which is false or m isleading,
which may misinform, or which do es not qualify as traveler in formation under the Departm ent’s
rules and regulations.
• to reject, refuse or rem ove any advertisement/display which does not confor m to the Department’s
specifications, which is deemed unsightly or in a bad state of repair.
• to cancel the agreement at any time, upon ten-days written notification.
• any delay in the placement of an advertisem ent/display or interruption of the display tim e caused
by the Department shall not constitute a breach o f the agreement. In its discretion, the Department
may extend the term of the ag reement or provide a pro rata credit equal to the period of delay or
interruption. Such extension or credit shall be the only damages recoverable.
• to close the Safety Roadside Rest Area for a ny reason without notific ation, temporarily or
permanently, or to can cel the agreem ent. The re questor shall have no claim for damages, or
extension of the agreement by reasons of such removal, disruption, discontinuance or termination.
The Requestor is responsible for the production of th e advertisement/display at their sole cost and
expense.
The Requestor is responsible at their own cost and expense for, the restorati on, repair or replacem ent
of any advertisement/display which is lost, stolen , defaced, damaged, or destroyed through no fault of
the Department, or which is deem ed by the Departm ent to be in a faded, or deteriorated condition,
regardless of the cause.
In this event, if the requestor fails to provide an acceptable replacement of the advertisem ent/display
within thirty-days of notification, the Department may cancel the agreement.
The advertisement/display will be of a professional quality, prin ted on LEXAN or a com parable
material pre-approved by the District SRRA Coor dinator or District Lands cape Architect, a ble to
withstand adverse conditions, such as direct sunlight, rain or snow and able to endure the length of the
agreement. The minimal size of the advertisement/display allowed shall be no less than 10” x 14,” and
a maximum size of 14” x 20.” Advertisem ent/displays not enclosed within a prot ective casing shall be
durable, and protected with an anti graffiti coating.
SPECIAL PROVISIONS
Sub-contracting or third party agreem ents will not be allowed for the request or placem ent of an
advertisement/display. The reques tor is required to be solely responsib le for the service or facility,
listed within the advertisement/display.
The requestor assumes full and complete responsibility and liab ility for th e content o f the
advertisement/display, and shall ag ree to save, defend, indemnify and hold the State, the Departm ent,
its officers, agents and employees harmless against any and all demands, claims, liability, damages and
causes of action, including attorney ’s fees and all costs of any legal actio n occasioned by or resulting
from injuries or loss es to any pers on, firm or corporation, however occurring, resulting from their
reliance on the person’s or company’s advertis ement/display or from the f orm, content or
representations contained therein.
THESE GUIDELINES ARE SUBJECT OF CHANGE AT THE DISCRETION OF THE DEPARTMENT. IT IS THE
REQUESTOR’S RESPONSIBILITY TO REMAIN CURRENT WITH THESE GUIDELINES.
GUIDELINES
for the placement of
OCTOBER 2007
COUPON BOOKLET GUIDELINES
SPECIAL PROVISIONS & PERMIT CONDITIONS
Definition
Periodical vendors, herein after referred to as Coupon Booklet Vendors (CBV), offer discount coupons
for lodging and entertainment to the traveling public.
Written Agreement
The Department’s representative for Amtrak-California Stations will be the Chief of the Rail Marketing
Branch, Division of Rail.
The Department’s representative for Safety Roadside Rest Areas (SRRA) will be the District Rest Area
Coordinator.
CBV companies requesting to place their coupon booklet(s) within Amtrak-California Stations and SRRA
are first required to enter into a written agreement with the Department, administered by the Headquarters
Office of Encroachment Permits.
This written agreement shall stipulate the reserving of four full-pages for departmental campaign
advertisements within their respective publications, to be administered by the Statewide Events & Awards
Coordinator, in the Headquarters Office of External Affairs.
The Department’s advertisements will consist of Slow for the Cone Zone, Amtrak-California, California
Highway Information Network (CHIN) and Don’t Trash California. These campaign advertisements
shall be effectively placed in the booklets upon finalization of the written agreement.
The location of placement of the Department’s campaign advertisements within the publications is at the
discretion of the CBV, so long as the pages appear either before the first page of lodging coupons or, after
the final page of lodging coupons.
The CBV agree to endeavor to place the Department’s campaign advertisements together, facing each
other whenever the paid composition of the publication permits.
When, and if constraints are imposed upon the CBV by the placement of paid advertising, the CBV shall
still be obligated to provide the advertisements at their discretion within the areas of the publications as
prescribed above.
The Department retains the right and privilege to prescribe the content of the four full-page
advertisements during the course of the written agreement and thereafter.
Each CBV will deliver 2 copies of each new publication printed to the Statewide Events & Awards
Coordinator, HQ Office of External Affairs, and 2 copies of each new publication printed to the Chief,
Rail Marketing Branch, Division of Rail, 1120 N Street, MS-74, Sacramento, California 95814.
Application Submittal
Upon confirmation of the revised agreement, each CBV will only be required to submit one standard
encroachment permit application, for the issuance of one statewide biennial permit allowing the continual
distribution and maintenance of their facilities. In the box labeled “description of work to be performed”,
the applicant shall state the intent for the “placement and maintenance of Traveler Discount
Coupon Booklets, and/or facilities.”
In the event that placement is sought where there are no existing facilities, as a new installation, will
require the CBV to submit an exempt encroachment permit rider request, and the CBV shall be
responsible for all costs incurred with the installation of new facilities.
Permit Fee
All permits are to be issued “exempt” for periodical distribution, and shall be issued as biennial permits
(2-years).
Special Provisions
The Department will allow for the placement of these booklets for each year following as long as the
respective parties adhere to the conditions of the written agreement entered into:
District 11 Encroachment Permit Office will issue a statewide biennial “CU” encroachment permit, listing
the specific Amtrak-California Stations and SRRA locations statewide, following the permit special
provisions, on the following pages of the permit. All respective districts will receive cc: copies of the
statewide permits issued.
Require the placement of a laminated placard depicting the cover of the booklet to be placed within the
window of the display box.
The CBV booklets will be allowed in the Department's Headquarters building, on the sixth floor outside
of the cafeteria area and in Amtrak-California Stations stipulated within their permit, to be placed within
facilities provided by the CBV.
Permit Conditions
Subcontracting under this permit will not be allowed for the placement of the coupon booklets.
The CBV is required to provide weekly maintenance checks on all distribution facilities, to ensure
cleanliness of the area surrounding their facilities and to ensure that the traveling public is provided with
current information at no cost to the public.
Storage of coupon booklets upon State rights-of-way or within the Amtrak-California termini will not be
allowed.
The CBV is required to notify the Department’s representative a minimum of two days prior to entry into
any of the locations stipulated within their respective permit and/or the States’ rights-of-way.
Any combination of three violations of the special provisions or permit conditions within the term (two-
years) of the permit will result in suspension and/or revocation of your permitted privileges.
Installation Conditions
All new installations of distribution facilities shall be installed and maintained by the CBV under the
direction of the Department’s representative and shall be in compliance with the following criteria:
Upon completion on the installation of the distribution facilities located within an Amtrak-California
Station or SRRA, said facilities inherently become the property of the State of California.
Within each Amtrak-California Station or SRRA, all distribution facilities (boxes and pedestals) shall all
be of the same type, model, manufacturer and color (see Attachment #1 & #2) to ensure a uniform
appearance is maintained as directed by the Department’s representative and per the attachments
provided.
The color for new distribution facilities shall be consistent at a location but may be a color other than
Beige, as determined by the Department’s representative.
The distribution facility should be located in an area where it will be unobtrusive and not detract from
other elements of the SRRA.
The distribution facility should be located within the planted areas wherever practicable, adjacent to
walkways and electroliers to reduce the exposure to vandalism and theft, or as directed by the
Department’s representative.
It will be located so that it is convenient and easily accessible to the traveling public, as directed by the
Department’s representative.
The front of the distribution facility should be parallel with the edge of the walkway.
The maximum number of distribution boxes shall not exceed four (a double stack of two) in any SRRA.
The distribution boxes located within SRRA are to be securely fastened to square steel pedestal mounts,
which are to be set in a concrete footing located within the planted area. The top of the concrete footing
is to be covered with soil, mulch or ground cover to restore the area to its previous appearance to as great
an extent as possible. Distribution boxes furnished with a pedestal mount equipped with a steel flange
base designed to be bolted to concrete surfaces are to be used only where directed by the Department’s
representative.
All distribution facilities shall be free of any advertisements (see Attachment #3) and shall be maintained
in a clean, neat and attractive condition and in good repair at all times. Any facilities (boxes, pedestals,
and racks) that are damaged, in a state of disrepair, or due to wear and tear which are no longer in a
presentable condition (clean, neat and attractive) shall be replaced or repaired by the CBV as soon as
practicable after discovery or notification by the Department’s representative to do so.
All distribution facilities which have been lost, stolen or vandalized and facilities that are no longer to be
used, shall be removed, replaced or repaired by the CBV as soon as practicable after discovery or
notification by the Department’s representative to do so.
The CBV is responsible for removal of the remaining facilities when any distribution facility is missing,
vandalized or unused, and there is not intent to replace it in kind. The site shall be returned to its original
condition.
FACE VIEW
24 1/8”
BEIGE COLOR
24 1/8”
SIDE VIEW
17 3/16”
TOP VIEW
Of
BASE TRAY
ATTACHMENT #2
PEDESTAL
3” x 3”
SQUARE TUBE
BEIGE COLOR
SOIL GRADE
CONCRETE
The distribution boxes are to be securely fastened to square steel pedestal mounts, which are to
be set in a concrete footing located within the planted area. The top of the concrete footing is to
be covered with soil, mulch or ground cover to restore the area to its previous appearance to as
great an extent as possible. Distribution boxes furnished with a pedestal mount and equipped
with a steel flange base that are designed to be bolted to concrete surfaces are to be used only
where directed by the Department.
ATTACHMENT #3
This illustration shows the appearance in how the placements of these distribution facilities are to
appear in the Safety Roadside Rest Areas. Also shown is what is acceptable for placement in the
door window and what is NOT.
CALTRANS
ENCROACHMENT PERMITS
AUGUST 2018
TABLE OF CONTENTS
PROCEDURAL REQUIREMENTS FOR DESIGN AND CALCULATIONS OF STRUCTURAL AND SUB-
STRUCTURAL PROJECTS ........................................................................................................................................ 3
Structural Design and Calculations ............................................................................................................................. 3
Substructural Design and Calculations ....................................................................................................................... 3
Project Owner's Responsibilities .................................................................................................................................. 4
Contractor's Responsibilities ........................................................................................................................................ 4
MICRO-TUNNELING ................................................................................................................................................. 19
Micro-tunneling Plan Set Submittal ............................................................................................................................ 19
Contractor's Submittal.................................................................................................................................................. 20
2
PROCEDURAL REQUIREMENTS FOR DESIGN AND CALCULATIONS OF
STRUCTURAL AND SUB-STRUCTURAL PROJECTS
All submittals shall be stamped by a Registered Structural Engineer, or a Registered Civil Engineer, with
a minimum of five years’ experience in structural design and preparation of calculations, proof of
experience is required by use of Encroachment Permits form “Certification of Structural Experience”
(form TR-0133) to be included within the project package submittal.
All Structural Project submittals (structures and structural falsework) will require review by Structures
Maintenance, for construction under an encroachment permit and require the following:
Designed plans and specifications, calculations and details (structural and falsework).
A geotechnical investigation and soil analysis by a licensed geotechnical engineer is required. It shall
provide identification of any locations of difficulty, changes in soil formation, or mixed face conditions
that could present or create ground loss, exploratory soil corings and logs are required along the
alignment of the project.
Sub-structural projects may consist of, but are not limited to, drainage boxes & systems, tunneling
projects (mechanical or manual tunnel excavations for the placement of tunnel supports), and Trenchless
Technologies for the installation of utilities when the diameter is 30” or larger (jack & bore, micro-
tunneling, horizontal directional drilling, or pipe-ramming).
When the distance between the tunnel and an existing structure is less than twenty times its diameter, it
shall be sent to Structures Maintenance for review of the potential lateral loading effects to the pilings and
foundation.
Otherwise, Sub-structural Project submittals, listed below and submitted with the “Certification of
Experience” (form TR-0133) do not require review by Structures Maintenance or Underground
Structures.
• Micro-tunneling projects.
• Bore & Jack, HDD, or Pipe Ramming (hole-diameter is 30” or larger and requiring structural/sub-
structural design, investigations and calculations)
• Tunneling for the placement of tunnel support systems (rib & lagging, or steel liner plate
requiring structural/sub-structural design, investigations and calculations).
• Drainage boxes and systems.
The District Encroachment Permits Office is responsible for verification of the Registered Engineer’s
stamp, validation of the date of expiration against the dated plan set and calculations. The permit office
engineer shall validate the RE’s stamp at the web site listed below, by entering the RE’s number. A copy
of the results shall be printed and included within the permit file. The encroachment permit may be
issued, upon completion of the normal review process (Traffic, Environmental, R/W, etc.).
3
http://www2.dca.ca.gov/pls/wllpub/wllqryna$lcev2.startup?p_qte_code=ENG&p_qte_pgm_code=7500
• Designed plans and specifications, calculations and details (liner plates, rib & lagging, bracing,
etc.).
• A geotechnical investigation and soil analysis by a licensed geotechnical engineer is required. It
shall provide identification of any locations of difficulty, changes in soil formation, or mixed face
conditions that could present or create ground loss, exploratory soil corings and logs are required
along the alignment of the project.
• When the length of the tunnel is greater than four hundred feet (> 400’), alignment holes may be
required. Alignment holes shall be drilled at a maximum spacing of two-hundred feet (200’) and
a casing of four to six inches (4” to 6”) in diameter installed vertically, to a depth necessary for
the installed casing to extend into the tunnel excavation. When alignment holes fall within the
pavement area of the roadway, the pavement shall be saw-cut, a cover shall be placed over the
end of the casing at grade, and the space around the casing within the roadway filled with
concrete (EXCEPT in controlled access right-of-way).
On projects deemed by the Department as requiring full time inspection, the project owner is responsible
for providing a third-party full-time inspector.
A full-time Safety Engineer: A Registered Structural or Civil Engineer, with a minimum of five years’
experience in design or inspection of Sub-structural Projects (tunnels). Proof of experience shall be
submitted on Encroachment Permits form “Certification of Structural Experience” (form TR-0133) or
CONTRACTOR’S RESPONSIBILITIES
4
TUNNELING PROJECTS
All projects will vary in their own characteristics. General similarities are listed below to provide a
general understanding of these types of projects.
Establishment of a survey-grid line and existing elevation points shall be over the centerline and wing
points of the installation.
Designed plans and specifications, calculations and details (liner plates, rib & lagging, bracing, etc.) shall
be stamped by a Registered Structural Engineer, or a Registered Civil Engineer, with a minimum of five
(5) years’ experience in sub-structural design of tunnels. Proof of experience shall be submitted on
“Certification of Structural Experience” (form TR-0133) in conjunction with project package submittal.
When the length of the tunnel is greater than four hundred feet (> 400’), alignment holes may be required.
Alignment holes shall be drilled at a maximum spacing of two-hundred feet (200’) and a casing of four to
six inches (4” to 6”) in diameter installed vertically, to a depth necessary for the installed casing to extend
into the tunnel excavation. When alignment holes fall within the pavement area of the roadway, the
pavement shall be saw-cut, a cover shall be placed over the end of the casing at grade, and the space
around the casing within the roadway filled with concrete (EXCEPT in controlled access right-of-way).
CAL/OSHA REQUIREMENTS
The California Code of Regulations (CCR) mandates the following requirements for Tunneling Projects.
• The Owner or Local Entity proposing the construction of the tunnel shall make a full submittal to
the Department of Industrial Relations, Cal/OSHA, to determine tunnel classification. CCR 8422
• Development of a check-in/check-out procedure to ensure an accurate account of personnel
underground in the event of an emergency. CCR 8410
• Development of an Emergency Plan, that outlines duties and responsibilities of all personnel on
the project during an emergency. The plan shall include ventilation controls, firefighting
equipment, rescue procedures, evacuation plans and communications. CCR 8426
• Cal/OSHA requires a State of California certified person performing the duties of gas tester or
safety representative to be certified by passing a written and an oral examination administered by
the Cal/OSHA Mining & Tunneling Unit. CCR 8406(f), (h)
• A certified safety representative shall direct the required safety and health program and must be
on-site while employees are engaged in operations during which the Tunnel Safety Orders (TSO)
apply. CCR 8406(f)
• The certified safety representative must have knowledge in underground safety, must be able to
recognize hazards, and must have the authority to correct unsafe conditions and procedures
subject to the TSO. CCR 8406(f)
A State of California certified gas tester is required for the following operations:
5
TUNNEL
Tunnel construction is accomplished by the method of Hand-mining, or by Mechanical means, and the
use of a protective shield.
Continuous monitoring and observation of the ground surface above the tunnel is required. In some
cases, it may be required to survey and record elevations along the survey grid line, several times a day,
or daily.
Generally, when tunneling in good ground, tunnels with a diameter of less than eight-feet (< 8’) and less
than three-hundred feet to four-hundred feet (300’ to 400’) in length may be holed-through (excavated
completely) before concreting the interior of the tunnel, when placement of pre-fabricated or pre-cast pipe
is to be installed. When this is proposed, hole-through (unsupported length) before concreting of the
interior of the tunnel, it shall be justified by the original subsurface geotechnical investigation and design.
Tunnel lining and bracing should consist of steel ribs and steel spreaders (dutchmen) with wood, concrete,
or steel lagging, or with bolted steel liner plates.
Fireproof materials should be utilized in all construction of plant structures, above ground, within one
hundred feet (100’) of the shaft or tunnel. The use of flammable materials or wood shoring would require
that adequate fire protection be provided.
Ventilation systems shall be established and provide a minimum of two hundred (200) cfm per worker.
• All equipment shall maintain a minimum clearance of twenty-five feet (25’) from opening.
• An established contingency plan in the event of ground loss.
• Cranes utilized in operations shall maintain minimum required clearances.
TUNNEL SHIELD
• The face of the shield shall be provided with a hood or an approved grid system.
• The excavation face shall have a sufficient length to allow for the installation of one (1) complete
ring of liner plates, or one (1) complete set of ribs and lagging before advancing.
• The contractor shall submit details and design information of the shield.
TUNNEL LINING
Tunnel lining and bracing should consist of steel ribs and steel spreaders with wood lagging and concrete,
or steel lagging, or with bolted steel liner plates.
The tunnel liner and bracing shall be designed (calculations provided) of an adequate strength based upon
the geotechnical investigation, soil analysis, loading, and the diameter and depth of cover to provide
adequate support of the tunnel.
• A ring expander shall be used to expand the rib continuously outward and upward.
• Liner plates shall be designed based on joint strength, minimum stiffness, critical buckling of the
liner plate wall, and deflection or flattening of the tunnel section.
• On tunnels with a diameter greater than ten feet (> 10’), the placement of ribs inside of liner plate
may be required.
• When the geotechnical investigation has determined that silts and fine sands exist, that may flow
under pressure, all liner plates shall include a neoprene gasket adhered to each flange face.
6
LAGGING
Generally started at spring line and continue upwards towards the crown. Lag spacing consists of three
methods:
1. Wedging – done by driving a block of wood between the earth and the lag at each end, or by
driving a wedge between the rib and the lag.
2. Stops – by welding small angles to the ribs outer flange to prevent sliding.
3. Clamps – which are applied to wood or steel lags.
If the spacing of lags between ribs is used in tunnel construction, packing between lags with filler may be
required.
• Lags are boards or steel plates placed longitudinally against the roof and walls of the tunnel
excavation.
• Steel lagging may consist of channel, liner plate or corrugated metal.
• Steel lagging thickness shall be designed on strength based upon the geotechnical investigation,
soil analysis, and loading.
• Wood lagging thickness shall be designed on strength based upon the geotechnical investigation,
soil analysis, loading. Generally wooden lags common size is three-inches by six-inches (3” x
6”), and the length is cut according to the spacing of the ribs.
• A minimum of one liner plate per ring with a two-inch (2”) diameter coupling for grouting is
required.
Shafts / pits should be constructed of a proper size and shape, and equipped as to allow work to be carried
on safely.
• Shafts must be constructed of driven steel sheet pilings, steel bracing and tight wood, or steel
lagging or steel liner plates and ribs.
• The removal of spoils should be accomplished by mechanical means (muck box).
• All shafts must be provided with guardrail and a toeboard.
• When ladders are utilized within the shaft or pit, cages and/or safety devices must be provided on
depths of 15 feet to 20 feet, platforms must be provided at depths of greater than 20 feet.
• Ventilation systems must be established and provide a minimum of 200 cfm per worker.
• All equipment must maintain a minimum clearance of 25 feet from openings.
• Upon completion of project all shafts, pits and drifts that are not part of the finished product must
be backfilled.
7
• Shored according to Cal-OSHA minimum requirements. Located within 15 feet of traffic lanes on
a State highway must not extend more than 36 inches above the pavement grade unless otherwise
authorized by the State representative. Reflectors must be affixed to the sides facing traffic, and
placement around the perimeter of a 6-foot chain link fence during non-working hours.
• Are only allowed within access-controlled right-of-way for direct access-controlled right-of-way
crossings that are excessively long or that have restricted space available outside the right-of-way.
• They must not affect State facilities or create a hazard to the traveling public. When placement is
approved within access-controlled right-of-way, damaged State facilities must be replaced or
repaired according to State Standard Specifications.
• Must have crushed-rock and sump areas to clear groundwater and water used to clean. They must
be lined with filter fabric when groundwater is found and pumping is required.
EXCAVATION
In some locations Soil Stabilization may be required. It may become necessary at the direction of the
Engineer to either pressure grout or freeze the soil area of the project to control water, to prevent loss of
ground, to prevent settlement or displacement of an embankment. When required, a Registered
Geotechnical Engineer shall prepare and stamp the plans determining the material and method for use.
In some projects masonry sections are installed, the amount of excavation of the tunnel should not exceed
the amount needed for placement of a full masonry section after all lining is in place.
• In the event of any ground movement over or adjacent to construction, all work shall be
suspended, except that which will assist in making the construction site secure and prevent any
further additional movement of the ground.
• Excavation should not be advanced beyond the edge of the shield, except in rock.
• The geotechnical engineer/engineering geologist shall determine the allowable amount of tunnel
length unsupported by bracing, based on the geotechnical investigation and design.
• All voids between the excavation and the liner shall be grouted after setting of ribs and lagging, if
not expanded to full contact with the surrounding ground, as determined by the Safety Engineer.
• A log shall be maintained of all surrounding utilities and facilities.
DEWATERING
When ground water is anticipated, pumps of sufficient capacity to handle the flow shall be maintained at
the site. Observation shall be maintained to detect any settlement, displacement or washing of fines into
the pit, shaft or tunnel.
GROUTING
Grouting should be kept close to the heading (working front of tunnel). It may be required to add pea-
gravel and fly ash to the grout. The pea-gravel would assist in consolidation and the filling of the voids,
fly-ash works as a lubricant allowing the grout to free-flow.
• The use of grout stops may be utilized if necessary or if required by the Safety Engineer.
• Grouting shall be performed when ordered by the Safety Engineer.
• At no time shall progression of the tunnel exceed six feet (6’) beyond the grouting of the exterior
void.
8
• Pressure on the grouting gauge should not exceed the capacity of the lining, sufficient to fill all
voids.
• A gauge shall be provided which will accurately indicate working pressure and shall be
monitored constantly during grouting procedures.
• Grouting shall start at the lowest point and proceed upwards simultaneously on alternating sides.
• When grouting is complete at that location a threaded plug shall be installed into the coupling.
MATERIALS
• The manufacturer shall provide a Certificate of Compliance, to ensure tensile and yield strengths.
• Steel lagging may consist of channel, liner plate or corrugated metal.
• Steel lagging thickness shall be designed on strength based upon the geotechnical investigation,
soil analysis, and loading.
• Wood lagging thickness shall be designed on strength based upon the geotechnical investigation,
soil analysis, loading. Generally wooden lags common size is three-inches by six-inches (3”x
6”), and the length is cut according to the spacing of the ribs.
• When the geotechnical investigation has determined that silts and fine sands exist, that may flow
under pressure, all liner plates shall include a neoprene gasket adhered to each flange face.
• Ensure Manufacturer’s Specification Data Sheets (MSDS) are provided stipulating
recommended:
o Specifications of steel spreaders (spacing, tolerances).
o Specifications of steel rib (section lengths, spacing, etc.)
A full-time Safety Engineer or Safety Representative, and proof of certification is required, either by
submittal on “Certification of Structural Experience” (form TR-0133) or State Certification.
Cal/OSHA requires persons performing the duties of gas tester or safety representative to be certified by
passing a written and an oral examination administered by the M&T Unit. CCR 8406(f), (h)
• Project drawings and specifications, calculations and details stamped by a Registered Structural
Engineer, or a Registered Civil Engineer, with a minimum of five (5) years’ experience in sub-
structural design of tunnels.
• A geotechnical investigation by a licensed geotechnical engineer to determine the following;
• Storm Water Pollution Prevention Plan (SWPPP) or Water Pollution Control Plan (WPCP).
• De-Watering Plan, if needed.
• Ground water information
• Boring and soil analysis logs, location plan of borings, cross sections, subsurface strata, fill and
ground water elevations;
o Particle size distribution (particularly percent rock and cobble),
o Cohesion index, internal angle of friction, and soil classification,
o Plastic and liquid limits (clays), expansion index (clays), soil density, and penetration tests,
o Rock strength, rock joint fracture and orientation, water table levels, and soil permeability,
o Areas of suspected and known contamination should also be noted and characterized.
• The soil investigation shall also determine the presence of rock, cobbles, and/or boulders, and the
following;
o Depth and extent of rock
9
o Rock type
o Rock strength
o Rock joint/fracture spacing
o Hardness
o RQD
o Estimated range of sizes & frequency of occurrence of cobbles and boulders.
CONTRACTOR’S RESPONSIBILITIES
• Tunnel project construction plans and specifications, calculations and details, method of
construction, to include the adequacy of the shield and liner material stamped by a Registered
Structural Engineer, or a Registered Civil Engineer, with a minimum of five (5) years’ experience
in sub-structural design of tunnels.
• “Notice of Materials to be used” (form CEM-3101).
• Method of construction plan.
• A Licensed Surveyor.
• Proof of rib expanders and/or liner supports.
• Working schedule of the project.
• Contingency plan for dealing with ground loss work.
• Shaft; soil stability at portals and ground improvement plan.
• Dewatering plans for entry and exit shafts/pits, if needed.
• Installation and monitoring of SWPPP or WPCP facilities and conditions.
• Shoring design for entry and exit shafts/pits.
• Survey control plan: lasers, laser mounting, laser checking.
• Ground surface settlement monuments and subsurface settlement monuments monitoring
program plan.
o Buried points
10
ENCASEMENT REQUIREMENTS
1. Encasement requirements are discussed in Section 603.3C of the Encroachment Permits Manual.
2. The minimum wall thickness required for steel encasements is shown in Table 6.8 of the
Encroachment Permits Manual.
3. Encasement ends shall be plugged with ungrouted bricks or other suitable material approved by
the Caltrans' representative.
4. The Caltrans' representative may require the permittee to pressure grout, filling any voids
generated during the permitted work. Grouting shall be at the expense of the permittee. Grout
holes when placed inside the of the pipe, generally on diameters of 36” or greater, shall be on 8'
centers, longitudinally and offset 22 degrees from vertical, and staggered to the left and right of
the top longitudinal axis of the pipe. Grout pressure shall not exceed five-(5) psig (34.5 kPa) for a
duration sufficient to fill all voids.
5. There is a spacing requirement when placement of multiple encasements is requested. The
distance between multiple encasements shall be the greater of either 24” or twice that of the
diameter of the larger pipe being installed.
6. Wing cutters when used shall only add a maximum of 1'' in diameter to the outside diameter of
the encasement pipe. Voids in excess of the Standard Specifications shall be grouted.
7. A band welded to the leading edge of the encasement pipe should be placed square to the
alignment and not on the bottom edge of pipe. A flared lead section on bores over 100' shall not
be permitted.
8. The length of the auger strand shall be equal to that of the section of encasement pipe.
11
BORE & JACK
Utility installations placed by Bore & Jack shall be monitored to ensure that the integrity of the existing
roadway elevations are maintained. When the encasement is also to serve as the carrier facility for
hazardous materials, the use of another trenchless installation is recommended. Potential damage could
occur during the jacking process, rendering the use of that facility as the carrier.
Requirements:
1. Must be located as far from the traveled way as feasible. At minimum, must be located 10
feet from the edge of pavement in rural areas, or at least 5 feet beyond the concrete curb and
gutter or AC dike in urban areas, or at least 5 feet beyond the toe of slope of embankments.
2. Must be located outside of access-controlled right-of-way. Any deviations for direct crossings
that are excessively long, or there is restricted space available for placement, outside of the
right-of-way require an approved encroachment policy exception. Those portions of the
installation not placed by Bore & Jack must be encased by the open trench method.
3. Must be protected by placement of 6-foot chain link fence or Type-K barrier around them.
4. Must be shored in accordance to Cal-OSHA requirements. Shoring of pits located within 15
feet of lanes within State highway right-of-way must not extend more than 36 inches in
height above the pavement grade, unless authorized by a Caltrans' representative.
5. Reflectors must be affixed to the shoring on all sides facing traffic.
6. Pits must not affect any State facilities, or create a hazard to the traveling public. Damaged
State facilities must be replaced in-kind or repaired to their original state.
7. All pits should have crushed-rock and sump areas to clear groundwater and water used to
clean the casings. Pits must be lined with filter fabric when groundwater is found and
pumping is required.
8. Temporary Type-K railing must be placed at a 10:1 taper or as otherwise directed by the
Caltrans’ representative to maintain the integrity of the adjacent travel lane.
Any installation that is 30 inches in diameter or greater is defined as tunnel. See Section 518, and Table
5.29 - Permit Code TN for the requirements of such installations.
12
RECOMMENDED MINIMUM DEPTH OF COVER FOR HDD INSTALLATIONS
Upon completion of the work, the permittee shall provide an accurate as-built drawing of the installed
pipe.
SOIL INVESTIGATIONS
The District Permit Engineer (DPE) should determine the extensiveness of the Soil Investigation to be
performed based on the complexity of the HDD operation, or modify the guideline to fit the respective
area.
A soil investigation is required, suitable for the proposed complexity of the installation to confirm ground
conditions that will be encountered during the HDD operation. The HDD process is a continual and
extensive soil analysis as the pilot bore is made encountering the varying soils and formations.
Projects less than 500' in length, where the product or casing is 8" or less in diameter:
A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) Subsurface strata, fill, debris and material
Projects less than 800' in length, where the product or casing is 14" or less in diameter:
A field soil sampling investigation to a depth of one foot below the proposed drilling.
a) subsurface strata, fill, debris and material
b) particle size distribution (particularly percent gravel and cobble)
A borehole or test pit should be undertaken on both sides and in the median when conditions permit.
13
Additional boreholes or test pits should be considered if substantial variations in soil conditions are
encountered in the soil analysis (the presence of gravel, cobble, and/or boulders).
Fluid jetting methods used as a means of cutting should only be considered where soils have a high
cohesion such as stiff clays.
The following steps should be undertaken by the permittee/contractor to ensure safe and efficient
construction with minimum interruption of normal, everyday activities at the site.
• Notify owners of subsurface utilities along and on either side of the proposed drill path of the
impending work through USA alert (the one-call program). All utilities along and on either side
of the proposed drill path are to be located.
• Obtain all necessary permits or authorizations to carry construction activities near or across all
such buried obstructions.
• All utility crossings should be exposed using a hydro-excavation, hand excavation (potholing) or
other approved method to confirm depth.
• Construction schedule should be arranged to minimize disruption (e.g. drilling under railroad
beds, major highways, and/or river crossings).
• The proposed drill path should be determined and documented, including its horizontal and
vertical alignments and the location of buried utilities and substructures along the path.
Walk the area prior to the commencement of the project and visually inspect potential sites. The
following should be addressed:
• When on State R/W establish whether or not there is sufficient room at the site for: entrance and
exit pits; HDD equipment and its safe unimpeded operation; support vehicles; fusion machines;
stringing out the pipe to be pulled back in a single continuous operation.
• Establishing suitability of soil conditions for HDD operations. Subgrade soils consisting of large
grain materials like gravel, cobble, and boulders make HDD difficult to use and may contribute to
pipe damage.
• Check the site for evidence of substructures such as manhole covers, valve box covers, meter
boxes, electrical transformers, conduits or drop lines from utility poles, and pavement patches.
HDD may be a suitable method in areas where the substructure density is relatively high.
INSTALLATION REQUIREMENTS
During construction continuous monitoring and plotting of pilot drill progress shall be undertaken to
ensure compliance with the proposed installation alignment and allow for appropriate course corrections
to be undertaken that would minimize “dog legs” should the bore start to deviate from the intended bore
path.
Monitoring shall be accomplished by manual plotting based on location and depth readings provided by
the locating/tracking system or by computer generated bore logs which map the bore path based on
information provided by the locating/tracking system. Readings or plot points shall be undertaken on
every drill rod.
Excess drilling fluids shall be contained at entry and exit points until recycled or removed from the site.
Entry and exit pits should be of sufficient size to contain the expected return of drilling fluids and soil
cuttings.
The permittee shall ensure that all drilling fluids are disposed of in a manner acceptable to the appropriate
14
local, state, or federal regulatory agencies. When drilling in contaminated ground the drilling fluid shall
be tested for contamination and disposed of appropriately. Restoration of damage to any highway or non-
highway facility caused by escaping (“fracout”) drilling fluid, or the directional drilling operation, shall
be the responsibility of the permittee.
To minimize heaving during pullback, the pull back rate shall be determined which maximizes the
removal of soil cuttings and minimizes compaction of the ground surrounding the borehole. The pullback
rate shall also minimize overcutting of the borehole during the back reaming operation to ensure
excessive voids are not created resulting in post installation settlement.
The permittee shall, prior to and upon completion of the directional drill, establish a Survey Grid Line and
provide monitoring as outlined in their submitted detailed monitoring plan. Subsurface monitoring points
shall be utilized to provide early indications of settlement as large voids may not materialize during
drilling due to pavement bridging.
Should pavement heaving or settlement occur, sawcutting and replacement of the asphalt shall be the
responsibility of the permittee.
To prevent future settlement should the drilling operation be unsuccessful the permittee shall ensure the
backfill of any void(s) with grout or backfilled by other means.
PERMITTEE’S/CONTRACTOR’S RESPONSIBILITIES
The plans set submittal should contain the following information in support of the permit application.
Note: ** May be waived by the District Permit Engineer on HDD jobs of less than 6" in diameter and on a
transverse crossing less than 150' in length.
ADDITIONAL PERMIT CONDITIONS SHALL BE SET FORTH IN THE SPECIAL PROVISIONS OF THE PERMIT.
LOCATING AND TRACKING
EFFECTIVE JANUARY 1, 2000, LOCATING AND TRACKING OF THE REAMER DURING THE BACK-
REAMING PROCESS IS REQUIRED.
The illustration below shows a universal housing that will work with any drill-string on all HDD rigs.
15
DRILLING FLUIDS MANAGEMENT PLAN
The following information should be provided as part of the drilling fluid management plan:
• Identify source of fresh water for mixing the drilling mud (Necessary approvals and permits are
required for sources such as streams, rivers, ponds, or fire hydrants).
• Method of slurry containment.
• Method of recycling drilling fluid and spoils (if applicable).
• Method of transporting drilling fluids and spoils off site.
Drilling fluid pressures should not exceed that which can be supported by the overburden (soil) pressure.
• Removes cuttings from the bottom of the hole and transports them to the surface.
• Holds cuttings and weight material in suspension when circulation is interrupted.
• Releases sands and cuttings at the surface.
• Stabilizes the hole with an impermeable cake.
• Cools and lubricates the drill bit and drill string
• Controls subsurface pressures.
• Transmits hydraulic horsepower.
• Cools the locating transmitter sonde preventing burnout.
PREVIOUS EXPERIENCE
• The permittee's contractor should provide a list of projects completed by his company, location,
project environment (e.g., urban work, river crossing), product diameter and length of installation.
• The permittee's contractor should provide a list of key personnel.
SAFETY
• Emergency procedures for inadvertently boring into a natural gas line, live power cable, water
main, sewer lines, or a fiber-optic cable, which comply with applicable regulations.
• Emergency evacuation plan in case of an injury.
16
CONTINGENCY PLANS
The Contingency plan shall address the containment and removal, of an inadvertent return or spill (e.g.,
drilling fluids, and hydraulic fluids).
COMMUNICATION PLAN
• The phone numbers for communication with owner or his representative on the site.
• Identification of all key personnel which will be responsible for ensuring that the communications
plan is followed.
DRILLING OPERATIONS
The following paragraphs provide general remarks and rules of thumb related to the directional boring
method, as well as specific details regarding various stages of the installation process.
• The drill path alignment should be as straight as possible to minimize the fractional resistance
during pullback and maximize the length of the pipe that can be installed during a single pull.
• The radius of curvature is determined by the bending characteristics of the product line, and it is
increasing with diameter.
• If a drill hole beneath a road must be abandoned, the hole should be backfilled with grout or
bentonite to prevent future subsidence.
• Sufficient space is required on the rig side to safely set up and operate the equipment.
• Sufficient space should be allocated to fabricate the product pipeline into one string, thus
enabling the pull back to be conducted in a single continuous operation.
• Drilling mud shall be used during drilling and back reaming operations. Using exclusively water
may cause collapse of the borehole in unconsolidated soils, while in clays, the use of water may
cause swelling and subsequent jamming of the product.
• Heaving may occur when attempting to back ream too large of a hole. This can be avoided by
using several pre-reams to gradually enlarge the hole to the desired diameter.
• The conduit must be sealed at both ends with a cap or a plug to prevent water, drilling fluids and
other foreign materials from entering the pipe as it is being pulled back.
• Pipe rollers, skates or other protective devices should be used to prevent damage to the pipe from
the edges of the pit during pullback, eliminate ground drag or reduce pulling force and
subsequently reduce the stress on the product.
• The drilling mud in the annular region should not be removed after installation, but permitted to
solidify and provide support for the pipe and neighboring soil.
Some utility companies require the use of breakaway swivels to limit the amount of force used when
pulling HDPE products.
17
PROTECTIVE COATINGS
In an HDD installation, the product pipe may be exposed to extra abrasion during pullback. When
installing a steel pipe, a form of coating which provides a corrosion barrier as well as an abrasion barrier
is recommended during the operation, the coating should be well bonded and have a hard smooth surface
to resist soil stresses and reduce friction, respectively. A recommended type of coating for steel pipes is
mill applied Fusion Bonded Epoxy.
Drilling fluids, additives and their Material Safety Data Sheets (MSDS) shall be identified within the
contractor’s submittal permit package.
• Excess drilling fluids shall be contained within a lined pit or containment pound, until removed
from the site.
• When an area of contaminated ground is encountered, the slurry shall be tested for contamination
and disposed of in a manner, which meets Local, State and/or Federal requirements.
• Precautions shall be taken to keep drilling fluids out of the streets, manholes, sanitary and storm
sewers, and other drainage systems, including streams and rivers.
• The contractor shall make all diligent efforts to minimize the amount of drilling fluids and
cuttings spilled during the drilling operation, and shall provide complete clean-up of all drilling
mud overflows or spills.
All surfaces affected by the work shall be restored to their pre-existing conditions.
The permittee/contractor shall provide a set of as-built drawings to include both alignment and profile.
Drawings should be constructed from actual field readings. Raw data shall be submitted as part of the
“As-Built” document. The contractor shall stipulate the tracking method used to ensure the data was
captured.
18
MICRO-TUNNELING
Micro-tunneling is a hybrid of the tunneling industry (miniaturization of tunnel boring machines) and the
pipeline industry where pipe jacking has been used for more than 100 years. It is a special construction
method suitable for many conditions where open cut construction methods are not cost effective, too
disruptive, or not physically possible.
The plan set submittal shall consist of two separate submittals, by the Owner of the installation and by the
owner's contractor.
The submittal by the owning agency shall contain the following plans and information:
1. Drive lengths
2. Proposed depth
3. Shaft; jacking and receiving shafts, manhole construction, shaft backfill, and shoring removal;
• Type of shaft;
a) Sheet Pile
b) Beams and Lagging
c) Trench Box
d) Auger Drilled and Lined
e) Caissons
4. Intermediate jacking stations;
• Number of Stations;
a) Required by Specifications
b) On site
5. Geotechnical; including ground water information
• Geotechnical evaluation by a qualified soil engineer to determine the following;
a) Boring logs & plan locations of borings and cross sections, Subsurface strata, fill and
ground water elevations
b) Particle size distribution (particularly percent rock and cobble),
c) Cohesion indexes, internal angle of friction, and soil classification,
d) Plastic and liquid limits (clays), expansion index (clays), soil density, and penetration
tests,
e) Rock strength; rock joint fracture and orientation, water table levels, and soil
permeability,
e) Areas of suspected and known contamination should also be noted and characterized.
• Should the soil investigation determine the presence of rock, cobbles, and/or boulders,
determination of the following information would be required;
a) Depth and extent of rock
b) Rock type
c) Rock strength
d) Rock joint/fracture spacing
e) Hardness
f) RQD
g) Estimated range of sizes & frequency of occurrence of cobbles and boulders.
Boreholes or test pits for road crossings shall be undertaken on both sides with one or more additional
boreholes or test pits in the median where conditions permit. Additional boreholes or test pits should be
considered if substantial variation in soil conditions are encountered. Where a proposed installation
parallels an existing road, boreholes or test pits should be undertaken at approximately 250 to 410 feet
intervals.
19
CONTRACTOR’S SUBMITTAL
20
PIPE RAMMING
Pipe Ramming pit requirements are identical to those for Bore & Jack.
Before any project begins, exploration bore-holes and a complete geotechnical investigation shall be
conducted to determine possible difficulties to determine the drilling trajectory.
The casing shall be rammed open ended, except when the diameter is 6” or smaller. Pipes 6” or smaller
may be rammed open ended or closed.
A soil shoe may be installed on the leading edge of the casing, either by fabrication on site or obtained
from the manufacturer. A soil shoe shall not be utilized on those installations at depths or 18” or less
from the surface.
Lubrication shall only be utilized to reduce friction and increase production. The amount of lubrication
directed to the outside of the pipe shall only be of a sufficient amount required to fill the void between the
outside of the pipe and soil, as created by the soil shoe.
Lubrication to the inside of the casing shall only be an amount adequate to assist in spoil removal when
the ram is completed.
The use of straps at each joint on pipe diameters of 12” or larger is required as is the use of the
manufacturer’s specified welding wire or rod.
Spoil removal for rammed encasements of 30” in diameter or less, may utilize pressurized air or water.
Air pressure shall not exceed 150 psi and water pressure shall not exceed 300 psi.
Encasements larger than 30” in diameter shall have the spoils removed by other means than by
pressurizing of the pipe, such as, manual, auguring, vacuum, washing or other means.
The Receiving Pit shall be steel plated entirely when the spoils are to be removed from within the
encasement by means of air or water pressurized methods.
21
PIPE BURSTING
Pipe Bursting operations generally are only performed by the owning utility when they have
exceeded the operating capacity of their existing facilities. In most cases pipe bursting allows the
utility owners the advantage of upgrading their existing facilities by up to 50%.
On installations of diameters 12” or greater it is necessary to establish a survey-grid line and establish the
existing elevation points over the existing area of installation.
A soil analysis should be required and review of the information to identify any locations of difficulty,
density, water table, changes in soil formation that could present or create greater friction resistance.
1. The ratio of the proposed upgrade to determine difficulty, generally up to 25% increase in
diameter is common. An increase of 25% - 50% is considered challenging, and an increase of
50% or greater is considered experimental.
2. The existing depth of cover, “rule of thumb” depth of cover should be at least 10X the difference
in the upgrade of the existing diameter to be burst.
3. Whether or not the existing line has been viewed by video, do not allow line to be burst blind.
5. If bends are existing in the line, the location of the bend will have to be excavated and new pits
re-established at those locations.
6. Require that the contractor provide a list of equipment to be on site to handle an emergency, in
the event that bypass pumping is required to maintain the existing service in the event of a
problem.
7. As to what method will be utilized (static, pneumatic, burst and jack, or hydraulic).
22
Appendix F – Miscellaneous
Table of Contents
Sample letter to City or County requesting consent for Visibility Improvement ........................................... F-1
Minimum clearances of wires above railroads, thoroughfares, buildings, etc. (Excerpts from the California
Public Utilities Commission's General Order 95, Rules 36, 37 and Table 1)
http://www.cpuc.ca.gov/gos/GO95/go_95_section_3.html
DEPARTMENT OF TRANSPORTATION
???? $$$$$ STREET
P.O. Box 00000
XXXXXXXXXX, CA 90000-0000
PHONE (000) 000-0000
FAX (000) 000-0000
Pursuant to Streets and Highways Code Section 670, when proposed encroachment
work for the destruction, removal or topping of a tree (except if dead or diseased) exceeds
$500, then the consent of the city or county, in which the tree is located, is required before
permit issuance. In addition, a 30 day time limit to respond from the receipt of this letter is
also required and failure to do so shall deem the consent from the city or county.
Please complete the bottom portion of the enclosed Visibility Improvement Request
and return it to the Caltrans District Permit Office.
Sincerely,
Enclosure
In addition to the requirements discussed in Section 206.4A “Closing out permit files”, the following steps must be
taken when preparing permit files and plan sets for microfilming:
PERMIT FILES:
• The first page of the permit file must be a completed “EP – Microfilming Slipsheet” (form TR-0155). This form is
available at:
http://cefs2.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=TR0155
• Forms can be typed or handwritten as long as they are legible. If handwritten, print using black or blue ink.
• Smaller size plan sets (8 1/2” x 11” and 11” x 17”) must be included with the permit file (preferably at the end) so
they are microfilmed together rather than in separate aperture cards. This helps reduce costs, space and research
time since all of the information is available in a single microfilm roll.
• The “Permit Transfer Sheet” (form ADM-0163) is an accountability record used by both the District Office and the
Microfilming contractor to track the location of any particular permit file while it is in the process of being
microfilmed. This form is available at:
http://cefs2.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0163
• A copy of the transfer sheet must be placed inside the box (on top of the permit files).
• A second copy of the transfer sheet must also be taped to the outside of the box. This allows us to quickly view the
box’s contents without opening it if a file needs to be located.
• If the documents do not completely fill up the box, add packing material to prevent the contents from shifting
during transit.
• Larger size plans sets must be packaged separately from the permit files so they are converted into aperture cards.
• Use the following guide to place the information stamp (permit #, plan set #, etc.) on each page of the plan set
parallel to the bottom of the page:
If the background of the page is a dark color, tape a post-it or similar label on the page and then stamp the label.
• Important notes must be taped onto the plan set. These additional pieces of paper are to become part of the plan set.
Place and tape down any applicable notes over an open space on the plan set.
• Remove all staples from plan sets with multiple sheets. Plan sheets must be numbered and placed in the correct
sequential order.
Format:
• 2 digit District number – Box number – last 2 digits of the current calendar year.
Example:
• The first box is packaged by District 02 in 2017 this box is numbered 02-01-17.
• Two months later, the second box is packaged and numbered 02-02-17.
• Then District 02 does not package another box until 2018.
Since this is the first box for 2018, this box is numbered 02-01-18.
• Arrange the plan sets in ascending order by year and plan set number within the year.
The oldest plan set with lowest plan set number will appear first followed by the next, etc.
Example:
The district must list the plan sets in ASCENDING YEAR and PLAN SET # as the plans also appear in the box.
The first plan set listed on the sheet is the plan set on top in the box, etc.
• A copy of the transfer sheet must be placed inside the box (on top of the plan sets).
• A second copy of the transfer sheet must also be taped to the outside of the box. This allows us to quickly view the
box’s contents without opening it if a plan set needs to be located.
• If the documents do not completely fill up the box, add packing material to prevent the contents from shifting
during transit.
District 07 District 11
100 South Main Street, Suite 100 4050 Taylor St MS 110
Los Angeles, CA 90012 San Diego, CA 92110
(213) 897-3631 (619) 688-6158
(213) 897-0420 FAX (619) 688-6157 FAX
District 12
1750 East 4th. Street
Santa Ana, CA 92705
(657) 328-6246
(657) 328-6504 FAX
District 01
1656 Union Street (95501)
P. O. Box 3700
Eureka, CA 95502-3700
(707) 445-6385
(707) 445-6317 FAX
District 02
1657 Riverside Drive
Redding, CA 96001
(530) 225-3400
(530) 225-3097 FAX
[email protected]
District 03
703 "B" Street
Marysville, CA 95901
(530) 741-4403
(530) 741-4236 FAX
* Eastern Kern County and Northern San Bernardino County fall under D09's jurisdiction. Please contact the office if you have any questions
Table of Contents
California Test Method 114 ............................................................................................................................H-1
The following Temporary Traffic Control Systems ("T" sheets) are available at:
https://dot.ca.gov/programs/design/ccs-standard-plans-and-standard-specifications
• Traffic Control System for Lane Closure on Freeways and Expressways, T-9
• Traffic Control System for Lane Closure on Freeways and Expressways, T-10
• Traffic Control System for Lane and Complete Closure on Freeways and Expressways, T-10A
• Traffic Control System for Lane Closure on Multilane Conventional Highways, T-11
• Traffic Control System for Lane Closure on Multilane Conventional Highways, T-12
• Traffic Control System for Lane Closure on Two Lane Conventional Highways, T-13
• Traffic Control System for Ramp Closure, T-14
Uncased High Pressure Natural Gas Pipelines Crossings (Exception to Policy) ............................................H-18
AASHTO's "Roadside Design Guide" 4th Edition, Chapter 11 "Erecting Mailboxes on Streets and Highways" .
......................................................................................................................................................................H-23
DEPARTMENT OF TRANSPORTATION
ENGINEERING SERVICE CENTER
Transportation Laboratory
5900 Folsom Blvd
Sacramento, California 95819-4612
5. Perform test in both directions on the plate Testers are required to wear face protection due
using the procedures outlined in California to the presence of glycerin mist, and also to read
Test 342. Recoat the plate and tire with Chapter 12.15 (Face and Eye Protection) and
glycerine before each test. The desired Chapter 15 (Respiratory Protection) of Caltrans
reading against the cut is 0.42 ± .02 for all Employee Safety Manual.
plates. Values desired with the cut vary
depending upon the plate used. The friction REFERENCES
factor of Plate No.1 (Districts 07 and 11) is California Test 342
0.27, Plate No. 2 (District 04 and the End of Text (4 pages) on Calif. 114
Transportation Laboratory) is 0.30 and Plate
No. 3 (Branch Laboratory in Los Angeles) is
1
California Test 114
January 2000
Figure 1a
2
California Test 114
January 2000
3
California Test 114
January 2000
4
California Test 342
STATE OF CALIFORNIA—BUSINESS, TRANSPORTATION AND HOUSING AGENCY December 1995
DEPARTMENT OF TRANSPORTATION
ENGINEERING SERVICE CENTER
Transportation Laboratory
P. O. Box 19128
Sacramento, California 95819
CAUTION: Prior to handling test materials, performing equipment setups, and/or conducting this
method, testers are required to read “SAFETY AND HEALTH” in Section H of this
method. It is the responsibility of the user of this method to consult and use
departmental safety and health practices and determine the applicability of regulatory
limitations before any testing is performed.
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California Test 342
December 1995
5. A stiff fiber broom 9. Depress the starting switch and bring the
test tire speed to approximately 90 km/h.
D. TEST PROCEDURE
10. Release starting switch.
1. Clean loose material from the test surface
using the stiff fiber broom. 11. Drop the test tire to the pavement surface
the instant the tachometer shows
2. Determine the grade of the test surface. 80 km/h. This is performed by engaging
the lever arm.
a. Place the metal level on the test
surface parallel to direction of traffic 12. Read the gage at the rear edge of
with the adjustable end down grade. indicator and record the test measure-
ment. Obtain a coefficient of friction
b. Adjust the level until the bubble is value for the smoothest appearing
centered. surface or surfaces on the project.
c. The grade is read directly on the For a pavement surface, obtain five test
calibrated sliding bar. See Figure 4. measurements and report the average as
Record this slope to nearest 0.5 %. the coefficient of friction. Make the tests
in a longitudinal direction at 7.5-m
3. Remove the skid testing unit from the intervals, unless any test measurement is
vehicle, attach it to the bumper hitch, less than the specified minimum. If less
and connect the power cables as shown in than the specified minimum, make five
Figure 5. test measurements at 0.6-m intervals
within or including the smoothest
4. Position the skid tester with the test tire appearing area.
over the pavement surface to be tested.
The test tire should be parallel to the For a bridge deck, obtain the coefficient
direction of traffic. of friction value by averaging three test
measurements. Space each test location
5. Place the wooden spacer under the test for this average no nearer than 0.6 m nor
tire and turn the adjustment knob to farther than 1.2 m, from any other test
obtain a distance of 6 mm from the test location. The spacing may be lateral or
surface to the bottom of the test tire. longitudinal, but perform the test
Remove the wooden spacer. measurement in a longitudinal direction.
6. Wet the full circumference of the test tire For coefficient of friction values less than
and the test surface (from the initial tire the specified minimum, use a combination
contact point to approximately 0.5 m of visual observations and individual test
ahead of the contact point) with measurements to define the area of non-
glycerin, using the paint brush. compliance.
E . CALCULATIONS
7. Release the rebound shock absorber. This
device is located in front of the switch,
1. Make pavement corrections due to slope
and below the motor.
changes using Figures 6 and 7.
8. Set the sliding gage indicator against the 2. Average the corrected readings for each
carriage end. test location.
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California Test 342
December 1995
Example: The following readings were taken water and carefully dry all parts with a
at 7.5 m intervals in a test location. cloth to minimize the corrosive prop-
erties of glycerin.
Test Test % Corrected Test
Location Measurement Grade Measurement*
0+00.0 0.37 +2 0.39 8. Use care when removing and reinserting
0+07.5 0.38 +1 0.39 the test apparatus in the transport
0+15.0 0.40 +1 0.41 vehicle. See Figures 8 and 9.
0+22.5 0.39 +1 0.40
0+30.0 0.41 +1 0.42
Average Coefficient of Friction = 0.40 G. REPORTING OF RESULTS
*Corrected values for upgrade measurements The report shall include the following data:
were taken from chart in Figure 6.
Examples of coefficient of friction 1. The name of the tester and the date when
values for different pavement textures are test measurements were recorded
presented in the Appendix.
2. The contract number
F . PRECAUTIONS
3. The year when the pavement surface was
1. The rear support rod must be cleaned by placed
washing frequently with water and a
detergent to prevent sticking. A coating 4. The location of the test measurements
of light oil should be applied.
5. The surface grade for each test site
2. Sliding gage indicator must be kept clean
so that it will slide very freely, and 6. The initial and corrected test measure-
adjusted so that it will not shift upon ments and the average coefficient of
carriage recoil impact. friction value for each test location
3. Glycerin remaining on the surface after 7. Average air temperature during testing
the test should be flushed off with water.
8. Form TL-3111 shall be used to report all
4. A minimum of seven days should lapse test results. See Figure 10.
after PCC placement before testing.
H. SAFETY AND HEALTH
5. A minimum of one day should lapse after
AC placement before testing. Prior to handling, testing or disposing of
any waste materials, testers are required to
6. Temperatures less than 4.5˚C will cause read: Part A (Section 5.0), Part B (Sections:
glycerin to become viscous and yield 5.0, 6.0 and 10.0) and Part C (Section 1.0) of
lower values. For full accuracy, Caltrans Laboratory Safety Manual. Users
coefficient of friction values must be of this method do so at their own risk.
obtained at temperatures greater than
4.5˚C.
REFERENCE:
California Test 114
7. At the conclusion of a testing period,
thoroughly wash the entire tester with End of Text (California Test 342 contains 12 pages)
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December 1995
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December 1995
APPENDIX
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California Test 342
December 1995
- 12 -
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT FEE SCHEDULE
TR-0166 (REV. 10/2019)
CODE PERMIT TYPE DEPOSIT REVIEW INSPECTION CODE PERMIT YPE DEPOSIT REVIEW INSPECTION
REQUIRED REQUIRED
GENERAL GEO-PHYSICAL
TESTING
AD Advertising displays, 6 AX AX GC Cable crossing 6 AX AX
marquees, arcades, awnings
AH Adopt-A-Highway EXEMPT EXEMPT EXEMPT GV Seismic Vibrator 6 AX AX
AP Transportation Art Program EXEMPT EXEMPT EXEMPT
AS Airspace Development EXEMPT EXEMPT AX LANDSCAPE
BR Banners, decorations 6 AX AX LC Conventional Highway 6 AX AX
BS Bus shelters & benches EXEMPT EXEMPT AX LF Freeway 6 AX AX
CC City/County issued permits --- --- --- LM Maintenance 6 AX AX
CD Commercial Development 6 AX AX LT Tree Trim/removal 6 AX AX
CN Chain Installer 2 + vest
CS Curb/gutter/sidewalk 6 AX AX RIDER
CU Coupon Racks & Newspaper 6 AX AX RD Caltrans initiated rider EXEMPT EXEMPT EXEMPT
vending machines at SRRAs
CU Adopt-A-Kiosk (TSIC) EXEMPT EXEMPT EXEMPT RT Time extension rider 2 2 AX
CU SRRA Vending Machines EXEMPT EXEMPT EXEMPT RW Modify work rider 6 AX AX
DP Double Permit 6 2 AX, (#1)
Double Permit when contractor 6 AX AX, (#1) ROAD APPROACH /
makes project plan submittal DRIVEWAY
Cooperative Agreements AD AD AD RC Commercial 6 AX AX
FN Fence – New/Modified 6 AX AX RM Resurface, reconstruct, 6 1 AX
reissue
GM Gateway Monument EXEMPT EXEMPT EXEMPT RP Public/Private 6 AX AX
ID Community Identification EXEMPT EXEMPT EXEMPT RS Single family/agricultural 6 AX AX
MB Mailbox EXEMPT EXEMPT EXEMPT
MC Contractor’s yard and plant, 6 AX AX SPECIAL EVENT
Grading, mowing grass,
material removal, structures,
parking meters, tieback,
widening, freeway &
conventional striping
MM Blue Star and Memorial EXEMPT EXEMPT EXEMPT SE Special Event 6 AX AX
Markers
MW Monitoring Wells 6 AX AX
OA Visibility Improvement 6 AX AX SIGNALS / LIGHTING
Request
OP Oversight Projects AD AD AD SN Signal – new/modify 6 AX AX
RX Railroad Crossing EXEMPT EXEMPT EXEMPT TK Traffic Control, signals, 6 AX AX
lighting
SC State Contract – Early entry 1 1 0
SI Signs 6 AX AX ANNUAL / BI-
ANNUAL
SV Land, archeological, traffic 6 AX AX --- All permits DEF 2 AX
counts, research project,
accident reconstruction,
literature distribution
TN Tunneling ( > 30 inches) 6 AX AX
WL Wall 6 AX AX UTILITIES
BB Broadband DEF AX AX
DRAINAGE UB Utilities in or on a bridge DEF AX AX
DM Minor Drainage 6 AX AX UC Conventional Aerial DEF AX AX
DD Major Drainage 6 AX AX UE Annual utility & service DEF AX AX
UF Freeway Aerial DEF AX AX
FILMING UJ Transverse Bore & Jack DEF AX AX
FF Filming in Facilities 0 AX AX UL Underground DEF AX AX
Longitudinal Minor
FI Intermittent Traffic control 0 2 0 UR State required relocation EXEMPT EXEMPT EXEMPT
FL Traffic Control 0 AX AX US Service, pothole, modify DEF AX AX
FO No moving traffic 0 1 0 UT Open cut road DEF AX AX
FR Film rider 0 AX AX
FS Special 0 AX AX
NOTES:
MOST PERMITS REQUIRE A 6 HOUR MINIMUM DEPOSIT UNLESS EXEMPT OR NOTED OTHERWISE
(#1) Inspection time will be charged to only one permit, the parent permit or the double permit, not both
AD – As specified in the agreement and/or the “Encroachment Permit Administrative Route Slip” (form TR-0154)
AX – Actual expenditures shall be collected
DEF – Deferred Billing (Utilities only)
CONTROLLED LOW STRENGTH MATERIAL
Controlled low strength material (CLSM) shall consist of a workable mixture of aggregate,
cementitious materials, and water. Controlled low strength material shall conform to the provisions in
Section 19-3, "Structure Excavation and Backfill," of the Standard Specifications and these special
provisions.
At the option of the Contractor, controlled low strength material may be used as structural backfill for
pipe culverts within trenches.
When controlled low strength material is used for structure backfill, the width of the excavation shown
on the plans may be reduced so that the clear distance between the outside of the pipe and the side of
the excavation, on each side of the pipe, is a minimum of 6 inches except that 12 inches shall be
required for pipes 42 inches and greater in diameter or span when height of cover is greater than 20
feet. Controlled low strength material shall not be used with underground structures having a span
greater than 20 feet.
Controlled low strength material in new construction shall not be permanently placed higher than the
basement soil. For trenches in existing pavements, permanent placement shall be no higher than the
bottom of any existing pavement permeable drainage layer; if no drainage layer(s) are present,
permanent placement in existing pavements shall be no higher than: a) 1 inch below the bottom of the
existing asphalt concrete, or b) no higher than the top of base below existing Portland cement concrete
pavements. When used, the minimum height that controlled low strength material placed relative to
the pipe invert shall be: 0.5 d (diameter) for rigid pipe and 0.7 d for flexible pipe.
When controlled low strength material is proposed for use, the Contractor shall submit a mix design
and test data to the Engineer for approval prior to excavating the trench for which controlled low
strength material is proposed for use. The test data shall demonstrate that the mix design provides:
a) For pipe culverts having a height of cover of 20 feet or less, a 28-day compressive strength
between 50 and 100 psi is required; for height of cover greater than 20 feet, a minimum 28-day
compressive strength of 100 psi is required. Compressive strength shall be determined by
ASTM Test Method D4832, "Preparation of Testing of Soil-Cement Slurry Test Cylinders."
b) When controlled low strength material is used as structure backfill for pipe culverts, the
sections of pipe culvert in contact with the controlled low strength material shall meet the
requirements of Chapter 850 of the Highway Design Manual using the minimum resistivity,
pH, chloride content, and sulfate content of the hardened controlled low strength material.
Minimum resistivity and pH shall be determined by California Test 643, the chloride content
shall be determined by California Test 422, and the sulfate content shall be determined by
California Test 417.
c) Cement shall be: any type of Portland cement conforming to the provisions of ASTM
Designation C 150; any type blended hydraulic cement conforming to ASTM C 595M; or any
type blended hydraulic cement conforming to the physical requirements of ASTM C 1157M.
Testing will not be required.
d) Admixtures may be used in conformance with Section 90-4 of the Standard Specifications and
the following: Chemical admixtures containing chlorides as CI in excess of 1 percent by mass
of admixture, as determined by California Test 415, shall not be used.
Materials for controlled low strength material shall be thoroughly machine-mixed in a pugmill, rotary
drum, or other approved mixer. Mixing shall continue until the cementitious material and water are
thoroughly dispersed throughout the material. Controlled low strength material shall be placed in the
work within 3 hours after mixing.
Controlled low strength material shall be placed in a uniform manner that will prevent voids in, or
segregation of, the backfill, and will not float or shift the culvert. Foreign material that falls
into the trench prior to or during placing of the controlled low strength material shall be immediately
removed.
When controlled low strength material is to be placed within the traveled way or otherwise to be
covered by paving or embankment materials, it shall achieve a maximum indentation diameter of 3
inches prior to covering and opening to traffic. Penetration resistance shall be as measured by ASTM
Test Method C 6024, "Standard Test Method for Ball Drop on Controlled Low Strength Material to
Determine Suitability for Load Application."
Controlled low strength material used as structure backfill for pipe culverts will be considered
structure backfill for compensation purposes.
January 2012 Errata
surface treatment course to accommodate multiple patron use. Special measures also may be needed where highway traffic conditions
encourage hard braking or high acceleration by vehicles entering or exiting the mailbox turnout.
Edge dropoffs often are found at rural mailbox locations. The daily use by the delivery vehicles may loosen the soil at the edge of the
pavement. When the soil at the edge is eroded, a drop of 100 mm [4 in.] or more may result. These edge dropoffs can make it difficult
for drivers to safely return to the pavement if the vehicle strays onto the unstable soil. The use of paved turnouts is one solution. An-
other approach is a recent paving innovation called the Safety Edge, which shapes the edge of the traveled way into a 30 degree angle
rather than a vertical drop. This new angle is optimal in allowing motorists to return their vehicle to the pavement without overcor-
recting or losing control.
Drivers usually are required to slow their vehicles in traffic, which increases the risk of a crash. The ideal way to minimize this risk
is to provide a speed-change lane. A wide surface-treated shoulder is ideal for this purpose. Unfortunately, suitable shoulders are not
available at most mailbox turnout locations and it would be far too expensive to provide shoulders or turnouts that would allow a speed
change outside the traveled way. Figure 11-5 presents a mailbox turnout layout considered appropriate for different traffic conditions.
The minimum space needed for maneuvering to a parallel position in and out of traffic also is shown in Figure 11-5. However, when
only the minimum space is provided, the typical driver probably would slow considerably before starting into the low-speed turnout.
This tendency renders such minimum space unsuitable for high-speed highways where driver expectancy does not include such slow-
moving traffic.
Before entering a 2.4-m [8-ft] wide turnout with a 20:1 taper for high-speed traffic, as shown in Figure 11-5, a driver probably would
not slow as much before clearing the traveled way. Although this is not an ideal exit maneuver, it probably would not create an unac-
ceptable hazard on most rural highways for the few stops generated by a single mailbox.
Increasing the width of the turnout to 3.6 m [12 ft] and maintaining the 20:1 taper rate suggested in Figure 11-5 would induce a driver
using the turnout to enter it at a fair rate of speed, but it will not be as fast as the through speed. Although this still is not ideal, it should
be acceptable for most sites. The exception may be found on highways operating at high speeds and carrying more than 3,000 vehicles
per day, with a high percentage of them on long trips. For these conditions, mail stops should be kept to a minimum and consideration
should be given to providing shoulders or turnouts at the mail stops to facilitate greater speed-change opportunities outside the traffic
stream.
The tapers shown in Figure 11-5 represent theoretical layouts. It may be more practical to square the ends of the turnout or to provide a
stepped layout by strengthening and widening the shoulder to the full width of the turnout for the entire length of the taper. It also may
be simpler to construct a continuous turnout-width shoulder rather than individual turnouts where mailbox turnouts are closely spaced.
Direction of
Edge of Traveled Way
Travel
LS = A Minimum Design for Roads Carrying Low-Speed Traffic and for Local and Collector Roads.
HS = For Roads Carrying High-Speed Traffic.
W = For Suggested Widths, see Table 11-1.
MAILBOXES = For Mailbox Spacing and Variable Length, see Section 11.2.4, Mailbox Support and Attachment Design.
* = For Mailbox Face Offset, see Table 11-1, 0 mm to 300 mm [0” to 12”].
Table of Contents
FILMING
Use this document for filming when:
Closure of the State Highway will require traffic redirection onto local streets or roads ............................... I-1
Filming activity requires closure of the State Highway and there is no acceptable alternate route .............. I-2
A restriction on the State Highway occurs but no closure or detour is required ............................................ I-3
Time factors do not permit a resolution adoption before the date of the filming activity and requires re-
routing over City Streets/County Roads .......................................................................................................... I-4
Time factors do not allow a resolution to be adopted before the date of the filming activity ....................... I-5
SPECIAL EVENTS
Use this document for special events when:
Closure of the State Highway will require traffic redirection onto local streets or roads ............................... I-6
Event activity requires closure of the State Highway and there is no acceptable alternate route ................. I-7
A restriction on the State Highway occurs but no closure or detour is required ........................................... I-8
Time factors do not permit a resolution adoption before the date of the special event and requires re-routing
over City Streets/County Roads ....................................................................................................................... I-9
Time factors do not allow a resolution to be adopted before the date of the special event ....................... I-10
(USE THIS RESOLUTION FORMAT WHEN CLOSURE OF THE STATE HIGHWAY WILL REQUIRE TRAFFIC
REDIRECTION ONTO LOCAL STREETS OR ROADS)
WHEREAS said temporary closure will cause the re-routing of traffic onto and over the
following (city streets/county roads) _______________: (describe routing)
_______________.
I-1
© 2018 California Department of Transportation. All Rights Reserved.
FILMING
(USE THIS RESOLUTION FORMAT WHEN THE FILMING ACTIVITY REQUIRES CLOSURE OF THE STATE
HIGHWAY AND THERE IS NO ACCEPTABLE ALTERNATE ROUTE)
WHEREAS there is no acceptable alternate route, with the result that traffic normally
using State Highway Route _______________ will be temporarily halted or restricted.
I-2
© 2018 California Department of Transportation. All Rights Reserved.
FILMING
(USE THIS RESOLUTION FORMAT WHEN A RESTRICTION ON THE STATE HIGHWAY OCCURS BUT NO
CLOSURE OR DETOUR IS REQUIRED)
I-3
© 2018 California Department of Transportation. All Rights Reserved.
FILMING
(USE THIS DOCUMENT FORMAT WHEN TIME FACTORS DO NOT PERMIT A RESOLUTION ADOPTION
BEFORE THE DATE OF THE FILMING AND REQUIRES RE-ROUTING OVER CITY STREETS/COUNTY
ROADS)
I-4
© 2018 California Department of Transportation. All Rights Reserved.
FILMING
(USE THIS DOCUMENT FORMAT WHEN TIME FACTORS DO NOT ALLOW A RESOLUTION TO BE
ADOPTED BEFORE THE DATE OF THE FILMING)
The next regularly scheduled meeting of the City Council/Board of Supervisors of will be
on (date) _______________. A formal Resolution by the Council/Board cannot be
obtained before the proposed date of (filming activities) _______________. In my
capacity as (title) _______________ for the City/County of _______________, I am
authorized to advise you that the City/County of _______________ approves and
consents to the proposed event upon such terms and conditions deemed appropriate and
necessary by the State of California, Department of Transportation.
I-5
© 2018 California Department of Transportation. All Rights Reserved.
SPECIAL EVENT
(USE THIS RESOLUTION FORMAT WHEN CLOSURE OF THE STATE HIGHWAY WILL REQUIRE TRAFFIC
REDIRECTION ONTO LOCAL STREETS OR ROADS)
WHEREAS (special event) _______________ will require the temporary closure of State
Highway Route _______________ on (date) _______________ between (location)
_______________ and _______________ between the hours of _______________ and
_______________; and
WHEREAS said temporary closure will cause the re-routing of traffic onto and over the
following (city streets/county roads) _______________, (describe routing)
_______________.
I-6
© 2018 California Department of Transportation. All Rights Reserved.
SPECIAL EVENT
(USE THIS RESOLUTION FORMAT WHEN THE SPECIAL EVENT REQUIRES CLOSURE OF THE STATE
HIGHWAY AND THERE IS NO ACCEPTABLE ALTERNATE ROUTE)
WHEREAS (special event) _______________ will require the temporary closure of State
Highway Route _______________ on (date) _______________ between (location)
_______________ and _______________ between the hours of _______________ and
_______________; and
WHEREAS there is no acceptable alternate route, with the result that traffic normally
using State Highway Route _______________ will be temporarily halted or restricted.
I-7
© 2018 California Department of Transportation. All Rights Reserved.
SPECIAL EVENT
(USE THIS RESOLUTION FORMAT WHEN A RESTRICTION ON THE STATE HIGHWAY OCCURS BUT NO
CLOSURE OR DETOUR IS REQUIRED)
WHEREAS (special event) _______________ will temporarily impede and restrict the
free passage of traffic over State Highway Route _______________ on (date)
_______________ between (location) _______________ and _________________
between the hours of _______________ and _______________; and
I-8
© 2018 California Department of Transportation. All Rights Reserved.
SPECIAL EVENT
(USE THIS DOCUMENT FORMAT WHEN TIME FACTORS DO NOT PERMIT A RESOLUTION ADOPTION
BEFORE THE DATE OF THE SPECIAL EVENT AND REQUIRES RE-ROUTING OVER CITY
STREETS/COUNTY ROADS)
I-9
© 2018 California Department of Transportation. All Rights Reserved.
SPECIAL EVENT
(USE THIS DOCUMENT FORMAT WHEN TIME FACTORS DO NOT ALLOW A RESOLUTION TO BE
ADOPTED BEFORE THE DATE OF THE SPECIAL EVENT)
I-10
© 2018 California Department of Transportation. All Rights Reserved.
Appendix J – Road Connections and Driveways
Table of Contents
Design Guidelines for Typical Rural Driveways in State Right of Way. ................................................................. 2
REFERENCES:
Please always refer to the latest Highway Design Manual (HDM) for most up to date guidelines. The HDM
indexes referenced in the guidelines below can be accessed online from the following link:
https://dot.ca.gov/programs/design/manual-highway-design-manual-hdm
1. Location of the driveway shall be designed to maximize corner sight distance. For corner sight
distance, see HDM Index 405.1 (2) (c). Driveway proposals that do not meet sight distance
requirements will not be permitted. The minimum corner sight distance shall be equal to the stopping
sight distance as given in HDM Table 201.1. HDM Table 101.2 shows appropriate ranges of design
speeds that shall be used for the various types of facilities, place types, and conditions listed. (See
HDM Table 101.2 Vehicular Design Speed; Table 201.1 Sight Distance Standards; Index 205.4 Driveways
on Frontage roads and in Rural Areas; Index 405.1 (2) Corner Sight Distance)
2. Driveways connecting to State highways shall be paved a minimum of 20 feet from the edge of
shoulder or to the edge of State right of way, whichever is less to minimize or eliminate gravel from
being scattered on the highway and to provide a paved surface for vehicles and bicycles to accelerate
and merge. Where larger design vehicles are using the driveway (e.g., dump trucks, flatbed trucks,
moving vans, etc.), extend paving so the drive wheels will be on a paved surface when accelerating
onto the roadway (See HDM Index 205.4 Driveways on Frontage roads and in Rural Areas).
Driveway Design Details: Once considerations 1 and 2 above are met, driveway shall be designed per the
following requirements:
3. Where County or City Regulations differ from the State’s, it may be desirable to follow their regulations
(See HDM Index 205.4 Driveways on Frontage roads and in Rural Areas).
OR
4. Design details are shown on HDM Figure 205.1. This detail, without the recess, may be used on
conventional highways (See HDM Figure 205.1 Access Openings on Expressways, Note 2).
5. Approach and departure tapers should be 50 feet longitudinal and 8 feet from edge of traveled way at
the end of the taper. Approach and departure tapers are not required where the existing paved
shoulder is at least 8 feet wide (See HDM Figure 205.1 Access Openings on Expressways).
Structural Section Design Details: Driveways structural section has to meet the following requirements:
6. Approach and departure tapers should have structural sections matching the existing State highway
shoulders. An alternate shoulder design is allowed. See HDM Figure 613.5B for details. For asphalt
driveway the structural section should be equal to or greater than edge of shoulder or approach and
departure tapers. Minimum thickness of surface course is 0.35 foot. Aggregate base depth should
match State highway shoulders. Details (cross section, etc.) for concrete driveways are shown on
Standard Plan A87A. Minimum thickness at driveway shall be 4 inches for residential and 6 inches for
Purpose: The above excerpts from the Department’s HDM are shown for reference. The design standards used
for any project should equal or exceed the minimum given in the manual to the maximum extent feasible.
They do not replace engineering knowledge, experience, and judgment in the design of driveways.
8. Special situations may call for variation from policies and procedures, subject to the appropriate approval.
This is not intended to, nor does it establish a legal standard or any other standard of conduct or duty
toward the public.
Table of Contents
ACCESS CONTROL AND TEMPORARY SAFETY BARRIER (WL) ……………………………...………………………………...K-1
BUS PASSENGER SHELTERS, BENCHES, AND PULLOUTS --ADVERTISING AND LOCATION (BS) ……………..K--10
HAZARDOUS MATERIALS AND HAZARDOUS WASTE MANAGEMENT SPECIAL PROVISIONS (TR-0408) …K-29
In addition to the attached General Provisions (Form TR-0045), the following special provisions
are also applicable:
1. A temporary 6' high access control fence shall be provided before removing the existing
fence. Existing fence fabric shall be salvaged and delivered to the nearest State facility as
directed by the State's representative at no cost to the State. The remaining access control
fence shall be tied to the wall.
2. Fence posts are to be removed completely and the holes backfilled with compacted earthen
material.
3. Access to the worksite from the freeway is prohibited.
4. Any material stored at the worksite within 30' of the traveled way when work is not in
progress shall be protected by Type K barrier railing placed at a 20: 1 taper or as otherwise
directed by the State's representative.
5. Any Type K barrier placed within 10' of the traveled way shall have one appropriate
reflective marker affixed to the top of each section. A Type "P" object marker shall be
installed in front of the approach end section. The end section shall also be protected by a
temporary crash cushion array.
1. AUTHORITY: The Department’s authority to issue encroachment after, and Christmas. Unless specified, work is permitted the day
permits is provided under Division 1, Chapter 3, Articles 1 - 3, following a legal holiday or holiday weekend.
Section 660 to 734 of the Streets and Highways Code.
11. PARTICIPATION IN STATEWIDE EVENTS: Weather permit-
2. REVOCATION/CANCELLATION: This permit may be revoked ting, volunteer litter removal groups shall schedule work during the
by the Department for noncompliance with permit provisions or "Great American Cleanup-California" (March-May) and "California
for failure of the permittee, or their representative to adhere to Cleanup Day" (September) events in order to support Adopt-A-
direction given by a Departmental representative. These provi- Highway's participation in national and international cleanup events.
sions are subject to modification or abrogation at any time. This
permit may be temporarily suspended due to construction or 12. CONFLICTING ENCROACHMENTS: Permittee shall yield start
other State operations at, or within, the vicinity of the site. of work to ongoing, prior authorized, work adjacent to or within the
limits of the project site.
Permittee may cancel their permit at any time without consequence
from the Department. Permittees using contractors are responsible 13. PERMIT AT WORK SITE: Permittee shall keep the complete per-
for terminating those arrangements. mit package (Adopt-A-Highway Encroachment Permit, Adopt-A-
Highway Permit Special Provisions, and if applicable, plans and
3. ASSIGNMENT: No parties other than the permittee, or permittee’s
authorized representative, are allowed to work under this permit. work schedule) or a copy thereof, at the work site and show it upon
request to any Department representative or law enforcement of-
4. ACCEPTANCE OF PROVISIONS: Permittee understands and ficer. If the permit package is not kept and made available at the work
agrees to accept these Adopt-A-Highway Permit Special Provisions site, the work shall be suspended. In addition, a copy of the en-
and all attachments to this permit, for any work to be performed croachment permit must be displayed in the windshield of each ve-
under this permit. It is understood and agreed by the permittee that hicle parked on the right of way. Vehicles without permits may
performing work under this permit shall constitute acceptance. receive traffic citations.
5. PERMITTEE RESPONSIBILITY: No person shall enter the State’s 14. PARKING AT THE WORK SITE: Participant’s personal vehicles
right of way to perform work until the Department’s Maintenance shall not interfere with the free flow of traffic or pedestrians. Vehicles
Supervisor has given the permittee’s group/crew leader a safety ori- used to transport participants or materials may legally park on the
entation, and, all participants have received safety training from the right of way provided that they are located completely off of the
permittee’s group/crew leader as described in items 20 and 24. pavement and a minimum of six feet from any traffic lane. If this is not
possible, participants must walk to and from the site or, if the site
It is the responsibility of the permittee to notify the District Adopt- has a shoulder, participants can use a drop-off and pick-up arrange-
A-Highway Coordinator of any change of permittee's address, phone ment.
number, or contact person.
15. WORK PROCEDURES: Work shall proceed in the direction facing
6. PLAN CHANGES: Changes to plans, specifications, and permit traffic. A posted safety lookout shall be used when fellow partici-
provisions are not allowed without prior approval from the Depart- pants are unable to watch oncoming traffic.
ment. Work shall not be performed on or within six feet from any traffic
lane or on median strips. Participants shall not walk or run across
7. AGE OF PARTICIPANTS: No minors under the age of 16 are per- access-controlled highways (freeways), including on-ramps and off-
mitted to participate in the program. Minors, 16 and 17 years of age,
ramps unless there are crossalks. Participants shall not work on
may participate; however, there must be one adult supervisor for unstable or slippery ground, on slopes greater than approximately
every five minors present at the work site. The adult supervisor 40º, on bridges, in tunnels, or inside culverts. Unless excluded by the
must be at least 21 years old and must walk along with the group.
aforementioned conditions, or entered on Attachment A, Work Pro-
Volunteer group leaders must be adults who are at least 21 years old. cedures, litter removal and vegetation control shall be performed
behind soundwalls.
8. BEGINNING OF WORK: Work authorized by this permit shall
begin after a safety orientation has been completed and within
16. PUBLIC TRAFFIC CONTROL: All forms of traffic control, in-
30 calendar days from the date of issuance, regardless of whether cluding shoulder, lane, and ramp closures, signs, cones, vehicles, or
or not the permittee's Adopt-A-Highway courtesy sign(s) and/or any other traffic control device are prohibited under this permit.
recognition panel(s) have been installed. Work shall not be discontin-
ued if the permittee's courtesy sign is damaged or stolen. 17. SAFETY EQUIPMENT: It is required that all participants wear
hard hats, safety vests, gloves, and protective eye wear while on the
9. ADVANCE NOTICE OF WORK: Permittee must notify the State's right of way. The Department will provide these and, if needed,
Department’s Maintenance Supervisor listed on Attachment A
litter pickers to volunteers free of charge. In addition, participants
(Adopt-A-Highway Special Provisions) of their plans to work at are required to wear long pants and substantial leather shoes or boots
least five days, but no more than one month, before the event. with ankle support. Any State-furnished, personal protective equip-
10. WORK DAYS AND HOURS: Work must be performed during ment, unused materials, and tools shall be returned upon termination
of the permit.
daylight hours. If weather (or other adverse circumstance) causes
decreased visibility or a public hazard, work shall immediately be 18. LITTER BAGS: Participants shall use white, Adopt-A-Highway
discontinued. Work shall not be conducted on, or within twenty-four
bags provided by the Department. Securely tied, filled bags must be
hours preceding, the following holidays or holiday weekends: New placed at least six feet from the edge of traffic lanes and off of paved
Year's Day, Martin Luther King, Jr.'s Birthday, Washington's Birth- shoulders. Bags must be placed in locations where they are not ob-
day, Cesar Chavez's Birthday, Easter, Memorial Day, Independence
structing drainage and where Departmental maintenance forces can
Day (July 4th), Labor Day, Veteran's Day, Thanksgiving and the day easily see them and safely retrieve them. Whenever possible, bags
should be stacked together and/or placed 100 feet from structures. It H. Report changes in contact information or leadership to the
is important for participants to leave their filled bags at the site so District Adopt-A-Highway Coordinator. New group leaders,
that the Department can verify that work frequencies are being met. appointed during the permit period, must make arrangements to
Also, the monthly count of white bags collected, enables the Depart- attend a safety orientation given by the Department’s Mainte-
ment to quantify the value of the Adopt-A-Highway Program. (Par- nance Supervisor, not the permittee's previous group leaders.
ticipants may take bags of recyclables home.)
19. STORAGE OF EQUIPMENT AND MATERIALS: Unless speci- 21. ADOPT-A-HIGHWAY SIGNS: The Department shall furnish, in-
fied in the Permittee's planting and/or work plans, storage of equip- stall, and maintain an Adopt-A-Highway courtesy sign(s) and stan-
ment and materials (other than filled, Adopt-A-Highway litter bags) dard recognition panel(s) at the adoption site in recognition of the
on the State right of way is not authorized under this permit. Permittee's contribution. Standard recognition panels shall display
the Permittee's name in black, block letters on a white background.
20. SAFETY PROCEDURES FOR VOLUNTEER GROUPS: Permittees may furnish a customized, recognition panel(s) at their
own expense. Specifications for the recognition panel's wording, size,
A. Designate group leaders. Each permittee shall designate a color, type style, placement, and any subsequent modifications shall
group leader and an alternate group leader to represent the group. be solely determined and approved by the Department. (Note: "Spot"
Unless otherwise notified, the Department considers the group Wildflower and Supplemental Litter Removal adoptions do not meet
leader to be the individual whose name appears on the attached minimum requirements for a courtesy sign.) Neither the Adopt-A-
encroachment permit. Highway Program nor it’s courtesy signs are intended to pro-
Unless otherwise notified, the Department considers the alter- vide a forum for advertisement, solocitation, or public discourse.
nate group leader to be the individual named as the alternate
contact on the Adopt-A-Highway Program Application. 22. WHEN AN ADOPT-A-HIGHWAY CONTRACTOR IS UTILIZED:
Individuals, organizations, and businesses may adopt segments of
B. Attend a Caltrans safety orientation. Both the group leader
and the alternate group leader shall schedule and attend a safety highway and have the required adoption work performed by a pro-
orientation given by the Department’s Maintenance Supervisor. fessional business through contract or agreement. Contractors must
submit a separate Adopt-A-Highway Permit Application and will be
The "Adopt-A-Highway Safety Orientation Checklist for Vol-
unteers" will be reviewed, signed, and copies given to the group issued a "double permit." Only contractors that have been pre-ap-
leaders. proved by the Department may be utilized. In order to receive De-
partmental approval, contractors must submit and maintain the fol-
C. Obtain safety equipment: Safety equipment and a copy of lowing documents:
the Adopt-A-Highway safety video shall be issued during the
Caltrans safety orientation. Participants who need them will A. Liability Insurance: Contractors with employees shall main-
also receive Adopt-A-Highway litter bags and litter pickers. tain $1,000,000 of general liability insurance for each occur-
Additional safety equipment and litter bags may be obtained as rence, plus $2,000,000 of excess liability insurance (totaling
needed throughout the permit period from the Department’s $3,000,000). Contractors who do not utilize paid employees
Maintenance Supervisor. shall maintain $1,000,000 in general liability insurance for each
D. Provide safety training to all group members. The group occurrence; no excess liability insurance is required. All certifi-
leader or alternate group leader shall then provide safety train- cates of liability insurance shall name the State of California
Department of Transportation as additional insured.
ing for all participants before they attend a work event. The
encroachment permit and special provisions shall be explained B. Vehicular insurance, in the minimum amount of one million
and part two of the Adopt-A-Highway safety video must be dollars, is required of all contractors.
viewed. C. Worker’s compensation insurance, in the minimum amount
E. Conduct safety reviews before each work event. The group of one million dollars, is required for contractors who employ
leader or alternate group leader shall conduct a brief, off-site persons to perform work authorized under this permit.
safety review each time the group goes out to work. The "Safety D. Professional licensing as required by the California Contrac-
Requirements for Participants" and the "Bag It, Move It, or tors State License Board and/or the California Department of
Leave It?" handouts shall be reviewed. The group leader or Pesticide Regulation to perform work authorized under this
alternate group leader shall ensure that all participants are permit. Subcontracting is not permitted under the Adopt-
equipped with safety gear and that minors will be adequately A-Highway Program.
supervised. The group leader or alternate group leader must E. County and/or city business licenses as required by local
participate in the work event. governments to perform work authorized under this permit.
F. Provide annual safety training. The group leader or alternate
Contractors are required to provide a minimum notice of 30 days to
group leader shall hold an annual safety training refresher for all
the Department's District Adopt-A-Highway Coordinator or State-
participants. Once again, the encroachment permit and special
wide Adopt-A-Highway Coordinator before any reduction in cover-
provisions shall be explained and part two of the Adopt-A- age and/or cancellation of coverage becomes effective.
Highway safety video viewed.
G. Report Injuries, Accidents, and Incidents. The following oc- 23. INSTALLATION OF RECOGNITION PANELS BY ADOPT-A-
currences shall be reported to the District Adopt-A-Highway HIGHWAY CONTRACTORS: Adopt-A-Highway contractors may
Coordinator by the next business day: injuries resulting in an install recognition panels at specific locations if the work is autho-
individual seeking medical treatment, vehicular damage resulting rized on page one of the attached Encroachment Permit (Adopt-A-
in an insurance claim and/or police report, and incidents where Highway) and they have received an Adopt-A-Highway Service
the California Highway Patrol was contacted. Contractor Recognition Panel Installation Order.
24. SAFETY PROCEDURES FOR ADOPT-A-HIGHWAY CON- the terms of the existing permit and the site remains suitable for
TRACTORS: adoption. If the permittee wishes to reapply, a notice of such intent
shall be submitted to the District Adopt-A-Highway Coordinator at
A. Attend a Caltrans safety orientation. Adopt-A-Highway con- least 30 days prior to the expiration date of this permit.
tractors shall abide by safety requirements set forth by Califor-
nia Occupational Safety and Health Administration (Cal- 31. NO PRECEDENT ESTABLISHED: This permit is issued with the
OSHA). In addition, the contractor's crew leader must schedule understanding that it does not establish a precedent.
and attend a safety orientation given by the Department's Main-
tenance Supervisor. The ""Safety Orientation Checklist for 32. RESPONSIBILITY FOR DAMAGE: The State of California and
Adopt-A-Highway Contractors" will be reviewed, signed, and all officers and employees thereof, including but not limited to the
a copy given to the crew leader. Director of Transportation and the Deputy Director, shall not be
B. Report Injuries, Accidents, and Incidents. The following oc- answerable or accountable in any manner for injury to or death of
currences shall be reported to the District Adopt-A-Highway any person, including but not limited to the permittee, persons em-
Coordinator by the next business day. Injuries resulting in an ployed by the permittee, persons acting in behalf of the permittee, or
individual seeking medical treatment, vehicular damage result- for damage to property from any cause. The permittee shall be re-
ing in an insurance claim and/or police report, and incidents sponsible for any liability imposed by law and for injuries to or
where the California Highway Patrol was contacted. death of any person, including but not limited to the permittee,
persons employed by the permittee, persons acting in behalf of the
C. Contractor's crew must carry an identification card. The permittee, or for damage to property arising out of work, or other
card must list the employee's name, the name of the Adopt-A- activity permitted and done by the permittee under a permit, or
Highway contractor, and a phone number where the crew leader arising out of the failure on the permittee’s part to perform his obli-
can be reached during working hours. gations under any permit in respect to maintenance or any other
obligations, or resulting from defects or obstructions, or from any
cause whatsoever during the progress of the work, or other activity
25. PERMITS FROM OTHER AGENCIES: This permit is invalid if or at any subsequent time, work or other activity is being performed
the permittee has not obtained all permits necessary and required by under the obligations provided by and contemplated by the permit.
law, from Cal-OSHA, the Public Utilities Commission of the State
of California (PUC), the California Contractors State License Board, The permittee shall indemnify and save harmless the State of Cali-
the California Department of Pesticide Regulation, or any other public fornia, all officers, employees, and State’s contractors, thereof, in-
agency having jurisdiction. cluding but not limited to the Director of Transportation and the
Deputy Director, from all claims, suits or actions of every name,
26. COST OF WORK: Unless stated in the permit, or a separate writ- kind and description brought for or on account of injuries to or death
ten agreement, the permittee shall bear all costs incurred for work of any person, including but not limited to the permittee, persons
within the State right of way and waives all claims for indemnifica- employed by the permittee, persons acting in behalf of the permittee
tion or contribution from the State. and the public, or damage to property resulting from the perfor-
mance of work or other activity under the permit, or arising out of
27. LABOR CODE COMPLIANCE - PREVAILING WAGES: If the the failure on the permittee’s part to perform his obligations under
scope of work granted under this Adopt-A-Highway permit is per- any permit in respect to maintenance or any other obligations, or
formed under a contract between the permittee/adopter and a con- resulting from defects or obstructions, or from any cause whatsoever
tractor, and falls within the parameters of the Labor Code section during the progress of the work, or other activity or at any subse-
1720(a)(1) definition of a "public work" in that it is construction, quent time, work or other activity is being performed under the
alteration, demolition, installation, repair or maintenance, The per- obligations provided by and contemplated by the permit, except as
mittee/adopter herein agrees to require its contractor to conform to otherwise provided by statute.
the provisions of Labor Code sections 1720 through 1815, all appli-
cable regulations and coverage determinations issued by the Depart- The duty of the permittee to indemnify and save harmless includes
ment of Industrial Relations. Adopt-A-Highway adopters agree to the duties to defend as set forth in Section 2778 of the Civil Code.
include prevailing wage requirements in any service contract for public The permittee waives any and all rights to any type of expressed or
work. Work performed by Adopt-A-Highway adopter's own forces implied indemnity against the State, its officers, employees, and
or persons working voluntarily without compensation are exempt State contractors. It is the intent of the parties that the permittee will
from the Labor Code's prevailing wage requirements. indemnify and hold harmless the State, its officers, employees, and
State’s contractors, from any and all claims, suits or actions as set
28. UNDERGROUND SERVICE ALERT (USA) NOTIFICATION: forth above regardless of the existence or degree of fault or negli-
Any excavation requires compliance with the provisions of Govern- gence, whether active or passive, primary or secondary, on the part
ment Code Section 4216 et. seq., including, but not limited to, notice of the State, the permittee, persons employed by the permittee, or
to a regional notification center, such as Underground Service Alert acting on behalf of the permittee.
(USA). The permittee shall provide notification at least 48 hours
before performing any excavation work within the right of way. For the purpose of this section, “State’s contractors” shall include
contractors and their subcontractors under contract to the State of
29. ARCHAEOLOGICAL/HISTORICAL: If any archaeological or his- California performing work within the limits of this permit.
torical resources are revealed in the work vicinity, the permittee shall
immediately stop work and notify the Department’s Maintenance
Supervisor.
Contact Caltrans. Notify your Maintenance field representative of your plans to work at least five days, but no more
than one month, before the event. If State construction or maintenance activities have been scheduled at your adoption
site on that same day, you will not be permitted to work.
Review safety procedures. Review these "Safety Requirements for Participants" and the "Bag It, Move It, or Leave
It?" instructions with all participants at an off-site location prior to each work event.
Evaluate weather conditions. Work must be performed during daylight hours. Do not work, or discontinue working, if
weather (or other adverse circumstance) decreases visibility or causes a public hazard.
Wear your safety gear. It is required that participants wear safety vests, hard hats, gloves, protective eye wear, long pants,
and substantial leather shoes or boots with ankle support. Light-colored clothing and long-sleeved shirts are recommended.
Put on your safety gear before travelling to your site and do not take it off on until you have left the roadside.
Park in a safe place. Please carpool. Vehicles must park completely off of paved areas and be at least six feet from any
traffic lane. If this is not possible and your site has a shoulder, then use a drop-off and pick-up arrangement instead. Or,
enter and exit your site on foot from locations that allow you to face oncoming traffic. If in doubt about the safest way to
access your site, please contact your Maintenance field representative for advice.
Look out for danger and look out for each other. Always work facing oncoming traffic. Use a safety lookout when
fellow workers are unable to see oncoming traffic. Watch your footing and be alert for snakes, stinging insects, and
poisonous plants. If your encroachment permit authorizes minors to participate, you must have at least one adult
supervisor over the age of 21 at the site for every five minors present. Do not work alone.
Alert the California Highway Patrol (call 911) if you find an extremely hazardous item. Identify all objects before
touching them and handle found items according to the procedures outlined in the "Bag It, Move It, or Leave It" instructions.
Never risk injury. Work shall not be performed on median strips. Stay completely off of paved areas and always remain
at least six feet from any traffic lane; this includes crossing freeway on-ramps and off-ramps. Use extreme caution when
crossing conventional, two-lane highways; plan to use crosswalks and signals where available. Do not work on unstable or
slippery ground, on bridges, in tunnels, or in drainage facilities. Avoid behaviors that will distract motorists; this includes
working in groups of more the three or four persons. Drink plenty of water. Use tools to help prevent over exertion. For
example, litter removal groups should use litter pickers instead of bending to pickup litter and graffiti removal groups
should use rollers instead of brushes to paint large areas.
Stack your bags. Do not overload or compact litter bags and be sure to tie them securely closed. Whenever possible,
stack several filled bags together. Place bags completely off of paved areas and at least six feet from any traffic lane.
Make sure that the bags are located where Caltrans maintenance crews can easily see them and safely retrieve them.
ADDITIONAL REQUIREMENTS: 1) No person shall enter the State’s right of way to perform work until a Caltrans representa-
tive has given the permittee’s safety leader a safety orientation, and, all participants have received safety training from that safety
leader. 2) A complete encroachment permit "package" (encroachment permit, special provisions, and any plans and schedules) must
be present at the site. In addition, a copy of the encroachment permit must be displayed on the dashboard of each vehicle parked on
the State's right of way. 3) Work shall not be conducted on, or within twenty-four hours preceding, holidays or holiday weekends.
Refer to your Encroachment Permit Special Provisions for a listing of holidays and possible additional work restrictions specific to
your adoption site.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
I. GENERAL
1. Signs, Marquees and Awnings overhanging State highway right of way (R/W) shall
comply with the requirements of the applicable local agency, the latest edition of the
Uniform Building Code (UBC) or these special provisions, whichever is the higher
standard.
II. SIGNS
1. Vertical Clearance: The minimum clearance of signs from the sidewalk shall be 12'.
2. Codes: Must be structurally adequate and conform to applicable building code and
Caltrans' Outdoor Advertising Regulations.
3. Location: Support shall be off the right of way. The overhang shall be at least 2'
behind the curb line. If no curbs are in place, the signs should be placed so that some
physical barrier prevents them from being struck.
4. Advertising: The wording on the sign may only identify either the owner, the goods
sold or manufactured on the premises or the services rendered.
5. Lights: No flashing, rotating or intermittent lights shall be allowed except approved
public service information. Signs that contain red, yellow, or green lights shall not be
permitted where they could interfere with the driver's perception of traffic signals.
6. No displays shall interfere with or hide traffic signals or traffic signs.
III. MARQUEES
1. The horizontal clearance between a marquee and the curb line shall not be less than
2'.
4. Any drainage from the marquee shall not fall on or drain across the sidewalk.
IV. AWNINGS
In addition to the attached General Provisions, (TR-0045), the following special provisions are
also applicable:
1. Column Protection: shall be lumber at least 2" nominal thickness and at least 4" nominal
width with 2" maximum clear space between pieces. The lumber shall be strapped to
columns with a minimum of three (3) galvanized steel bands. The bottoms of the pieces
of lumber shall be 2' or less above the ground and tops 8' minimum above the ground.
2. Fencing: a standard 6' high chain link fence may be installed around the perimeter of the
leasing area with gate (s) as designated. Security may be enhanced by the installation of
vertical brackets on the fence posts and attaching three (3) strands of barbed wire to the
brackets. THE USE OF RAZOR RIBBON COILS ATOP THE FENCE IS
PROHIBITED.
3. The improvements shall not be occupied by the leasee until all work is completed to the
satisfaction of the State and a notice of completion has been issued to the permittee.
4. Upon completion of the work, the permittee shall submit one set of film positive
reproducible, either matte or clear, "As-Built" plans to the District Permit Engineer.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Artwork located within State right of way will be considered a gift to the people of
California.
2. Caltrans reserves the right to reproduce the artwork for publicity type purposes.
3. No commercial advertising on State right of way is allowed. Any identification of the
donor or sponsor must have prior approval by Caltrans.
4. The permittee must maintain the integrity of the artwork until further notice. The
permittee agrees to remove the artwork if so ordered by Caltrans.
5. The permittee shall abide by Caltrans' safety rules and regulations, including traffic
control.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
I. BANNERS
1. The banners shall not contain private advertising nor be of a political nature.
2. The lower edge of the banners shall be at least 18' above the highway pavement at its
closest point.
3. Suspension or installation on S tate owned traffic signal poles or other State owned
facilities is prohibited.
4. Local police shall provide traffic control while banner is being installed or removed.
5. The display may not be in place more than two weeks prior to the event and shall be
immediately removed after the, event.
1. Installation of Holiday decorations shall not begin prior to the day after Thanksgiving
Day.
2. Decorations attached to vertical structures such as power, telephone, or light poles, are
not to project beyond the curb line and shall not hang below a height of 14'. Decorations
which project beyond the curb line or cross the highway shall have a minimum vertical
clearance of 18'.
4. Decorative lighting displaying red, yellow, or green lights shall not be placed where they
could interfere with the driver's perception of traffic signals.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Advertising displays on bus passenger shelters or benches may not be within 660' of and
visible from any Federal Aid Interstate or Primary highway. Advertising displays shall
only be placed at approved passenger loading areas. The advertising displays must not
extend beyond the exterior limits of the shelter or bench. Advertising shall not exceed
two (2) display panels per shelter or bench.
2. Bus passenger shelters and benches shall be located a minimum of 2' behind the face of
curb, with a minimum of 4' width of walkway available.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable:
1. The shear wave method of geo-physical testing is prohibited.
4. No equipment shall be parked on or operated on the traveled way except for normal legal
travel.
5. No holes shall be drilled and no blasting shall be conducted on State right of way.
10. No paint shall be placed upon highway pavements, signs or markers. If pavement
markings are necessary, traffic tape, chalk or crayon shall be used. All tape, stakes and
other obvious markers shall be removed upon completion of permitted work.
11. All mud, dirt or gravel tracked onto the highway pavement shall be immediately and
completely removed.
12. Any ruts or other damage to unpaved shoulder areas caused by driving or operating
equipment on soft shoulders shall be repaired immediately.
13. Should any deviation from these procedures be observed, all work shall be suspended
until satisfactory steps have been taken to insure compliance.
14. Except as specifically provided herein, all requirements of the vehicle code and other
applicable laws must be complied with in all particulars.
15. Work shall be limited to normal working hours unless otherwise specifically authorized
on the permit. Permittee will be required to deposit an amount equal to four- hours
minimum of overtime per day for inspection charges, if work is permitted beyond normal
working hours, weekends or holidays.
STOP
LANE WIDTH REMAINING APPROACH
DURATION TYPE OF TRAFFIC CONTROL REQUIRED
FOR TRAFFIC SPEED
IN MINUTES
NOTES:
1. MOBILE WORK IS CONSIDERED TO BE ENCROACHMENT ACTIVITIES THAT INCLUDE SLOW CONTINUOUS MOTIONS AND/OR FREQUENT STOPS WITHIN A TRAFFIC LANE.
2. TRAFFIC SHALL NOT BE MOVED ACROSS THE CENTERLINE STRIPE OF ANY HIGHWAY WITHOUT A STANDARD LANE CLOSURE OR OTHER APPROVED TRAFFIC CONTROL.
3. ON HIGHWAYS WITH PAVED SHOULDERS OF 8’ OR MORE IN WIDTH, AND WHERE WORK IS TO BE CONDUCTED WITHIN 6’ OF THE TRAVELED WAY, A SHOULDER CLOSURE
PER STANDARD PLAN T10 SHALL BE IMPLEMENTED.
4. SHADOW VEHICLE ESCORTS ARE VEHICLES WEIGHING A MINIMUM OF 18000 lbs AND SHALL BE EQUIPPED WITH A TRUCK MOUNTED CRASH CUSHION. A “LANE CLOSED”
SIGN PANEL AND A FLASHING ARROW SIGN SHALL BE MOUNTED ON THE REAR OF THE SHADOW VE HICLE FOR A MULTILANE HIGHWAY. A “DO NOT PASS” SIGN PANEL
SHALL BE MOUNTED ON THE REAR OF THE SHADOW VEHICLE FOR A 2-LANE HIGHWAY.
5. PERMITEES MAY CONTACT CALTRANS MAINTENANCE REGIONAL OFFICE FOR SHADOW VEHICLE ESCORTS. CALTRANS MAINTENANCE WILL PROVIDE SUCH ASSISTANCE
WHEN AVAILABLE. CALTRANS IS TO BE REIMBURSED BY THE PERMITTEE.
6. ANY WORKING HOUR RESTRICTIONS ARE TO BE INCLUDED WITHIN THE ENCROACHMENT PERMIT OR AS DETERMINED BY THE DEPARTMENTS’S REPRESENTATIVE.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable.
1. Drains must be restricted to the exclusive purpose of draining rain water from the roof of
permittee's building and/or paved parking lot. Drains if used for any other purpose, such as
draining waste water or domestic supply water into the highway, will not be authorized.
Drains shall be installed at right angles to the curb line unless otherwise authorized.
2. Removal of PCC Sidewalks or Curbs: Concrete sidewalks or curbs shall be saw cut to the
nearest score marks and replaced equal in dimension to that removed with score marks
matching existing adjacent sidewalk or curb.
3. After pipe drains are installed, curb and sidewalk shall be replaced with Portland Cement
Concrete in accordance with State Standard Specifications.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Asphalt Concrete or PCC pavement shall be saw-cut at conform location.
2. Excavations made within the limits of the right of way shall be backfilled before leaving
the work for the night unless otherwise authorized by State's representative. After
backfilling, temporary surfacing shall be placed if required by State's representative.
3. The permittee shall contact State's representative before placing structural section
materials for the roadway pavement.
4. The approach fill area shall slope away from the highway pavement or improved
shoulder and shall be so constructed as to avoid any flowing water reaching the traveled
way and to avoid pocketing or ponding of water.
5. If not shown on project plans, the road approach or driveway shall conform to the
“Design Guidelines for Typical Rural Driveways in State Right of Way”.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable:
1. Where reconstruction requires removal of existing asphalt concrete pavement, it shall be
either saw-cut before removal or removed by grinding.
In addition to the attached General Provision (TR-0045), the following special provisions are
applicable:
I. RURAL LOCATIONS
1. The driveway shall be surfaced with a minimum of 3" of asphalt concrete placed on 6" of
well graded and compacted aggregate base and shall conform to the existing pavement.
2. Existing drainage shall not be impaired. Either a valley gutter or a culvert shall be
provided.
3. Where a culvert is installed, it shall be installed in the flowline of the existing drainage
ditch at a slope to provide maximum drainage.
4. A standard tapered end section shall be installed at the inlet and outlet of the culvert.
5. Any change in the existing drainage pattern, whether occasioned by increase or diversion,
and the cost of any damage, repair or restoration of the State highway right of way shall
be the responsibility of the permittee.
6. Driveway installation shall conform to the attached plan, “Design Guidelines for Typical
Rural Driveways in State Right of Way”.
1. Where curbs exist, the driveway structural section shall be a minimum of 4" of Portland
Cement Concrete (PCC) over 6" of aggregate base.
2. Driveway details shall comply with State standards unless local standards exceed the
State's.
3. Any existing utility boxes must be either relocated or adjusted to grade at the permittee's
expense.
4. Removal of PCC Sidewalks or Curbs: sidewalks or curbs shall be saw cut to the nearest
score marks and replaced equal in dimension to that removed with score marks matching
existing adjacent sidewalk or curb.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. In the event contract is not awarded to permittee, he/she is liable for all charges for
surveying material inspection and construction inspection by State personnel relating to
this permit.
2. Prior to starting any work under this permit, the contractor will sign Attachment No.1 and
return it to the State's representative.
In addition to the attached General Provisions (TR-0045), the following special provisions also applicable:
1. Permittee shall strictly comply with conditions of this permit. Minor variations require written
Caltrans' State Representative approval; changes require a Caltrans Permit Rider.
2. Caltrans State representative or CHP may stop work not being performed in strict compliance with
conditions of this permit.
6. Road closures and detours, if specifically allowed in this permit, require state specification advance
warning signs and traffic control devices provided and installed to Caltrans standards by qualified
private traffic control companies.
7. Traffic control activities shall be approved by Caltrans' State Representative prior to institution.
8. Accident reconstruction filming involving aircraft shall be done in strict compliance with FAA
regulations.
9. When filming or photography is permitted, stationary cameras adjacent to roadways open to public
traffic, shall be located at least 10' from edge of pavement or at least 2' behind curb face on raised
sidewalks. Cameras shall NOT be allowed in medians of roadways open to public traffic. At locations
of fixed cameras, Permittee' s staff shall not exceed four persons.
10. On freeways, permittee's personnel, vehicles, and equipment not involved in the permitted activities
shall be legally located outside freeway right of way.
11. On conventional highways open to public traffic, permittee's personnel, vehicles, and equipment not
involved in the permitted activities, shall be legally located off the traveled way and not interfere with
free traffic and pedestrian flow.
13. When filming or photography is permitted, lighting fixtures, mirrors, reflectors, and supports shall be
placed to not present a glare or safety hazard.
14. Permittee equipment situated on sidewalks open to public, or interfering with pedestrians, shall be
provided with devices for pedestrian protection.
15. Permittee vehicles operating in public traffic shall conform to California vehicle code.
16. Well functioning communications equipment shall be supplied by Permittee in sufficient quantity for
all organizations involved.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable:
1. The Permit Inspector or the CHP has the authority to stop any or all work that is not
being performed in strict compliance with the provisions of this permit.
2. Traffic shall not be detoured from the State Highway without the written approval of the
Permit Engineer.
3. Any filming involving the use of any type aircraft shall be done in accordance with FAA
regulations.
4. All approved closures shall be done by a qualified traffic control contractor (retained by
the Permittee) using current State Specifications and Standards.
8. A maximum of four (4) persons associated with the filming company will be allowed at
fixed camera locations.
9. Stopping or slowing vehicles being filmed on the highway shall not be allowed.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Permittee shall comply with this permit. Permit conditions shall not be modified without a
Caltrans permit rider.
2. Permittee shall provide signs and equipment for traffic control conforming to the attached
plan at permittee expense.
3. The CHP officer in charge shall be present at initiation of permit authorized filming
operations.
7. Filming involving aircraft flying over state highways at an altitude of 500 feet or less is
prohibited.
8. Specific camera locations require on site approval by CHP officer in charge.
9. Stationary cameras shall be mounted at least 10' from edge of pavement or at least 2' behind
curb face on raised sidewalks. Unless specifically allowed in this permit cameras shall not be
in medians.
10. Permittee's personal vehicles and equipment shall be legally located off the traveled way and
not interfere with free traffic or pedestrian flow.
11. Highway operational problems may require immediate cessation of permitted activities.
12. Intermittent traffic breaks normally not to exceed five minutes duration, are approved by the
CHP officer in charge, and provided by uniformed peace officers in marked law enforcement
vehicles.
13. Permitted lighting fixtures, mirrors, reflectors, and supports shall not present a glare or other
safety hazard.
14. Permittee equipment situated on sidewalks or interfering with pedestrians shall be provided
with devices for pedestrian protection.
15. Vehicles with lights or cameras mounted or attached that, in the opinion of the CHP officer
in charge, interfere with the driver's view, shall be legally towed with a drawbar.
16. Filmed vehicles used in filming dialogue between driver and passenger shall be legally towed
with a drawbar.
17. Properly functioning communications equipment shall be supplied by permittee in sufficient
quantity for all organizations involved.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. The Permit Inspector or the CHP has the authority to stop any or all work that is not
being performed in strict compliance with the provisions of this permit.
2. Traffic shall not be detoured from the State highway without the written approval of the
Permit Engineer.
3. All of the permittee's production vehicles and equipment shall be legally parked off the
traveled way so that the equipment and personnel do not interfere with the free flow of
traffic and/or pedestrians.
4. Any filming involving the use of any type aircraft shall be done in accordance with FAA
regulations.
5. All cables and step extensions that cross the sidewalk shall be shielded or coned for
pedestrian traffic.
7. In a position at least 10' from the edge of pavement or at least 2' behind curb face on
raised sidewalks. Cameras will not be allowed on the raised median.
8. No lights shall be erected on the traveled way.
9. The location of camera within the right of way shall be approved by the State's
representative.
10. Intermittent traffic breaks [not to exceed three (3) minutes] shall be approved and
provided by the CHP.
11. Well functioning communications equipment shall be supplied by the permittee in
sufficient quantity for all organizations involved in the event.
12. Wetting of the roadway is prohibited.
In addition to the standard attached General Provisions (TR-0045), the following special
provisions are also applicable.
1. The permit Inspector or the CHP has the authority to stop any or al work that is not being
performed in strict compliance with the provisions of this permit.
2. Traffic shall not be detoured from the State Highway without the written approval of the
Permit Engineer.
3. All of the permittee's production vehicles and equipment shall be legally parked off the
traveled way so that the equipment and personnel do not interfere with the free flow of
traffic and/or pedestrians.
4. Any filming involving the use of any type aircraft shall be done in accordance with the
FAA regulations.
5. On conventional highways, stationary cameras shall be mounted in a position at least 10'
from the edge of pavement or on raised sidewalks. Cameras will not be allowed on the
raised median.
1. Traffic control for wetdowns shall be in conformance with the Department of Transportation Standard
Plans T-10, T-11, T-12, T-13, or T-14, whichever is applicable.
2. Placement of signs shall be far in advance of the work site, to accommodate the backup queue of traffic
when traffic is stopped for filming purposes. These traffic breaks should not exceed five (5) minutes at
each given occurrence.
3. Placement of "Wet Pavement Ahead" signs, 48" x 48" black lettering on an orange background, shall be
required at all wetdown worksites. These signs are required to meet Caltrans requirements for lettering
size and made by a recognized sign manufacturer. Placement of these signs shall be in succession of the
"Road Work Ahead" sign (C-18), in both directions of traffic.
4. When traffic control is to be maintained by law enforcement officers (i.e. C.H.P., P.D. , or S.O.), a
minimum of 3 officers is normally required, (flaggers may not be required). Officers and their vehicles
would be utilized in lieu of flaggers.
5. When traffic control safety devices are required (i.e. signs, cones, lights), placement of these devices
shall be installed by a recognized traffic control contractor.
6. If it is determined by Caltrans and C.H.P. that flaggers are required, the traffic control contractor shall
supply or utilize his employees as the flaggers.
7. Caltrans and C.H.P. reserve the right to require the reopening of the highway at any given time as may
be necessary. All cost shall be borne by the permittee.
8. C.H.P. will be present during all wetdown filming operations. For safety purposes C.H.P. will determine
when traffic is allowed over wetdown area.
9. In the event of an adverse condition or incident that would require the response of Caltrans Traffic
Management Team, this permit operation will be terminated.
10. No wetdown will be allowed if there is a possibility of creating a ponding situation and/or flooding of
the highway.
11. Placement and time of the wetdown will be determined by Caltrans.
1. AUTHORITY: The California Department of Other than as expressly provided by these General
Transportation (“Department”) has authority to issue Provisions, the Special Provisions, the Standard
encroachment permits under Division 1, Chapter 3, Specifications, Standard Plans, and other applicable
Article 1, Sections 660 through 734 of the Streets and Departmental standards, nothing in these General
Highways Code. Provisions is intended to give any third party any legal or
2. REVOCATION: Encroachment permits are revocable on equitable right, remedy, or claim with respect to these
five (5) business days’ notice unless otherwise stated on General Provisions or any provision herein. These
the permit and except as provided by law for public General Provisions are for the sole and exclusive benefit
corporations, franchise holders, and utilities. of the Permittee and the Department.
Notwithstanding the foregoing, in an emergency situation Where reference is made in such standards to
as determined by the Department, an encroachment “Contractor” and “Engineer,” these are amended to be
permit may be revoked immediately. These General read as “Permittee” and “Department’s representative,”
Provisions and any applicable Special Provisions are respectively, for purposes of this encroachment permit.
subject to modification or abrogation by the Department 8. PLAN CHANGES: Deviations from plans, specifications,
at any time. Permittees’ joint use agreements, franchise and/or the Permit Conditions as defined in General
rights, reserved rights or any other agreements for Provision Number 5 are not allowed without prior approval
operating purposes in State of California (“State”) from the Department’s representative.
highway right-of-way may be exceptions to this 9. INSPECTION AND APPROVAL: All work is subject to
revocation. monitoring and inspection. Upon completion of work,
3. DENIAL FOR NONPAYMENT OF FEES: Failure to pay Permittee must request a final inspection for acceptance
encroachment permit fees when due may result in and approval by the Department. The local public agency
rejection of future applications and denial of Permittee must not give final construction approval to its
encroachment permits. contractor until final acceptance and approval by the
4. ASSIGNMENT: This encroachment permit allows only Department is obtained.
the Permittee or Permittee’s authorized agent to work 10. PERMIT AT WORKSITE: Permittee must keep the permit
within or encroach upon the State Highway System, and package or a copy thereof at the work site at all times and
the Permittee may not assign this permit. must show it upon request to any Department
5. ACCEPTANCE OF PROVISIONS: Permittee representative or law enforcement officer. If the permit
understands and agrees to accept and comply with these package, or a copy thereof, is not kept and made
General Provisions, the Special Provisions, any and all available at the work site at all times, the work must be
terms and/or conditions contained in or incorporated into suspended.
the encroachment permit, and all attachments to the 11. CONFLICTING ENCROACHMENTS: Permittee must
encroachment permit (collectively “the Permit yield start of work to ongoing, prior authorized work
Conditions”), for any encroachment, work, and/or activity adjacent to or within the limits of the Permittee’s project
to be performed under this encroachment permit and/or site. When existing encroachments conflict with
under color of authority of this encroachment permit. Permittee’s work, the Permittee must bear all cost for
Permittee understands and agrees the Permit Conditions rearrangements (e.g., relocation, alteration, removal,
are applicable to and enforceable against Permittee as etc.).
long as the encroachment remains in, under, or over any 12. PERMITS FROM OTHER AGENCIES: This
part of the State Highway System. encroachment permit is invalidated if the Permittee has
6. BEGINNING OF WORK: When traffic is not impacted not obtained all permits necessary and required by law,
(see General Provision Number 35), the Permittee must including but not limited to permits from the California
notify the Department’s representative two (2) business Public Utilities Commission (CPUC), California
days before starting permitted work. Permittee must notify Occupational Safety and Health Administration
the Department’s representative if the work is to be (Cal-OSHA), or any other public agency having
interrupted for a period of five (5) business days or more, jurisdiction. Permittee warrants all such permits have
unless otherwise agreed upon. All work must be been obtained before beginning work under this
performed on weekdays during regular work hours, encroachment permit.
excluding holidays, unless otherwise specified in this 13. PEDESTRIAN AND BICYCLIST SAFETY: A safe
encroachment permit. minimum continuous passageway of four (4) feet must be
7. STANDARDS OF CONSTRUCTION: All work performed maintained through the work area at existing pedestrian
within State highway right-of-way must conform to all or bicycle facilities. At no time must pedestrians be
applicable Departmental construction standards including diverted onto a portion of the street used for vehicular
but not limited to: Standard Specifications, Standard traffic. At locations where safe alternate passageways
Plans, Project Development Procedures Manual, cannot be provided, appropriate signs and barricades
Highway Design Manual and Special Provisions. must be installed at the limits of construction and in
advance of the limits of construction at the nearest
Page 1 of 5
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA, DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT GENERAL PROVISIONS
TR-0045 (REV. 12/2019)
crosswalk or intersection to detour pedestrians to facilities 21. ACTUAL COST BILLING: When specified in the permit,
across the street. Attention is directed to Section 7-1.04, the Department will bill the Permittee actual costs at the
Public Safety, of the Department’s Standard currently set Standard Hourly Rate for encroachment
Specifications. permits.
14. PUBLIC TRAFFIC CONTROL: As required by law, the 22. AS-BUILT PLANS: When required, Permittee must
Permittee must provide traffic control protection, warning submit one (1) set of folded as-built plans within thirty (30)
signs, lights, safety devices, etc., and take all other calendar days after completion and acceptance of work in
measures necessary for the traveling public’s safety. compliance with requirements listed as follows:
While providing traffic control, the needs of all road users, a) Upon completion of the work provided herein, the
including but not limited to motorists, bicyclists and Permittee must submit a paper set of As-Built plans
pedestrians, including persons with disabilities in to the Department’s representative.
accordance with the Americans with Disabilities Act, must b) All changes in the work will be shown on the plans, as
be an essential part of the work activity. issued with the permit, including changes approved
Lane and/or shoulder closures must comply with the by Encroachment Permit Rider.
Department’s Standard Specifications and Standard c) The plans are to be prominently stamped or otherwise
Plans for traffic control systems, and with the applicable noted “AS-BUILT” by the Permittee’s representative
Special Provisions. Where issues are not addressed in who was responsible for overseeing the work. Any
the Standard Specifications, Standard Plans, and/or original plan that was approved with a Department
Special Provisions, the California Manual on Uniform stamp, or by signature of the Department’s
Traffic Control Devices (Part 6, Temporary Traffic Control) representative, must be used for producing the As-
must be followed. Built plans.
15. MINIMUM INTERFERENCE WITH TRAFFIC: Permittee d) If construction plans include signing or striping, the
must plan and conduct work so as to create the least dates of signing or striping removal, relocation, or
possible inconvenience to the traveling public, such that installation must be shown on the As-Built plans when
traffic is not unreasonably delayed. required as a condition of the encroachment permit.
16. STORAGE OF EQUIPMENT AND MATERIALS: The When the construction plans show signing and
storage of equipment or materials is not allowed within striping for staged construction on separate sheets,
State highway right-of-way, unless specified within the the sheet for each stage must show the removal,
Special Provisions of this encroachment permit. If relocation, and installation dates of the appropriate
encroachment permit Special Provisions allow for the staged striping and signing.
storage of equipment or materials within the State e) As-Built plans must contain the Encroachment Permit
highway right-of-way, the equipment and material storage Number, County, Route, and Post Mile on each
must also comply with Section 7-1.04, Public Safety, of sheet.
the Department’s Standard Specifications. f) The As-Built Plans must not include a disclaimer
17. CARE OF DRAINAGE: Permittee must provide alternate statement of any kind that differs from the obligations
drainage for any work interfering with an existing drainage and protections provided by sections 6735 through
facility in compliance with the Department’s Standard 6735.6 of the California Business and Professions
Specifications, Standard Plans, and/or as directed by the Code. Such statements constitute non-compliance
Department’s representative. with Encroachment Permit requirements and may
18. RESTORATION AND REPAIRS IN STATE HIGHWAY result in the Department retaining Performance
RIGHT-OF-WAY: Permittee is responsible for restoration Bonds or deposits until proper plans are submitted.
and repair of State highway right-of-way resulting from Failure to comply may also result in denial of future
permitted work (Streets and Highways Code, section 670 encroachment permits or a provision requiring a
et seq.). public agency to supply additional bonding.
19. STATE HIGHWAY RIGHT-OF-WAY CLEAN UP: Upon 23. PERMITS FOR RECORD PURPOSES ONLY: When
completion of work, Permittee must remove and dispose work in the State highway right-of-way is within an area
of all scraps, refuse, brush, timber, materials, etc. off the under a Joint Use Agreement (JUA) or a Consent to
State highway right-of-way. The aesthetics of the highway Common Use Agreement (CCUA), a fee exempt
must be as it was before work started or better. encroachment permit is issued to the Permittee for the
20. COST OF WORK: Unless stated otherwise in the purpose of providing a notice and record of work. The
encroachment permit or a separate written agreement Permittee’s prior rights must be preserved without the
with the Department, the Permittee must bear all costs intention of creating new or different rights or obligations.
incurred for work within the State highway right-of-way “Notice and Record Purposes Only” must be stamped
and waives all claims for indemnification or contribution across the face of the encroachment permit.
from the State, the Department, and from the Directors, 24. BONDING: The Permittee must file bond(s), in advance,
officers, and employees of the State and/or the in the amount(s) set by the Department and using forms
Department. acceptable to the Department. The bonds must name the
Page 2 of 5
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA, DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT GENERAL PROVISIONS
TR-0045 (REV. 12/2019)
Department as obligee. Failure to maintain bond(s) in full to the Department’s representative regarding the
force and effect will result in the Department stopping all continuance of work.
work under this encroachment permit and possibly Attention is directed to potential aerially deposited
revoking other encroachment permit(s). Bonds are not lead (ADL) presence in unpaved areas along
required of public corporations or privately-owned utilities highways. It is the Permittee’s responsibility to take all
unless Permittee failed to comply with the provisions appropriate measures to protect workers in
and/or conditions of a prior encroachment permit. The conformance with California Code of Regulations
surety company is responsible for any latent defects as Title 8, Section 1532.1, “Lead,” and with Cal-OSHA
provided in California Code of Civil Procedure section Construction Safety Orders, and to ensure roadway
337.15. A local public agency Permittee also must comply soil management is in compliance with Department of
with the following requirements: Toxic Substances Control (DTSC) requirements.
a) In recognition that project construction work done on 27. PREVAILING WAGES: Work performed by or under an
State property will not be directly funded and paid by encroachment permit may require Permittee’s contractors
State, for the purpose of protecting stop notice and subcontractors to pay appropriate prevailing wages
claimants and the interests of State relative to as set by the California Department of Industrial
successful project completion, the local public agency Relations. Inquiries or requests for interpretations relative
Permittee agrees to require the construction to enforcement of prevailing wage requirements must be
contractor to furnish both a payment and performance directed to the California Department of Industrial
bond in the local public agency’s name with both Relations.
bonds complying with the requirements set forth in 28. LIABILITY, DEFENSE, AND INDEMNITY: The Permittee
Section 3-1.05 Contract Bonds of the Department’s agrees to indemnify and save harmless the State, the
Standard Specifications before performing any Department, and the Directors, officers, employees,
project construction work. agents and/or contractors of the State and/or of the
b) The local public agency Permittee must defend, Department, including but not limited to the Director of
indemnify, and hold harmless the State and the Transportation and the Deputy Directors, from any and all
Department, and the Directors, officers, and claims, demands, damages, costs, liability, suits, or
employees of the State and/or Department, from all actions of every name, kind, and description, including but
project construction related claims by contractors, not limited to those brought for or on account of property
subcontractors, and suppliers, and from all stop damage, invasion of privacy, violation or deprivation of a
notice and/or mechanic’s lien claimants. The local right under a state or federal law, environmental damage
public agency also agrees to remedy, in a timely or penalty, or injury to or death of any person including
manner and to the Department’s satisfaction, any but not limited to members of the public, the Permittee,
latent defects occurring as a result of the project persons employed by the Permittee, and/or persons
construction work. acting on behalf of the Permittee, arising out of or in
25. FUTURE MOVING OF INSTALLATIONS: Permittee connection with: (a) the issuance and/or use of this
understands and agrees to relocate a permitted encroachment permit; and/or (b) the encroachment, work,
installation upon notice by the Department. Unless under and/or activity conducted pursuant to this encroachment
prior property right or agreement, the Permittee must permit, or under color of authority of this encroachment
comply with said notice at the Permittee’s sole expense. permit but not in full compliance with the Permit
26. ENVIRONMENTAL: Conditions as defined in General Provision Number 5
a) ARCHAEOLOGICAL/HISTORICAL: If any (“Unauthorized Work or Activity”); and/or (c) the
archaeological or historical resources are identified or installation, placement, design, existence, operation,
encountered in the work vicinity, the Permittee must and/or maintenance of the encroachment, work, and/or
immediately stop work, notify the Department’s activity; and/or (d) the failure by the Permittee or anyone
representative, retain a qualified archaeologist who acting on behalf of the Permittee to perform the
must evaluate the site at Permittee’s expense, and Permittee’s obligations under any part of the Permit
make recommendations to the Department’s Conditions as defined in General Provision Number 5, in
representative regarding the continuance of work. respect to maintenance or any other obligation; and/or (e)
b) HAZARDOUS MATERIALS: If any hazardous waste any change to the Department’s property or adjacent
or materials (such as underground storage tanks, property, including but not limited to the features or
asbestos pipes, contaminated soil, etc.) are identified conditions of either of them, made by the Permittee or
or encountered in the work vicinity, the Permittee anyone acting on behalf of the Permittee; and/or (f) a
must immediately stop work, notify the Department’s defect or obstruction related to or caused by the
representative, retain a qualified hazardous encroachment, work, and/or activity whether conducted in
waste/material specialist who must evaluate the site compliance with the Permit Conditions as defined in
at Permittee’s expense, and make recommendations General Provision Number 5 or constituting Unauthorized
Work or Activity, or from any cause whatsoever. The duty
Page 3 of 5
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA, DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT GENERAL PROVISIONS
TR-0045 (REV. 12/2019)
of the Permittee to indemnify and save harmless includes issuance of this encroachment permit and have no
the duties to defend as set forth in Section 2778 of the expiration date, including but not limited to situations in
Civil Code. which this encroachment permit expires or is revoked, the
It is the intent of the parties that except as prohibited by work or activity performed under this encroachment
law, the Permittee will defend, indemnify, and hold permit is accepted or not accepted by the Department, the
harmless as set forth in this General Provision Number 28 encroachment, work, and/or activity is conducted in
regardless of the existence or degree of fault or compliance with the Permit Conditions as defined in
negligence, whether active or passive, primary or General Provision Number 5 or constitutes Unauthorized
secondary, on the part of: the State; the Department; the Work or Activity, and/or no work or activity is undertaken
Directors, officers, employees, agents and/or contractors by the Permittee or by others on the Permittee’s behalf.
of the State and/or of the Department, including but not 29. NO PRECEDENT ESTABLISHED: This encroachment
limited to the Director of Transportation and the Deputy permit is issued with the understanding that it does not
Directors; the Permittee; persons employed by the establish a precedent.
Permittee; and/or persons acting on behalf of the 30. FEDERAL CIVIL RIGHTS REQUIREMENTS FOR
Permittee. PUBLIC ACCOMMODATION:
The Permittee waives any and all rights to any type of a) As part of the consideration for being issued this
expressed or implied indemnity from or against the State, encroachment permit, the Permittee, on behalf of
the Department, and the Directors, officers, employees, Permittee and on behalf of Permittee’s personal
agents, and/or contractors of the State and/or of the representatives, successors in interest, and assigns,
Department, including but not limited to the Director of does hereby covenant and agree that:
Transportation and the Deputy Directors. i) No person on the grounds of race, color, or
The Permittee understands and agrees to comply with the national origin may be excluded from participation
obligations of Titles II and III of the Americans with in, be denied the benefits of, or be otherwise
Disabilities Act in the conduct of the encroachment, work, subjected to discrimination in the use of said
and/or activity whether conducted pursuant to this facilities.
encroachment permit or constituting Unauthorized Work ii) That in connection with the construction of any
or Activity, and further agrees to defend, indemnify, and improvements on said lands and the furnishings
save harmless the State, the Department, and the of services thereon, no discrimination must be
Directors, officers, employees, agents, and/or contractors practiced in the selection and retention of first-tier
of the State and/or of the Department, including but not subcontractors in the selection of second-tier
limited to the Director of Transportation and the Deputy subcontractors.
Directors, from any and all claims, demands, damages, iii) That such discrimination must not be practiced
costs, penalties, liability, suits, or actions of every name, against the public in their access to and use of the
kind, and description arising out of or by virtue of the facilities and services provided for public
Americans with Disabilities Act. accommodations (such as eating, sleeping, rest,
The Permittee understands and agrees the Directors, recreation), and operation on, over, or under the
officers, employees, agents, and/or contractors of the space of the State highway right-of-way.
State and/or of the Department, including but not limited iv) That the Permittee must use the premises in
to the Director of Transportation and the Deputy Directors, compliance with all other requirements imposed
are not personally responsible for any liability arising from pursuant to Title 15, Code of Federal
or by virtue of this encroachment permit. Regulations, Commerce and Foreign Trade,
For the purpose of this General Provision Number 28 and Subtitle A. Office of the Secretary of Commerce,
all paragraphs herein, “contractors of the State and/or of Part 8 (15 C.F.R. Part 8) and as said Regulations
the Department” includes contractors and their may be amended.
subcontractors under contract to the State and/or the b) That in the event of breach of any of the above
Department. nondiscrimination covenants, the State and the
This General Provision Number 28 and all paragraphs Department have the right to terminate this
herein take effect immediately upon issuance of this encroachment permit and to re-enter and repossess
encroachment permit, and apply before, during, and after said land and the facilities thereon and hold the same
the encroachment, work, and/or activity contemplated as if said permit had never been made or issued.
under this encroachment permit, whether such work is in 31. MAINTENANCE OF HIGHWAYS: By accepting this
compliance with the Permit Conditions as defined in encroachment permit, the Permittee agrees to properly
General Provision Number 5 or constitutes Unauthorized maintain any encroachment. This assurance requires the
Work or Activity, except as otherwise provided by Permittee to provide inspection and repair any damage,
California law. The Permittee’s obligations to defend, at Permittee’s expense, to State facilities resulting from
indemnify, and save harmless under this General the encroachment.
Provision Number 28 take effect immediately upon
Page 4 of 5
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA, DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT GENERAL PROVISIONS
TR-0045 (REV. 12/2019)
32. SPECIAL EVENTS: In accordance with subdivision (a) of flow of traffic. All costs associated with this suspension
Streets and Highways Code section 682.5 and 682.7, the must be borne by the Permittee.
Department is not responsible for the conduct or 37. UNDERGROUND SERVICE ALERT (USA)
operation of the permitted activity, and the applicant NOTIFICATION: Any excavation requires compliance
agrees to defend, indemnify, and hold harmless the State, with the provisions of Government Code section 4216 et.
the Department, and the Directors, officers, employees, seq., including but not limited to notice to a regional
agents, and contractors of the State and/or of the notification center, such as Underground Service Alert
Department, including but not limited to the Director of (USA). The Permittee must provide notification to the
Transportation and the Deputy Directors, from any and all regional notification center at least forty-eight (48) hours
claims, demands, damages, costs, liability, suits, or before performing any excavation work within the State
actions of every name, kind and description arising out of highway right-of-way.
any activity for which this encroachment permit is issued. 38. COMPLIANCE WITH THE AMERICANS WITH
The Permittee is required, as a condition of this DISABILITIES ACT (ADA): All work within the State
encroachment permit, for any event that awards prize highway right-of-way to construct and/or maintain any
compensation to competitors in gendered categories, for public facility must be designed, maintained, and
any participant level that receives prize compensation, to constructed strictly in accordance with all applicable
ensure the prize compensation for each gendered Federal Access laws and regulations (including but not
category is identical at each participant level. (Streets limited to Section 504 of the Rehabilitation Act of 1973,
and Highways Code, section 682.7.) codified at 29 U.S.C. § 794), California Access laws and
The Permittee understands and agrees to comply with the regulations relating to ADA, along with its implementing
obligations of Titles II and III of the Americans with regulations, Title 28 of the Code of Federal Regulations
Disabilities Act in the conduct of the event, and further Parts 35 and 36 (28 C.F.R., Ch. I, Part 35, § 35.101 et
agrees to defend, indemnify, and save harmless the State seq., and Part 36, § 36.101 et seq.), Title 36 of the Code
and the Department, and the Directors, officers, and of Federal Regulations Part 1191 (36 C.F.R., Ch. XI, Part
employees of the State and/or Department, including but 1191, § 1119.1 et seq.), Title 49 of the Code of Federal
not limited to the Director of the Department and the Regulations Part 37 (49 C.F.R., Ch. A, Part 37, § 37.1 et
Deputy Directors, from any and all claims, demands, seq.), the United States Department of Justice Title II and
damages, costs, liability, suits, or actions of every name, Title III for the ADA, and California Government Code
kind and description arising out of or by virtue of the section 4450 et seq., which require public facilities be
Americans with Disabilities Act. made accessible to persons with disabilities.
33. PRIVATE USE OF STATE HIGHWAY RIGHT-OF-WAY: Notwithstanding the requirements of the previous
State highway right-of-way must not be used for private paragraph, all construction, design, and maintenance of
purposes without compensation to the State. The gifting public facilities must also comply with the Department’s
of public property uses and therefore public funds is Design Information Bulletin 82, “Pedestrian Accessibility
prohibited under the California Constitution, Article 16. Guidelines for Highway Projects.”
34. FIELD WORK REIMBURSEMENT: Permittee must 39. STORMWATER: The Permittee is responsible for full
reimburse the Department for field work performed on compliance with the following:
Permittee’s behalf to correct or remedy hazards or a) For all projects, the Department’s Storm Water
damaged facilities, or to clear refuse, debris, etc. not Program and the Department’s National Pollutant
attended to by the Permittee. Discharge Elimination System (NPDES) Permit
35. NOTIFICATION OF CLOSURES TO DEPARTMENT requirements under Order No. 2012-0011-DWQ,
AND TRAFFIC MANAGEMENT CENTER (TMC): The NPDES No CAS000003; and
Permittee must notify the Department’s representative b) In addition, for projects disturbing one acre or more
and the Transportation Management Center (TMC) at of soil, with the California Construction General
least seven (7) days before initiating a lane closure or Permit Order No. 2009-0009-DWQ, NPDES No
conducting an activity that may cause a traffic impact. A CAS000002; and
confirmation notification should occur three (3) days c) In addition, for projects disturbing one acre or more of
before closure or other potential traffic impact. In soil in the Lahontan Region with Order No. R6T-2016-
emergency situations when the corrective work or the 0010, NPDES No CAG616002.
emergency itself may affect traffic, TMC and the d) For all projects, it is the Permittee’s responsibility to
Department’s representative must be notified as soon as install, inspect, repair, and maintain all facilities and
possible. devices used for water pollution control practices
36. SUSPENSION OF TRAFFIC CONTROL OPERATION: (Best Management Practices/BMPs) before
The Permittee, upon notification by the Department’s performing daily work activities.
representative, must immediately suspend all lane
closure operations and any operation that impedes the
Page 5 of 5
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
HAZARDOUS MATERIALS AND HAZARDOUS WASTE MANAGEMENT SPECIAL PROVISIONS
TR-0408 (New 09/2017)
1. All construction debris/materials/water/excess soil must become the property of the Permittee, and must be transported and disposed
of, outside of Caltrans’ right-of-way, in accordance with all applicable environmental laws and regulations. The Permittee must be
identified as the generator for all construction debris/materials/water/excess soil and must be responsible for proper identification
(including sampling and analysis) and management of all construction and contaminated debris/materials/water/excess soil that are
removed, and/or excavated, from the work site. If hazardous waste is generated, the Permittee must obtain an Environmental Protection
Agency (EPA) Identification Number issued in their name. State Permit Inspector does not sign any manifests or shipping papers. The
Permittee must be named as the generator on all Uniform Hazardous Waste Manifests and shipping papers. Caltrans must not be
identified or written anywhere on the manifests or shipping papers. Prior to waste disposal, the Permittee should submit the waste
generator form(s) to State Permit Inspector for verification. The Permittee must submit to the State Permit Inspector, a copy of all
manifests and/or shipping papers generated for materials removed, transported and/or excavated from the state right-of-way.
2. If contaminated material is encountered, Permittee is to stop work and contact the State Permit Inspector immediately. The Permittee
must submit a Sampling and Analysis Plan (SAP), and a Health and Safety Plan (HaSP) prepared by a Certified Industrial Hygienist
(CIH) and in conformance with California Code of Regulations title 8, section 5192, “Hazardous Waste Operations and Emergency
Response” for sampling activity through a separate permit application. Upon the permit review, additional environmental documents
may be required prior to resumption of construction activity.
3. Permittee is responsible for any violation, penalty, enforcement action, corrective action, remedial action, and any other type of
consequences resulting from cross contamination of groundwater (including perched groundwater), improper handling/managing of
hazardous materials and/or placement of contaminated materials inside Caltrans right-of-way.
4. It is the Permittee’s responsibility to comply with the Department of Toxic Substances Control (DTSC) ADL requirements for roadway
soil management. Reuse of soils containing greater than 80 mg/kg total lead is not allowed without written approval of the DTSC and
Caltrans. The Soil Management Agreement for Aerially Deposited Lead-Contaminated Soils between Caltrans and the DTSC does
not constitute written approval for the Permittee to reuse soils containing greater than 80 mg/kg total lead.
5. The Permittee must implement the emergency notification requirements established in the California Office of Emergency Management
Hazardous Materials, Spill / Release Notification Guidance (http://www.caloes.ca.gov/).
6. Any imported material used for backfill must be free of contamination, and a certificate of the material as “clean” with the source area
of the material must be provided to Permit Inspector upon request. Importing soils containing greater than 80 mg/kg total lead for use
in state right-of-way is not allowed.
7. Stockpiles of material containing aerially deposited lead shall not be placed where affected by surface run-on or run-off. Stockpiles
shall be covered with plastic sheeting 13 mils minimum thickness or with one foot of nonhazardous material. Stockpiles shall not be
placed in environmentally sensitive areas. Stockpiled material shall not enter storm drains, inlets, or waters of the State.
In addition to the attached “Encroachment Permit General Provisions” (TR-0045), the following special provisions are also applicable:
1. The permittee must comply with all applicable state and federal laws with respect to all activities relating to this encroachment
permit. This includes, but is not limited to, Law Enforcement Surveillance Devices (LESD) and the data collected by LESD.
2. The following statement is added between the first and second paragraphs of section 28 of the “Encroachment Permit General
Provisions” (TR-0045):
“The permittee agrees to indemnify and save harmless the State, the Department, and all Directors, officers, employees, agents and/or
contractors of the State and/or of the Department, including but not limited to the Director of Transportation and the Deputy Directors,
from any and all claims, demands, damages, costs, liability, suits, or actions of every name, kind and description arising from any
and all alleged violations of State and/or Federal law with respect to any and all activities relating to this encroachment permit,
including, but not limited to, invasion of privacy, section 1983 of title 42 of the United States Code, and the Fourth Amendment to
the United States Constitution, and regardless of whether such are brought by or on behalf of any entity or natural person including
but not limited to members of the public, the permittee, persons employed by the permittee, and persons acting on behalf of the
permittee, arising out of or in connection with: (a) the issuance and/or use of this encroachment permit, and/or (b) the work or other
activity conducted pursuant to this encroachment permit, and/or (c) the installation, placement, subsequent operation, and/or
maintenance of said encroachment, and/or (d) the failure by the permittee or anyone acting on behalf of the permittee to perform
permittee's obligations under this encroachment permit in respect to maintenance or any other obligation, and/or (e) a defect or
defects in the work, or obstructions related to the work, or from any cause whatsoever. The duty of the permittee to indemnify and
save harmless includes the duties to defend as set forth in Section 2778 of the California Civil Code.”
3. Upon termination of surveillance activities, permittee must notify the Department’s District Permits Office in writing within 30 days,
and remove all LESD infrastructure from the Department’s highway rightsof-way. If the permittee fails to comply, the Department
may remove the LESD system and the permittee must reimburse the Department for all the associated cost of removal and storage.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
I. LOCATION
1. Whenever possible, mailboxes shall be located outside State highway right of way (R/W).
2. Mailboxes may be located inside State Highway right of way in compliance with
AASHTO’s “Roadside Design Guide”, 3rd Edition, Chapter 11 “Erecting Mailboxes on
Streets and Highways”. (A copy can be found in Appendix H of the Encroachment
Permits Manual)
3. Coordination with the local postmaster is required to determine the exact site.
4. In areas were curbs or dikes exist, mailboxes shall be located no closer than l' behind the
face of curb or dike to face of box.
II. INSTALLATION
2. Mailboxes supported by structures such as masonry columns, railroad rails and ties,
tractor wheels, plow blades, concrete filled barrels are strictly prohibited.
3. Postmaster approved, neighborhood delivery and collection box units (NDCBU) shall be
installed in a location where they will not pose a hazard to errant vehicles.
4. Request for exceptions must follow the exception process described in Chapter 300 of the
Encroachment Permits Manual.
When highway or ramp closures, detours, and work with significant traffic impacts occur, use
paragraphs 1, 2, and 3. Additional possible impacted activities include: CD, MC, FL, and FS
permits.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
Media Notification for Special Events (SE):
1. Permittee shall verify to State's representative that local or regional media, including
radio, television or newspapers serving the area affected by the special event, have been
notified by letter or press release format. Media contact must allow sufficient time for
print or broadcast two days prior to the permitted activity. Letter or press release shall
include date, time, location, duration, permitted activity, and identify detours for
impacted State highways and local roads.
Detour Signs
3. Permittee shall place detour signs prior to the permitted activity in accordance with State
Standard Specifications.
When encroachment activities create significant traffic impacts, used paragraph 4 for local
agency notification. Possible impacted activities include: SE, CD, MC, FL, and FS permits.
In addition to the attached General Provisions (Form TR-0045), the following special provisions
are also applicable:
1. When the work area encroaches upon a sidewalk, walkway, or crosswalk area, special
consideratio n must be given to pedestrian safety. Protective barricades, fencing, handrails
and bridges, together with warning and guidance devices and signs must be utilized so that
the passageway for pedestrians, especially blind and other physically handicapped, is safe
and well defined and shown on the approved permit plan.
2. Pedestrian walkways and canopies within State Right of Way shall comply with the
requirements of the applicable local agency or of the latest edition of the Uniform Building
Code whichever contains the higher standards
1. This permit does not authorize work on freeways, expressways or other activities not
specifically provided for in this permit.
2. Work that reduces the vertical clearance over highways or changes the load carrying
capacity of structures is not authorized by this permit.
3. Railroad work shall conform to Railroad, and applicable California Public Utilities
Commission standards. Work affecting State highway facilities shall conform to current
Caltrans standards.
4. Permittee may control or alter the flow of highway traffic only if absolutely necessary for
public safety or to prevent a serious interruption of railroad service. Traffic control shall
conform to Caltrans Traffic Control Systems published in the current State Standard
Plans.
5. No excavation within 30' of the traveled way shall be left open after daylight hours,
unless specifically authorized and adequate protection of traffic is provided in accordance
with the General Provisions "Protection of Traffic." Backfill and highway paving shall
conform to Standard Specifications and the General Provisions.
6. Routine maintenance taking place from the State highway shall be conducted between 9
am and 3 p.m. or as directed by the State representative.
7. Methods of installation and time of work for replacing aerial lines for railroad
communication shall be approved by the State representative.
1. Permittee must arrange a meeting with the California Highway Patrol (CHP) and the Caltrans permit inspector, at least two (2) weeks
prior to the start of work in order to determine the appropriate number of CHP vehicles required for planned traffic breaks. A minimum
of two (2) CHP vehicles in each direction are required. One CHP vehicle will be conducting the planned traffic break and the second
CHP vehicle will be stationed on the shoulder with its rear emergency lights on to caution motorists at the end of the queue. Additional
CHP vehicles may be required if determined to be necessary by the CHP. It is the responsibility of the permittee to make arrangements
with CHP for providing planned traffic breaks to facilitate the approved work.
2. The duration of a planned traffic break MUST NOT exceed five (5) minutes. If additional traffic breaks are required, traffic backup
must be cleared before performing another break.
3. The permittee must provide a minimum of one (1) Portable Changeable Message Sign (PCMS). Additional PCMSs must be provided
if required by Caltrans permit inspector or CHP. PCMS(s) must be placed at the locations directed by the CHP and be moved or
relocated as needed. Each PCMS must comply with section 12-3.32 of the Caltrans Standard Specifications. PCMS(s) must be removed
promptly after the planned traffic break is completed.
4. Message to be displayed on the PCMSs must be coordinated with Caltrans permit inspector/representative and CHP.
5. All aerial crossings should be scheduled on Sunday mornings (excluding holidays), from daylight to 10:00 AM, unless otherwise
authorized by the District Permit Engineer or authorized Caltrans’ representative.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable:
1. A State issued permit is required for any landscaping or tree installation, including
installation of tree wells.
2. A separate permit must be obtained from Caltrans for any driveway, handicap-ramp
installations or any sidewalks that are other than Portland Cement Concrete constructed
in compliance with Caltrans Standard Specifications.
3. Traffic control is authorized only between 9 am and 3 p.m., Monday through Friday,
holidays excluded. Any traffic control that requires lane closure shall be in compliance
with the appropriate traffic control plan. Where required by the plan, the use of a flashing
arrowboard is MANDATORY.
4. New curb and gutter installations shall be State Standard Type A2-6, unless necessary to
conform to existing adjacent curb and gutter installations.
5. The minimum width of a sidewalk should be 8 feet between a curb and a building when
in urban and rural main street place types. For all other locations the minimum width of
sidewalk should be 6 feet when contiguous to a curb or 5 feet when separated by a
planting strip.
6. Alignment and grade of gutter and sidewalk shall match the existing.
7. Existing concrete curb and paved shoulder shall be saw cut to a neat line prior to
excavating and forming. Existing concrete sidewalk shall be saw cut at the scoreline.
Paved shoulder shall be replaced with asphalt concrete paving material equal "in kind"
and thickness to existing shoulder and shall conform to lip of new curb and gutter.
8. Permittee shall be responsible for the relocation or adjustment of any utility required as
the result of work authorized by this permit, and utility relocation shall be completed
prior to the installation of any new curb, gutter or sidewalk.
9. A monolithic pour of sidewalk and curb and gutter shall not be permitted.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable.
1) In accordance with subdivision (a) of Streets and Highways Code section 682.5, the
Department is not responsible for the conduct or operation of the permitted activity, and
the applicant agrees to defend, indemnify, and hold harmless the State, the Department,
and the Directors, officers, employees, agents, and contractors of the State and/or of the
Department, including but not limited to the Director of Transportation and the Deputy
Directors, from any and all claims, demands, damages, costs, liability, suits, or actions of
every name, kind and description arising out of any activity for which this encroachment
permit is issued.
2) The permittee understands and agrees to comply with the obligations of Titles II and III
of the Americans with Disabilities Act in the conduct of the event, and further agrees to
defend, indemnify, and save harmless the State and the Department, and the Directors,
officers, and employees of the State and/or Department, including but not limited to the
Director of the Department and the Deputy Directors, from any and all claims, demands,
damages, costs, liability, suits, or actions of every name, kind and description arising out
of or by virtue of the Americans with Disabilities Act.
To accommodate excavation work, steel plate bridging may be necessary. All conditions for use of steel plate bridging should be set
forth in the special provisions.
Consideration of steel plate bridging should take into account The permittee is responsible for maintenance of the steel plates,
the following factors: shoring, asphalt concrete ramps, and ensuring that they meet
minimum specifications. Unless specifically noted or granted in
1. Traffic speed. the special provisions, or approved by the State representative,
2. Traffic Volume and Composition. steel plate bridging shall not exceed 4 consecutive working
3. Duration and dimensions (width & daily estimated lengths) days in any given week. Backfilling of excavations shall be
of the proposed excavation. covered with a minimum 3" temporary layer of cold asphalt
4. Weather conditions. concrete.
When backfilling operations of an excavation in the traveled The following table shows the advisory minimal thickness of
way, whether transverse or longitudinal, cannot be properly steel plate bridging required for a given trench width (A-36
completed within a work day, steel plate bridging with a non- grade steel, designed for HS20-44 truck loading per Caltrans
skid surface and shoring (see Trenching & Shoring) may be Bridge Design Specifications Manual).
required to preserve unobstructed traffic flow. In such cases,
the following conditions shall apply:
Trench Width Minimum Plate Thickness
1. Steel plate bridging on freeways is not allowed. 10” ½”
2. Steel plates used for bridging must extend a minimum of 1’-11” ¾”
12" beyond the edges of the trench. 2’-7” 7/8”
3. Steel plate bridging shall be installed to operate with 3’-5” 1”
minimum noise. 5’-3” 1 ¾”
4. The trench shall be adequately shored, (as mentioned in
Section 603.6B-2 of the Encroachment Permits Manual) to
support the bridging and traffic loads. NOTE: For spans greater than 5'-3", a structural design shall
5. Temporary paving with cold asphalt concrete shall be used be prepared by a California registered civil engineer.
to feather the edges of the plates, if plate installation by
Method (2) described below, is used. All steel plates within the right of way whether used in or out
6. Bridging shall be secured against displacement by using of the traveled way shall be without deformation. Inspectors
adjustable cleats, shims, or other devices. can determine the trueness of steel plates by using a straight
edge and should reject any plate that is permanently deformed.
As required by the district, steel plate bridging and shoring
shall be installed using either Method (1) or (2): Steel plates used in the traveled portion of the highway shall
have a surface that was manufactured with a nominal
Method 1 For speeds of 45 MPH or greater: Coefficient Of Friction (COF) of 0.35 as determined by
California Test Method 342 (See Appendix H, Encroachment
The pavement shall be cold planed to a depth equal to the Permits Manual). If a different test method is used, the
thickness of the plate and to a width and length equal to the permittee may utilize standard test plates with known
dimensions of the plate. coefficients of friction available from each Caltrans District
Materials Engineer to correlate skid resistance results to
Approach plate(s) and ending plate (if longitudinal placement) California Test Method 342. Based on the test data, the
shall be attached to the roadway by a minimum of 2 dowels permittee shall determine what amount of surface wear is
pre-drilled into the corners of the plate and drilled 2" into the acceptable, and independently ascertain when to remove, test,
pavement. Subsequent plates are to be butted and tack welded or resurface an individual plate.
to each other.
Caltrans Inspectors should not enforce plate removal unless it is
Method 2 For Speeds less than 45 mph: permanently deformed or delivered without the required
surfacing. However, an inspector should document in a diary
Approach plate(s) and ending plate (if longitudinal placement) all contacts with the contractor.
shall be attached to the roadway by a minimum of 2 dowels
pre-drilled into the corners of the plate and drilled 2" into the A “Rough Road” (W8-8) sign and a “Steel Plate Ahead” (W8-
pavement. Subsequent plates are to be butted and tack welded 24) sign with black lettering on an orange background must be
to each other. Fine graded asphalt concrete shall be compacted used in advance of steel plate bridging along with the required
to form ramps, maximum slope 8.5 % with a minimum 12" construction area signs. These signs must be used along with
taper to cover all edges of the steel plates. When steel plates any other construction area signs.
are removed, the dowel holes in the pavement shall be
backfilled with either graded fines of asphalt concrete mix, Surfacing requirements are not necessary for steel plates used
concrete slurry, epoxy or an equivalent that is satisfactory to in parking strips, on shoulders not used for turning movements,
the Caltrans' representative. or on connecting driveways, etc., not open to the public.
1. GENERAL: The purpose of these Special Provisions is to Roadways or work areas must not be washed down with water.
provide the Permittee with specifications for water pollution control Street sweeping operations must conform to Section 13 Water
to minimize, prevent, or control the discharge of material into the Pollution Control of Caltrans’ Standard Specifications.
air, surface waters, groundwater, and storm sewers owned by the
State or local agencies. These provisions are not intended to take the 6. VEHICLES AND EQUIPMENT: Permittee must prevent
place of the Caltrans Water Pollution Control Program (WPCP) for all vehicles, equipment, etc. from leakage or mud tracking onto
projects where soil disturbance from work activities less than one roadways. If leaks cannot be repaired immediately, remove the
acre, or work activities of one acre or more subject to the vehicle or equipment from the job site.
preparation of the Caltrans Storm Water Pollution Prevention Plan
(SWPPP). The Permittee must comply with the following Special 7. MAINTENANCE AND FUELING OF VEHICLES AND
Provisions and the direction of the State Representative. All EQUIPMENT: Maintenance and fueling of equipment must not
Stormwater Best Management Practices (BMPs) must conform to result in any pollution at the job site. The Permittee must
Section 13 Water Pollution Control of Caltrans’ Standard immediately clean up spills/leaks, and properly dispose of
Specifications. contaminated soil and materials.
14. CONSTRUCTION MATERIALS: Stockpile of all 22. LIQUID WASTE: Prevent job site liquid waste from entering
construction materials, including, but not limited to; pressure treated storm drain systems and receiving waters. Drilling slurries, grease
wood, asphalt concrete, cold mix asphalt concrete, concrete, grout, or oil-free waste water or rinse water, dredging, wash water or rinse
cement containing premixes, and mortar, must conform to section water running off a surface or other non-storm water liquids not
13-4.03C (2) Material Storage & 13-4.03C (3) Stockpile covered under separate waste water permits must be held in
Management of Caltrans’ Standard Specifications. structurally sound, leak-proof containers, such as portable bins or
portable tanks. Store containers at least 50 feet away from moving
15. CONCRETE EQUIPMENT: Concrete equipment must be vehicles and equipment. Liquid waste may require testing to
washed in a designated washing area in a way that does not determine hazardous material content prior to disposal. All
contaminate soil, receiving waters, or storm drain systems. measures must conform to section 13-4.03D (5) Liquid Waste,
Water Pollution Control of Caltrans’ Standard Specifications.
16. EXISTING VEGETATION: Established existing vegetation
is the best form of erosion co n tro l. Minimize disturbance to 23. WATER CONTROL AND CONSERVATION: Manage
existing vegetation. Damaged or removed vegetation must be water use in a w ay that will prevent erosion and the discharge
replaced as directed by the State Representative. of pollutants into storm drain systems and receiving waters. Direct
runoff, including water from water line repair from the job site
17. SOIL DISTURBANCE: Soil disturbing activities must be to areas where it can infiltrate into the ground. Direct water
avoided during the wet weather season. I f construction activities from off-site sources around the job site or from contact with jobsite
during wet weather are allowed in your permit, all necessary runoff.
erosion control and soil stabilization measures must be
implemented in advance of soil disturbing activity. 24. PILE DRIVING: Keep spill kits and cleanup materials at pile
driving locations. Park pile driving equipment over drip pans,
18. SLOPE STABILIZATION AND SEDIMENT absorbent pads, or plastic sheeting with absorbent material, and
CONTROL: Consider a certified expert in Erosion and Sediment away from stormwater run-on when not in use.
control in cases where slopes are disturbed during construction. The
Permittee is directed to comply with Section 13.5 Temporary Soil 25. DEWATERING: Dewatering consists of discharging
Stabilization and Section 21 Erosion Control of Caltrans’ Standard accumulated storm water, groundwater, or surface water from
Specifications during application of temporary soil stabilization excavations or temporary containment facilities. All dewatering
measures to the soil surface. Fiber rolls or silt fences may be operations must comply with the latest Caltrans guidelines
required down slope until permanent soil stabilization is including the Field Guide for Construction Site Dewatering.
established. Remove the accumulated sediment whenever the Contact State representative for approval of dewatering discharge
sediment accumulates to 1/3 of the linear sediment barrier height. by infiltration or evaporation, otherwise, any effluent discharged
The Permittee must limit the use of plastic materials when more into a permitted storm water system requires approval from the
sustainable, environmentally friendly alternatives exist or when Regional Water Quality Control Board. Prior to the start of
environmental regulations prohibit their use within the project. dewatering, the Permittee must provide the State Representative
with a dewatering and discharge work plan that complies with
19. STOCKPILES: Stockpiles containing aggregate and/or soil section 13-4.03G Dewatering, Water Pollution Control of Caltrans’
must be stored at least 100 feet from concentrated flows of storm Standard Specifications. A copy of the Waste Discharge Permit
water, drainage courses, and storm drain inlets if within a flood and a copy of a valid WDID number issued by the Regional Board
plain, otherwise at least 50 feet if outside the floodplain, and must must be provided to the State representative.
be covered and protected with a temporary perimeter sediment
barrier. Cold mix stockpiles must be stored on an impermeable
surface and covered with 9 mil plastic to prevent contact with water.
Minimize stockpiling of materials on the job site. Manage stockpiles
by implementing the water pollution control practices in Section 13-
4.03C (3) Stockpile Management of the State of California standard
specifications for construction.
STRUCTURE WORK
Use these special provisions when Permit includes any capital improvement work (Capital Outlay Program or Permit
Program) involving structure related facilities such as: modification to existing bridges, new bridges, all tunnels,
underground structures, single and multi-cell culverts wider than 20' measured in the direction of traffic, storage boxes,
non-standard retaining walls, non-standard sound walls (including sound walls on retaining wall), earth retaining
systems, bridge-mounted sign structures, overhead sign structures, pump plants, slope paving under bridges (including
any paving or channel lining around bridge columns), seal slabs/boat sections, transit stations, and toll plazas.
In addition to the attached General Provisions (TR-0045), the following special provisions are also applicable:
1) BEGINNING OF WORK:
at ________________ two (2) weeks before the intent to start permitted work to ensure coordination
(Phone Number)
2) CONTRACT DOCUMENTS:
In addition to the number of as-advertised contract document sets required by the District Permit Engineer for
district use, the PERMITTEE shall include a minimum of eleven (11) additional sets of contract documents
(plans, special provisions and addenda) for use by the Caltrans Division of Engineering Services. Upon
approval of the permit application, the District Permit Office shall distribute the eleven additional sets of
contract documents to:
State of California
Department of Transportation
Division of Engineering Services
Office of Special Funded Projects, MS 9-2/7G
1801 30th Street
Sacramento, CA 95816
Depending on the work contemplated in the project, more copies may be required as determined by the District
Permit Engineer and the Structures OSFP Liaison Engineer.
Within sixty (60) days following completion and acceptance of the project construction contract, PERMITTEE
shall furnish acceptable completion records, which are applicable to the project, to the STATE representatives
shown in the following table. Completion records shall be submitted in accordance with the “Submittal
Instructions and Forms” shown in the following table. When requested by the PERMITTEE, the STATE
representative shall furnish the instructions and forms shown in the following table. This information is also
available from the Caltrans internet website.
Completion records or accompanying correspondence shall not include disclaimer statements of any kind.
Such statements shall constitute non-compliance with these provisions.
For Locally Advertised projects, the As-Built Plan Package shall include the “Structures As-Built Plan
Submittal Route Slip.”
Completion Record Submittal Instructions and Forms Submit Completion Record to:
Field Office set of Furnish the construction field office set of red- Express Mail or hand carry to:
red-marked As-Built marked As-Built prints,
plans for Structures, State of California
including Log of AND Department of Transportation
Test Borings from Division of Engineering Services
the Construction Initial, date, and attach the “Structures As-Built Division of Structure Construction
Contract Plan Submittal Route Slip” to the As-Built plans 1801 30th Street, MS 9-2/11H
Administrator submittal package. Sacramento, CA 95816
Final As-Built plans Furnish one (1) complete set of acceptable full size Regular Mailing Address:
for Structures, reproducible As-Built plans,
including Log of State of California
Test Borings from AND Department of Transportation
the Design Division of Engineering Services
Consultant Furnish the construction field office set of red- Office of Special Funded Projects
marked As-Built prints, MS 9-2/7G
P.O. Box 168041
AND Sacramento, CA 95816-8041
Initial, date, and attach the Structures As-Built Plan Next Day Mail or hand carry to:
Submittal Route Slip to the As-Built plans submittal
package. State of California,
Department of Transportation
Division of Engineering Services
Office of Special Funded Projects
1801 30th Street, MS 9-2/7G
Sacramento, CA 95816
Working Drawings See contract special provisions and Standard DES Structures Document Unit
(Shop Plans) Specifications for each individual structure. Division of Structure Design
Report of Submit, for each individual structure, Division of Structure Construction
Completion for Form DS-OS C3, “Report of Completion-Bridges”, Oversight field Engineer for the project
Structures or equivalent. construction contract
Joint Movement Submit, for each individual structure, Division of Structure Construction
Calculations for Form DSD-D-0129, “Joint Movement Calculations” Oversight field Engineer for the project
Structures or equivalent. construction contract
Driven Pile Records Submit, for each individual structure, Division of Structure Construction
Forms DC-C78, “Pile Quantity & Driving Record Oversight field Engineer for the project
(Driven Piles)”; DH-OS C79, “Log Pile Sheet”; and construction contract
DH-OS C80, “Pile Layout Sheet”; or equivalent.
Paint Records for Submit, for each individual structure, Forms DH- Division of Structure Construction
Structures OS M5, ”Clean and Paint Cost Summary”; DH-OS Oversight field Engineer for the project
M8, “Daily Clean & Paint Record”; DH-OS M11, construction contract
“Paint Record”, and DH-OS M78, “Spot –
Sandblasting Report”; or equivalent.
For permits involving structure work, the Progress Billing/Completion Notice shall not be submitted by the
District Oversight Resident Engineer/District Permit Engineer as the “Completion Notice” until the structure
As-Builts and other applicable structure completion records have been submitted by the permittee and
approved by Caltrans. The receipt of these records shall be noted on the Progress Billing/Completion Notice.
Failure of private entities to provide accurate, reproducible As-Built plans and satisfactory completion
records for permit work shall be cause for bond or deposit retention by the Department.
Local Agencies
Failure of local agencies to provide accurate, reproducible As-Built plans, and satisfactory completion
records for permit work shall be cause for the Department to require performance bonds on future
permits. Future permitted work is subjected to a bond requirement until the completion records of said
previously permitted work are submitted satisfactorily (Streets & Highways Code, Section 678).
CONTRACT EA:
DIST/CO/RTE/PM(KP):
COMPLETION & ACCEPTANCE OF PROJECT CONSTRUCTION CONTRAC T FIELD WORK (DATE): _________________________________________
BRIDGE NO(S):
CALTRANS STRUCTURES OSFP OVERSIGHT LIAISON ENGINEER (Name & Phone): _______________________________________________________
* When required by contract with Local Agency, send a copy of red-marked prints and reproducible copies of final As-Built plans to the Local Agency. Design
Consultant keeps a set of reproducible copies of the final As-Built plans for own file.
**Project closure is also contingent upon the submittal of other final structure project records and District Roadway As-Built Plan Package to the District.
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Two days before work is started under this permit, contact ________________________
concerning the permittee’s operation.
2. All survey operations shall be conducted off the traveled way except where necessary to
cross pavements and medians.
3. When survey operations are being conducted, the permittee shall furnish, place and
maintain signs and safety equipment in accordance with the latest edition of the
"California Manual on Uniform Traffic Control Devices” (Part 6, Temporary Traffic
Control).
4. All personnel shall wear hard hats and orange vests, shirts or jackets as appropriate. Any
painted markings shall be made with water soluble paint.
5. Permission is also granted to park survey vehicles temporarily within the right of way,
outside the shoulders, while survey work is in progress.
6. SURVEY WORK IS PROHIBITED ON FREEWAYS.
7. Survey information and assistance may be obtained upon request to: Survey Section,
Department of Transportation, ________________________________________.
In addition to the attached General Provisions (TR-0045), the following special provisions are
applicable:
1. Personnel installing or removing traffic counters shall wear an orange colored outer garment
and a hard hat.
2. Traffic counters installed on freeway ramps shall be located at the curb return as near as
possible to the local street intersection.
3. Counter tubes shall be securely attached to the pavement by taping. No nails, spikes or other
material shall be driven into the pavement except to secure the tube at the outside edge of
shoulder, at the lip of a gutter, or in the center line stripe.
4. A copy of the collected data shall be sent to the Caltrans District Permit Engineer.
In addition to the attached General Provision (Form TR-0045), the special provision shown
below is also applicable.
Use the special provision that pertains to either a chargeable or State furnished controller
assembly. When the permittee is charged a fee for the controller, the special provision will
identify the fee amount and instructions for requesting controller assembly delivery. When
Caltrans is providing the controller under a Cooperative Agreement, the provision contains only
the delivery instructions.
Use this Statement in Permits for Privately Funded Projects and Locally Funded Projects
Without Cooperative Agreements
The permittee or the contractor for a local agency shall pay $5,600 to Caltrans to compensate the
State of California for the costs incurred in obtaining, testing, and supplying a Traffic Signal
Controller Assembly. This fee does not supercede any other fee charged by Caltrans for review,
inspection or field work performed by Department staff as a result of the permitted work. If the
fee has not been paid before permit issuance, full payment shall be made to the district cashier
before starting any traffic signal work authorized by this permit, and at least 30 (thirty) days
before the controller is needed for installation. The permittee shall give the State representative
not less than 10 (ten) working days written advance notice before picking up the cabinet
assembly (without the controller). When notified by the permittee, Caltrans will provide the
permittee with a time and location for picking up that cabinet assembly. Caltrans will
subsequently deliver the actual controller to the job site at the prearranged time of signal turn on.
Use this Statement in Permits When a Traffic Controller Assembly is Provided for Projects
Involving Cooperative Agreements
The permittee shall give the State representative at least 10 (ten) working days written advance
notice before picking up the cabinet assembly (without the controller). When notified by the
permittee, Caltrans will provide the permittee with a time and location for picking up the cabinet
assembly. Caltrans will deliver the controller to the job site at the prearranged time of signal
activation.
REV. 07/99
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable:
1. Traffic striping, pavement markings and signs shall be furnished and placed by the
permittee and the cost shall be borne by the permittee. Where new asphalt concrete has
been placed, painted striping and pavement markings shall be installed within 24- hours.
Where shown on the plans, after thirty (30) days curing time, thermoplastic ma terials
shall be applied in compliance with Section 84 of the Standard Specifications.
2. Roadside signs shall be placed at locations shown on the permit plans and shall be
installed in compliance with the latest edition of Caltrans Standard Plans.
3. Permittee shall furnish to State's representative a completed Form CEM-3101 "Notice of
Materials to be Used," and approval of the material used shall be obtained prior to its
installation.
1. Scheduled pruning work may be restricted by Caltrans to maintain mobility during special events, commuter
traffic, or other periods of projected high traffic volumes.
o Traffic control is generally authorized from 9 a.m. to 3 p.m., Monday through Friday, excluding
holidays. Extended traffic control hours may be required by Caltrans.
o Traffic control must conform to requirements shown in the State Standard Plans. When required, the
use of a flashing arrow board is MANDATORY.
o Suspend work during inclement weather, such as heavy fog, if lane or shoulder closures will be
required. Do not perform pruning work during periods of high wind to minimize the spread of debris
into the traveled way.
2. Prune trees in compliance with the most recent version of ANSI A300-Pruning Part 1, the American National
Standard for Tree Care Operations, Tree, Shrub and Other Woody Plant Maintenance-Standard Practices
(Pruning), and the International Society of Arboriculture (ISA) Tree Pruning Best Management Practices.
3. Prune trees in compliance with the seasonal tree pruning restrictions specified in the Migratory Bird Act and
meet the seasonal requirements of specific tree species. Perform pruning based upon the age of the tree (newly
planted or established), type of tree (evergreen or deciduous), purpose for pruning (maintenance of form,
structure, maintaining sight lines, utility clearance), and to minimize the spread of disease (pine pitch canker,
eucalyptus psyllid, eucalyptus borer beetles, Dutch elm disease, or mistletoe).
4. Tree trimmers must be licensed by the California State Contractors State License Board and hold a current
C61/D49 license.
5. Do not use climbing spurs to prune trees, except when working in the tops of Eucalyptus, Palms, and Conifers.
6. Prune trees to maintain their natural structure and shape. If unbalanced growth already exists, first thin and head
prune the tree. Where prior topping or side pruning has resulted in excessive growth over the State right-of-way,
prune to restore a balanced, symmetrical shape. Avoid creating large holes in the canopy. Upon completion of
work, trees should present a balanced, symmetrical shape that is characteristic of their species.
7. Prune trees to maintain their natural open crown structure. Do not cut young growth year after year at the same
fixed distance from the trunk. This technique creates very dense growth at the tree canopy margin, growth called
“crow’s nests” or “brooms”. Maintain the natural open crown structure by thinning out dense growth.
8. Prune trees to restore an open crown structure. Remove limbs larger than 2-inches in diameter as necessary to
open up dense growth, called “crows' nests” or “brooms.” Make these cuts at laterals or parent branches in older
wood so that the following season’s growth will result in a crown structure free of dense, disfiguring growth.
9. Prune trees to avoid redirecting growth over the highway. Maintain the terminal bud of the leader. Perform top
or center pruning only after these trees have recovered their natural balance and form.
10. Final cuts must not leave stubs. Prune in ways that maximize wound recovery from callus growth. Keep wounds
as small as practicable, reasonably flush, within the shoulder ring area, keeping cambial tissues at the cut edge
alive and healthy. Do not make extreme flush cuts that produce large wounds and weaken the tree.
11. Remove debris, cuttings, and tree limbs from the State right-of-way at the end of each workday, leaving the
work area in a safe and presentable condition. In regions where pruned limbs and bark might harbor pests or
disease (such as pine pitch canker, eucalyptus psyllid, eucalyptus borer beetles, Dutch elm disease, or sudden
oak death) dispose pruned materials in accordance with Federal, State, and local agency requirements.
12. Topping of trees is not allowed.
13. Prune trees to allow 8’ over sidewalks and 17’ over vehicular pavement.
14. Pruning must not change the character of the tree.
II. ADDITIONAL TREE PRUNING REQUIREMENTS FOR UTILITIES ONLY:
Comply with the requirements under “I. General” above, and the following:
1. Severity of utility tree pruning work may be restricted by the District Landscape Specialist to preserve the
appearance of trees that possess high value due to local community significance, historic landscape potential, or
documented horticultural value.
2. Limit pruning severity such that required minimum clearances are maintained for no more than two years.
3. Comply with minimum utility clearances as established by the CPUC General Orders, California Public
Resources Code and Federal and State laws. Clearances that exceed the established minimum must be agreed
upon by Caltrans and the Utility Company. For most locations, pruning should not take place more frequently
than once per year. Pruning clearances and pruning frequencies must reflect the species, growth habit, condition,
and health of each tree.
1. Scheduled removal work may be restricted by Caltrans to maintain mobility during special events, commuter traffic, or
other periods of projected high traffic volumes.
a) Traffic control is generally authorized from 9 a.m. to 3 p.m., Monday through Friday, excluding holidays. Extended
traffic control hours may be required by Caltrans.
b) Traffic control must conform to requirements shown in the State Standard Plans. When required, the use of a flashing
arrow board is MANDATORY.
c) Suspend removal work during inclement weather, such as heavy fog, if lane or shoulder closures will be required. Do
not perform removal work during periods of high wind to minimize the spread of debris into the traveled way.
2. Remove trees in compliance with the seasonal restrictions specified in the Migratory Bird Act.
3. Contractors must be licensed by the California State Contractors State License Board and hold a current C61/D49
license.
4. Remove debris, cuttings, and limbs from the State right-of-way at the end of each workday, leaving the work area in a
safe and presentable condition. In regions where debris, cuttings, limbs and bark may harbor pests or disease (such as
pine pitch canker, eucalyptus psyllid, eucalyptus borer beetles, Dutch elm disease, or sudden oak death) dispose the
vegetative materials in accordance with Federal, State, and local agency requirements.
5. Permittee or their contractors may collect woodchips produced by removing trees located both inside and outside
Caltrans right-of-way, and dispose of these woodchips by placing them in locations within Caltrans right-of-way, when
approved in advance by Caltrans Maintenance. Woodchips must not create a fire hazard, encourage illegal dumping,
block traveler sightlines, or obstruct drainage ditches or drain inlets.
When a permit is issued for removal of a tree as an independent operation or as a part of other work, the entire stump must
be taken out to a depth of at least 12-inchesbelow the ground surface. All debris must be removed from the right of way. The
hole left by the stump must be backfilled and thoroughly tamped and the site left in a safe presentable condition.
After trees are removed, cut trunks flush with the ground, leaving no more than 2-inches exposed above the finished grade.
If required by Caltrans, remove the stump to a depth of at least 12-inches, remove all debris from the hole, backfill with
clean fill, and thoroughly compact the soil, leaving the area in a safe presentable condition.
In accordance with the Department’s Project Development Procedures Manual, all new high priority utilities and
pressurized facilities are required to be encased on both conventional and access controlled highway rights-of-way.
Based on the Memorandum dated November 9, 1994, “Exception to Policy - Uncased High-pressure Natural Gas
Pipelines”, the Department may allow the installation of uncased natural gas pipelines crossings in specific
circumstances. The Department’s primary concerns are for public safety, the integrity of the highway facility and
the mechanical protection of the pipeline itself, it is necessary to limit the number of requests for transverse natural
gas transmission pipeline crossings without casings to locations where all of the following conditions are met:
UNG 1. UNG 3.
The pipeline owner agrees that the crossing will be The permit specifies that the uncased gas carrier
designed for construction in accordance with the pipeline shall, as a minimum, be designed for a Class
Code of Federal Regulations, Title 49, Part 192, 3 Location (Code of Federal Regulations referenced
and/or the California Public Utilities Commission above) for hard surfaced roads, highways, public
General Orders No. 112-D with respect to natural gas streets, and railroads. (See attached Excerpts from the
pipelines. The crossing design shall be Code of Federal Regulations, Design Factor to be
comprehensive in all respects including but not used for Natural Gas Pipelines.)
limited to" material specification, pipe wall thickness
determination, coating selection, and cathodic UNG 4.
protection. Soil conditions at each site shall be
analyzed for characteristics that may prove harmful to The existence of the crossing is adequately identified
the protective pipe coating. This analysis shall be by signing at the right-of-way line, with at least one
used by the pipeline owner in selecting a protective identifying sign, which is visible from the roadway in
pipe coating sufficient to withstand the potential for each direction of travel.
gouging or peeling during the boring and jacking
operation, or other methods approved by Caltrans. UNG 5.
The final condition of the coating will be determined
by the pipeline owner through monitoring of the The pipeline owner agrees to provide as-built
boring and jacking operation, visually inspecting the drawings at completion of the pipeline crossing, with
exiting initial pipe segment, and electrical testing by a letter certifying that the pipeline was installed
an engineer or technician with expertise in cathodic properly and in accordance with the permit plans
protection. The test data shall be noted on the as-built (including approved changes to the permit plans), and
drawings. Remedial action will be taken if the meets industry and regulatory standards for such
condition of the coating is such that cathodic installation.
protection is not practical.
UNG 6.
UNG 2.
All other applicable requirements in Chapter 600 of
The minimum depth of cover within State highway the Encroachment Permits Manual are satisfied.
right of way, from the final ground line (finished
grade or original ground) to the top of the proposed UNG 7.
gas carrier pipeline, is 7.5’. If the location is such
that it is not practical to achieve the above depth of All submittals requesting installations of such uncased
cover, then an engineered protective cover (such as natural gas pipeline crossings greater than 6” in
a reinforced concrete structure) may be provided diameter or with normal operating pressures greater
outside of pavement areas in lieu of casing. At no than 60 psig and meeting all of the above
time shall the minimum depth of cover be less than requirements may be approved by the district. Any
42". deviations from the above requirements require an
encroachment policy exception.
In the design of steel natural gas pipelines the Minimum Yield Strength for the grade of steel used is reduced by
a Design Factor (F). This Design Factor is determined by the type of road being crossed by the pipeline and a
Class Location established by Code of Federal Regulations, Title 49, Part 192 (Office of the Federal Register,
1990)
The Class Location depends on the occupancy of buildings or activities within an area that extends 660 feet
from either side of the pipeline centerline for a continuous 1 mile segment of the pipeline. There are four Class
Locations as follows:
Class 1. A location that has 10 or less buildings intended for human occupancy.
Class 2. A location that has more than 10 but less than 46 buildings intended for human occupancy.
Class 3. a) Any location that has 46 or more buildings intended for human occupancy; or
b) Area where pipeline lies less than 300 feet of either a building or a small well defined
outside area (such as a playground, recreation area, outdoor theater, or other place of public
assembly) that is occupied by 20 or more persons on at least 5 days a week for 10 weeks in
any 12-month period. (The days or weeks need not to be consecutive).
The design factor used for a specific Class Location also depends on the kind of road involved as indicated on
the following Table.
CLASS LOCATION
TYPE OF THOROUGHFARE 1 2 3 4
Example: A pipe made of X42 grade of steel which has a Minimum Yield Strength (MYS) of 42,000 psi used
in a Class 4 location at a hard surface road crossing would be designed using a reduced Minimum Yield
Strength, by applying a Design Factor of 0.4, of 16,800 psi.
Annual utility permits UE are issued to utilities who maintain their facilities within State highway right-of-way. Any utility or public corporation, who lawfully
maintains a utility encroachment, or their agent, may perform routine or emergency maintenance on such facility in accordance with the following provisions:
UE1. EXCLUSIONS: These provisions do not authorize any work on necessary, provided the appearance of the tree or the tree itself will
freeways and expressways, tree trimming, aerial capacity increases not be damaged.
on designated "Scenic Highways", pole replacement / relocation
work, or other activities not specifically provided for in this permit. Perform insulator washing and interconnect splicing of cables.
UE2. EMERGENCY REPAIRS: The permittee may make emergency Install additional capacity (in the same location), install, maintain,
repairs, alter traffic flow, and excavate through improved surfaces remove, repair or replace aerial service connections with potential to
only when breaks in the conduit, cable, or pipeline over or under the ground of 300 volts or less.
pavement presents a definite public hazard or serious interruption of
essential services. In such cases, the Department's representative 2. Installations and clearances must be equal to those required by either
shall be notified immediately. the California Public Utilities Commission orders or the Division of
Occupational Safety and Health (Cal/OSHA) regulations
Replace poles knocked down by vehicles, accidental causes or promulgated in the California Code of Regulations, Title 8, Chapter
natural disasters. The entire length of poles and stubs must be 4, whichever is more restrictive.
removed from the ground and replacement pole must be placed at
the exact location. Planned pole replacements/installations are not UE6. WORK PERMITTED - UNDERGROUND:
allowed under this permit.
1. Maintain, inspect, remove, repair or replace (in the same
UE3. OPEN EXCAVATIONS: Excavation must not be left open after location) all underground facilities except those requiring
daylight hours unless specifically authorized and adequate protection trenching in the traveled way or require uncovering more than 50
for traffic is provided in accordance with the General Provisions, feet of line at any one time. The permittee may open existing
"Public Traffic Control" And “Minimum Interference with Traffic”. manholes to repair underground cables. Where the manhole lies
Backfill and pavement replacement must be performed in within the improved surface of the highway, the permittee will
accordance with General Provisions, "Restoration and Repairs in provide adequate protection for traffic in accordance with the
State Highway right-of-way." General Provisions "Public Traffic Control" and “Minimum
Interference with Traffic”.
UE4. TRAFFIC CONTROL: Work requiring traffic control shall be
conducted between Monday-Friday 9:00 a.m. and 3:00 p.m. or as 2. Install additional capacity in existing ducts except for facilities
otherwise authorized by the Permit Engineer. Adequate traffic not in compliance with the Department's High priority utility
control must be provided in accordance with the General Provisions, policies or on Structures.
“Public Traffic Control”, “Minimum Interference with Traffic” and
“Suspension of Traffic Control Operation”. 3. Install air flow monitoring transducers and piping in existing
ducts.
Only those maintenance activities that can be performed using a
Caltrans Standard Plans for Temporary Traffic Control Systems and 4. Barholing, potholing, cleaning, rodding and placing float ropes.
Temporary Pedestrian Access Routes are authorized under the
annual maintenance permit. Otherwise a separate permit application 5. Adjust access cover to grade and replace in kind or with larger
for the work, along with a traffic control plan designed and signed size pull boxes.
by a California Registered Civil or Traffic Engineer must be
submitted for review and approval. 6. Interconnect splicing of cables.
Advanced notification must be provided to Caltrans Traffic 7. Install service connections (laterals) perpendicular to the highway
Management Center for any activities that may cause a traffic for the following:
impact including all lane closures. Adequate notice must be
provided in accordance with the General Provisions, “Notification of a) Natural gas service lines less than 2 inches in pipe
Closure to Department and Traffic Management Center (TMC)”. diameter that have normal operating pressures of 60
psig or less
UE5. WORK PERMITTED - AERIAL:
b) Subsurface electrical service connections with a
All permitted activity must not be over the traveled way or within potential to ground of 50 volts or less
the limits of officially designated scenic highways and/or on
Caltrans structures. c) Service connections for water, sewer, telephone,
telecommunication, and cable service
1. Maintain, inspect, remove, repair or replace (in the same location)
all aerial facilities. Work over the traveled way requires a separate 8. Permanent pavement patching for work authorized by this
permit and the placement of “H” poles and netting as per form TR- permit. The patching must be made within thirty (30) days of
0108, located in Appendix “E” of the Encroachment Permits completion of backfill unless otherwise specified by the Permit
Manual. Engineer. See Underground Utility Provision UG 9 (form TR-
0163).
Replace broken pins and/or insulators, repair broken wires, pull
slack wires, and replace or pull broken or slack guys. UE7. POLE MAINTENANCE & CHEMICAL TREATMENT:
Replace aerial wires and cross arms on existing poles except where 1. Utility Companies are to provide a list of the pole identification,
wires cross the highway. Unless otherwise specifically required by locations, type of chemicals and quantities used for their pole
the Department, protected cable, tree wire or plastic tree wire guard treatment maintenance operations. This information must be
used for communication lines may be used through trees where provided upon expiration of their annual permit or upon request
of the Department as needed.
© 2018 California Department of Transportation. All Rights Reserved.
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION
ENCROACHMENT PERMIT ANNUAL UTILITY PROVISIONS
TR – 0160 (Rev. 10/2019)
UE8. MISCELLANEOUS:
2. Clear grass from around base of poles and excavate around poles
for inspection, including tamping and straightening. The use of
herbicides or other chemicals is not authorized by this permit. A
separate encroachment permit is required for that purpose.
In addition to the attached General Provisions (TR-0045), the following special provision is also
applicable:
Pole lines must be located as specifically directed No guy wires are to be attached to trees except as
in the provisions of the permit. may be specified in the permit and in no event
must they be so attached as to girdle the tree or
OH2. INSTALLATIONS AND CLEARANCES: interfere with its growth. Guy wires must be kept
to a minimum elevation above ground as directed.
Horizontal clearances, as measured from the edge
of traveled way to the installation must be in OH6. ANCHOR:
accordance with the minimum clearance required
for Discretionary Fixed Objects. According to Anchors must not be placed closer to the traveled
Caltrans’ Highway Design Manual (309.1) The way than the pole itself.
installation should be located beyond the clear
recovery zone at a minimum of 52 feet OH7. REMOVE OLD POLES, STUBS AND GUY
horizontally or 8 feet vertically up-slope from the RODS:
edge of traveled way, unless they are made
breakaway or shielded behind existing guardrail, The entire length of poles and stubs must be
barrier or other safety device. In no case is a pole removed from the ground and the holes
allowed closer than 1.5’ behind a curb face or less backfilled. Guy rods must be removed to a
than 2' from the edge of a slope catch point or 3’ minimum depth of 3' below original ground.
from the curb returns of intersections and near the
edges of driveways, or within a drainage ditch. OH8. AERIAL CROSSING:
New installations should adhere to setback limits
or should be protected. Consideration should be Works involving new or additions to existing
given to placing such encroachments underground aerial crossings must not be performed in rainy,
in shoulder or parking areas. Also, installations foggy or inclement weather which creates
and clearances must comply with applicable hazardous conditions for highway users.
orders of the California Public Utilities
Commission (CPUC), or the Division of OH9. CLEARANCE FROM CURBS:
Occupational Safety and Health (Cal/OSHA)
Safety Orders, whichever is more restrictive. The face of poles must not be placed closer than
1.5' from any curb face.
OH3. PERMISSION FROM PROPERTY
OWNERS: OH10. POLE INSTALLATION OR REMOVAL:
When necessary, permission must be secured Where poles are to be installed or removed
from the abutting property owner(s) in written behind the curb in a parkway that is paved with
form by the permittee before starting work. Portland Cement Concrete, the concrete must be
saw cut, removed and replaced to the nearest
OH4. CLEARANCE OF TREES: score lines or expansion joints. The hole in the
PCC sidewalk created by pole removal must be
Unless otherwise specifically required by the temporarily backfilled with 2" minimum
Department, protected cables, tree wires or plastic temporary AC at the time the pole is removed.
tree wire guards used for communication lines Poles are not to be installed without prior
may be used through trees where necessary, approval of the final location by the Department's
provided the installation and any necessary field representative.
pruning does not damage or affect the appearance
of the tree or the tree itself will not be damaged. OH11. CONTROLLED ACCESS R/W:
This allowance does not apply to scenic
highways. Poles, anchors, etc., must not be installed inside
of any controlled access right of way. All such
requests are “exceptions” to policy.
High priority utilities, pressurized facilities, pipes or ducts 6" or larger in diameter, or placement of multiple pipes or ducts, regardless
of diameters are required to be encased on both conventional and access controlled highway rights-of-way.
A “High Priority Utility” is defined as: 1) a natural gas pipeline greater than 6” in diameter, or with normal operating pressures greater
than 60 psig, 2) petroleum pipelines, 3) pressurized sanitary sewer pipelines, 4) high-voltage electric supply lines, conductors, or
cables that have a potential to ground of greater than or equal to 60 kV, or 5) hazardous materials pipelines that are potentially
harmful to workers or the public if damaged.
An exception to this policy may be allowed on a case by case basis for the installation of Uncased High Pressure Natural Gas
Pipelines when in compliance with the TR-0158 Special Provisions.
The pavement or roadway must not be open-cut unless specifically allowed under a separate “UT” permit. Utility installations must
not be installed inside of culverts or drainage structures.
For additional details regarding longitudinal utility encroachments on both conventional and access controlled highway rights-of-way,
see Chapter 600.
UG 1. CASINGS:
E. There is a spacing requirement when placement of
Casings must be steel conduit with a minimum inside diameter multiple encasements is requested. The distance between
sufficiently larger than the outside diameter of the pipe or ducts to multiple encasements must be the greater of either 24” or
accommodate placement and removal. The casing can be either twice that of the diameter of the larger pipe being
new or used steel pipe, or an approved connector system. Used installed.
pipe must be pre-approved by the Department's engineer or
representative before installation. F. Casings placed within access controlled highway rights-
of-way must extend to the right-of-way lines.
When the method of Horizontal Directional Drilling (HDD) is
used to place casing, the use of High Density Polyethylene Pipe G. Wing cutters, if used, must be a maximum of 1" larger
(HDPE) as casing is acceptable. than the casing. Voids caused by the use of wing cutters
must be grouted in accordance with "E" above.
Reinforced Concrete Pipe (RCP) in compliance of State Standard
Specifications is an acceptable carrier for storm drain gravity flow H. A band welded to the leading edge of the casing must be
or non-pressure flow. RCP when installed by Bore &Jack must placed square to the alignment. The band must not be
have rubber gaskets at the joints, and holes for grouting of voids placed on the bottom edge. Flaring the lead section on
left by jacking operations, see “E” below. bores over 100' must not be permitted.
A. Minimum wall thickness for steel pipe casing for different I. All casing lengths must equal to the auger length.
lengths and diameters of pipes are as follows:
J. The casings within conventional highways must extend 5'
beyond the back of curb or edge of pavement, or to the
Minimum Wall Thickness right of way line if less. Where PCC cross-gutter exists,
Casing Pipe Up to 150 ft Over 150 ft the casing must extend at least 5' beyond the back of the
(Diameter) (Length) (Length) cross-gutter, or to the right of way line if less.
6" to 28" 1/4" 1/4" Bore and receiving pits must:
30" to 38" 3/8" 1/2" A. be located at least 10' or more from the edge of pavement
on conventional highways in rural areas.
40" to 60" 1/2" 3/4" B. be located 5' behind the concrete curb or AC dike on
conventional highways in urban areas.
62" to 72" 3/4" 3/4"
C. be located 5' outside the toe of slope of embankment
areas.
B. Spiral welded casing is authorized provided the casing is D. be located outside access controlled highway rights-of-
new and the weld is smooth. way.
C. The ends of the casing must be plugged with ungrouted E. be adequately fenced and/or have a Type-K barrier placed
bricks or other suitable material approved by the around them.
Department’s representative.
F. be adequately shored in accordance with Cal-OSHA
D. When required by the Department's representative, the requirements. Shoring for jacking and receiving pits
permittee must at his expense, pressure grout the area located within 15' of traffic lanes on a State highway must
between the pavement and the casing from within the not extend more than 36" above the pavement grade
casing in order to fill any voids caused by the work covered unless otherwise authorized by Department's
under this permit. The increments for grout holes inside the representative. Reflectors must be affixed to the shoring
pipe must be 8' staggered and located 22-1/2 degrees from on the sides facing traffic. A 6' chain link fence must be
vertical axis of the casing. Pressure must not exceed 5 psig installed around the perimeter of the pits during non-
for a duration sufficient to fill all voids. working hours.
* May be waived by the District Permit Engineer for HDD A continuous metallic detector strip must be provided with
non-metallic main installations. Service connections must be
jobs less than 6" in diameter and a traverse crossing less
installed at right angles to the centerline of the State highway
than 150'. where possible.
UG 3. LIMIT OF EXCAVATION: UG 8. BACKFILLING:
No excavation is allowed within 10' from the edge of pavement All backfilling must conform to the applicable sections of the
except in curbed urban areas or as specified in the permit. Where Department's Standard Specifications. Ponding or jetting
no curb exists and excavations within 10' of the traveled way are methods of backfilling are prohibited.
to remain open, a temporary Type-K railing must be placed at a
10:1 taper or as otherwise directed by the Department. Any required compaction tests must be performed by a certified
laboratory at no cost to the Department and the laboratory
UG 4. TUNNELING: report furnished to the Department's representative.
Review, requirements of Section 603.6A-6 of the Encroachment UG 9. ROADWAY SURFACING AND BASE
Permits Manual, if applicable. In addition to the requirements of
MATERIALS:
"UG1" the following requirements apply:
When the permit authorizes installation by the open cut
A. For the purpose of this provision, a tunnel is defined as method, surfacing and base materials and thickness thereof
any pipe, 30" or larger in diameter placed. must be as specified in the permit.
B. When tunneling is authorized, the permittee must provide Temporary repairs to pavements must be made and maintained
full-time inspection of tunneling operations. The upon completion of backfill until permanent repairs are made.
Department’s representative must monitor projects. Permanent repairs to pavements must be made within thirty
(30) days of completion of backfill unless otherwise specified
C. A survey grid must be set and appropriately checked over by the Department. Temporary pavement patches must be
the centerline of the pipe jacking or tunneling operation. placed and maintained in a smooth riding plane free of humps
Copies of the survey notes must be submitted to the and/or depressions.
Department's representative.
D. Sand shields may be required as ground conditions UG 10. DAMAGE TO TREE ROOTS:
change.
Tree roots 3" or larger in diameter will not be cut within the
E. The method used to check the grade and alignment must tree drip line when trenching or other underground work is
be approved by the Department's representative. necessary adjacent to roadside trees. If such roots are
encountered, they must be tunneled under, wrapped in burlap
F. Pressure grouting for liner plates, rib and spiling, or rib and kept moist until the trench is backfilled. Trenching
and lagging tunnels must be at every 8' section or at the machines may not be used under trees if the trunk or limbs will
end of work shift before the next section is excavated. All be damaged by their use.
grouting must be completed at the end of each workday.
UG 11. PIPES ALONG ROADWAY: UG 18. DELETED. Provision left blank intentionally.*
Pipes and conduits paralleling the pavement must be located as UG 19. SIDES OF OPEN-CUT TRENCHES:
shown on the plans or located outside of pavement as close as
possible to the right-of-way line. Sides of open cut trenches in paved areas must be kept as
nearly vertical as possible. Trenches must not be more the 2'
UG 12. BORROW AND WASTE: wider than the outside diameter of the pipe to be laid therein,
plus the necessary width to accommodate shoring.
Borrow and waste will be allowed within the work limits only
as specified in the permit. UG 20. EXCAVATION UNDER FACILITIES:
In addition to the attached General Provisions (TR-0045), the following special provisions are
also applicable.
1. Equipment shall not be operated on any pavement or other paved surface.
2. Equipment shall no t be operated within access-controlled rights of way.
3. Equipment shall be placed and operated as close to the right of way line as possible.
4. Equipment shall be operated so that no damage will occur to trees, plants, wells, culverts,
headwalls, structures or other improvements.
5. This permit does not authorize the shear wave method.
6. Equipment shall not be parked on or operated on the traveled way except for normal legal
travel.
7. Personnel working within the State right of way shall wear hard hats and orange jackets,
shirts or vests.
8. All mud, dirt or gravel tracked onto the highway pavement shall be immediately and
completely removed.
9. Dirt areas within the State right of way disturbed by Geophysical testing operations shall
be graded back to its original shape and grade.