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REVISION REQUEST 4165

Several foundational documents guide MoDOT’s TSMO program:

• TSMO Program and Action Plan – outlines MoDOT’s statewide TSMO vision, goals, and implementation strategies.
• TSMO Informational Memoranda – provides background, technical details, and
• TSMO Benefit-Cost Reference Memo – provides the benefit-cost information on TSMO applications that are critical to MoDOT’s TSMO program and future work.
• Work Zone Management Guidebook – provides a comprehensive set of tools and strategies for work zone management and describes “advanced work zone” practices, guidance, and resources
• Connected and Automated Vehicle Action Plan – articulates MoDOT’s mission, vision, strengths, and strategic focus areas for leveraging CV/AV technologies, and lays out actions across institutional capability-building, outreach and education, and partnership development to support safe, efficient deployment.

Transportation Systems Management and Operations (TSMO) consists of operational strategies and systems that cost-effectively optimize the safety, reliability, efficiency, and capacity of the transportation system. TSMO emphasizes maximizing the performance of the existing system through proactive management and operational improvements.

909.1 Introduction to TSMO

909.1.1 Overview of TSMO Strategies

TSMO strategies are the day-to-day operational actions MoDOT uses to actively manage the transportation system and address the primary causes of congestion without relying solely on capacity expansion.

Congestion generally falls into two categories:

• Non-recurring delays arise from unplanned or irregular events such as incidents, disasters, weather, work zones, and special events. These disruptions are inherently unpredictable, vary in severity and duration, and often require dynamic traffic management and interagency coordination to reduce their impact.
• Recurring delays occur regularly at specific locations, most often during peak traffic periods. This type of congestion is usually the result of demand exceeding the capacity of the existing system. Transportation agencies do not have the resources to construct enough highway capacity to eliminate all recurring congestion. Instead, TSMO strategies provide more cost-effective ways to manage demand and improve flow.

By addressing both types of congestion, TSMO supports MoDOT’s mission of moving Missourians safely and reliably while making the best use of available resources. These strategies are organized based on whether they address non-recurring delays or recurring delays, as described below.

909.2 Non-Congested Route (Non-Recurring Delays) – These strategies focus on managing temporary (whether short-term or long-term) capacity reductions caused by irregular or time-limited events that disrupt normal traffic conditions, with the goal of restoring mobility and safety efficiently and consistently.

• 909.2.1 Traffic Incident Management: Coordinates detection, response, and clearance across multiple agencies to minimize secondary crashes and return roadways to normal operation quickly.
• 909.2.2 Transportation Operations for Emergency Incidents or Disasters: Supports system readiness and coordinated response during natural or human-caused disasters through planning, communication, and multimodal evacuation procedures.
• 909.2.3 Road Weather Management: Integrates environmental monitoring, data-driven decision support, and targeted maintenance to mitigate the effects of adverse weather on safety and mobility.
• 909.2.4 Work Zone Traffic Management: Applies smart work zone technologies and comprehensive traffic management plans to maintain safe and reliable travel through construction and maintenance areas.
• 909.2.5 Planned Special Event Management: Coordinates transportation, enforcement, and communication activities for scheduled events to maintain efficient system operations and traveler safety.

909.3 Congested Route (Recurring Delays) – These strategies address predictable and routine congestion caused by daily travel demand and capacity constraints on specific facilities or corridors, emphasizing active traffic management, system integration, and multimodal coordination.

• 909.3.1 Freeway Operations and Management: Improves freeway performance through corridor-level monitoring, adaptive control, and coordinated operations to enhance safety and travel-time reliability.
• 909.3.2 Arterial Operations and Management: Optimizes signal timing, intersection design, and corridor coordination to improve mobility and safety on surface streets.
• 909.3.3 Freight Operation: Enhances the efficiency and safety of freight movement through improved access, parking management, and technology-based monitoring along key freight corridors.
• 909.3.4 Vulnerable Road Users: Improves safety, accessibility, and comfort for VRUs through targeted infrastructure, operational strategies, and multimodal coordination.
• 909.3.5 Transit Operation: Strengthens transit reliability and accessibility through operational strategies such as priority treatments, multimodal hubs, and corridor management.

909.1.2 Relationship with Other Programs

TSMO is not a standalone initiative—it complements and enhances MoDOT’s other programs:

• Safety Programs: TSMO contributes to MoDOT’s safety goals, as outlined in the Strategic Highway Safety Plan and the SAFER Program (see EPG 907.9 Safety Assessment For Every Roadway (SAFER)), by reducing secondary crashes, improving work zone management, and advancing road weather management capabilities.
• Asset Management: Proper maintenance of TSMO strategies and supporting systems can improve how facilities operate, reduce incidents that accelerate wear, and extend the life of infrastructure investments.
• Planning and Design: TSMO principles should be incorporated early in the planning and design process so that operational strategies are built into projects from the start.
• Maintenance: Maintenance activities can be coordinated with TSMO tools such as smart work zones and ITS devices to reduce traffic disruptions.
• Traveler Information: TSMO strengthens customer service by providing real-time, accurate, and actionable information to the traveling public.

In practice, TSMO serves as the operational thread that connects safety, planning, design, maintenance, and customer service into a unified system-management approach.

909.1.3 Roles and Contributions for TSMO Implementation

This guide is designed to provide MoDOT staff and partners with a clear, practical reference for TSMO strategies. Table 909.1.3 highlights the typical roles and potential TSMO contributions of different staff in implementing and supporting TSMO strategies, as applicable based on project context, needs, and available resources. These contributions are intended to guide coordination and consideration of TSMO strategies and may vary depending on the specific application.

Table 909.1.3. Typical Roles and Potential Contributions for TSMO Implementation

Role	Potential TSMO Contribution
Transportation Management Center (TMC) Operator	Monitor traffic conditions, manage information systems, and coordinate incident response and traveler communication to maintain safe and efficient roadway operations.
Emergency Response Operator	Provide on-scene incident management, motorist assistance, and roadway clearance to restore normal traffic flow and enhance safety during disruptions.
Maintenance Technician	Implement maintenance related TSMO strategies; provide feedback and effort for continual improvement of these strategies and tools.
Traffic Operations Engineer	Implement traffic operations related TSMO strategies; provide feedback and effort for continual improvement of these strategies and tools.
Transportation Planner	Incorporate TSMO and other traditional transportation improvement strategies into planning efforts, as appropriate.
Design Staff	Consider TSMO as a key element of design, where applicable, either as a direct improvement for the specific application or as an opportunity for the continuation of existing TSMO strategies.
Construction Inspector	Coordinate with appropriate personnel when modifying design elements or inspecting TSMO related infrastructure.
Work Zone Specialists	Oversee temporary traffic control in construction zones; review and manage Transportation Management Plans (TMPs), ensure proper setup and quality of traffic control devices, assess risks, and provide input during planning and post-construction reviews to enhance safety and minimize disruptions.
Information Systems Manager	Provide oversight and management of field and central communications systems, computer and software, and other information systems resources.
Human Resources Specialist	Incorporate relevant related skills and experience into position descriptions where TSMO expertise is needed; assist with training programs to improve the knowledge, skills, and abilities of existing operations personnel.
Emergency Management Agencies	Support TSMO implementation by providing coordinated incident response, traffic control, emergency medical services, and roadway clearance; collaborate with MoDOT and TMC staff, when applicable, to improve incident management, responder safety, and system recovery during emergencies and planned events.

909.1.4 TSMO Implementation Framework

The TSMO Implementation Framework provides a structured approach for MoDOT to translate its mission and agency goals into actionable objectives and strategies. It supports the development of purpose-driven, measurable strategies aligned with statewide priorities. This framework serves as a bridge between MoDOT’s overarching mission and the specific strategies implemented across the TSMO program. Effective implementation of these goals relies on coordination across disciplines, integration throughout project phases, and collaboration with internal and external partners.

Table 909.1.4.1 identifies the core programmatic elements, MoDOT’s goals and associated objectives, that guide how TSMO is planned, implemented, and evaluated.

Table 909.1.4.1 Programmatic Element

Goal	Objective
Safety	Reduce crash frequency and severity through proactive deployment of TSMO strategies (e.g., incident management, work zone safety, network operations).
Reliability	Support predictable and consistent travel times across the system by proactively managing congestion and incidents.
Efficiency	Operate MoDOT’s existing system efficiently and effectively through the application of TSMO strategies, as appropriate, to improve performance and inform decisions regarding potential capacity expansion.
Customer Service	Support timely, accurate, and useful traveler information that enables informed decision-making.

Table 909.1.4.2 links MoDOT’s mission to measurable outcomes and example TSMO strategies, demonstrating how operations initiatives directly support statewide goals.

Table 909.1.4.2. Linking MoDOT Mission to Outcomes and Example TSMO Strategies

Mission	High-Level Outcome	Example TSMO Strategy
Improving safety (Moving Missourians safely)	Reduction in crashes, fatalities, and serious injuries; safer travel for all users	• 909.2.1 Traffic Incident Management • 909.2.3 Road Weather Management • 909.2.4 Work Zone Traffic Management • 909.3.1 Freeway Operations and Management • 909.3.2 Arterial Operations and Management
Providing high-value, impactful solutions (Delivering efficient and innovative transportation projects; asset management)	Cost-effective improvements that maximize existing infrastructure and delay costly expansions	• 909.3.1 Freeway Operations and Management • 909.3.2 Arterial Operations and Management • 909.3.3 Freight Operation • 909.3.4 Vulnerable Road Users
Improving reliability and mobility (Operating a reliable transportation system; Building a prosperous economy for all Missourians)	Predictable travel times and improved system performance for people and freight	• 909.2.1 Traffic Incident Management • 909.2.4 Work Zone Traffic Management • 909.2.5 Planned Special Event Management • 909.3.1 Freeway Operations and Management • 909.3.5 Transit Operation
Providing useful and timely traveler information (Providing outstanding customer service)	Informed travel decisions by the public, increased user satisfaction	• 909.2.2 Transportation Operations for Emergency Incidents or Disasters • 909.2.3 Road Weather Management

909.1.5 Performance Metrics

Performance metrics provide the foundation for evaluating how TSMO strategies contribute to the safety, reliability, efficiency, and customer experience of Missouri’s transportation system. MoDOT currently tracks performance through a combination of federal performance measures and internal performance management tools (e.g. Tracker: Measures of Departmental Performance). The following tables present example performance measures that may be used to assess the effectiveness of TSMO strategies related to both non-recurring delays (Table 909.1.5.1) and recurring delays (Table 909.1.5.2).

These measures are not intended to represent required or standalone reporting metrics, but rather a menu of potential measures that can support analysis, planning, and evaluation efforts, as appropriate to the specific application, study type, or operational need. When applied, these metrics can help users identify opportunities for improvement and support data-driven decision-making.

Table 909.1.5.1 Linking MoDOT TSMO Strategies for Non-Recurring Delays to Performance Metrics

Strategy	Goals	Example Performance Metric
909.2.1 Traffic Incident Management	Enhance the safety of traveling public and incident responders	• Number of secondary crashes per incident • Severity (fatalities/serious injuries) of secondary crashes • Percent of incidents with secondary crashes recorded • Number of responders struck-by crashes • Severity of responder-involved crashes • Percent of incidents with responder crash data recorded
	Enhance reliability and efficiency of Missouri’s transportation system	• Average roadway clearance time • Average incident clearance time • Percent of incidents meeting clearance time targets
	Strengthen coordination, communication, and collaboration between MoDOT and TIM partners	• Number of formalized agreements signed • Number of multi-agency TIM meetings held annually • Number of TIM trainings held annually • Partner participation rate in meetings/exercises
	Establish TIM policies, procedures, and protocols within MoDOT	• Number of formal TIM policies/protocols adopted • Percent of TIM coordinator positions filled and active
909.2.2 Transportation Operations for Emergency Incidents or Disasters	Enhance safety and responder protection during emergency incidents	• Number of emergency-related crashes • Severity (fatal/serious injury) of emergency-related crashes • Percent of emergency incidents with responder safety data recorded
	Improve reliability and speed of emergency response and system restoration	• Time to activate emergency operations • Duration of emergency lane/road closures • Percent of priority routes restored within target timeframes • Emergency communication system uptime • Average time to deploy emergency traffic control
909.2.3 Road Weather Management	Improve safety under adverse weather conditions	• Number of weather-related crashes, fatalities, and serious injuries • Crash rate per weather event
	Enhance operational readiness and timely roadway treatment	• Time to treat priority routes during storms • Percent of network treated within specific time thresholds • Materials usage efficiency (salt, brine, abrasives)
	Improve traveler information accuracy during weather events	• Traveler information system accuracy rate during storms • Number of travel information interactions (511 apps, CMS messages)
909.2.4 Work Zone Traffic Management	Enhance safety for workers and motorists in work zones	• Number and rate of work zone crashes • Number of work zone fatalities and serious injuries • Number of work zone intrusions (near-miss events)
	Improve mobility and reduce unexpected work zone delays	• Work-zone related delays • Percent of work zones meeting mobility targets (queue length, speed, travel time) • Average incident clearance time for work zone-related incidents
909.2.5 Planned Special Event Management	Ensure safe travel conditions during special events	• Number and rate of special event-related crashes • Vulnerable Road User (VRU) level of comfort/safety index near event venues
	Improve mobility and minimize event-related congestion	• Travel time reliability during event periods • Vehicle and pedestrian throughput at key access points • Percent of events meeting planned operational performance targets

Table 909.1.5.2 Linking MoDOT TSMO Strategies for Recurring Delays to Performance Metrics

Strategy	Goals	Example Performance Metric
909.3.1 Freeway Operations and Management	Support safety on managed freeway facilities	• Number and rate of crashes on freeway segments • Number of secondary crashes
	Improve travel reliability on freeway corridors	• Travel time reliability index • Planning time index
	Enhance operational efficiency on freeway corridors	• Average travel speed and delay • Vehicle and truck throughput • Number of recurring congestion hotspots mitigated
909.3.2 Arterial Operations and Management	Enhance safety at signalized intersections and arterials	• Crash frequency and severity at signalized intersections • Pedestrian and bicycle crash rate
	Improve efficiency of arterial traffic flow	• Arterial travel time and delay • Signal progression quality (arrival on green, bandwidth) • Number of mitigated congestion hotspots
	Enhance reliability of multimodal arterial operations	• Transit signal delay at signals (if applicable) • Pedestrian crossing delay
909.3.3 Freight Operation	Improve efficiency on key freight corridors	• Truck delay at bottlenecks • Freight throughput (corridor or intermodal facility)
	Enhance reliability of freight travel	• Truck travel time reliability index • Number of freight-related congestion hotspots mitigated
909.3.4 Vulnerable Road Users	Enhance safety and comfort for Vulnerable Road Users (VRUs)	• Number and rate of VRU crashes • VRU level of comfort/safety index
	Improve connectivity for walking and bicycling	• Miles of connected pedestrian/bicycle facilities • Percent of network meeting connectivity standards
	Support sustainable, multimodal travel options	• Share of trips completed using active modes
909.3.5 Transit Operation	Enhance mobility of transit users	• Passenger throughput per route or corridor • Average transit travel time
	Improve transit reliability and on-time performance	• Percent of on-time arrivals • Transit travel time reliability (travel adherence)
	Improve customer experience and multimodal access	• Customer satisfaction survey results • Pedestrian access quality (stop accessibility index)

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909.2.1 Traffic Incident Management

Traffic Incident Management (TIM) can help reduce the impact of roadway incidents by coordinating detection, response, and clearance activities among transportation, law enforcement, fire, EMS, towing, and other partners.

While crashes, disabled vehicles, and cargo spills are the most common focus of TIM programs, there are a broader set of disruptions that can also be monitored including:

• Debris in the roadway
• Grass fires
• Lane-blocking emergency vehicles
• Vehicle fires
• Heavy congestion

By incorporating this broader incident set, TIM strategies ensure operators and responders are prepared for a wide range of events that may impact traveler safety and network performance. The following sections outline strategies for TIM.

Users:

• TMC Operators → Detect and coordinate response (909.2.1.3 Components), disseminate traveler information (909.2.1.1 Traffic Incident Management Plans).
• Maintenance Technicians → Assist with clearance and roadway restoration (909.2.1.3 Components).
• Emergency Management Agencies → Critical frontline responders (909.2.1.2 Stakeholders).

909.2.1.1 Traffic Incident Management Plans

Traffic incidents occur without warning at any time and location on the highway system. On all segments of the interstate and freeway highway system, TIM plans should be developed in coordination with law enforcement and local responders to:

• Reduce response and clearance times.
• Develop alternate plans for handling affected traffic.
• Communicate and coordinate between first responders.
• Communicate traffic impacts to motorists.

Reference EPG 948 Incident Response Plan and Emergency Response Management for additional information.

909.2.1.2 Stakeholders

Effective TIM depends on collaboration among a wide range of partners. Law enforcement, fire/rescue, EMS, and towing operators provide immediate on-scene response, while MoDOT personnel and TMCs deliver critical support through detection, traffic control, and traveler information. Each stakeholder brings unique capabilities, and coordinated multi-agency response supports faster clearance, safer conditions for responders, and more reliable outcomes for the traveling public.

909.2.1.3 Components

The core components of TIM—detection, verification, response, clearance, and recovery—create a structured framework for managing roadway incidents. Detection and verification confirm the incident type and location; coordinated response mobilizes the appropriate agencies; clearance restores traffic lanes and removes hazards; and recovery ensures the roadway is returned to normal operation. Addressing each component systematically reduces incident duration and enhances both safety and reliability.

909.2.2 Transportation Operations for Emergency Incidents or Disasters

Emergency operations support safe and effective evacuation and mobility during disasters such as floods, tornadoes, earthquakes, or other emergencies. The following sections outline strategies for emergency operations during disasters.

Users:

• Emergency Management Agencies → Coordinate disaster response (909.2.2.1 Frameworks and Coordination).
• Transportation Planners → Prepare evacuation plans (909.2.2.2 Preparedness and Planning).
• Traffic Operations Engineers → Manage ingress and egress traffic flow (909.2.2.3 Operational Strategies During Disasters).
• TMC Operators → Monitor evacuation routes and push real-time traveler information (909.2.2.3 Operational Strategies During Disasters).

909.2.2.1 Frameworks and Coordination

MoDOT’s emergency transportation operations should align with the National Incident Management System (NIMS) and the Incident Command System (ICS). These frameworks establish the standard structure, terminology, and coordination processes for incident and disaster response at the local, state, and federal levels.

National Incident Management System (NIMS):

• Provides a nationwide approach for incident management and coordination.
• Provides emergency transportation operations guidance for interoperable collaboration with law enforcement, fire, EMS, emergency management, and federal partners.
• Establishes common terminology, communication protocols, and resource management procedures to support multi-agency operations.

Incident Command System (ICS):

• Serves as the on-scene management structure for all types of incidents.
• Defines clear roles, responsibilities, and reporting relationships across agencies.
• Provides guidance on unified command structures, filling roles such as transportation branch directors, field observers, or technical specialists.
• Provides flexibility to scale operations for localized or statewide events.

For detailed response information, please contact MoDOT’s Safety and Emergency Management.

909.2.2.2 Preparedness and Planning

• Develop and exercise evacuation and emergency operations plans.
• Use simulation and scenario testing to identify gaps and strengthen interagency protocols.
• Establish pre-designated staging areas for resource allocation, evacuation support, and vehicle marshaling.

909.2.2.3 Operational Strategies During Disasters

• Traffic Management: Complete rapid damage assessment and plan and publish routes for ingress and egress to the impacted area.
• Multimodal Evacuations: Utilize buses, school buses, and regional transit providers to assist in large-scale evacuations.
• Route Monitoring: Employ field observations, cameras, and sensors to track evacuation route conditions in real time.
• Public Information: Provide timely traveler information, evacuation messaging, and updates in coordination with media partners.

909.2.3 Road Weather Management

Road Weather Management strategies improve mobility, reliability, and safety during weather events through strategies such as targeted traveler information, warnings, and operational interventions. The following sections outline strategies for road weather management.

Users:

• TMC Operators → Operate dynamic message signs and push alerts (909.2.3.1 Road Weather Warnings/Alerts and Dynamic Message Signs; 909.2.3.2 Road Weather Information Systems).
• Maintenance Technicians → Respond to weather conditions, deploy treatment (909.2.3.2 Road Weather Information Systems).
• Traffic Operations Engineers → Integrate road weather information systems data (909.2.3.1 Road Weather Warnings/Alerts and Dynamic Message Signs; 909.2.3.2 Road Weather Information Systems).

909.2.3.1 Road Weather Warnings/Alerts and Dynamic Message Signs

Used to display real-time information to warn motorists of roadway incidents, construction or congestion ahead that could pose a hazard or cause delays.

Procedures for Dynamic Message Signs are outlined in EPG 910.3 Dynamic Message Signs (DMS).

909.2.3.2 Road Weather Information Systems

Road Weather Information Systems (RWIS) provide real-time data on weather and roadway conditions to support transportation system operations and maintenance activities. These systems collect information such as air and pavement temperatures, precipitation, visibility, and surface conditions to help inform operational decisions. Data may be collected through field sensors, third-party weather service providers, or a combination of both, depending on system needs and available resources.

909.2.4 Work Zone Traffic Management

Work zone strategies reduce risk to workers and travelers while minimizing delays during construction and maintenance activities. These strategies apply to both short-term and long-term work zones, recognizing that every project, regardless of duration, can significantly affect roadway operations and safety. The following sections outline strategies for work zone traffic management.

Users:

• Design Staff → Incorporate TMP and ITS strategies into project design, when practical (909.2.4.1 Traffic Management Plan; 909.2.4.4 Use of Intelligent Transportation Systems).
• Work Zone Specialists → Review and manage TMPs, oversee traffic control device setup, and ensure compliance with MoDOT standards (909.2.4.1 Traffic Management Plan; 909.2.4.2 Traffic Incident Management Plan).
• Construction Inspectors → Enforce work zone traffic control measures (909.2.4.2 Traffic Incident Management Plan).
• Traffic Operations Engineers → Oversee ITS integration and system strategies (909.2.4.3 Smart Work Zones; 909.2.4.4 Use of Intelligent Transportation Systems).
• TMC Operators → Monitor work zones and disseminate real-time traveler information (909.2.4.4 Use of Intelligent Transportation Systems).

909.2.4.1 Traffic Management Plan

The Transportation Management Plan (TMP) consists of strategies to manage the work zone impacts of a project. Each TMP is tailored to the unique conditions of a project and typically incorporates three coordinated elements: Traffic Control Plan (TCP), Traffic Operations (TO), and Public Information and Outreach (PIO).

As an initial step, a project design should be selected to eliminate or minimize additional delays and traffic queueing during construction. EPG 616.19 Work Zone Capacity, Queue and Travel Delay provides tools to assess the traffic impact of the proposed project design(s).

For additional detail on the required elements, development process, and documentation standards for TMPs, reference EPG 616.20.9 Work Zone Transportation Management Plan. For additional information on developing Work Zone Traffic Management JSPs for use in core team meetings, reference EPG 616.20.7 Significant Projects.

909.2.4.2 Traffic Incident Management Plan

When traffic incidents occur within a work zone, it is important to clear the incident and restore traffic as quickly as possible. To aid in this effort, a project-based traffic incident management (TIM) plan should be developed for all significant projects on interstate and freeways.

Reference EPG 909.2.1.1 Traffic Incident Management (TIM) Plans for additional information.

909.2.4.3 Smart Work Zones

Once a project design has been determined, the MoDOT Work Zone Impact Analysis Spreadsheet will assist in determining which smart work zones strategies should be included in the project to provide information and warnings to motorists to improve work zone safety and traffic mobility.

Additionally, the Work Zone Management Guidebook provides information about tools and strategies for work zone management that will maximize safety and minimize the impacts to traffic. The Work Zone Management Guidebook Presentation provides additional information about the guidebook.

The nonstandard Work Zone Intelligent Transportation System special provision is available for reference in EPG 616.19.6.3 Smart Work Zone (SWZ) Strategy Selection. Additional information can also be found in EPG 616.19 Work Zone Capacity, Queue and Travel Delay and EPG 616.20 Work Zone Safety and Mobility Policy.

909.2.4.4 Use of Intelligent Transportation Systems

Intelligent Transportation Systems (ITS) devices (cameras, sensors, communication systems) provide detection and real-time monitoring of work zones.

Procedures for ITS devices are outlined in EPG 910 Intelligent Transportation Systems.

909.2.5 Planned Special Event Management

Special event management strategies ensure safe and efficient mobility during large gatherings, sporting events, and other planned activities. The following sections outline strategies for planned special event management.

Users:

• Transportation Planners → Develop TMPs for special events and coordinate agencies (909.2.5.1 Pre-Event Planning; 909.2.5.4 Post-Event Evaluation).
• Traffic Operations Engineers → Design strategies for traffic flow and multimodal support (909.2.5.2 Implementation).
• TMC Operators → Manage day-of-event operations and traveler communications (909.2.5.3 Day-of-Event Operations).
• Emergency Management Agencies → Manage access, safety, and enforcement (909.2.5.2 Implementation).

909.2.5.1 Pre-Event Planning

• Develop Transportation Management Plans (TMPs) with input from MoDOT, local agencies, law enforcement, transit providers, and event organizers.
• Identify needs for Emergency Operations Center (EOC) and Joint Operations Center (JOC) activation, staffing augmentation, and resource staging for high-profile or large-scale events (e.g., sporting events, major concerts, parades, funerals, festivals, eclipse, political events).
• Plan for multimodal access (transit, walking, biking) and freight restrictions, where applicable.

909.2.5.2 Implementation

• Deploy traffic control devices, signage, and ITS in advance of the event.
• Coordinate with law enforcement and emergency management on enforcement zones, access control, and responder staging.
• Conduct interagency briefings to confirm roles, responsibilities, and communication protocols.

909.2.5.3 Day-of-Event Operations

• Manage traffic and crowd circulation using TMC monitoring, field staff, and real-time traveler information (dynamic message signs, push alerts, social media).
• Coordinate with EOC/JOC if activated to ensure situational awareness and resource support.
• Adjust plans dynamically to address congestion, incidents, or security needs.

909.2.5.4 Post-Event Evaluation

• Conduct after-action reviews with MoDOT staff, law enforcement, emergency management, and event organizers.
• Document lessons learned, identify gaps in staffing or coordination, and refine TMPs for future events.
• Capture performance measures such as clearance times, delay estimates, and traveler feedback.

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909.3.1 Freeway Operations and Management

Freeway operations strategies help enhance safety, reduce recurring congestion, and improve travel time reliability on major corridors. The following sections outline some strategies for freeway operations and management. Not all strategies discussed below are currently used in Missouri; however, they are included to provide a range of options that may be considered based on context, needs, and available resources.

Users:

• TMC Operators → Monitor and adjust dynamic controls, coordinate corridor operations, and manage incident response (909.3.1.3 Dynamic Speed Limits; 909.3.1.4 Queue Warning; 909.3.1.5 Transportation Management Centers).
• Traffic Operations Engineers → Design freeway operations strategies, oversee policy-sensitive strategies, and evaluate corridor performance (909.3.1.2 Part-Time Shoulder Use; 909.3.1.5 Traffic Management Centers; 909.3.1.6 Managed Lanes).
• Information Systems Managers → Maintain ITS infrastructure, support automated detection, and ensure system integration for real-time operations (909.3.1.5 Transportation Management Centers; 909.3.1.7 Automated Incident Detection).

Policy Coordination – It is encouraged that any consideration or application of the following strategies should be closely coordinated with applicable Central Office staff, including the Highway Safety and Traffic Division, as well as other related divisions to support consistency with MoDOT policy, design standards, and operational practices.

909.3.1.1 Ramp Management and Control

Ramp management and control strategies, including ramp metering and adaptive ramp management, regulate vehicle entry onto freeways to improve merging operations, reduce conflicts, and smooth overall traffic flow. This remains a dynamic application where it is implemented, with operational adjustments based on corridor conditions.

Currently, Missouri does not operate continuous ramp metering systems. Instead, ramp meters are activated dynamically based on real-time traffic conditions when metrics (such as speed, volume, and/or density) exceed predefined thresholds.

909.3.1.2 Part-Time Shoulder Use (Hard Shoulder Running)

Part-time shoulder use, also known as hard shoulder running, allows roadway shoulders to serve as temporary travel lanes during peak periods, incidents, or emergencies. Applications may be designed for all vehicles or limited to transit operations.

This strategy is increasingly being implemented by peer agencies across the country, particularly in corridors with limited right-of-way or peak-period capacity needs. While Missouri does not currently have any active applications of part-time shoulder use, the concept may present opportunities in select corridors - especially where traditional widening is not feasible and where shoulders are constructed to full-depth pavement standards.

909.3.1.3 Dynamic Speed Limits

Dynamic speed limits adjust posted speed limits in real time based on conditions such as traffic flow, weather, or incidents. This approach has been applied by several peer agencies to improve safety, smooth traffic flow, and reduce crash risk.

In Missouri, there are no permanent applications of dynamic speed limits in routine freeway operations. However, the strategy may hold value in temporary, controlled environments, particularly in work zones, where changing conditions may warrant more flexible speed management.

909.3.1.4 Queue Warning

Queue warning systems are designed to alert motorists of slow or stopped traffic ahead, helping to reduce the likelihood of sudden braking and rear-end collisions. In Missouri, queue warning is typically implemented using probe data to identify travel times, including delays associated with downstream incidents or congestion, and to display warning messages on Dynamic Message Signs (DMS).

In work zones, queue warning applications commonly include the use of probe data linked to DMS, as well as sensor-based systems that detect traffic conditions and trigger messages on Changeable Message Signs (CMS). These approaches help provide advance warning to drivers when queues form due to temporary capacity constraints and changing traffic conditions.

Effective implementation requires appropriate placement of signs upstream of anticipated queue locations and consideration of roadway speeds to ensure adequate driver perception and reaction time.

909.3.1.5 Transportation Management Centers

Transportation Management Centers (TMCs) serve as the operational backbone of ICM. From TMCs, MoDOT staff monitor real-time traffic conditions, manage ITS devices, coordinate incident response, and adjust strategies such as ramp metering or queue warning. This centralized approach enables proactive management of corridors, supporting safety and reliability during incidents, work zones, and peak travel periods.

909.3.1.6 Managed Lanes

Managed lanes are roadway segments where access and use are actively regulated to improve traffic flow, safety, or reliability. Common approaches used nationally include bus-only lanes and truck-only lanes. These treatments are typically considered in locations with recurring congestion, limited right-of-way, or freight movement challenges.

At present, Missouri has no active managed lane facilities.

909.3.1.7 Automated Incident Detection

Automated incident detection systems use roadside sensors, video feeds, and software algorithms to identify crashes, stalled vehicles, or other disruptions in real time. These systems often integrate data analytics with CCTV camera footage to detect unusual traffic patterns or stopped vehicles more quickly than traditional operator observation alone. By providing earlier notification of likely incidents, automated detection enhances safety, reduces secondary crashes, and improves response times for emergency and traffic management personnel.

909.3.2 Arterial Operations and Management

Arterial operations strategies help improve mobility, safety, and reliability on surface streets through targeted improvements, signal operations, and multimodal accommodations. These strategies focus on reducing congestion at bottlenecks, enhancing intersection performance, and supporting consistent travel across urban and suburban corridors.

In Missouri, arterial management is often a shared responsibility between MoDOT and regional or local partners. For example, the Kansas City region’s Operation Green Light program coordinates arterial signal timing and corridor operations in collaboration with MoDOT and multiple local jurisdictions. Other examples include MoDOT’s partnership with St. Charles in the St. Louis region and collaboration with the City of Springfield and the Ozarks Transportation Organization. Similar arrangements may exist in other regions where MPOs, cities, or counties lead day-to-day arterial management. Practitioners should recognize that depending on the corridor and location, responsibility for arterial operations may rest with another entity, requiring coordination and partnership to ensure consistent system performance.

The following sections outline strategies for arterial operations and management.

Users:

• Traffic Operations Engineers → Manage signals, coordination, and adaptive timing (909.3.2.3 Traffic Signal Program Management; 909.3.2.4 Traffic Signal Timing and Coordination; 909.3.2.5 Transit Signal Priority).
• Design Staff → Implement innovative intersections and targeted improvements (909.3.2.1 Targeted Infrastructure Improvements; 909.3.2.2 Alternative Intersection Designs).
• TMC Operators → Oversee corridor signal adjustments and incident response (909.3.2.4 Traffic Signal Timing and Coordination; 909.3.2.6 Arterial Dynamic Shoulder Use).

Policy Coordination – It is encouraged that any consideration or application of the following strategies should be closely coordinated with applicable Central Office staff, including the Highway Safety and Traffic Division, as well as other related divisions to support consistency with MoDOT policy, design standards, and operational practices.

909.3.2.1 Targeted Infrastructure Improvements

Targeted infrastructure improvements are localized enhancements that address recurring bottlenecks or multimodal safety concerns on arterial corridors. Common treatments include new or extended turn lanes to reduce delay at intersections, access control to improve traffic flow and safety, and bus pullouts to minimize transit-related delays. Pedestrian and bicyclist accommodations such as crosswalk improvements, refuge islands, and protected lanes also support safer and more reliable mobility for all users.

909.3.2.2 Alternative Intersection Designs

Alternative intersection designs apply alternative layouts to improve safety and efficiency where traditional designs are constrained. Examples include restricted crossing U-turns (RCUTs), median U-turns, and displaced left-turn (continuous flow) intersections, which reduce conflict points and increase throughput. These designs are increasingly considered where right-of-way is limited, traffic volumes are high, or safety issues persist with conventional layouts.

Additional information can be found in EPG 233.5 Intersection Alternatives.

909.3.2.3 Traffic Signal Program Management

A comprehensive traffic signal program helps support effective corridor operations. Program elements include monitoring and evaluating existing signal systems, scheduling recurring retiming efforts, and integrating new technologies over time. A proactive, programmatic approach supports consistent signal management across jurisdictions, improving reliability and reducing the need for inefficient, piecemeal adjustments.

Procedures for signal operation and maintenance are outlined in 902.1.10 Responsibility for Operation and Maintenance (MUTCD Section 4A.10).

909.3.2.4 Traffic Signal Timing and Coordination

Traffic signal timing and coordination strategies are a cost-effective approach to improve arterial operations. By updating signal timing plans and coordinating operations across intersections, agencies can reduce delays and support more predictable travel along corridors. These strategies allow signal operations to reflect current traffic conditions, land use patterns, and system changes, while also providing a foundation for integrating advanced technologies such as adaptive control.

Applications:

• Traffic Signal Retiming – Updating the timing plans for one signalized intersection or a corridor of intersections based on the latest traffic volumes. Retiming is recommended every few years or after significant changes to transportation systems or land use within a given area.
• Traffic Signal Coordination – Coordinating traffic signal timing along a corridor to enable a “green wave” of vehicles traveling through a sequence of signals. Coordination optimizes the splits and offsets of signals to allow for smoother, progressive traffic flow.
• Adaptive Traffic Signal Control – Coordinating traffic signal timing across a network using real-time detector data to accommodate current, prevailing traffic patterns. This allows for dynamic adjustment of timing in response to fluctuating traffic conditions.

Procedures for signal phasing and operation are outlined in EPG 902.23 Traffic Signal Phasing and Operation.

909.3.2.5 Transit Signal Priority

Transit signal priority (TSP) strategies adjust signal phasing to reduce delay for buses and improve the efficiency of transit operations. TSP can extend green phases and/or provide early green intervals to help transit vehicles move more consistently through intersections. By enhancing the speed and reliability of bus service, TSP supports multimodal goals and encourages greater use of transit along arterial corridors.

909.3.2.6 Arterial Dynamic Shoulder Use

Arterial dynamic shoulder use provides additional capacity and helps improve multimodal efficiency by repurposing existing roadway space under defined conditions. Dynamic shoulder use allows roadway shoulders to operate as travel lanes during peak periods or special events, while maintaining their primary role for emergency access during off-peak times. When feasible, this strategy can help reduce delays, improve vehicle-throughput, and support multimodal goals in areas where right-of-way is constrained and traditional widening is not feasible. Successful implementation requires clear operational policies, appropriate signing and striping, and coordination with enforcement and transit partners to ensure safety and effectiveness.

Although Missouri does not currently implement arterial dynamic shoulder use, the approach may offer targeted benefits in select corridors. However, because shoulders are typically not constructed to full-depth pavement standards, implementation would likely require reconstruction or significant upgrades to support sustained traffic loading.

909.3.3 Freight Operation

Freight operations strategies address truck mobility, parking, and safety near freight generators such as ports and distribution centers. The following sections outline key strategies for freight operations.

Users:

• Transportation Planners → Coordinate freight corridors, permitting, and parking strategies (909.3.3.1 Freight Operations Around Ports and Generators; 909.3.3.2 Truck Parking; 909.3.3.3 Regional Permitting).
• Traffic Operations Engineers → Oversee technology applications and truck restrictions (909.3.3.1 Freight Operations Around Ports and Generators; 909.3.3.4 Technology Applications for Freight; 909.3.3.5 Connected and Automated Freight Vehicles).

Reference MoDOT’s 2022 State Freight and Rail Plan Documents for additional information.

909.3.3.1 Freight Operations Around Ports and Generators

Freight hubs such as ports, intermodal yards, and distribution centers generate concentrated truck activity that can create localized congestion and safety concerns. Targeted operational improvements may include intersection upgrades, dedicated freight lanes, improved signage, or optimized signal timing along key freight corridors. These measures reduce bottlenecks, improve travel time reliability for trucks, and minimize conflicts between freight and passenger vehicles in high-demand areas.

909.3.3.2 Truck Parking

Adequate truck parking supports driver safety, freight efficiency, and regulatory compliance. Strategies include the development of new truck parking facilities, upgrades to existing rest areas, and the integration of real-time availability systems that help drivers locate spaces. Reservation tools and wayfinding applications can further support efficient parking use and reduce the safety risks associated with unauthorized shoulder or ramp parking.

909.3.3.3 Regional Permitting

Freight often crosses multiple jurisdictions, and inconsistent permitting processes can add delay and administrative burden. Regional permitting strategies streamline requirements by coordinating across state, county, and local agencies. Harmonizing size, weight, and routing approvals enhances efficiency for carriers while reducing redundant processes for agencies, particularly along high-volume freight corridors.

909.3.3.4 Technology Applications for Freight

Technology provides powerful tools for managing freight mobility. Examples include routing platforms that help drivers avoid weight-restricted bridges or low-clearance structures, monitoring systems that track freight movement in real time, and automated clearance technologies at weigh stations or ports of entry. Collectively, these applications enhance efficiency, improve safety, and provide data to better manage freight corridors.

909.3.3.5 Connected and Automated Freight Vehicles

The freight industry is a leading sector for testing and deploying connected and automated vehicle (CV/AV) technologies. Applications may include platooning, automated truck-mounted attenuators, or fully automated long-haul freight operations. These technologies have the potential to improve safety, reduce driver fatigue, and increase efficiency in freight corridors. Early deployment efforts require coordination with industry, agencies, and technology providers to ensure infrastructure readiness and to evaluate operational impacts.

909.3.4 Vulnerable Road Users

Vulnerable road users (VRUs) are individuals who travel without the protection of an enclosed vehicle and therefore face a greater risk of serious injury in a collision. VRUs include pedestrians, roadway workers, individuals using wheelchairs or other personal mobility devices, bicyclists, motorcyclists, and users of electric scooters and other micromobility devices. The following sections outline strategies to improve safety, access, and comfort for these users within the transportation system.

Users:

• Design Staff → Implement bike lanes, pedestrian facilities, and safety enhancements (909.3.4.1 Safety Enhancements; 909.3.4.2 Pedestrian and Accessibility Facilities; 909.3.4.3 Bicycle Lanes and Cycle Tracks).
• Transportation Planners → Support multimodal planning and education programs (909.3.4.1 Safety Enhancements; 909.3.4.4 VRU Education).

909.3.4.1 Safety Enhancements

Selective deployment of safety enhancements should be informed by EPG 907 Traffic Safety and tailored to the needs of VRUs. Enhancements may include improved crossings, lighting, signing and pavement markings, speed management strategies, traffic calming measures, work zone protections for roadway workers, and design treatments that reduce conflicts involving motorcyclists and micromobility users.

909.3.4.2 Pedestrian and Accessibility Facilities

Sidewalks, shared-use paths, accessible curb ramps, transit stop connections and enhanced or grade-separated crossings should be prioritized where safety risks, accessibility needs, or network gaps are identified. Integrating these facilities in alignment with Complete Streets principles (EPG 907.10 Complete Streets), in coordination with regional and local partners, helps support safe, efficient access for pedestrians and individuals using wheelchairs or other mobility devices.

Additional information can be found in EPG 642 Pedestrian Facilities.

909.3.4.3 Bicycle Lanes and Cycle Tracks

Where conditions and community priorities warrant, dedicated bike lanes or protected cycle tracks can enhance comfort and safety for bicyclists and other micromobility users, including users of electric scooters and similar devices. MoDOT supports the Complete Street concept (as outlined in EPG 907.10 Complete Streets) and encourages coordination with communities and regional partners to consider these facilities where appropriate.

Additional information can be found in EPG 641 Bicycle Facilities.

909.3.4.4 VRU Education and Outreach

Support community-informed education and outreach programs that promote safe behaviors among VRUs. Programs may address the needs of pedestrians, bicyclists, micromobility users, motorcyclists, individuals with disabilities, and drivers, and may include collaboration with local schools, community organizations, advocacy groups, employers, transit agencies, and public safety partners.

909.3.5 Transit Operation

Transit operations strategies improve speed, reliability, and accessibility of transit services. The following sections outline strategies for transit operations.

Users:

• Transit Agencies → Operate BRT, implement TSP, and manage transit vehicles (909.3.5.1 Transit Signal Priority; 909.3.5.2 Bus Rapid Transit; 909.3.5.3 Transit-Only Lanes; 909.3.5.4 Transit Operation Vehicles).
• Transportation Planners → Plan multimodal centers and support dynamic transit strategies (909.3.5.2 Bus Rapid Transit; 909.3.5.3 Transit-Only Lanes; 909.3.5.5 Multimodal Transportation Centers).
• Traffic Operations Engineers → Support signal priority and corridor treatments (909.3.5.1 Transit Signal Priority; 909.3.5.2 Bus Rapid Transit; 909.3.5.3 Transit-Only Lanes).

909.3.5.1 Transit Signal Priority

Transit Signal Priority (TSP) strategies modify traffic signal operations to reduce delay and improve on-time arrivals for buses and other transit vehicles.

Additional information on TSP is provided in EPG 909.3.2.5 Transit Signal Priority.

909.3.5.2 Bus Rapid Transit

Bus Rapid Transit (BRT) incorporates a combination of dedicated lanes, intersection treatments, and enhanced stations to provide faster and more reliable bus service. Treatments such as queue jump lanes and high-capacity vehicles further enhance performance. BRT can serve as a cost-effective alternative to rail in high-demand corridors, delivering rapid, frequent, and reliable service with improved passenger amenities.

909.3.5.3 Transit-Only Lanes

Transit-only lanes provide additional capacity and improve multimodal efficiency by repurposing existing roadway space under defined conditions. Transit-only lanes dedicate roadway space to buses, enabling more reliable service and improving schedule adherence in congested corridors. This strategy can help reduce delays, improve person-throughput, and support multimodal goals in areas where right-of-way is constrained and traditional widening is not feasible. Successful implementation requires clear operational policies, appropriate signing and striping, and coordination with enforcement and transit partners to ensure safety and effectiveness.

This strategy may offer targeted benefits in select corridors where transit demand and roadway conditions support dedicated space for transit operations. In some cases, implementation could involve repurposing shoulder space where available. However, because shoulders are typically not constructed to full-depth pavement standards, such applications would likely require reconstruction or significant upgrades to support sustained transit operations.

Policy Coordination – It is encouraged that any consideration or application of the following strategies should be closely coordinated with applicable Central Office staff, including the Highway Safety and Traffic Division, as well as other related divisions to support consistency with MoDOT policy, design standards, and operational practices.

909.3.5.4 Transit Operation Vehicles

Transit vehicle operations may require unique roadway considerations. Streetcars, for example, share corridors with general traffic and necessitate signal coordination and geometric design adjustments for turning movements. Similarly, buses may require accommodations such as bus pullouts, curb extensions, or boarding islands to improve efficiency and passenger safety. These vehicle-specific considerations support smoother operations and minimize conflicts with other modes.

909.3.5.5 Multimodal Transportation Centers

Multimodal transportation centers serve as hubs that integrate multiple travel modes, including bus, rail, bike, and pedestrian connections. These facilities improve regional accessibility by consolidating transfers in a single location and providing amenities such as shelters, ticketing, and real-time traveler information.

In Missouri, existing park-and-ride facilities present opportunities to serve as future multimodal centers. These centers encourage greater transit use, strengthen first- and last-mile connections, and elevate the role of transit in supporting regional mobility.

REVISION REQUEST 4175 (ON HOLD)

321.2.1.2 Types of Reports

1. The soil survey report touches on foundations by pointing out possible foundation problems. It also contains basic slope recommendations which affect bridge length, soil types and properties for pavement design, depths to rock and type of rock for determining cut quantities, and cut slope recommendations for soil and rock.

2. The preliminary bridge foundation report, which is submitted by the district as an adjunct to the soil survey report, is usually furnished to the Bridge Unit for their guidance in preparing preliminary bridge layouts and to the Materials Engineering Unit for guidance in conducting a more detailed foundation investigation. (Preliminary borings for such reports may be omitted where access problems are especially difficult.)

3. The final foundation investigation report will provide the requested properties from Form A of the Bridge Division Request for Soil Properties in accordance with EPG Sections 320, 321, 700 and other applicable sections. The report will also provide seismic properties as requested on Form B. The Bridge Division or District will provide the preliminary structure layout and location of each foundation location. The Geotechnical Section will determine boring locations and sampling frequency based on guidance in, EPG 321.2 Geotechnical Guidelines, and specific site conditions. The Geotechnical Section may make recommendations for specific foundation types if site conditions require special considerations. The intent is to provide the Bridge Division or District with the information needed to develop designs for the foundation types practical for a particular site. Rules of thumb as to what is practical have been developed jointly by the Geotechnical Section and the Bridge Division. These are discussed in the applicable sections within the EPG.

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701 Drilled Shafts

Substructure foundations may be designed to transmit loads to foundation strata by concrete columns cast in drilled holes. See EPG 751.37 Drilled Shafts for design guidance and additional information.

This type of foundation is identified in Sec 701 of the Standard Specifications as Drilled Shafts. A drilled shaft is generally considered a deep foundation.

Drilled shafts for bridge structures:

Drilled shafts for bridge structures shall be constructed with a permanent casing and rock socketed. Requirements for plan reporting of steel casing are given in EPG 751.37.1.3 Casing.

The shaft portion of a drilled shaft is founded on rock (limestone, dolomite or other suitable material with q_u ≥ 100 ksf) or weak rock (shale or other suitable material with 5 ksf ≤ q_u ≤ 100 ksf) with a smaller diameter rock socket drilled into same. The inspector should carefully study all general specifications and special provisions pertaining to drilled shafts and become familiar with the designer's intent.

The integrity of the rock socket shall be verified by a foundation inspection hole. This is usually performed after the shaft is drilled. Setting up over a drilled hole can be difficult. The contractor can perform the inspection hole in advance if they submit a procedure that assures the correct location is cored. If the integrity of the cores are questionable the Bridge Division should be contacted to see if the rock socket length should be extended.

Most problems with drilled shafts occur during the concrete pour. The concrete placement requirements in Sec 701 should be reviewed carefully.

An anomaly may be detected on a Cross Hole Sonic log test. If, on further investigation, there is a confirmed defect what are some of the steps needed to remediate the defect?

1. The contractor is responsible for submitting a remediation plan for the repair.

2. The plan should include as a minimum the following:

a) The area of deficient material must be clearly defined using coring or other means.

b) The clean-out process is typically accomplished by flushing the weak material. The access holes needed, water pressure used, and disposal of the soils should be addressed.

c) Confirmation of the deficient material removal must be made. This can be accomplished by camera inspection, CSL, or by other means acceptable to the engineer.

d) The grouting plan should include: grouting type, grout mix design including w/c ratio, complete pressure grouting timeline. The grouting timeline should include placement times, pressure, volume, refusal criteria.

3. A final confirmation of the effectiveness of the grouting should be made. This is typically accomplished by coring. The number of cores required, and depth shall be submitted to the engineer for approval prior to coring. If all the CSL tubes are still usable, a final CSL can be made for acceptance. The engineer of record for the design should be consulted for final acceptance.

Question: Per Sec 701.4.17.2.1 Installation of Pipes, “The pipes shall be filled with water and plugged or capped before shaft concrete is poured.” Why is this necessary?

The water in the tube helps to regulate the temperature of the CSL tube. Without the water, the tube will heat up from the hydrating concrete and cause de-bonding. This de-bonding from the concrete will cause erroneous CSL readings and show up as an anomaly. Typically, de-bonding is more prevalent in the upper 6 ft. of the tube. The water also serves a second purpose: it helps the energy transmission from the wall of the tube to the probes and vice versa.

Drilled shafts for non-bridge structures:

Drilled shafts for non-bridge structures are typically designed and constructed without casing. Permanent casing is not allowed except for special designs.

The shafts may be embedded into rock when soil overburden depth is inadequate for properly anchoring the foundation. If overburden soils are unstable and conduit access is not required in the perimeter of the shaft, temporary casing may be used with an oversized shaft to allow excavation into rock at the required diameter.

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751.1.2.20 Substructure Type

Once the signed Bridge Memo and the Borings are received, the entire layout folder should be given to the Preliminary Detailer (requested by SPM, assigned by Structural Resource Manager). The Preliminary Detailer will copy the appropriate MicroStation drawings into their own directory. (Do not rename files) Consultants contact Structural Liaison Engineer. The Preliminary Detailer will then draw the proposed bridge on the plat and profile sheets. The bridge should also be drawn on the contracted profile for a perspective of the profile grade relative to the ground line for drainage considerations. The Preliminary Detailer will also generate a draft Design Layout Sheet and then return the layout folder to the Preliminary Designer for review.

The Preliminary Designer will then choose the substructure types for each of the bents. Pile cap bents without concrete encasement are less expensive than column bents but they should not be used at the following locations:

• Where drift has been identified as a problem
• Where the height of the unbraced piling is excessive and kl/r exceeds 120 (kl/r<120 is generally preferred) (take scour into account)
• Where the bent is adjacent to traffic (grade separations)

Encased pile cap bents may be considered if economical. Embed concrete encasement 2 ft. (minimum) below the top of the lowest finished groundline elevation, unless a greater embedment is required for bridge scour. Greater embedment up to 5 or 6 ft. may be considered in situations where anticipated ground line elevation can fluctuate more severely. (Be sure to account for excavation quantities for deeper embedment.) Provision for encasing piles may be considered at the following locations:

• Where drift is a concern and protection is required
• Where larger radius of gyration is necessary and therefore improved buckling resistance for locations where the exposed unbraced column length is large
• Not exclusively where the piles at the pile/wall interface may experience wet/dry cycles and/or excessive periods of ground moisture

For column bents, an economic analysis should be performed to compare drilled shafts to footings. Footings are not recommended for stream crossings where scour potential is identified. For grade separations, assume the top of drilled shaft casing is located at least one foot below the ground line. For shallow rock conditions, consideration should also be given to eliminating the cased portion of the shaft and placing the column directly over an oversized rock socket. Top of drilled shaft casing for stream crossings should consider the following criteria, and with SPM or SLE approval, select the appropriate elevation to balance risk for the anticipated conditions at time of construction:

• 10-year flood elevation
• 1 foot above ordinary high water elevation
• Elevation of nearest overbank
• 3 feet above low water elevation

End Bents are usually pile cap bents; however, if quality rock is abundant at or just below the bottom of beam elevation, a stub end bent on spread footings may be used. If you have any doubt about the suitability and uniformity of the rock, you can still use a pile cap end bent. Just include prebore to get a minimum of 10 ft. of piling. If you have concerns about temperature movements, you can require that the prebore holes be oversized to allow for this movement.

For any pile cap bents, where steel piles are to be placed near a fluctuating water line or near a ground line where aggressive soil conditions exist or anticipated to exist in the future, corrosion can result in substantial material loss in pile sections over time, either slowly or rapidly. Galvanized steel piling is required for all new pile cap bents to be used as a deterrent to both accelerated and incidental pile corrosion as commonly seen in the field. Further, conditions like known in corrosive soils, some stream crossings with known history of effects on steel piles and grounds subject to stray currents, these conditions should affect the decision of whether pile cap bents can be effectively utilized. The potential effects of corrosion and the potential deterioration from environmental conditions should always be considered in the determination and selection of the steel pile type and steel pile cross-section (size of HP pile or casing thickness), and in considering the long-term durability of the pile type in service.

Once the substructure type has been determined, re-examine your Preliminary Cost Estimate and notify the district if it needs to be adjusted.

Galvanized Steel Piles

Galvanizing shall be required for all steel piles. Utilizing galvanized steel piles and pile bracing members shall be in addition to the requirements of Standard Specifications Sec 702 except that protective coatings specified in Sec 702 will not be required for galvanized piles or galvanized bracing members.

Where galvanized steel piling is expected to be exposed to severe corrosive conditions, consideration can be given to increased steel pile thickness or consideration of a reduced loaded steel area for bearing, or conditions mitigated to prevent long term corrosivity risk . This equally applies to the potential corrosion and early deterioration of permanent steel casing used for drilled shafts though they are not required to be galvanized. For all cases, further consideration beyond normal practice should be given to investigating corrosion protection, rate of corrosion as it relates to steel thickness design and expected service life including galvanizing losses, corrosion mitigation or different substructure support in order to meet a 75 year or longer design life. For additional information refer to LRFD 10.7.5 and 10.8.1.5. Consult with the Structural Project Manager or Structural Liaison Engineer to determine options and strategy for implementation.

All Bridge and Retaining Wall Piles (For Example, abutment piles, wing wall piles, intermediate pile cap bent piles and pile cap footing piles)

All surfaces of piles shall be galvanized to a minimum galvanized penetration (elevation) or its full length based on the following guidance. The minimum galvanized penetration (elevation) shall be estimated in preliminary design and finalized in final design. The minimum galvanized penetration (elevation) or full length will be shown on the design layout.

Guidance for determining minimum galvanized penetration (elevation):

The designer shall establish the limits of galvanized structural steel pile (i.e., HP pile and CIP pile). All exposed pile plus any required length below ground shall be galvanized. Based on required galvanized pile length determine and show Minimum Galvanized Penetration (Elevation) or Full Length on the Design Layout and on the plans.

When glacial material or other hard material is identified in the geotechnical report discuss with SPM and consider galvanizing full length of pile to avoid the scenario where friction pile may potentially be cut-off once the geotechnical capacity is reached but the depth for galvanization is inadequate.

	Required Pile Galvanizing For Nonscour	Required Pile Galvanizing For Channel Scour	Required Pile Galvanizing For Channel Migration
Estimated Pile Length ≤ 50 feet	Full Length of Pile	Full Length of Pile	Full Length of Pile
Estimated Pile Length > 50 feet	20 feet (in ground)1	20 feet (in ground)1, but not less than 5 feet below max. scour depth.	20 feet (in ground)1, but not less than 5 feet below stream bed elev.
1 “In ground” is measured from finished ground line on intermediate bents, and bottom of beam cap for abutments.

For retaining walls supported on piles, the minimum galvanized penetration (elevation) for piles shall be “Full Length of Pile” for estimated pile length up to 50 feet and 15 feet below bottom of wall for estimated pile length greater than 50 feet.

For bridge end bents on piles with embankments supported by MSE walls, the minimum galvanized penetration (elevation) for piles shall be “Full Length of Pile” for estimated pile length up to 50 feet and 15 feet below top of leveling pad for estimated pile length greater than 50 feet.

Temporary Bridge Piles

Protective coatings are not required in accordance with Sec 718. Galvanized pile is not required. All HP piles driven to rock shall require pile point reinforcement.

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751.1.2.24 Drilled Shafts

Drilled shafts are to be used when their cost is comparable to that of large cofferdams and footings. Other examples include when there are subsurface items to avoid (culverts, utilities, etc.) or when there are extremely high soil pressures due to slope failures.

Drilled shafts shall be constructed with a permanent casing and rock socketed.

The Final Foundation Investigation Report (or geotechnical report) for drilled shafts should supply you with the anticipated tip of casing, nominal tip resistance, nominal tip resistance factor, nominal side resistance, nominal side resistance factor as well as the recommended elevations for which the resistance values are applicable.

The Design Layout Sheet should include the following information:

• Top of Drilled Shaft Elevation
• Anticipated Tip of Casing Elevation
• Anticipated Top of Sound Rock Elevation

Bent	Elevation	Nominal Axial Compressive Resistance (Side Resistance) (ksf)	Side Resistance Factor for Strength Limit State	Nominal Axial Compressive Resistance (Tip Resistance) (ksf)	Tip Resistance Factors for Strength Limit States

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751.4.1 Reinforced Concrete

Classes of Reinforced Concrete

Below are classes of concrete for each type or portion of structure:

Box Culverts		B-1
Retaining Walls		B or B-1
Superstructure (General)		B-2
	Curbs and Parapets	B-1
	Type A, B, C, D, G and H Barriers	B-1
	Sidewalks	B-2
	Raised Median	B-2
	Slabs	B-2
	Box Girders	B-2
	Deck Girders	B-2
	Prestressed Precast Panels	A-1
	Prestressed I - Girders	A-1
	Prestressed Double -Tee Girders	A-1
	Integral End Bents (Above lower construction joint)	B-2
	Semi-Deep Abutments (Above construction joint under slab)	B-2
Substructure (General)		B
	Integral End Bents (Below lower construction joint)	B
	Non-Integral End Bents	B
	Semi-Deep Abutments (Below construction joint under slab)	B
	Intermediate Bents	B (*)
	Intermediate Bent Columns, End Bents (Below construction joint at bottom of slab in Cont. Conc. Slab Bridges)	B-1
	Footings	B
	Drilled Shafts (except per Standard Plans 903.15)	B-2
	Drilled Shafts (per Standard Plans 903.15)	B
	Cast-In-Place Pile	B-1
(*) In special cases when a stronger concrete is necessary for design, Class B-1 may be considered for intermediate bents (caps, columns, tie beams, web beams, collision walls and/or footings).

Unit Stresses of Reinforced Concrete

Class of Concrete	Aggregate Maximumsize (Inches)	Cement Factor (barrels percubic yard)	$f^{\prime }c$ (psi)	$fc$ (psi)	$n$ (*)	$E_c$ (ksi)
A-1	3/4	1.6 (Min.)	5,000	2,000	6	4074
B	1	1.4 (Min.)	3,000	1,200	10	3156
B-1	1	1.6 (Min.)	4,000	1,600	8	3644
B-2	1	1.875 (Min.)	4,000	1,600	8	3644

(*) Values of n for computations of strength only.

Reinforcing Steel
Reinforcing Steel (Grade 60)	$F_y$ = 60 ksi

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751.37.1.2 Materials

Commentary for EPG 751.37.1.2 Materials

Concrete used for drilled shaft for traffic structures in accordance with standard plan 903.15 shall be Class B concrete with minimum compressive strength, f’_c = 3 ksi. For all other drilled shaft construction concrete shall be Class B-2 with minimum compressive strength, f’_c = 4 ksi.

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751.37.1.3 Casing

Commentary for EPG 751.37.1.3 Casing

Drilled shafts for bridge structures:

All drilled shafts shall have permanent casing installed through overburden soils to prevent caving of these soils during construction. Drilled shafts shall be socketed into bedrock. Welded or seamless steel permanent casing shall be in accordance with Sec 701.

Rock sockets shall be uncased.

Permanent Casing Thickness Design and Plan Reporting:

Any drilled shaft for a major bridge over a river or lake or any drilled shaft longer than 80 feet or any drilled shaft greater than 6 feet in diameter shall have a minimum casing thickness of 1/2 inch specified unless a greater thickness is required by design for strength. The thickness of casing in either case shall be shown on the bridge plans and noted as a minimum.

All other drilled shafts shall not have a minimum casing thickness specified unless a specific thickness is required by design for strength. The minimum thickness in the latter case shall be shown on the bridge plans and noted as a minimum.

For drilled shaft stiffness computations and load distribution analysis, use the minimum casing thickness required. When a minimum casing thickness is not required, assume a casing thickness of 3/8” for the analysis.

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751.37.1.5 Related Provisions

Commentary for EPG 751.37.1.5 Related Provisions

The provisions of these guidelines were developed presuming that design parameters required to apply the provisions are established following current MoDOT site characterization protocols as described in EPG 321. Specific attention is drawn to EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation. The provisions provided in these guidelines presume that parameter variability, as generally represented by the coefficient of variation (COV), is established following procedures in EPG 321.3.

Sign structure drilled shaft supports are the exception. Sign structure standard drilled shafts are developed using assumed soil properties and following AASHTO LRFD Bridge Design Specifications 9^th Edition for design. Site specific designs for drilled shafts for sign structure support may also follow AASHTO LRFD Bridge Design Specifications 9^th Edition if there is not enough geotechnical information available to establish the COV.

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751.37.1.6 Drilled Shaft General Detail Considerations

For Seismic detail requirements for seismic design category, SDC B, C and D, See EPG 751.9.1.2 LRFD Seismic Details.

Pay items shown in above table are for example only, show actual pay items and quantities in plan details for specific project.

Notes:

(1) Number of pipes (equally spaced) for Sonic Logging Testing (for bridge structures only):

Diameter ≤ 2.5 ft: 2 pipes

Diameter >2.5 ft but ≤ 3.5 ft: 3 pipes

Diameter >3.5 ft but ≤ 5.0 ft: 4 pipes

Diameter >5.0 ft but ≤ 8.0 ft: 5 pipes

Diameter >8.0 ft: 6 pipes

Single diameter reinforcing cage is typically used. Modify details based on design for single or multiple-diameter cages and splice location(s).

See EPG 751.37.1.3 for casing requirements for bridge structures and non-bridge structures.

When determining P bar diameter for barbill, assume 3/8” casing unless otherwise specified.

See EPG 751.50, G8, for notes to include for drilled shafts and rock sockets (starting at G8.1).

(2) See EPG 751.37.1.1 Dimensions and Nomenclature for Design Aid: Minimum Rock Socket Length.

(3) When difference between drilled shaft and column diameter is 6" a single reinforcement cage is typically used for the socket and shaft and the vertical reinforcement extends into the column. A separate column steel cage is then placed around the protruding shaft reinforcement without requiring an adjustment to minimum cover for rock socket or column reinforcement. When difference between drilled shaft and column diameter is 12” either the vertical column steel or dowels will need to be extended into the shaft or the cover in the socket and shaft will need to be increased to allow the shaft reinforcement to extend into the column. In the former scenario an optional construction joint is recommended as discussed in note 4 for oversized shafts. In the latter scenario the same number of vertical bars should be used in the shaft and column to allow the shaft bars to be tied to the column cage. Any reduction in cage diameter required for fit-up shall be considered in design.

(4) When difference between drilled shaft and column diameter is greater than 12" (oversized shaft generally 18" to 24" larger than column), show "Optional construction joint" at bottom of column/dowel reinforcement in the drilled shaft and use EPG 751.50 Standard Detailing Notes G8.8 and G8.9 in plan details.

Bridge Standard Drawings (Drilled Shafts - DSS → As Built Drilled Shaft Data [DSS_01])

As Built Drilled Shaft Data (PDF)

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751.37.2 General Design Procedure and Limit States

Commentary for EPG 751.37.2 General Design Procedure and Limit States

Drilled shafts should be sized (diameter and length) to support the required factored loads in the most cost effective manner possible without excessive deflections. The initial diameter and length of drilled shafts are generally established considering vertical loading at the strength limit state(s) according to EPG 751.37.3. The resulting shaft should then be evaluated at the axial and lateral serviceability limit states (settlement and lateral deflection) according to EPG 751.37.4 and EPG 751.37.5, where the shaft dimensions shall be adjusted if serviceability requirements are not satisfied.

The Strength Limit State and applicable Extreme Event Limit States shall be investigated when calculating the soil and structural resistance of the drilled shaft. The Service I Limit State shall be used when evaluating lateral deflection and settlement.

Guidance

There is one type of drilled shaft construction for bridge structures. There are three types of drilled shaft construction for non-bridge structures, but only two types need be considered for design. See EPG 751.37.1.3 Casing.

Drilled shafts for bridge structures:

Permanently cased shaft through soil and socketed into rock. A reduced shaft diameter for rock socket is required. This case shall be used for all MoDOT bridge structures. For axial loading and settlement computations substitute D with D_s and L with L_s which are equal to the diameter and length of the rock socket since the required resistance to loading and settlement are computed for segment of the shaft in rock only (Rock sockets to be installed through casing shall have diameters 6” less than the inside diameter of the casing to allow for clearance and insertion of rock excavation re-tooling equipment).

Drilled shafts for non-bridge structures:

1. Uncased shaft through soil and not socketed into rock. For axial loading and settlement computations use D = diameter of shaft.

2. Uncased shaft through soil and rock. Similar to (1) because the shaft diameter is assumed to be constant between soil and rock.

3. Temporarily cased shaft through soil with an uncased and reduced or same shaft diameter in rock. This method is optional for the contractor in limited scenarios and requires the shaft in soil to be oversized by six inches with respect to the shaft diameter shown on the plans.

Permanently cased shafts shall not be allowed to use frictional resistance of the soil for either a drilled shaft with or without a rock socket.

Temporarily cased shafts may use the frictional resistance of the soil only for the case where a rock socket is not used (see the Geotechnical Section).

Note on Definitions:

1. Where L_,i is defined, L_i shall mean the length of the shaft segment through soil or through rock.

2. Where L is defined, L shall mean overall shaft length including the length of the rock socket.

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751.37.3 Design for Axial Loading at Strength Limit State

Commentary for EPG 751.37.3 Design for Axial Loading at Strength Limit State

Geotechnical resistance to axial loading at the relevant strength limit state shall be computed as the sum of tip resistance and side resistance unless conditions are present that may prevent reliable mobilization of tip resistance (e.g. karst conditions with known or likely voids that cannot be specifically identified or characterized). Shafts should be sized such that the factored geotechnical resistance to axial loads exceeds the factored axial loads:

$R_R=R_{sR}+R_{pR}\ge \gamma Q$

(consistent units of force)

Equation 751.37.3.1

where:

R_R = factored axial shaft resistance (consistent units of force),

R_sR = factored side resistance (consistent units of force),

R_pR = factored tip resistance (consistent units of force) and

$\mathit{\gamma }Q$ = factored load for the appropriate strength limit state (consistent units of force).

Tip resistance and side resistance shall be computed according to the provisions of EPG 751.37.3 for the material type(s) encountered. The Structural Project Manager or Structural Liaison Engineer shall be consulted before utilizing design methods other than those provided in EPG 751.37.3 for calculating the geotechnical resistance of drilled shafts.

The factored side resistance for drilled shafts shall be established from factored unit side resistance values for the relevant soil/rock conditions as provided in this article. For stratified ground conditions or where the shaft dimensions change (e.g. at tip of temporary casing for non-bridge structure, or at top of rock socket for bridge structure), the shaft shall be divided into segments with practically uniform shaft geometry and soil/rock properties and unit side resistance values determined for each shaft segment. The total factored side resistance shall then be computed as the sum of the factored resistance values for each shaft segment:

$R_{sR}=\sum _{i=1}^n(q_{sR-i}\cdot A_{s-i})=\sum _{i=1}^n({\varphi }_{qs-i}\cdot q_{s-i}\cdot \pi \cdot D_i\cdot L_i)$

(consistent units of force)

Equation 751.37.3.2

where:

n = number of shaft segments,

$q_{sR-i}={\varphi }_{qs-i}\cdot q_{s-i}$ = factored unit side resistance for shaft segment i (consistent units of stress),

$A_{s-i}=\pi \cdot D_i\cdot L_i$ = perimeter interface area for shaft segment i (consistent units of area),

${\mathit{\varphi }}_{qs-i}$ = resistance factor for unit side resistance along shaft segment i (dimensionless),

${\mathbf{q}}_{s-i}$ = nominal unit side resistance along shaft segment i (consistent units of stress),

D_i = shaft diameter for shaft segment i (consistent units of length), and

L_i = length of shaft segment i (consistent units of length).

${\mathit{\varphi }}_{qs-i}$ and ${\mathbf{q}}_{s-i}$ shall be determined in accordance with the provisions of this article, based on the material type present along the respective shaft segment.

Side resistance shall generally be neglected or reduced, as recommended by the Geotechnical Section, over shaft segments with permanent casing and over any length of rock socket that is deemed unusable.

The factored tip resistance for drilled shafts shall be established from factored unit tip resistance values for the relevant soil/rock conditions as provided in this article. The appropriate tip resistance shall be established for the soil/rock located between the tip of the shaft and two diameters below the tip of the shaft. The factored tip resistance shall be computed as

$R_{pR}=q_{pR}\cdot A_p={\varphi }_{qp}\cdot q_p\cdot \pi \cdot \frac{D^2}{4}$

(consistent units of force)

Equation 751.37.3.3

where:

$q_{pR}={\varphi }_{qp}\cdot q_p$ = factored unit tip resistance (consistent units of stress),

$A_p=\pi \cdot \frac{D^2}{4}$ = cross-sectional area of the shaft at the tip (consistent units of area),

${\mathit{\varphi }}_{qp}$ = resistance factor for unit tip resistance (dimensionless),

${\mathbf{q}}_p$= nominal unit tip resistance (consistent units of stress), and

D = shaft diameter at the tip of the shaft (consistent units of length).

${\mathit{\varphi }}_{qp}$ and ${\mathbf{q}}_p$ shall be determined in accordance with the provisions of this article, based on the material type present within a depth of 2D below the tip of the shaft.

Tip resistance shall be neglected, as recommended by the Geotechnical Section, when the shaft tip is located within karstic rock or other conditions where tip resistance cannot be reliably determined.

The specific methods and resistance factors for determining nominal and factored side and tip resistance shall be selected based on the material type(s) present along the sides and beneath the tip of the shaft:

• EPG 751.37.3.1 shall generally be followed to estimate resistance for shafts in rock from results of uniaxial compression tests on intact rock core with uniaxial compressive strengths (q_u ) greater than 100 ksf;

• EPG 751.37.3.2 shall generally be followed to estimate resistance for shafts in weak rock from results of uniaxial compression tests on rock core with uniaxial compressive strengths (q_u ) greater than 5 ksf but less than 100 ksf;

• EPG 751.37.3.3 shall generally be followed to estimate resistance for shafts in weak rock from results of Standard Penetration Tests with equivalent N-values (N_eq ) less than 400 blows/foot;

• EPG 751.37.3.4 shall generally be followed to estimate resistance for shafts in weak rock from results of Texas Cone Penetration Tests with measured penetrations (TCP) greater than 1 inch/100 blows but less than 10 inches/100 blows;

• EPG 751.37.3.5 shall generally be followed to estimate resistance for shafts in weak rock from results of Point Load Index Tests with Point Load Indices (I_s(50) ) less than 40 ksf;

• EPG 751.37.3.6 shall generally be followed to estimate resistance for shafts in cohesive soils with undrained shear strengths (s_u ) less than 5 ksf; and

• EPG 751.37.3.7 shall generally be followed to estimate resistance for shafts in cohesionless soils.

Additional guidance on selection of specific methods and resistance factors based on the material types encountered is provided in the commentary to these guidelines.

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751.37.3.7 Axial Resistance for Individual Drilled Shafts in Cohesionless Soils

Commentary for EPG 751.37.3.7 Axial Resistance for Individual Drilled Shafts in Cohesionless Soils

Side Resistance for Drilled Shafts in Cohesionless Soils

The nominal unit side resistance for shaft segments located in cohesionless soils shall be computed using the “β-method” as

$q_s=\beta \cdot {\sigma }_v^{\text{'}}$

(consistent units of stress)

Equation 751.37.3.21

where:

q_s = nominal unit side resistance for the shaft segment (consistent units of stress),

β = an empirical correlation factor (dimensionless) and

σ'_v = average vertical effective stress for the soil along the shaft segment (consistent units of stress).

The value for β shall be taken as (O’Neill and Reese, 1999)

$\beta =1.5-0.135\sqrt{z}$	(for N60 ≥ 15)	Equation 751.37.3.22a
$\beta =\frac{N_{60}}{15}\cdot (1.5-0.135\sqrt{z})$	(for N60 < 15)	Equation 751.37.3.22b

where 0.25 ≤ β ≤ 1.2 and

z = depth below ground surface to center of shaft segment (ft.) and

N₆₀ = average SPT N-value corrected for hammer efficiency (blows/ft).

If permanent casing is used, the side resistance shall be ignored for the cased portion.

The resistance factor ${\mathit{\varphi }}_{qs}$ to be applied to the nominal unit side resistance shall be taken as 0.55 (LRFD Table 10.5.5.2.4-1).

Tip Resistance for Drilled Shafts in Cohesionless Soils

The nominal unit tip resistance for shafts founded on cohesionless soils shall be computed from corrected SPT N-values, N₆₀ (O’Neill and Reese, 1999).

For N_60≤50:

$q_p=1.2\cdot N_{60}\le 60ksf$

(ksf)

Equation 751.37.3.23

where:

q_p = nominal unit tip resistance for the shaft (ksf) and

N₆₀ = average SPT N-value corrected for hammer efficiency (blows/ft).

For N₆₀ ≥ 50:

$q_p=0.59\cdot {\sigma }_v^{\text{'}}\cdot \left(N_{60}\right(\frac{p_a}{{\sigma }_v^{\text{'}}}){)}^{0.8}$

(ksf)

Equation 751.37.3.24

where:

q_p = nominal unit tip resistance for the shaft (ksf),

N₆₀ = average SPT N-value corrected for hammer efficiency (blows/foot),

p_a = 2.12 ksf = atmospheric pressure (ksf).

${\sigma }_v^{\text{'}}$ = vertical effective stress for the soil at the tip of the shaft (ksf).

Note that these expressions are dimensional so values must be entered in the units specified.

The resistance factor ${\mathit{\varphi }}_{qp}$ shall be taken as 0.50 for Equation 751.37.3.23 and as 0.55 for Equation 751.37.3.24.

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751.37.4.1 Settlement of Individual Drilled Shafts using Approximate Method

Commentary on EPG 751.37.4.1 Settlement of Individual Drilled Shafts using Approximate Method

Prediction of factored settlement due to factored service loads shall be determined as follows depending on the magnitude of factored loads relative to the magnitude of factored side and tip resistance:

If $\gamma Q\le R_{sR}+0.1R_{pR}$:

${\delta }_R=0.005\cdot D\cdot \frac{\gamma Q}{R_{sR}+0.1R_{pR}}+{\delta }_{eR}$

(consistent units of lengths)

Equation 751.37.4.3

where:

$\mathit{\gamma }Q$ = factored load for the appropriate serviceability limit state (consistent units of force),

R_sR = total factored side resistance determined according to the provisions of this article (consistent units of force),

R_pR = factored tip resistance determined according to the provisions of this article (consistent units of force),

δ_R = factored total settlement of shaft due to factored service loads (consistent units of length),

D = shaft diameter (consistent units of length) and

δ_eR = factored elastic compression of the unsupported length of the shaft (consistent units of length).

If $R_{sR}+0.1R_{pR}\le \gamma Q\le R_{sR}+R_{pR}$ :

${\delta }_R=0.005\cdot D+0.045\cdot D\cdot \left(\frac{\gamma Q-R_{sR}-0.1R_{pR}}{0.9\cdot R_{pR}}\right)+{\delta }_{eR}$

(consistent units of lengths)

Equation 751.37.4.4

where:

$\mathit{\gamma }Q$ = factored load for the appropriate serviceability limit state (consistent units of force),

R_sR = total factored side resistance determined according to the provisions of this article (consistent units of force),

R_pR = factored tip resistance determined according to the provisions of this article (consistent units of force),

δ_R = factored total settlement of shaft due to factored service load (consistent units of length),

D = shaft diameter (consistent units of length) and

δ_eR = factored elastic compression of the unsupported length of the shaft (consistent units of length).

Note that if $\gamma Q\ge R_{sR}+R_{pR}$, the factored service load exceeds the maximum factored resistance of the shaft and the limit state cannot be satisfied without increasing the dimensions of the shaft.

The factored side resistance in Equations 751.37.4.3 and 751.37.4.4 shall be established from factored unit side resistance values for the relevant soil/rock conditions as provided in this article. For stratified ground conditions or where the shaft dimensions change, the shaft shall be divided into segments with practically uniform shaft geometry and soil/rock properties and unit side resistance values determined for each shaft segment. The total factored side resistance shall then be computed as the sum of the factored resistance values for each shaft segment:

$R_{sR}=\sum _{i=1}^n(q_{sR-1}\cdot A_{s-i})=\sum _{i-1}^n({\varphi }_{\delta s-i}\cdot q_{s-i}\cdot \pi \cdot D_i\cdot L_i)$

(consistent units of force)

Equation 751.37.4.5

where:

n = number of shaft segments,

$q_{sR-i}={\varphi }_{\delta s-i}\cdot q_{s-i}$ = factored unit side resistance for shaft segment i (consistent units of stress),

$A_{s-i}=\pi \cdot D_i\cdot L_i$ = perimeter interface area for shaft segment i (consistent units of area),

${\mathit{\varphi }}_{\delta s-i}$ = settlement resistance factor for side resistance along shaft segment i (dimensionless),

q_s-i = nominal unit side resistance along shaft segment i (consistent units of stress),

D_i = shaft diameter for shaft segment i (consistent units of length) and

L_i = length of shaft segment i (consistent units of length).

Values for q_s-i shall be determined in accordance with the provisions of EPG 751.37.3, based on the material type present along the respective shaft segments. Values for ${\mathit{\varphi }}_{\delta s-i}$ shall be established as provided subsequently in this article. Side resistance shall generally be neglected or reduced, as recommended by the Geotechnical Section, over shaft segments with permanent casing and over any length of rock socket that is deemed unusable for consistency with evaluations performed for strength limit states.

The factored tip resistance in Equations 751.37.4.3 and 751.37.4.4 shall be established from factored unit tip resistance values for the relevant soil/rock conditions as provided in this article. The appropriate tip resistance shall be established for the soil/rock located between the tip of the shaft and a distance of 2D below the tip of the shaft. The factored tip resistance shall be computed as

$R_{pR}=q_{pR}\cdot A_p={\varphi }_{\delta p}\cdot q_p\cdot \pi \cdot \frac{D^2}{4}$

(consistent units of force)

Equation 751.37.4.6

where:

$q_{pR}={\varphi }_{\delta p}\cdot q_p$ = factored unit tip resistance (consistent units of stress),

$A_p=\pi \cdot \frac{D^2}{4}$ = cross-sectional area of the shaft at the tip (consistent units of area),

${\mathit{\varphi }}_{\delta p}$ = settlement resistance factor for tip resistance (dimensionless),

q_p = nominal unit tip resistance (consistent units of stress) and

D = shaft diameter at the tip of the shaft (consistent units of length).

The value for q_p shall be determined in accordance with the provisions of EPG 751.37.3, based on the material type present within a depth of 2D below the tip of the shaft. The value for ${\mathit{\varphi }}_{\delta p}$ shall be established as provided subsequently in this article. For consistency with evaluations for strength limit states, tip resistance shall be neglected, as recommended by the Geotechnical Section, when the shaft tip is located within karstic rock or other conditions where tip resistance cannot be reliably determined.

The factored elastic compression of the unsupported length of the shaft shall be determined as

${\delta }_{eR}=\frac{\gamma Q(L-L_s)}{{\varphi }_{\delta e}\cdot E_p{A}_p}$

(consistent units of length)

Equation 751.37.4.7

where:

δ_eR = factored elastic compression of the unsupported length of the shaft (consistent units of length),

$\mathit{\gamma }Q$ = factored load for the appropriate serviceability limit state (consistent units of force),

L = overall shaft length (consistent units of length),

L_s = length of the rock socket (consistent units of length),

E_p = nominal modulus of elasticity for the shaft (consistent units of stress),

A_p = nominal shaft area (consistent units of area) and

${\mathit{\varphi }}_{\mathit{\delta }e}$ = settlement resistance factor for elastic compression of the shaft.

Values for the settlement resistance factor for elastic compression of the shaft shall be taken from Table 751.37.4.1 according to the operational importance of the structure.

Table 751.37.4.1 Settlement resistance factors for elastic compression of drilled shafts

Operational Importance	Settlement Resistance Factor, Φδe
Minor or Low Volume Route	0.68
Major Route	0.64
Major Bridge <$100 million	0.61
Major Bridge >$100 million	0.60

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Rock

Settlement resistance factors to be applied to side resistance for shaft segments through rock shall be determined from Figure 751.37.4.1.1 based on the coefficient of variation of the mean uniaxial compressive strength, $CO{V}_{\overline{q_u}}$. Values for $CO{V}_{\overline{q_u}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean uniaxial compressive strength for the rock over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on rock shall similarly be determined from Figure 751.37.4.1.2 based on values for $CO{V}_{\overline{q_u}}$ that reflect the variability of the mean uniaxial compressive strength for the rock over the distance 2D_s below the tip of the shaft.

Fig. 751.37.4.1.1 Settlement resistance factors for side resistance of drilled shafts in rock from uniaxial compression test measurements using approximate method.

Fig. 751.37.4.1.2 Settlement resistance factors for tip resistance of drilled shafts in rock from uniaxial compression test measurements using approximate method.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Weak Rock from Uniaxial Compression Tests on Rock Core

Settlement resistance factors to be applied to side resistance for shaft segments through weak rock shall be determined from Figure 751.37.4.1.3 based on the coefficient of variation of the mean uniaxial compressive strength, $CO{V}_{\overline{q_u}}$. Values for $CO{V}_{\overline{q_u}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean uniaxial compressive strength for the rock over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on weak rock shall similarly be determined from Figure 751.37.4.1.4 based on values for $CO{V}_{\overline{q_u}}$ that reflect the variability of the mean uniaxial compressive strength for the rock over the distance 2D_s below the tip of the shaft.

Fig. 751.37.4.1.3 Settlement resistance factors for side resistance of drilled shafts in weak rock from uniaxial compression test measurements using approximate method.

Fig. 751.37.4.1.4 Settlement resistance factors for tip resistance of drilled shafts in weak rock from uniaxial compression test measurements using approximate method.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Weak Rock from Standard Penetration Test Measurements

Settlement resistance factors to be applied to side resistance for shaft segments through weak rock shall be determined from Figure 751.37.4.1.5 based on the coefficient of variation of the mean equivalent SPT N-value, $CO{V}_{\overline{N_{eq}}}$. Values for $CO{V}_{\overline{N_{eq}}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean equivalent N-value over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on weak rock shall similarly be determined from Figure 751.37.4.1.6 based on values for $CO{V}_{\overline{N_{eq}}}$ that reflect the variability of the mean equivalent N-value over the distance 2D_s below the tip of the shaft.

Fig. 751.37.4.1.5 Settlement resistance factors for side resistance of drilled shafts in weak rock from Standard Penetration Test measurements using approximate method.

Fig. 751.37.4.1.6 Settlement resistance factors for tip resistance of drilled shafts in weak rock from Standard Penetration Test measurements using approximate method.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Weak Rock from Texas Cone Penetration Test Measurements

Settlement resistance factors to be applied to side resistance for shaft segments through weak rock shall be determined from Figure 751.37.4.1.7 based on the coefficient of variation of the mean TCP-value, $CO{V}_{\overline{TCP}}$. Values for $CO{V}_{\overline{TCP}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean TCP-value over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on weak rock shall similarly be determined from Figure 751.37.4.1.8 based on values for $CO{V}_{\overline{TCP}}$ that reflect the variability of the mean TCP-value over the distance 2D_s below the tip of the shaft.

Fig. 751.37.4.1.7 Settlement resistance factors for side resistance of drilled shafts in weak rock from Texas Cone Penetration Test measurements using approximate method.

Fig. 751.37.4.1.8 Settlement resistance factors for tip resistance of drilled shafts in weak rock from Texas Cone Penetration Test measurements using approximate method.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Weak Rock from Point Load Index Test Measurements

Settlement resistance factors to be applied to side resistance for shaft segments through weak rock shall be determined from Figure 751.37.4.1.9 based on the coefficient of variation of the mean I_s(50)-value, $CO{V}_{\overline{I_{s(50)}}}$. Values for $CO{V}_{\overline{I_{s(50)}}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean I_s(50)-value for the rock over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on weak rock shall similarly be determined from Figure 751.37.4.1.10 based on values for $CO{V}_{\overline{I_{s(50)}}}$ that reflect the variability of the mean I_s(50)-value for the rock over the distance 2D_s below the tip of the shaft.

Fig. 751.37.4.1.9 Settlement resistance factors for side resistance of drilled shafts in weak rock from Point Load Index Test measurements using approximate method.

Fig. 751.37.4.1.10 Settlement resistance factors for tip resistance of drilled shafts in weak rock from Point Load Index Test measurements using approximate method.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Cohesive Soils

Settlement resistance factors to be applied to side resistance for shaft segments through cohesive soil shall be determined from Figure 751.37.4.1.11 based on the coefficient of variation of the mean undrained shear strength, $CO{V}_{\overline{s_u}}$. Values for $CO{V}_{\overline{s_u}}$ shall be determined in accordance with EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation to reflect the variability of the mean undrained shear strength for the soil over the shaft segment. Settlement resistance factors to be applied to tip resistance for shafts founded on cohesive soil shall similarly be determined from Figure 751.37.4.1.12 based on values for $CO{V}_{\overline{s_u}}$ that reflect the variability of the mean undrained shear strength for the soil over the distance 2D below the tip of the shaft.

Fig. 751.37.4.1.11 Settlement resistance factors for side resistance of drilled shafts in cohesive soil from undrained shear strength measurements using approximate method.

Fig. 751.37.4.1.12 Settlement resistance factors for tip resistance of drilled shafts in cohesive soil from undrained shear strength measurements using approximate method.

For shafts founded in soft cohesive soils, consideration shall also be given to including additional settlement induced from time dependent consolidation of the soil.

Settlement Resistance Factors for Approximate Method for Drilled Shafts in Cohesionless Soils

Settlement evaluations for individual drilled shafts in cohesionless soils shall be designed according to applicable sections of the current AASHTO LRFD Bridge Design Specifications.

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751.37.6.1 Reinforcement Design

Drilled shaft structural resistance shall be designed similarly to reinforced concrete columns. The Strength Limit State and applicable Extreme Event Limit State load combinations shall be used in the reinforcement design.

Longitudinal reinforcing steel shall extend below the point of fixity of the drilled shaft at least 10 ft. in accordance with LRFD 10.8.3.9.3 or the required bar development length whichever is larger.

If permanent casing is used, and the shell consists of a smooth pipe greater than 0.12 in. thick, it may be considered load carrying. An 1/8" shall be subtracted off of the shell thickness to account for corrosion. Casing could also be corrugated metal pipe. If casing is assumed to contribute to the structural resistance, the plans should indicate the minimum thickness of casing required.

Minimum clear spacing between longitudinal bars as well as between transverse bars shall not be less than five times the maximum aggregate size or 5 in. (LRFD 10.8.3.9.3).

For rock sockets use 3” min. clear cover. For drilled shafts for sign structure support, use 3” min. clear cover for all shaft diameters.

For longitudinal reinforcement, splicing shall be in accordance with LRFD 5.10.8.4.

For transverse reinforcement, lap splices for closed circular stirrups/ties shall be provided and staggered in accordance with LRFD 5.10.4.3. Lap length of 1.3 l_d (Class B) for closed stirrups/ties shall be provided in accordance with LRFD 5.10.8.2.6d.

For lap length, see EPG 751.5.9.2.8.1 Development and Lap Splice General.

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Commentary on EPG 751.37.1.3 Casing

Temporary or permanent casing is commonly required to support the shaft excavation during construction to prevent caving of overburden soils. Use of permanent casing generally simplifies construction by avoiding the need for multiple cranes to simultaneously place concrete and extract the casing and reduces the risk of problems during concrete placement. However, use of either temporary or permanent casing will generally reduce the side resistance of the constructed shaft over the cased length. Alternatives to use of casing for non-bridge structures include use of mineral or polymer slurry to maintain the stability of the excavation during construction, or use of no casing and no slurry when soil/rock conditions will permit the shafts to be constructed without caving of the excavation walls.

Permanent casing may also be required to provide structural resistance, especially when lateral loads are substantial (see EPG 751.37.6). For example, permanent casing may be required to:

• Achieve the required flexural resistance of the drilled shaft
• Resist large lateral loads for bridges located in seismic areas
• Facilitate shaft construction through water
• Support the shaft excavation when there is insufficient head room available for casing recovery

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751.38.1.1 Dimensions and Nomenclature

Dimensions to be established in design include the bearing depth (depth to footing base) and the footing dimensions shown in Figure 751.38.1.1. Table 751.38.1.1 defines each dimension and provides relevant minimum and/or maximum values for the respective dimension.

Fig. 751.38.1.1 Nomenclature used for spread footings.

Table 751.38.1.1 Summary of footing dimensions with minimum and maximum values

Dimension	Description	Minimum Value	Maximum Value	Comment
D	Column diameter	12”	--	--
B	Footing width	D+24”	--	Min. 3” increments
L	Footing length	D+24”1	--	Min. 3” increments
A	Edge distance in width direction	12”	--	--
A’	Edge distance in length direction	12”	--	--
t	Footing thickness	30” or D2	72”	Min. 3” increments
1 Minimum of 1/6 x distance from top of beam to bottom of footing
2 For column diameters ≥ 48”, use minimum value of 48”. Sign support structures may utilize a minimum thickness of 24”.

The nomenclature used in these guidelines has intentionally been selected to be consistent with that used in the AASHTO LRFD Bridge Design Specifications (AASHTO, 2009) to the extent possible to avoid potential confusion with methods provided in those specifications. By convention, references to other provisions of the MoDOT Engineering Policy Guide are indicated as “EPG XXX.XX” throughout these guidelines where the Xs are replaced with the appropriate article numbers. Similarly, references to provisions within the AASHTO LRFD Bridge Design Specifications are indicated as “LRFD XXX.XX”.

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751.38.1.2 General Design Considerations

Commentary for EPG 751.38.1.2 General Design Considerations

Footings shall be founded to bear a minimum of 36 in. below the finished elevation of the ground surface. In cases where scour, erosion, or undermining can be reasonably anticipated, footings shall bear a minimum of 36 in. below the maximum anticipated depth of scour, erosion, or undermining.

Footing size shall be proportioned so that stresses under the footing are as uniform as practical at the service limit state.

Long, narrow footings supporting individual columns should be avoided unless space constraints or eccentric loading dictate otherwise, especially on foundation material of low capacity. In general, spread footings should be made as close to square as possible. The length to width ratio of footings supporting individual columns should not exceed 2.0, except on structures where the ratio of longitudinal to transverse loads or site constraints makes use of such a limit impractical. For spread footings supporting overhead sign structures the length to width ratio of footings supporting individual columns may be as high as 4.0.

Footings located near to rock slopes (e.g. rock cuts, river bluffs, etc.) shall be located so that the footing is founded beyond a prohibited region established by a line inclined from the horizontal passing through the toe of the slope as shown in Figure 751.38.1.2. The boundary of the prohibited region shall be established by the Geotechnical Section. For the purposes of this provision, the toe of the slope shall be the point on the slope that produces the most severe location for the active zone. Exceptions to this provision shall only be made with specific approval of the Geotechnical Section and shall only be granted if overall stability can be demonstrated as provided in EPG 751.38.7.

Fig. 751.38.1.2 Prohibited region for spread footings placed near rock slopes unless exception is specifically approved by MoDOT Geotechnical Section.

Footings located near to soil slopes shall be evaluated for overall stability as provided in EPG 751.38.7 unless they are located a minimum distance of 2B beyond the crest of the slope.

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751.38.1.3 Related Provisions

The provisions in these guidelines were developed presuming that design parameters required to apply the provisions are established following current MoDOT site characterization protocols as described in EPG 321. Specific attention is drawn to EPG 321.3 Procedures for Estimation of Geotechnical Parameter Values and Coefficients of Variation. The provisions provided in this subarticle presume that parameter variability, as generally represented by the coefficient of variation (COV), is established following procedures in EPG 321.3.

Sign structure spread footing supports are the exception. Sign structure standard spread footings are developed using assumed soil properties and following AASHTO LRFD Bridge Design Specifications 9^th Edition for design. Site specific designs for spread footings for sign structure support may also follow AASHTO LRFD Bridge Design Specifications 9^th Edition if there is not enough geotechnical information available to establish the COV.

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751.38.8.3 Details

Hooks at the end of reinforcement are not required for spread footings supporting sign structures. Include reinforcement near the top of spread footings supporting sign structures as required for uplift and in accordance with design requirements.

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G8. Drilled Shaft

(G8.1) Include underlined portion when a minimum thickness is required and shown on the plans as minimum.

Thickness of permanent steel casing shall be as shown on the plans and in accordance with Sec 701.

(G8.2) Note may not be required with drilled shafts for high mast tower lighting.

An additional 4 feet has been added to V-bar lengths and additional __-#_-P___ bars have been added in the quantities, if required, for possible change in drilled shaft or rock socket length. The additional V-bar length shall be cut off or included in the reinforcement lap if not required. The additional P bars shall be spaced similarly to that shown in elevation, if required, or to a lesser spacing if not required, but not less than 6-inch centers.

(G8.3) Note not required with drilled shafts for high mast tower lighting.

Sonic logging testing shall be performed on all drilled shafts and rock sockets.

(G8.4) Note to be used only with Drilled Shafts for High Mast Tower Lighting.

Drilling slurry, if used, shall require desanding.

(G8.5) Note to be used only with Drilled Shafts for High Mast Tower Lighting. Drilled shaft diameter is required to be at least 21 in. greater than the largest anticipated anchor bolt circle diameter per the DSP - High Mast Tower Lighting.

The following non-factored base reactions were used to design the drilled shafts for the       ft. high mast lighting towers: overturning moment = * kip-foot, base shear = * kip and axial force = * kip.

 *Values used in the design of the drilled shaft.

(G8.6) Use the following note only when the tops of drilled shafts are ≤ 3'-0" below the ground surface at centerline column / drilled shaft. Otherwise excavation quantity to the top of drilled shafts needs to be figured. Excavation diameter limit will be the 3'-0" larger than the column diameter above the drilled shaft.

The cost of any required excavation to the top of the drilled shafts will be considered completely covered by the contract unit price for other items.

(G8.7)

The tip of casing shall not extend into the rock socket elevation range reported in the Foundation Data table without approval by the engineer.

(G8.8) Use the following note when non-contact or contact lap is required at the top of drilled shaft between column/dowel reinforcement and drilled shaft reinforcement.

Column or dowel reinforcement shall be placed prior to pouring drilled shaft concrete in the area of the lap. Dowel bar or column reinforcement shall not be inserted after drilled shaft pour is complete.

(G8.9) For oversized shafts, use the following note in conjunction with callout for optional construction joint near top of drilled shaft.

Remove sediment laitance and weak concrete to sound concrete prior to setting column/dowel reinforcement if optional construction joint is used.

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Category:901 Lighting

Nonstandard Lighting Structures

If any lighting installation being considered will use a special or nonstandard structure or with dimensions exceeding those shown in the Standard Plans, Traffic should be consulted early in the project planning regarding the installation’s feasibility and necessary contract provisions. Examples of this situation are high mast lighting and exceeding lengths on the Standard Plans.

Since designing details for nonstandard installations is typically performed by an outside engineer employed by the contractor or producer and is certified to MoDOT, the project contract documents must include appropriate requirements about the design standards used. Since structures beyond MoDOT's standard designs are involved, a performance-based specification of the design signed and sealed by a Missouri Registered Professional Engineer is needed from the contractor. Certification to the current AASHTO Standard Specifications for Structural Supports for Highway Signs, Luminaires and Traffic Signals including the latest fatigue provisions is required. For standard detailing notes regarding drilled shafts for High Mast Tower Lighting, see [[751.50_Standard_Detailing_Notes#G8._Drilled_Shaft|EPG 751.50 Standard Detailing Notes G8.4 and G8.5].

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901.7.6 High Mast Lighting

High mast lighting is principally used at complex interchanges and lights a large area by a group of luminaires mounted in a fixed orientation at the top of a tall mast, generally 80 ft. or taller. The district must authorize high mast lighting. The request for high mast lighting conceptual approval is to be included with the lighting warrants. Data supporting the selection of pole height, pole location and type of luminaires is to be included with the preliminary lighting plan. Where high mast lighting is used at complex interchanges, adaptation lighting is recommended for each section where vehicles enter and leave the interchange.

The district is responsible for all bid items associated with high mast lighting and to design the foundation and the structure above the foundation for inclusion in the project plans.

For standard detailing notes regarding drilled shafts for High Mast Tower Lighting, see [[751.50_Standard_Detailing_Notes#G8._Drilled_Shaft|EPG 751.50 Standard Detailing Notes G8.4 and G8.5].

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REVISION REQUEST 4190

copy only table 490.16.4

Table 940.16.4

Driveway Traffic Category	Average Daily Traffic Using Driveway	Peak Hour Traffic Using Driveway	Width at Right of Way Line With Two-Way Access6	Width at Right of Way Line With Two-Way Access6	Right-Turn Radius for Driveways in Urban Areas (At or below 45 mph Posted Speed)	Right-Turn Radius for Driveways in Rural Areas (Greater than 45 mph Posted Speed)
Residential	0 - 100	0 - 10	20 ft.1 - 30 ft.2	NA	10 ft.	25 ft.
Agricultural7	0 - 100	0 - 10	30 ft.1 - 40 ft.2	NA	20 ft. - 30 ft.5	30 ft. - 40 ft.5
Low Volume Commercial/Industrial	< 1500	< 150	28 ft.2 - 42 ft.3	20 ft.1	25 ft.	50 ft.
Medium Volume Commercial/Industrial	1,500 - 4,000	150 - 400	42 ft.3 - 54 ft.4	20 ft.1 - 30 ft.2	Design to handle typical large truck that uses the driveway	Design to handle typical large truck that uses the driveway
High Volume Commercial/Industrial	> 4000	> 400	Determined through a traffic study - normally 42 ft. or greater	Generally not applicable	Design to handle typical large truck that uses the driveway	Design to handle typical large truck that uses the driveway
1 One-lane driveways.
2 Driveway striped for two lanes.
3 Driveway striped for three lanes.
4 Driveway striped for four lanes.
5 Uncurbed radius or taper
6 Larger widths up to 60ft may be allowable when right of way is too narrow to accommodate turning radius or based on engineering judgment.
7 Larger widths up to 60ft may be allowable dependent on the type of agricultural activities and equipment the driveway would be expected to accommodate based on engineering judgement.

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REVISION REQUEST 4191

902.4.1 General (MUTCD Section 4D.01)

Support. The features of traffic control signals of interest to road users are the location, design, and meaning of the signal indications. Uniformity in the design features that affect the traffic to be controlled, as set forth in this Manual, is especially important for the safety and efficiency of operations.

Traffic control signals can be operated in pretimed, semi-actuated, or full-actuated modes. For isolated (non-interconnected) signalized locations on rural high-speed highways, full-actuated mode with advance vehicle detection on the high-speed approaches is typically used. These features are designed to reduce the frequency with which the onset of the yellow change interval is displayed when high-speed approaching vehicles are in the “dilemma zone” such that the drivers of these high-speed vehicles find it difficult to decide whether to stop or proceed.

EPG 902.23.1 contains information regarding traffic control signal operation.

Standard. The design and operation of traffic control signals shall take into consideration the needs of all modes of traffic including access and safety.

When a traffic control signal is not in operation, such as before it is placed in service, during seasonal shutdowns, or when it is not desirable to operate the traffic control signal, the signal heads shall be covered, turned, or taken down to clearly indicate that the traffic control signal is not in operation.

If a traffic control signal head is not in operation and has a yellow retroreflective strip along the perimeter of its signal backplate (see the fifth option paragraph of EPG 902.4.6), the signal head, shall be covered. If a cover is placed over a traffic control signal head that is not in operation, the entire signal head, including the signal faces and backplate shall be covered.

Standard. A traffic control signal shall control traffic only at the intersection or midblock location where the signal faces are placed.

Guidance. Midblock crosswalks should not be signalized if they are located within 1,000 feet from the nearest traffic control signal, unless supported by an engineering study or engineering judgment that indicates safe and efficient operation of the closely-spaced traffic control signals can be achieved.

Midblock crosswalks should not be signalized if they are located within 100 feet from side streets or driveways that are controlled by STOP signs or YIELD signs, unless supported by an engineering study or engineering judgment that considers restricting turning movements from the side street or driveway to eliminate conflicts with pedestrian and bicyclist movements.

Engineering judgment should be used to determine the proper phasing and timing for a traffic control signal. Since traffic flows and patterns change, phasing and timing should be reevaluated regularly and updated if needed.

Traffic control signals within ½ mile of one another along a major route or in a network of intersecting major routes should be coordinated, preferably with interconnected controller units. Where traffic control signals that are within ½ mile of one another along a major route have a jurisdictional boundary or a boundary between different signal systems between them, coordination across the boundary should be considered.

Support. Signal coordination need not be maintained between control sections that operate on different cycle lengths.

EPG 902.6.19 and EPG 913.4.9 contain information about coordination of traffic control signals with grade crossing signals.

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REVISION REQUEST 4202

236.5.29 License Plate Readers

Automated License Plate Readers (LPRs) and Pan-Tilt-Zoom cameras (PTZs) are an increasingly popular way for law enforcement to better locate vehicles associated with criminal activity. The deployment of these devices on Commission right of way require FHWA approval and shall not create a safety risk for the traveling public or interfere with MoDOT’s ability to maintain and operate the transportation system.

The general process for LPR and PTZ requests is outlined in EPG 941.10.

It is the requesting law enforcement agency’s responsibility to contact MoDOT’s local traffic permit specialist to initiate the permitting process, after approval from Department of Public Safety (DPS) has been received. The local district traffic representative will work with the applicant through the permitting process.

Once the district traffic staff determine the LPRs or PTZs are eligible to be deployed on Commission right of way, the district traffic staff will forward the drafted permit via the permit database to Central Office Right of Way (COROW). CO ROW will then gather the following items to seek FHWA approval:

• Cost estimate including the device and pole, and fair market value of the device location
• Environmental clearance - categorical exclusion approval

Once COROW gathers the items listed above, they will include the following items in their submittal to FHWA for approval:

• FHWA LPR Nonhighway Use Request Letter
• DPS approval letter
• Roles and Responsibilities document
• Plans including type and location of equipment to be installed

Upon receiving FHWA approval, COROW will upload the FHWA approval documentation in the permit database and notify the district traffic staff they may proceed with issuing the permit. If FHWA does not approve, the permit cannot be issued.

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941.10 Automated License Plate Readers and Pan-Tilt-Zoom Cameras

Additional Resources

License Plate Readers SharePoint Site (MoDOT Access Only)

LPR Flowchart and Installation Locations

General LPR Typical Details

Flock LPR Typical Details.

Automated License Plate Readers (LPRs) and Pan-Tilt-Zoom cameras (PTZs) are an increasingly popular way for law enforcement to better locate vehicles associated with criminal activity. These high-tech devices allow law enforcement agencies to compare plate numbers against those of stolen vehicles and vehicles driven by individuals with expired licenses, an active warrant, or involved with terrorist activities.

The deployment of these devices on Commission right of way shall not create a safety risk for the traveling public or interfere with MoDOT’s ability to maintain and operate the transportation system. All costs associated with the installation and maintenance of the LPRs and PTZs will be the responsibility of the applicant. The following guidance applies to any LPR or PTZ installed on Commission right of way.

941.10.1 Approval Process

The general process for LPR and PTZ requests are outlined in the LPR Flowchart. Law enforcement agencies must request approval, in writing, for deploying LPRs and PTZs from the Director of the Department of Public Safety. Requests are to be on the law enforcement agency letterhead and emailed to the Department of Public Safety at dpsinfo@dps.mo.gov.

The Department of Public Safety (DPS) provides approval for the use of LPR and PTZ devices. MoDOT only facilitates the administration of work by others on Commission right of way. MoDOT’s permitting process will be followed for the constructability and maintenance of the devices to ensure the safety of the traveling public. If an issue is identified through our normal permitting process and cannot be resolved, a permit for this work will not be issued.

It is the requesting law enforcement agency’s responsibility to contact MoDOT’s local permit specialist to initiate the permitting process, after approval from DPS has been received. Contact information for MoDOT’s local permit specialists can be found using the District Permit Maps.

The local district traffic representative will work with the applicant through the permitting process. The permit request submittal must include:

• An aerial image, or map, depicting all the individual LPR locations included in the submittal.
• An aerial image for each LPR location included in the submittal clearly showing where the proposed installation with respect to the roadway and other structures on the right of way.
• A set of drawings, or plans, showing the hardware and their installation details proposed on the right of way, which must be signed and sealed by a Missouri Professional Engineer (P.E.).
• This applies to stand alone installations as well as installations on approved existing structures on right of way, such as signal and sign truss uprights.
• Executing a Roles and Responsibilities document to specifically address the expectations of maintaining the devices being installed.
• A plan to provide electricity to the equipment as well as retrieving data from the equipment.
• A traffic control plan for any proposed work on the right of way to notify and guide motorists safely through the activity area.
• A surety deposit or performance bond to insure satisfactory work, accepted by MoDOT.

A separate permit may be provided for the applicant, or their consultant, to access the right of way to collect information needed to develop a set of plans for installing the devices.

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941.10.2 Location

When receiving a request, the district traffic staff will work with the law enforcement agency to determine if there are acceptable locations for the proposed installations off MoDOT right of way. If there are no appropriate locations off of right of way, the district traffic staff will work with the agency to determine if the LPRs and PTZs requested can be deployed on Commission right of way.

LPR and PTZ installations on Commission right of way shall only monitor traffic on MoDOT roadways and shall not be used to monitor off system roadways, such as county, city, or private facilities.

Once the district traffic staff determine the LPRs or PTZs are eligible to be deployed on Commission right of way, the district traffic staff will forward the drafted permit via the permit database to Central Office Right of Way (COROW). See section 236.5.29 for COROW’s review and process for requesting FHWA’s approval.

Upon receiving FHWA approval, COROW will upload the FHWA approval documentation in the permit database and notify the district traffic staff they may proceed with issuing the permit. If FHWA does not approve, the permit cannot be issued.

941.10.2.1 LPR and PTZ Non-Permanent Installations - Speed Enforcement Trailers

The only form of non-permanent structure that LPR and PTZ devices may be deployed on, when placed on Commission right of way, are speed trailers. However, speed trailers shall only be deployed for the primary purpose of speed enforcement and not for the primary purpose of deploying LPR and PTZ devices. When speed trailers are deployed, the electronic speed message must be active and the unit deployed and delineated in accordance with EPG 907.8 Speed Trailers Deployed by Others.

941.10.2.2 LPR and PTZ Permanent Installations

To ensure LPR and PTZ devices do not represent an added risk to the traveling public, there are defined installation locations which are acceptable on Commission right of way. Acceptable installation locations include:

• Only deployed on the right side of the roadway outside of the shoulder.
• On MoDOT traffic signal upright poles, except in instances where deployment will interfere with other devices already attached to the pole.
• On MoDOT overhead sign truss upright poles.
• On any non-breakaway structure owned by a third party, with the written permission of the third party.
• On independent support behind barrier (installed and maintained by requesting agency or their LPR vendor) in accordance with the guidance in EPG 941.10.2.2.3.
• On independent breakaway support that has been crash tested by the LPR vendor and approved by MoDOT. See EPG 941.10.2.2.3 for approved systems.

Locations where LPR and PTZ devices shall not be installed include, but are not limited to:

• Any installation in the median / left side of a divided highway.
• Any overhead location.
• On any existing structure on right of way which has a breakaway design, whether it is owned by the Commission or a third party.
• Any bridge structure.
• Any location that already has a device installed.
• Any location that may interfere with MoDOT's ability to manage the transportation system.

MoDOT does not allow the deployment of LPR and PTZ devices overhead or in the median as these locations would result in increased impact on the safety and mobility of the traveling public when performing installation and maintenance activities. LPR and PTZ devices are not permitted on any existing structure which is designed as a breakaway device on Commission right of way, regardless of ownership, as the addition of these devices could negatively impact the performance and safety of the breakaway structure.

There are three methods identified for deploying LPR and PTZ devices on Commission right of way, all of which must be approved by MoDOT and installed under a MoDOT permit:

• LPRs and PTZs installed on MoDOT structures.
• LPRs and PTZs installed on non-MoDOT structures.
• LPRs and PTZs installed on new stand-alone structures.

941.10.2.2.1 LPRs and PTZs Installed on MoDOT Structures

LPRs and PTZs can be attached to MoDOT’s existing traffic signal upright poles and existing sign truss upright poles upon review and approval by MoDOT.

Green Box Indicates Acceptable Mounting Location on a
Traffic Signal, Red Boxes are Unacceptable Mounting Locations

Green Box Indicates Acceptable Mounting Location on an Overhead Sign Truss,
Red Boxes are Unacceptable Mounting Locations

941.10.2.2.2 LPRs and PTZs Installed on non-MoDOT Structures

There are some structures that have been permitted on Commission right of way which are owned by other entities, such as structures for weigh station bypass equipment or utility poles. Law enforcement agencies have the option to acquire approval from the owners of the structures to utilize them as supports for their LPR and PTZ devices if they meet the following criteria:

• The structure must be reviewed and approved by MoDOT for use.
• Written permission from the owner of the structure must be acquired and supplied to MoDOT.
• Any structure which is of a breakaway design, such as roadway lighting poles or highway signs, are not acceptable support structures.
• Installation location criteria listed in EPG 941.10.2.2 also apply to these structures.

941.10.2.2.3 LPRs and PTZs Installed on New Stand-Alone Structures

To limit the number of structures on Commission right of way, opportunities to locate the LPRs and PTZs off of right of way is the preferred option, followed by an installation location on an existing structure already on right of way. If it is determined a new stand-alone structure is required to facilitate the LPR and PTZ deployment, the following guidance shall be followed:

• The district traffic shall work with the local agency to find a location which meets the requirements outlined on the General LPR Typical Details or Flock LPR Typical Details.
• Stand-Alone LPR and PTZ structures shall be properly spaced away from other traffic control devices, which can include but are not limited to highway signs, traffic signal, roadway lighting poles, etc.:

○ No closer than 200 feet upstream of a traffic control device.

○ No closer than 50 feet downstream of a traffic control device.

• Installation and maintenance access should be via adjacent private property or secondary roadways for divided highway, unless physically impossible.

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REVISION REQUEST 4213

109.12 only

The primary purpose of a change order is to document a supplemental change to the contract. The official definition, as stated in Sec 101, is as follows:

Change Order - A written order from the engineer to the contractor, as authorized by the contract, directing changes in the work as made necessary or desirable by unforeseen conditions or events discovered or occurring during the progress of the work.

The second most primary purpose of the change order process is to ensure proper authority has been granted before proceeding with revisions in quantities or changes in scope of work, design concept, time or specifications. Changes in scope should be limited to the original intent, purpose and limits (length and width) of the job. In instances where proposed changes in scope go beyond these original job parameters, the change order shall be considered a major change order (Sequence 4). Significant scope changes require the State Construction and Materials Engineer to discuss the requested changes with the Asst. Chief Engineer prior to granting approval.

Change orders must have approval at all required levels before the work proceeds. Exceptions are granted for routine or minor changes, or emergency revisions for which verbal approval has been granted. In rare cases it may be necessary to proceed with emergency measures without prior approval. In such cases, verbal approval should be sought as soon as practicable. Indicate in the DWR remarks the name of the individual who provided verbal approval. For change orders that provide payment for additional work, all attempts should be made to complete the process promptly so that the contractor can be compensated at the end of the pay period in which the work was performed.

Design Changes - When the change order is a result of a design change, all appropriate design criteria should be reviewed in coordination with the Transportation Project Manager. If the design criteria cannot be met, a Design Exception is required. See EPG 131.1.4.

Environmental Change Orders - Any design changes that include disturbance of new areas on the project, or that include any other unplanned environmental impacts, should be reviewed by the Project Manager to determine if a request for environmental services is necessary prior to implementation.

Job Order Contract Change Orders - Job Order Contracts have unique contract terms that limit spending to a budgeted amount and often include pre-approved time extensions. Reference EPG 147.3.9 Change Order Approvals for additional guidance on administration of change orders for Job Order Contracts.

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131.1.1 When to Complete a Design Exception

Forms

● Design Exception Information Form

● Vertical Clearance Design Exception Coordination with SDDCTEA

A design exception documents design elements of an improvement that vary from general guidance on engineering policy. In most cases, the need for an exception results from an inability to reasonably meet the design criteria. The determination to approve a project design that does not conform to the minimum criteria is to be made only after due consideration is given to all project conditions such as maximum service and safety benefits for the dollar invested, compatibility with adjacent sections of roadway and the probable time before reconstruction of the section due to increased traffic demands or changed conditions.

An approved exception documents the engineering-based determination that variance from MoDOT’s published engineering policy is necessary and appropriate. It is the primary tool to detail not only the decision itself but also what was considered when the decision was made.

When there is doubt whether a design exception is required, the Assistant State Design Engineers, Assistant State Bridge Engineer, Structural Liaison Engineer (SLE), or the Design Liaison Engineer (DLE) for the district should be consulted.

A design exception is encouraged whenever it is feasibly or technically impossible to reasonably meet the minimum design criteria or wherever there is potential for additional value outside of written engineering policy. Design exceptions should not be considered breaches of policy as much as opportunities to add practicality or value to the design.

An approved exception is not a request for permission; rather, it simply documents deliberate variances from general engineering policy.

The Federal Highway Administration (FHWA) Design Decision Documentation and Mitigation Strategies for Design Exceptions may be used in the development of the design exception.

131.1.2 The 10 Controlling Criteria

There are 10 controlling criteria that the FHWA has identified as the most important or critical elements for the design of projects on the National Highway System (NHS). FHWA only approves design exceptions for the controlling criteria listed in Table 131.1.2 when it has determined that a project is a Project of Division Interest (PODI) with Design Exception selected.

The controlling criteria, which vary based upon the type of route and design speed, are described below:

Table 131.1.2 Controlling Criteria

NHS with Design Speed > 50 mph		NHS with Design Speed < 50 mph		Non-NHS
Design Speed		Design Speed		(No Controlling Criteria)
Design Loading Structural Capacity		Design Loading Structural Capacity
Lane Width
Shoulder Width
Horizontal Curve Radius
Superelevation Rate
Stopping Sight Distance
Maximum Profile Grade
Cross Slope
Vertical Clearance

A design exception approved only by MoDOT is required for all other non-complying design elements on projects which are designated for federal involvement for design exceptions and for all non-complying design elements on all other projects not designated for federal involvement for design exceptions.

131.1.3 Approval Requirements

Table 131.1.3 Design Exception Required Approvals

Category	PODI Designated	Controlling Criteria*	FHWA	MoDOT
NHS	Yes	Yes	✓	✓
		No		✓
	No	Yes or No		✓
Non-NHS	Yes or No	N/A		✓
* Applicable Controlling Criteria as indicated in EPG 131.1.2.

131.1.3.1 Projects of Division Interest (PODI)

See EPG 123.1.1 FHWA Oversight - National Highway System for information on federal involvement on projects and for the PODI matrix.

131.1.4 The Design Exception Process

Requests for design exceptions are submitted when the need first arises; however, they may be submitted at any time and specifically along with the conceptual study, preliminary plan, right of way certification, or final plans. All design exceptions should be approved prior to and submitted with the plans, specifications, and estimate (PS&E). In general, it is best to identify, consider, and execute the design exception as early as practical in the design process. When a design change is required during construction, the Resident Engineer should contact the Transportation Project Manager (TPM). If that design change has elements that do not meet design standards, a design exception is required. The normal design exception process is followed.

When the need for a design exception has been identified, the TPM, Structural Project Manager (SPM), or consultant representative is responsible for completing the standard Design Exception Information Form. The form must include a detailed description of the rationale for the change and the appropriate supporting documentation to satisfactorily justify the decision and document any mitigation efforts associated with varying from the engineering policy. Previous approval of an item should not be considered approval of the item on any future project. Approval for future projects must be sought on a case-by-case basis.

Project managers (consultant, transportation or structural) and their design staff should recognize the importance of an open and transparent decision making process while considering the suitability and appropriateness of a given design element that is not consistent with current policies. Since engineering policy is established through a collaborative effort, it is critical to engage all appropriate staff when making the decision not to meet policy. While completing the form, communication with the appropriate staff, including the DLE, a representative of any affected MoDOT division and FHWA (when applicable), is critical to ensure efficient and effective review and approval. For efficient processing and to avoid delays, this communication should occur prior to the formal submittal. Depending upon the item being excepted and the type of project, the appropriate review staff and signatory parties will vary.

Central Office staff should be consulted and provide review of the draft design exception prior to district approval. Design exceptions involving safety related items (see EPG 131.1.5) should be reviewed by the District Traffic Engineer and/or Highway Safety and Traffic Division prior to district approval. For design-bid-build projects, a final copy of the design exception is saved in eProjects using the appropriate content type: DE Design Exceptions, with all necessary checkboxes for Type of Exception checked. Staff should include any pertinent information in the Comments Section within the eProjects metadata. For design-build projects, approved design exceptions incorporated into the project are saved in the design-build projects SharePoint site in an Approved Design Exceptions folder.

PODI design exceptions are processed through the DLE for the State Design Engineer and FHWA signatures of approval. The DLE provides the electronic copy of the fully approved design exception back to the TPM for placement in eProjects.

FHWA reserves the right to audit the design exceptions of any federal aid project regardless of level of oversight.

131.1.4.1 The Development, Concurrence and Approval Process

In addition to the applicable process requirements described below, vertical clearance design exceptions on the interstate must also follow the additional requirement described in EPG 131.1.7 Deficient Vertical Clearances on Interstates.

131.1.4.1.1 Roadway Design Exceptions

Upon the core team's determination that a design exception is warranted, the following process should be used for design exception submittals relating to roadway items only:

Conceptual Approval:

1. The TPM working with the Consultant Project Manager, if applicable, submits the design exception information form and supporting information to the DLE, the District Design Engineer (DDE), FHWA (if applicable) and any other pertinent district and division staff.
2. The contacted division and district representatives will respond with any necessary comments or concerns, request additional information if necessary or will request an opportunity to meet and discuss the issue.
3. The TPM works with staff to appropriately address or resolve comments, concerns or objections and finalizes the design exception.
4. The TPM submits the design exception including all supporting documentation in a single pdf file for signature according to the flowchart below.

Formal Approval:

Signatures for approval should be obtained in accordance with the following flowchart:

alt=Flowchart Start - Need for design exception (DE) identified - Go to Process 1 Process 1 MoDOT TPM (and consultant PM, if applicable) obtain conceptual approval of DE – confer with District, Divisions, and FHWA (if applicable) - Go to Process 2 Process 2 - DE revised based on conceptual approval comments - Go to process 3 Process 3 - DE reviewed by DLE - Go to Decision 1 Decision 1 - Is the project designed by a consultant? - If yes, go to Process 4, If no, go to Process 5 Process 4 - Consultant PM signs DE - Go to Process 5 Process 5 - TPM signs DE - Go to Process 6 Process 6 - DLE signs DE - Go to Process 7 Process 7 - TPM obtains District Engineer Signature - Go to Decision 2 Decision 2 - Is FHWA approval required by EPG 131.1.4? If yes, go to Process 8. If no, go to End. Process 8 - TPM sends DE to DLE - Go to Process 11 Process 9 - DLE obtains State Design Engineer signature - Go to Process 10 Process 10 - DLE obtains FHWA signature - Go to Process 10 Process 11 - DLE returns DE to TPM - Go to End End - TPM stores DE in eProjects

131.1.4.1.2 Bridge Design Exceptions

The following process should be used for design exception submittals relating to bridge items:

Conceptual Approval:

1. The SPM, or the SLE working with the Consultant Project Manager submits the design exception form to the Assistant State Bridge Engineer, the DLE, the Transportation Project Manager, FHWA (if applicable) and any other pertinent district and division staff.
2. The contacted division and district representatives will respond with any necessary comments or concerns, request additional information if necessary or will request an opportunity to meet and discuss the issue (if significant objection is determined).
3. The SPM/SLE works with staff to appropriately address or resolve comments, concerns or objections and finalizes the design exception.
4. The SPM/SLE submits the design exception including all supporting documentation in a single pdf file for signature according to the flowchart below.

Formal Approval:

Signatures for approval should be obtained in accordance with the following flowchart:

alt=Flowchart Start - Need for design exception (DE) identified - Go to Process 1 Process 1 MoDOT TPM (and consultant PM, if applicable) obtain conceptual approval of DE – confer with District, Divisions, and FHWA (if applicable) - Go to Process 2 Process 2 - DE revised based on conceptual approval comments - Go to process 3 Process 3 - DE reviewed by DLE - Go to Decision 1 Decision 1 - Is the project designed by a consultant? - If yes, go to Process 4. If no, go to Process 5 Process 4 - Consultant PM signs DE - Go to Process 5 Process 5 - TPM signs DE - Go to Process 6 Process 6 - DLE signs DE - Go to Process 7 Process 7 - SLE/SPM signs DE - Go to Process 8 Process 8 - State Bridge Engineer signs DE - Go to Process 9 Process 9 - TPM obtains District Engineer Signature - Go to Decision 2 Decision 2 - Is FHWA approval required by EPG 131.1.4? If yes, go to Process 10. If no, go to End. Process 10 - TPM sends DE to DLE - Go to Process 11 Process 11 - DLE obtains State Design Engineer signature - Go to Process 12 Process 12 - DLE obtains FHWA signature - Go to Process 13 Process 13 - DLE returns DE to TPM - Go to End End - TPM stores DE in eProjects

131.1.4.1.3 Both Roadway and Bridge Item Related Design Exceptions

Occasionally, both roadway and bridge items will need to be included. In these instances, the TPM and the SLE/SPM should agree to a single point of contact for the review, concurrence and approval of the design exception and will ensure that the appropriate staff members are properly engaged throughout the process.

131.1.4.2 Issue Resolution

The review and concurrence process is intended to avoid any significant objections, questions or concerns during the approval process, however, occasionally these issues may arise. In this instance, the design exception approval process may be put on hold until the issue can be resolved by the appropriate staff members. The TPM or SLE/SPM will remain the primary contact to address any request for additional information or consideration.

131.1.5 Completing the Design Exception Information Form

Whenever engineering policy cannot be met, data for only those non-standard items is listed on the form. This data includes a brief description of the project and the improvement goals that are being attempted. This information is required since the context of the project often helps in deciding if approval of the exception is appropriate. Additionally, the data should include the details related to the location (limits) associated with the solution, the existing condition (if applicable), the standard design criteria for that feature, and the proposed design solution. The column shown for the existing condition is not applicable to new construction. The appropriate values for desired design criteria are shown in the third column. The design criteria for new construction on rural and urban highways are stated in individual articles pertaining to each geometric element discussed in the EPG 200 Geometrics articles. Design criteria for 3R and 4R projects are discussed in EPG 128 Conceptual Studies. The criteria for proper access management can be found in EPG 940 Access Management.

All design exceptions must suitably explain the justification for the exception. It is imperative that this justification be sufficiently complete to clearly reflect that the designer exercised reasonable care in the selection of a particular highway design. Design exceptions often arise because it is impractical or impossible to reasonably meet engineering policy. The justification may include appropriate economic analysis, discussion of applicable accident location and type or discussion of avoidance of Section 4(f) or Section 6(f) lands. The justification supports the concept that maximum service and safety benefits were realized for the cost invested. Engineering judgment is used when balancing the economic and engineering reasons for the justification. A design exception is based on sound engineering judgment rather than being solely an attempt to save cost.

In general all design exceptions should include the following:

• Specific design criteria that will not be met.
• Existing roadway characteristics.
• Alternatives considered.
• Comparison of the safety and operational performance of the roadway and other impacts such as right-of-way, community, environmental, cost, and usability by all modes of transportation.
• Proposed mitigation measures.
• Compatibility with adjacent sections of roadway.

Note: The level of analysis should be commensurate with the complexity of the project.

In addition to the information above, exceptions for the Design Speed and Design Loading Structural Capacity criteria should include the following information;

Design Speed exceptions:

• Length of section with reduced design speed compared to overall length of project
• Measures used in transitions to adjacent sections with higher or lower design or operating speeds.

Design Loading Structural Capacity exceptions:

• Verification of safe load-carrying capacity (load rating) for all state unrestricted legal loads or routine permit loads, and in the case of bridges and tunnels on the interstate, all federal legal loads.

For design exceptions related to existing conditions, a review of the existing condition crash history is required. The review should focus on crash types to which the design element may relate with a special consideration to fatal and injury crashes. A summary report of the crash information is acceptable if the volume of the data is excessive. Specific attention should be paid to design elements that have a direct impact on safety. Examples of such design elements include, but are not limited to, the following: design speed, stopping sight distance, passing sight distance, lane width, shoulder width, shoulder type, rumble strips, turn lanes, access management requirements, bridge approach rail, horizontal alignment, vertical alignment, grade, horizontal clearance, vertical clearance, guardrail, etc.

In addition, if the design exception request involves safety related features that are adequately addressed in the AASHTO Highway Safety Manual, then documentation of the exception should include a safety analysis as described in the manual. Typically, this process will involve two primary determinations:

• Calculate the expected change in crashes from existing conditions to standard design conditions.
• Calculate the expected change in crashes from existing conditions to the proposed design.

The proposed design should take into account any design exceptions as well as any additional safety features above and beyond the standard design.

By making these two determinations, a quantitative safety comparison can be made between existing conditions, the standard design, and the proposed design. This information, along with other project considerations, can be used to help determine the best design alternative. A list of features currently addressed by the manual include: lane width, shoulder width, shoulder type, center line rumble strips, horizontal alignment (length, radius), grade, roadside hazard rating, fixed objects, driveway density, median width, sideslope, lighting, intersection skew angle and turn lanes. Not all features in the manual are addressed for every facility type. If a feature is not addressed in the manual, a statement should be included on the design exception stating that fact. For features not addressed in the HSM, a qualitative discussion may be included.

131.1.6 Revising an Approved Design Exception

Changes in project scope or design criteria can result in changes to design exceptions that have previously been approved. In these cases, a revised design exception must be completed and approved (as described above). The reasoning on revised design exceptions should address the changes and an explanation of the circumstances leading to the revision. The original design exception should accompany the revised information in order to illustrate the changes.

131.1.7 Deficient Vertical Clearances on Interstates

Maintaining the integrity of interstates for national defense purposes has long been recognized. Interstates are intended to be constructed and maintained to meet AASHTO Policy as stated in A Policy on Design Standards - Interstate System, which is incorporated by reference in 23 CFR 625. Maintaining standard vertical clearances to the extent possible for defense mobilization is considered particularly important and is a focus at the national level. As a result, the FHWA has agreed that all exceptions to a 16 foot (16') vertical clearance standard for the rural Interstate routes or on a single routhe through urban areas must be coordinated with the Surface Deployment and Distribution Command Transportation Engineering Agency (SDDCTEA) of the Department of Defense. This coordination applies whether it is a new construction project, a project that does not provide for the correction of an existing substandard condition, or a project that creates a substandard condition at an existing structure. The steps involved are:

1. For a vertical clearance over any interstate highway that will be less than 16 ft. meeting the above criteria, the district submits to the Design Division a completed SDDCTEA Interstate Vertical Clearance Coordination Form along with a Design Exception for vertical clearance.
2. The DLE emails the Bridge Inventory Analysts and requests the Structure NBI number for box 2 on the Vertical Clearance Design Exception Coordination with SDDCTEA Form.
3. Concurrent with the submission or routing of the Design Exception, the DLE submits the SDDCTEA Form to the SDDCTEA and copies FHWA. This may be done electronically using the contact information on the Vertical Clearance Design Exception Coordination with SDDCTEA.
4. A response from SDDCTEA should occur within 10 working days following receipt of the coordination request. Receipt of the request can be verified with SDDCTEA via telephone, fax, or email. If there is no response after 10 working days following receipt, it can be determined that SDDCTEA does not have any concerns about the proposed exception.
5. The DLE informs FHWA as to the final outcome of the SDDCTEA request.

REMOVED CAT LINK!!!!

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UPDATING LINKS!!!!

Forms Box EPG 139 from d1 https://epg.modot.mo.org/forms/general_files/DE/DB-202a_Design_Exception_Summary.xlsx form d2 https://epg.modot.mo.org/forms/general_files/DE/DB-202b_Design_Exception_Form.docx

Forms Box EPG 136.7.2.7 Design Exception Information form[ https://epg.modot.mo.org/forms/general_files/DE/DesignExceptionInformationForm.docx

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REVISION REQUEST 4220

751.8.1.5 Precast Culvert

General

All MoDOT cast-in-place (CIP) concrete box culverts are allowed to be constructed using alternate precast concrete box culvert sections in accordance with Sec 733, unless specified otherwise. Requirements for submitting special or modified designs are described in Sec 1049. Precast split-box designs in accordance with ASTM C1786 with or without modification are not an acceptable precast alternative.The converse is not true and precast concrete box culverts may be specified only. Pay items and quantities shall remain unchanged from those typically used for CIP concrete box culverts. When a box culvert is required to be constructed using precast concrete box culvert sections because of an accelerated timeline for construction, pay item and quantity of the precast box culvert shall be based on the length of the precast culvert to the nearest foot measured along the geometrical center of the culvert floor.

Pedestrian Box

Where a precast concrete box culvert could be used as a pedestrian (or “people”) box for walk-through or bicycle path, having multiple joints typically spaced at not greater than 6 ft. may be unacceptable due to tripping hazards, ponding/freezing (settlement of many smaller length sections) or uncomfortable riding surface. Consideration should also be given to special waterproofing or non-corrosive water stops for watertight construction joints.

Multi-Cells

In multi-cell precast construction the staggered placement of units should be avoided. Staggering units results in an irregular end section that loses continuity over the interior wall(s).

Culvert Ties

Precast box culvert ties in accordance with Sec 733 and Std. Plan 733.00 shall be required for the same reasons as concrete collars are required for CIP concrete box culverts. Typically the regular strength connections details should be used. The extra strength connection details shall be used for special cases requiring higher strengths or greater durability, for example when connecting energy dissipating baffles rings or when under low fills and a roadway. If a precast box culvert is required because of an accelerated timeline and collar beams would otherwise be required then culvert ties shall be specified with the cost of ties being considered completely covered by the contract unit price for the precast box culvert.

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1049.2 Procedure

Inspection and reporting of coarse aggregate, fine aggregate, cement, fly ash shall be as appropriate for those materials.

Prior to concrete being poured, confirm the amount and placement of reinforcement. The amount and placement of welded wire fabric is to be as specified in ASTM C 1577 as applicable.

Compressive tests may be made on either concrete cylinders or cores drilled from the wall of the sections at the option of the manufacturer. If the manufacturer chooses to take cylinders and they fail, the manufacturer then has the option to core sections for possible acceptance.

Cylinders must be made in accordance with AASHTO T 280 and must be capped.

Acceptance cylinders are the responsibility of the manufacturer. An inspector’s job is to review the results for adequacy. It is good procedure to randomly validate the manufacturer results by making cylinders for comparison.

Cores in accordance with AASHTO T 280 must be both capped and lime cured.

The finished sections are to be examined for conformance to dimensions, workmanship and marking. All permissible variations are specified in ASTM C 1577.

Each section shall be marked as follows by the manufacturer by indenting into the concrete or with waterproof paint:

(a) Box section span, rise, table number, design earth cover and specification designation.

(b) Date of manufacture.

(c) Name or trademark of the manufacturer.

(d) Each section shall be clearly marked by indentation on either the inner or outer surface during the process of manufacturer so that the location of the top will be evident immediately after the forms are stripped. In addition, the word "top" shall be lettered with waterproof paint on the inside top surface.

(e) If the manufacturer is allowed to produce under an approved QC program, each section considered by the manufacturer to be specification compliant will be marked by the manufacturer with the indicator required by the QC program. Sections rejected by the manufacturer may be marked or handled in accordance with the QC program but the rejection must be clearly indicated.

(f) If the manufacturer is allowed to produce under an approved QC program, each section to be shipped will be marked by the manufacturer with the Sample ID number provided by the district. If the producer has marked a piece with a Sample ID number, and the section is found to be unacceptable during an audit, the Sample ID number must be neatly obliterated.

Sections accepted by MoDOT inspection are to be marked with "OK-MoDOT" by the inspector. Rejected sections are to be marked with a single vertical mark, near the manufacturers marking and shall be made with weather resistant marking material.

Any modification of a unit, other than constructing a box unit exactly as described in the specifications, is considered a special design, including any pipe cutouts or drainage holes to be made in the unit for any reason, whether prior to, during, or after final placement on site. Any special or modified designs submitted for approval must have been reviewed and sealed by a professional engineer, registered in Missouri, and representing the contractor or producer. Requirements for submitting special or modified designs are described in Sec 1049. Precast split-box designs in accordance with ASTM C1786 with or without modification are not an acceptable precast alternative. Approval of a special design for one job does not constitute approval for any other job.

Submittal of special designs is discussed further in EPG 106.16 Special Designs. Special and modified design units, at the discretion of the district, may not be accepted under a QC program.

If reinforcing bars are proposed in lieu of the welded wire fabric listed in AASHTO, it is considered to be a special design.

If end sections are proposed to be constructed other than by the MoDOT Standard Plans for cast-in-place culverts, it is considered to be a special design. Calculations and other proof of equal or better design must be submitted with the request.

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REVISION REQUEST 4223

New Test Method

106.3.2.100 TM-100, Procedure to Calculate the Slope Ratio (SR) and Stripping Inflection Point (SIP) using the Hamburg Wheel-Track (HWT) Test

1. Run the HWT test in accordance with AASHTO T 324 at 50 +/- 1 º C for 20,000 passes (regardless of the mix type and contract binder grade).

Record rut depth at each cycle or at regular cycle intervals during the test.

2. Plot the average rut depth versus number of cycles up to the 20,000 passes.

Create a graph using Hamburg Test Data Analysis form that is available at MoDOT’s “Forms for Contractor Use” page on MoDOT’s website.

• X-axis: number of wheel passes or cycles.
• Y-axis: rut depth in millimeters.
• Report the average rut depth at 20,000 passes for all asphalt mixtures:

Binder Contract Grade	Minimum Wheel Passes	Maximum Rut Depth (mm)
58-28H / 64-22	20,000	20,000 4 mm
64-22H / 70-22
64-22V / 76-22

• If the average rut depth at 20,000 passes is 4 mm or less, the mixture passes the HWT stripping test and no further analysis is needed. If the rut depth exceeds 4mm, continue with Steps 3 through 5.

3. Identify the two linear portions of the curve.

Determine the two best-fit straight-line sections using a linear regression equation from excel spreadsheet or other graphing tools:

• First portion: steady-state rutting region before stripping begins.
• Second portion: post-stripping region where rutting increases more rapidly.

4. Calculate the slope of each portion.

Use linear regression for each section:

• Slope 1 = slope of the first portion – Creep Slope (M1) from linear regression equation – y = M₁x+ b₁.
• Slope 2 = slope of the second portion – Striping Slope (M2) from linear regression equation – y₂ = M₂x + b₂.

5. Calculate the slope ratio.

Slope Ratio = M₂ ÷ M₁

Where:

• M₁ = slope of the steady-state rutting portion.
• M₂ = slope of the stripping portion.

• If slope ration (M₂ / M₁) is less than 2.0 from the two linear equations from the creep slope and stripping slope for 20,000 passes using HWT test, the mixture passes the HWT stripping test and no further analysis is needed. If the slope ration (M₂ / M₁) is 2.0 or greater, continue with Step 6.

6. Calculate the stripping inflection point.

Find the intersection of the two best-fit lines using linear regression equations determined from Steps 3 through 5.

If the first line is:
y = M₁x + b1

and the second line is:
y = M₂x + b2

then:
SIP = (b2 - b1) ÷ (M₁ - M₂)

Where:

• b1 = intercept of the first portion.
• b2 = intercept of the second portion.
• M₁ = slope of the first portion.
• M₂ = slope of the second portion.

If the stripping inflection point (SIP) is greater than 15,000 wheel passes, then the mixture passes the HWT stripping test and no further analysis is needed.

7. Interpret the Combined HWT Stripping Results.

• A higher SIP generally indicates better resistance to moisture damage.
• A lower slope ratio usually indicates less acceleration in rutting after stripping begins.
• If no second slope is evident, the mix may not have shown stripping during the test.
• If the SIP is 15,000 wheel passes or less, did not pass the 4 mm rut depth in Step 2, and did not pass the slope ratio (SR) of less than 2.0 in Steps 3 through 5, the mixture is unacceptable.

EXAMPLE HWT Report:

Rut depth at 20,000 Passes = 16.3 mm

Slope Ratio = M2/M1 = -0.0014893 / -0.00015636 = 9.52

SIP = = (b2 - b1) ÷ (M₁ - M₂) =

b2 = ((-0.0014893*-17849))+(-13.5956) = 12.9869157
b1 = ((0.00015636*-3067))+(-1.8183) = -1.33874388

SIP = ((12.9869157 – (-1.33874388)) / ((-0.00015636) – (-0.0014893)) = 10,747

With rutting greater than 4 mm, Slope Ratio greater than 2.0, and SIP less than 15,000, this mixture did not pass the HWT stripping criteria and is rutting susceptible.

8. Report the results.

Include the following in the final report:

• Contract ID, Project Number, Mix Identification.
• Confirm HWT Equipment meets AASHTO T 324.
• Confirm Test temperature = 50ºC.
• Confirm Number of cycles completed = 20,000 Passes.
• Report Total Average Rut Depth at 20,000 Passes.
• Establish Rut depth curves.
• Provide equations for Creep Slope Best Fit Line and Stripping Slope Best Fit Line using Linear regression methods in excel or other programs.
• Report the Slope Ratio.
• Report the Stripping Inflection Point.
• Report the parameters that the asphalt mixture meets using the table below. When one parameter passes, the other parameters may be omitted.

Parameter	Stripping Criteria	Pass or Fail?
Total Rut Depth	Less Than or Equal to 4 mm
Slope Ratio (SR)	Less Than 2.0
Stripping Inflection Point (SIP)	Greater Than 15,000 Passes

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REVISION REQUEST 4224

This test method establishes the procedures for identifying potential alkali carbonate reactivity (expansion) and acceptance of aggregate used in concrete pavements and masonry. This test method applies to new quarries, new ledges (and combinations of ledges), existing quarries and ledges.

106.3.2.93.1 Means of Evaluating Aggregate Alkali Carbonate Reactivity

1. Chemical Analysis

The chemical analysis of aggregate reactivity is an objective, quantifiable and repeatable test. MoDOT will perform the chemical analysis per the process identified in ASTM C 25 for determining the aggregate composition. The analysis determines the calcium oxide (CaO), magnesium oxide (MgO), and aluminum oxide (Al₂O₃) content of the aggregate. The chemical compositions are then plotted on a chart with the CaO/MgO ratio on the y-axis and Al₂O₃ percentage on the x-axis per Fig. 2 in AASHTO R 80. Aggregates are considered potentially reactive if the Al₂O₃ content is greater than or equal to 1.0% and the CaO/MgO ratio is either greater than or equal to 3.0 or less than or equal to 10.0 (see chart below). See flow charts in 106.3.2.93.2 for approval process.

* MoDOT’s upper and lower limits of potentially reactive (shaded area) aggregates.

2. Petrographic Examination

A petrographic examination is another means of determining alkali carbonate reactivity. The sample aggregate for petrographic analysis will be obtained at the same time as the source sample. MoDOT personnel shall be present at the time of sample. The petrographic sample shall be placed in an approved tamper-evident container (provided by the quarry) for shipment to petrographer. Per ASTM C 295, a petrographic examination is to be performed by a petrographer with at least 5 years of experience in petrographic examinations of concrete aggregate including, but not limited to, identification of minerals in aggregate, classification of rock types, and categorizing physical and chemical properties of rocks and minerals. The petrographer will have completed college level course work in mineralogy, petrography, or optical mineralogy. MoDOT does not accept on-the-job training by a non-degreed petrographer as qualified to perform petrographic examinations. MoDOT may request petrographer’s qualifications in addition to the petrographic report. The procedures in C 295 shall be used to perform the petrographic examination. The petrographic examination report to MoDOT shall include at a minimum:

• Quarry name and ledge name; all ledges if used in combination
• MoDOT District where quarry resides
• Date sample was obtained; date petrographic analysis was completed
• Name of petrographer and company/organization affiliated
• Lithographic descriptions with photographs of the sample(s) examined
• Microphotographs of aggregate indicating carbonate particles and/or other reactive materials
• Results of the examination
• All conclusions related to the examination

See flow charts in EPG 106.3.2.93.2 for the approval process. See EPG 106.3.2.93.3 for petrographic examination submittals. No direct payment will be made by the Commission for shipping the petrographic analysis sample to petrographer, or for the petrographic analysis performed by the petrographer.

3. Concrete Prism/Beam Test

ASTM C 1105 is yet another means for determining the potential expansion of alkali carbonate reactivity in concrete aggregate. MoDOT will perform this test per C 1105 at its Central Laboratory. Concrete specimen expansion will be measured at 3, 6, 9, and 12 months. The test specimens will be considered alkali carbonate reactive (expansive) if the specimens expand greater than 0.030% at 12 months. See flow chart in EPG 106.3.2.93.2 for the approval process.

106.3.2.93.2 Approval Process for Potential Alkali Carbonate Reactive Aggregate

1. Process for New Ledges and New Quarries The flowchart shown in Figure 1 shows the process for determining alkali carbonate reactivity (expansiveness) in new ledges and quarries. It is important to note TM-93 is only for determining whether or not aggregate is potentially expansive. All other requirements of Sec. 1005 shall be met for the ledge(s) to be approved for use in pavement or masonry concrete.

Should ASTM C 1105 test method need to be performed on the aggregate, the quarry will be notified by District personnel that this test method requires 12 months to complete, and approval of aggregate during those 12 months will be provisionally granted based on physical test results. Final approval will be determined upon completion of ASTM C 1105. Aggregate that fails to meet the expansion limit of 0.030% cannot be approved for use in pavement or masonry concrete. The aggregate however, can be considered for other uses based on meeting required specifications.

Figure 1. Process for determining alkali carbonate reactivity for new ledges and quarries.

2. Process for Existing Ledges and Existing Quarries

The flowchart shown in Figure 2 shows the process for determining alkali carbonate reactivity (expansiveness) in existing ledges and quarries. It is important to note TM-93 is only for determining whether or not aggregate is potentially expansive. All other requirements of Sec. 1005 shall be met before the ledge(s) are approved for use in pavement or masonry concrete.

Should ASTM C 1105 test method need to be performed on the aggregate, the quarry will be notified by District personnel that this test method requires 12 months to complete, and approval of aggregate during those 12 months will be provisionally granted based on physical test results. Final approval will be determined upon completion of ASTM C 1105. Aggregate that fails to meet the expansion limit of 0.030% cannot be approved for use in pavement or masonry concrete. The aggregate however, can be considered for other uses based on meeting required specifications.

Figure 2. Process for determining alkali carbonate reactivity for existing ledges and quarries.

106.3.2.93.3 Submitting Petrographic Examinations Reports to MoDOT

1. Petrographic Examination Reports

Petrographic examination reports can be used in the process to determine the alkali carbonate reactivity (expansiveness) of aggregate. See petrographer requirements in Section 109.3.2.93.1. When a quarry obtains a petrographic examination report, the report shall be submitted to the District Construction and Materials Department of the district the quarry resides. The submittal can be made electronically or can be an original hard copy mailed/delivered to the district. Hard copy reports will be scanned/digitized for easier file storage. Regardless of whether or not the petrographic examination report shows the aggregate is potentially expansive, MoDOT will retain the report. The district will forward the report to Central Office Construction and Materials Division for document retention. This will allow time to prepare for ASTM C 1105 testing if necessary.

All petrographic reports will be digitally stored by Central Office Construction and Materials Division.

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REVISION REQUEST 4225

643 Utility Procedures page title

Additional Resources

● CFR 645

● CSR 10-30

Utility Accommodation Policy: State DOTs are required to develop policies and procedures pertaining to the use, accommodation, and/or relocation of public and private utility facilities on highway rights-of way using Federal-aid highway funds. State DOTs are required to develop, maintain, and obtain FHWA approval of their Utility Accommodation Policy (UAP) (23 CFR section 645.215). This EPG article 643 and subarticles 643.1 through 643.3 are Missouri Department of Transportation (MoDOT)’s Utility Accommodation Policy. Text in EPG 643 consolidates various federal and state statutes and rules into a single, cohesive, workable policy to outline processes for MoDOT staff and utility owners.

Delegation of Work: Each MoDOT district is responsible for ensuring implementation of the UAP outlined in the subsequent EPG articles. Each district can create its own organization for whom is responsible for the work including between divisions and job titles. Work responsibilities within this article and subarticles are generic where possible. If a specific title is included, that title has sole responsibility for that item of work.

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643 documents not being used major routes

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643.1 Utility Location page title

The information in this article provides a uniform system for regulating the location, construction, maintenance, removal, and relocation of utility facilities on the right of way of roadways located on the state highway system. It also provides for the facilitation of construction and maintenance of these roadways. Any location or relocation of utility facilities contrary to this information is an interference with the construction, maintenance, or operation of a state highway and its right of way and is prohibited.

643.1.1 Permits

All utility owners are required to obtain a permit to work on Missouri Highway and Transportation Commission (Commission) right of way. A permit is required for original installation of the utility facility, on-going maintenance of the utility facility, or adjustments to a utility facility necessary to allow highway construction. Per EPG 127.29.4.3, discharges of anything other than stormwater are not permitted. A deposit or bond is required to ensure completion of the work in accordance with the permit issued. An application for a permit may be made on established forms specifically stating the nature of the work to be performed. Applications for permits may be obtained at any of the seven (7) district highway offices of the Commission, MoDOT's website, or by requesting it from the office of the Missouri Highways and Transportation Commission in Jefferson City, Missouri. The application for a permit will specifically state the nature of the work to be performed, what specific type of utility facility is to be installed, and, if necessary, the timeframe of any temporary use. Piping of any type of sewage or waste will only be allowed providing any permitting by a regulatory agency, such as Missouri Department of Natural Resources, can be provided. Prior to obtaining a permit through MoDOT’s permit system, a utility owner will be required to provide a bond to ensure satisfactory work and complete a TR50 Electronic Signature Agreement with the Commission. The name of the utility owner must match on the bond, TR50, and in the permit system. More information on permitting can be found in EPG 941.

643.1.1.1 Emergency Work

When emergency operations work is necessary, the damaged utility facility may be accessed immediately and without a permit by leaving the pavement at such points as may be necessary to effect emergency repairs, provided immediate notice is given to the Missouri State Highway Patrol and the district utilities staff for the district wherein the work will be performed, and a permit for emergency operations is requested immediately upon discovery of the need for emergency operations. A permit for emergency operations work is to be obtained as soon as practical, but in no event later than two (2) working days after the emergency operations work has commenced. Emergency operations include, but are not limited to, unplanned work in response to utility facilities being so damaged as to constitute an emergency situation directly affecting or endangering traffic on the highway or public health or safety.

643.1.1.2 Third-Party Inspection

When a utility owner has a large number of projects in a given area or projects involving great complexity, MoDOT reserves the right to limit the number of permits open at any given time. With approval of the district utilities staff, a utility owner may hire a third-party inspector, at their cost. The third-party inspector will allow the utility owner to increase the number of permits open at any given time. The responsibility of the third-party inspector will be to ensure the installation of the utility facility proceeds in a manner consistent with the plans approved in the permit, including all work zone requirements and conformity with MoDOT’s Standards and Specifications. The MoDOT approved third-party inspector will be listed in the permit. MoDOT may audit third-party inspections and revoke the right to use third-party inspections should the inspectors fail to perform their duties.

643.1.1.3 Abandoned Utility Facilities

All utility facilities installed in Commission right of way are the property of the utility owner whether the utility facility is active or inactive. MoDOT may allow a utility facility to remain on Commission right of way whether the utility facility was abandoned for a MoDOT project or at the utility owner’s discretion. MoDOT may place requirements (such as removing inactive fiber optic cables, grouting pipes, removing valves) on the utility owner as part of the process of abandoning a utility facility. Liability for damage to Commission right of way due to an abandoned facility remains the responsibility of the utility owner. In the event MoDOT requires the removal of the abandoned utility facility, responsibility for the cost of the removal will be determined per EPG 643.2.8.

643.1.2 Definitions

Bridge Attachment: A bridge attachment is any utility facility, including communication lines and electrical lines, or any other utility facility of a similar nature that is fastened to a bridge for the purpose of spanning an obstacle.

Clear zone: The total roadside border area starting at the edge of the traveled way, available for safe use by errant vehicles. This area may consist of a shoulder, a recoverable slope, a non-recoverable slope, and/or the area at the toe of a non-recoverable slope available for safe use by an errant vehicle. Clear zone dimensions are provided in the current edition of American Association of State Highway Transportation Officials Roadside Design Guide.

Ditch Line: A line where the roadway ditch meets the back slope. It is located at the lowest point of a V-bottom ditch or furthest point from the roadway of a flat bottom ditch where the roadway slopes back to the existing ground line.

Duct: An enclosed tubular casing, or raceway, for protecting wires, lines, or cables that is often flexible or semi-rigid (1-3% diametric deflection). The casing, or raceway, is separate from the cable or conductor that passes through it.

Encasement: The term encasement means the placing of an installation around and outside of an underground facility consisting of a larger conduit that permits the removal and replacement of the facility. An alternate to the conduit type encasement is reinforced concrete poured around the utility facility. Utility owners are allowed to use any types of material as a carrier and encasement for its facilities as expressly provided for in the permit issued for the installation of the utility facility.

Freeway: A divided arterial highway with full control of access.

Highway: Any public way for vehicular travel, including the entire area within the right of way and related facilities constructed or improved and maintained by the Missouri Highways and Transportation Commission (MHTC) acting through the Missouri Department of Transportation (MoDOT).

Interchange Limits: For the uniform handling of utility installations only, the limits of an interchange are the outside ramp curve points. See EPG Figure 643.1.1 for an example.

Interstate System or Other Freeways/Expressways: Interstate highways and highways with fully controlled access.

Major Routes (Interstates, Freeways/Expressways and Principal Arterials): The major highway system is all routes functionally classified as principal arterials. The principal arterial system provides for statewide or interstate movement of traffic. The major roads in Missouri total approximately 5,500 centerline miles.

Minor Routes: The minor highway system is all routes functionally classified as minor arterials or collectors. These routes mainly serve local transportation needs. The minor roads in Missouri total approximately 28,400 centerline miles.

Normal Right of Way Line: An imaginary line that connects sudden breaks in the major right of way points for roadways. Sight distance right of way points (triangles) at roadway intersections are not to be considered as sudden breaks for determining normal right of way.

Figure 643.1.2 Normal Right of Way Line.

Private Lines: Privately owned utility facilities which convey or transmit the commodities outlined in the definition of utility facility of this section but devoted exclusively to private use.

Scenic Enhancement Areas: Scenic enhancement areas include areas acquired or so designated as scenic strips, overlooks, rest areas, recreation areas, and the right of way of adjacent roadways and the right of way of roadways that pass through public parks and historic sites as described under 23 USC 138.

Utility Corridor: An area established for the placement of utility facilities parallel to the normal right of way line.

Utility Facility: Privately, publicly, or cooperatively owned line, facility, or system for producing, transmitting, or distributing communications, cable television, power, electricity, light, heat, gas, oil, crude products, water, steam, waste, storm water not connected with highway drainage or any other similar commodity, including any fire or police signal system or street lighting system which directly or indirectly serves the public and does not include privately owned facilities devoted exclusively to private use. The term "utility facility" includes those facilities used solely by the utility owner that are a part of its operating plant.

Utility Owner: The utility owner is the utility company, inclusive of any wholly owned or controlled subsidiary, or city or county which owns utility facilities. The term also includes those government agencies that lease a utility facility for its own use or otherwise dedicated solely to governmental use.

Variance: A one- (1-) time deviation from the requirements for location or relocation of utility facilities on the right of way of highways in the state highway system as established in Title 7 Code of State Regulations 10-3, requested by the utility, and approved by a MoDOT District Design Engineer.

643.1.3 Location of Utility Facilities

Utility facilities paralleling the roadway should be installed in the utility corridor except as outlined below. The utility corridor is the space for all utility owners generally within six feet (6’) of the normal right of way line. When considering if the current utility corridor is available to expand from six feet (6’) to as much as twelve feet (12’), MoDOT determines if the expansion is warranted. In making the determination, MoDOT will consider the existing utilization of the original six feet (6’) corridor. Poles must remain within two feet (2’) of the normal right of way line unless approved by a variance. The utility corridor will only be expanded beyond six feet (6’) if the original six feet (6’) corridor is fully utilized and additional space would be required to accommodate additional utility facilities. Acquisition of additional right of way to establish a twelve feet (12’) corridor is not required on highway construction projects. For depths for underground utility facilities, see EPG 643.1.4.1.

Utility facilities crossing the roadway should be installed as close to ninety degrees (90°) to the centerline of the roadway as possible and based on the guidelines below depending on the type of roadway.

643.1.3.1 Interstate System or Other Major Freeways/Expressways

The installation of all utility facilities on highways of the Interstate System or other major freeways/expressways with fully controlled access are to be installed, serviced, and maintained without entering or leaving the roadway and ramps except at points approved by MoDOT for that purpose and without parking any equipment or storing materials upon the medians, roadway and ramps, or shoulders of the roadways. Cutting or damaging the pavement or paved shoulders is not permitted. New service connections to existing parallel utility facilities are to be permitted only where an outer roadway exists and then only where access is permitted by the Commission. Careful consideration will be given to the location of guys, anchors, braces, and other supports. Generally, good design practice will provide that appurtenances be located at right of way jogs, along intersecting road right of way, or at other similar acceptable locations, so that encroachment is held to an absolute minimum.

No utility facilities will be permitted within the interchange limits of an interchange between fully limited access highways where planned or existing. Utility facilities within the interchange limits of an interchange with a non-access controlled highway will be permitted only along the minor road, provided that all construction, service, and maintenance can be performed from the minor road. Manholes and poles must be located beyond the ramp termini.

For structures carrying or over interstates or other major freeways/expressways, see EPG 643.1.5.

643.1.3.1.1 Utility Facilities Crossing the Interstate or Other Major Freeways/Expressways

643.1.3.1.1.1 Overhead Crossings of the Interstate or Other Major Freeways/Expressways

Overhead crossings of utility facilities are permitted only for power transmission and distribution lines and for multiple circuit communication lines where an underground installation is not economically feasible. Supports for existing utility facilities crossing overhead may remain on the right of way provided they are near the right of way line regardless of the presence of an outer road. Supports for new overhead utility facilities crossing overhead may be located on the right of way near the right of way line where an outer roadway exists and are to be located off the right of way where no outer roadway exists. Overhead service crossings are only permitted in isolated cases for residential or commercial establishments when the denial of the crossing would require construction of more than 1,200 feet (1,200’) of utility line to provide the service. Main or distribution line crossings are required to serve a general area other than isolated cases.

643.1.3.1.1.2 Underground Crossings of the Interstate or Other Major Freeways/Expressways

Underground crossings of utility facilities are to be continuously encased under the pavement, medians, ramps, and shoulders with the casing extending to the toe of the fill slopes or to the ditch line. In curbed sections, encasement should extend outside the outer curb of the roadways a distance equal to the depth of the encasement at the curb line. Where installed by open trench through unpaved areas, detector tape should be placed approximately one foot (1') above the encasement. Where an interstate or other major freeway has a parallel outer roadway, encasement should be continuous under all roadways within the right of way.

Manholes or vent pipes are to be located at the right of way line or adjacent to the outer roadway.

For fiber optic cable, encasement should extend from within six feet (6') of one right of way line to within six feet (6') of the other right of way line.

Exceptions may be made for encasement as listed in EPG 643.1.4.2.

643.1.3.1.1.3 Parallel Installations along the Interstate or Other Major Freeways/Expressways

New parallel installations on the right of way may be permitted only where an outer roadway exists, provided that poles are within two feet (2') of the normal right of way line and underground utility facilities are within the utility corridor, and provided that the utility facility can be installed and maintained between the outer roadway and the right of way line. Existing overhead or underground utility facilities that parallel an existing roadway which will be incorporated into a completed highway as an outer roadway may remain in place if all maintenance and service can be performed from an outer roadway and the existing location does not interfere with construction, maintenance, or operation of the completed highway. If an existing parallel utility facility needs to be relocated so as to not interfere with the construction, maintenance, or operation of the completed interstate or other major freeway, poles may be located withing five feet (5’) of the right of way line.

Underground utility facilities are expected to be buried within the utility corridor of sight distance triangles (SDTs) at roadway intersections unless granted a variance. Overhead utility facilities may be allowed to span intersecting roadways with SDTs provided the poles, or supports, are located outside the SDT.

643.1.3.1.1.4 Sanitary Sewers within the Right of Way of Interstates or Other Major Freeways/Expressways

New installations of sanitary sewers should follow the applicable guidelines for either underground crossings or parallel installations as appropriate. Existing gravity trunk sanitary sewers should be considered individually and removed or left in place contingent upon its age, condition, feasibility of moving, and maintenance access. Encasement of existing trunk sewers left in place may be required for questionable condition, protection during construction, or heavy fills.

Manholes should be relocated to the right of way lines or adjacent to an outer roadway.

643.1.3.2 Major Routes

For structures carrying or over major routes, see EPG 643.1.5.

643.1.3.2.1 Major Routes with Partially Controlled Access Right of Way

The installation of all utility facilities on highways with partially controlled access right of way are to be installed, serviced, and maintained without entering or leaving the roadway and ramps except at points approved by MoDOT for that purpose and without parking any equipment or storing materials upon the medians, roadway and ramps, or shoulders of the roadways. Cutting or damaging the pavement or paved shoulders is not permitted. Equipment or materials stored within the right of way must be protected by longitudinal barrier or be located outside the clear zone. New service connections to existing parallel utility facilities are to be permitted only where granted by the Commission.

No utility facilities will be permitted within the interchange limits of an interchange between fully limited access highways where planned or existing. Utility facilities within the interchange limits of an interchange with a non-access controlled highway will be permitted only along the minor road, provided that all construction, service, and maintenance can be performed from the minor road. Manholes and poles must be located beyond the ramp termini.

643.1.3.2.2 Major Routes with Normal Access Right of Way

All new utility facilities will be installed and maintained without cutting or damaging the pavement or paved shoulders except in the event underlying rock formations or other obstructions are encountered that prevent boring or pushing operations. A variance may be granted for pavement cuts when the need is established. Pavement cuts may only be made by permits issued when it is impractical to otherwise service and maintain the facility. The installation of all utility facilities is to be installed without parking any equipment or storing materials upon the medians, roadway and ramps, or shoulders of the roadways. Equipment or materials stored within the right of way must be protected by longitudinal barrier or be located outside the clear zone.

643.1.3.2.3 Utility Facilities Crossing Major Routes

643.1.3.2.3.1 Overhead Crossings of Major Routes

Supports for utility facilities crossing overhead should be located as near the right of way line as possible. For major routes with controlled access right of way, new overhead service crossings may be permitted in isolated cases for residential or commercial establishments where the denial of such crossings would require the construction of more than 1,200 feet (1,200’) of utility line to provide the same service. For major routes with normal access right of way, there is no restriction on the placement of service crossings.

643.1.3.2.3.2 Underground Crossings of Major Routes

Underground crossings of utility facilities are to be continuously encased under the pavement, medians, ramps, and shoulders with the casing extending to the toe of the fill slopes or to the ditch line. In curbed sections, encasement should extend outside the outer curb of the roadways a distance equal to the depth of the encasement at the curb line. Where installed by open trench through unpaved areas, detector tape should be placed approximately one foot (1') above the encasement. Where a major route has a parallel outer roadway, encasement should be continuous under all roadways within the right of way.

Manholes or vent pipes are to be located at the right of way line or adjacent to the outer roadway.

For fiber optic cable, encasement should extend from within six feet (6') of one right of way line to within six feet (6') of the other right of way line.

Exceptions may be made for encasement as listed in EPG 643.1.4.2.

643.1.3.2.4 Parallel Installations along Major Routes

New parallel installations on the right of way may be permitted provided that poles are within two feet (2') of the normal right of way line and underground utility facilities are within the utility corridor. Existing overhead or underground utility facilities that parallel an existing roadway which will be incorporated into a completed highway may remain in place if all maintenance and service can be performed without entering or leaving the roadway except at approved access points; without parking equipment or storing materials on the median, pavement, ramps, or shoulders; and the existing location does not interfere with construction, maintenance, or operation of the completed highway. If an existing parallel utility facility needs to be relocated so as to not interfere with the construction, maintenance, or operation of the completed highway, poles may be located withing five feet (5’) of the right of way line.

Existing steel pipe transmission and distribution facilities for gaseous petroleum products that parallel an existing roadway that will be incorporated into the completed roadway may be left in place subject to an agreement by the utility owner that maintenance or service and facility expansion will be performed without cutting or damaging the pavement or interfering with the construction, maintenance, and operation of the highway and provided that the facility is cathodically protected against corrosion and meets the applicable material requirements.

Underground utility facilities are expected to be buried within the utility corridor of sight distance triangles (SDTs) at roadway intersections unless granted a variance. Overhead utility facilities may be allowed to span intersecting roadways with SDTs provided the poles, or supports, are located outside the SDT.

643.1.3.2.5 Sanitary Sewers within the Right of Way of Major Routes

New installations of sanitary sewers should follow the applicable guidelines for either underground crossings or parallel installations as appropriate. An existing gravity trunk sanitary sewer should be considered individually and removed or left in place contingent upon its age, condition, feasibility of moving, and maintenance access. If an existing parallel gravity main is left in place within the limits of the paved surface, paved shoulder lines, or curb lines, stub mains as required will be laid between the sewer main and curb or shoulder lines for future service connections in each block. Manholes should be relocated outside the traveled roadway as near the right of way line as practical.

643.1.3.3 Minor Routes

For structures carrying or over minor routes, see EPG 643.1.5.

643.1.3.3.1 Utility Facilities Crossing Minor Routes

643.1.3.3.1.1 Overhead Crossings of Minor Routes

Existing overhead crossings that interfere with construction, maintenance, or operation should be relocated with their supports as near the right of way line as is practical. New overhead crossing installations should be located with their supports as near the right of way line as is practical.

643.1.3.3.1.2 Underground Crossings of Minor Routes

All new utility facilities should be installed and maintained without cutting or damaging the pavement or paved shoulders. A variance may be granted for pavement cuts when servicing and maintaining the facility by any other methods is impractical. Pavement cuts may only be made by permits issued. Underground crossings of utility facilities are to be continuously encased under the pavement, medians, ramps, and shoulders with the casing extending to the toe of the fill slopes or to the ditch line. In curbed sections, encasement should extend outside the outer curb of the roadways a distance equal to the depth of the encasement at the curb line. Where installed by open trench through unpaved areas, detector tape should be placed approximately one foot (1') above the encasement.

Manholes or vent pipes are to be located at the right of way line or adjacent to the outer roadway.

For fiber optic cable, encasement should extend from within six feet (6') of one right of way line to within six feet (6') of the other right of way line.

Exceptions may be made for encasement as listed in EPG 643.1.4.2.

643.1.3.3.2 Parallel Installations along Minor Routes

New parallel installations on the right of way may be permitted provided that poles are within two feet (2') of the normal right of way line and underground utility facilities are within the utility corridor. Existing overhead or underground utility facilities that parallel an existing roadway which will be incorporated into a completed highway may remain in place if all maintenance and service can be performed without entering or leaving the roadway except at approved access points; without parking equipment or storing materials on the median, pavement, ramps, or shoulders; and the existing location does not interfere with construction, maintenance, or operation of the completed highway. If an existing parallel utility facility needs to be relocated so as to not interfere with the construction, maintenance, or operation of the completed highway, poles may be located within five feet (5’) of the right of way line.

Underground utility facilities are expected to be buried within the utility corridor of sight distance triangles (SDTs) at roadway intersections unless granted a variance. Overhead utility facilities may be allowed to span intersecting roadways with SDTs provided the poles, or supports, are located outside the SDT.

643.1.3.3.3 Sanitary Sewers within the Right of Way of Minor Routes

New installations of sanitary sewers should follow the applicable guidelines for either underground crossings or parallel installations as appropriate. An existing gravity trunk sanitary sewer should be considered individually and removed or left in place contingent upon its age, condition, feasibility of moving, and maintenance access. If an existing parallel gravity main is left in place within the limits of the paved surface, paved shoulder lines, or curb lines, stub mains as required will be laid between the sewer main and curb or shoulder lines for future service connections in each block. Manholes should be relocated outside the traveled roadway.

643.1.3.4 Roundabouts

Regardless of roadway type, it is desirable to avoid locating utility facilities and their access points within the circulatory roadway. If possible, utility facilities are located in the legs of the roundabout to allow for future maintenance and access at an isolated leg versus affecting the entire roundabout.

643.1.3.5 Utility Facilities in Scenic Enhancement Areas

All existing utility facilities within the limits of a scenic enhancement area requiring adjustment because of construction or reconstruction will be placed underground or relocated beyond the limits of the scenic enhancement area. No new above ground facilities will be permitted. New underground facilities will be permitted provided they do not extensively alter or impair the appearance of the area.

643.1.4 Installation of Utility Facilities

The following sections provide information on the physical installation of utility facilities within highway right of way.

643.1.4.1 Minimum Cover for Underground Facilities

The minimum cover for new underground utilities is:

• Forty-two inches (42”) for all water lines (parallel and crossings).
• Forty-two inches (42”) for fiber optic cable (crossings encased in rigid conduit).
• Seventy-two inches (72”) for fiber optic cable (crossings encased in polyethylene (PE) pipe).
• Thirty inches (30”) for direct burial and in trench fiber optic cable (parallel).
• Twenty-four inches (24”) for all other direct burial copper or coaxial cable, (parallel).
• Seventy-two inches (72”) for uncased polyethylene (PE) gas pipe crossings under ditches and roadways but thirty inches (30”) elsewhere.
• Thirty inches (30”) for all other (such as, but not limited to, gravity sewers, forced sewers, and electric) underground utilities (both parallel and crossing).

643.1.4.2 Exceptions to Encasement

Exceptions may be made for encasement as follows:

• Non-fiber communication or electric cables installed in ducts.
• Welded steel pipelines carrying gaseous or liquid petroleum products - provided they are cathodically protected against corrosion, triple-coated in accordance with accepted pipeline construction standards, and meet applicable material requirements.
• Natural gas distribution pipe (nominal six-inch (6”) diameter maximum) of polyethylene (PE) plastic, traceable, installed by a horizontal bore method at a minimum depth of seventy-two inches (72”) under ditches and roadways, constructed in accordance with and meeting applicable material requirements.
• Gas service connections protected and constructed in accordance with and meeting applicable material requirements.
• Encasement is not required for new trunk sanitary sewer crossings of vitrified clay, reinforced concrete or cast iron except when installation procedures would produce voids in the roadbed, heavy fills, or installations under pressure.

643.1.4.3 Above Ground or Ground Level Appurtenances

Appurtenances protruding more than four inches (4”) above the ground line should be located outside the clear zone. If no feasible alternative exists and if permitted by a variance, appurtenances may be allowed within the clear zone if they meet breakaway criteria or will be shielded by a traffic barrier. Good design practice will provide that appurtenances be located at right of way jogs, along intersecting road right of way, or at other similar acceptable locations, so that encroachment is held to an absolute minimum. Cables, wires, small diameter pipes, and other such utility appurtenances extending from the surface of the ground should be equipped with covers or guards to improve their visibility. Appurtenances within sidewalks or street level pedestrian access routes are to be in conformance with the Americans with Disabilities Act requirements.

The maximum pull box width perpendicular to the right of way line within the utility corridor is thirty inches (30”).

643.1.4.4 Overhead Utility Facilities

The vertical clearance of new or existing overhead installations will not be less than the current minimum requirements of the National Electric Safety Code, but in no case less than eighteen feet (18’) inclusive of sag above the groundline for electrical facilities. Clearance may be reduced for overhead installations of cable, telephone, or fiber optic facilities. A minimum radial clearance of twenty-five feet (25’) is provided from any utility facility to the nearest part of any bridge structure. A minimum radial clearance of ten feet (10’) is provided from the nearest charged electrical line to a MoDOT signal, lighting, ITS, or overhead sign structure.

643.1.4.5 Approved Materials

Utility owners are allowed to use any material for underground utility facilities including carrier and encasement provided they accept responsibility for any future repairs and/or replacement of damaged MoDOT facilities should a failure occur. This will allow the use of current technology and procedures to provide the best value to its subscribers and the taxpayers of Missouri. For materials that MoDOT also uses in its highway system, utility owners must provide materials that meet the current Missouri Standard Specifications for Highway Construction. For materials not listed in the Missouri Standard Specifications for Highway Construction, the utility owner should provide documentation of the standards used to determine suitability of the material.

643.1.4.6 Cutting

In the event permission is granted to cut an existing concrete or asphalt pavement or sidewalk, the appropriate provisions below should be followed.

643.1.4.6.1 Pavement

All pavement cuts should be made with a saw to the full depth of the pavement. The width of the cut is typically determined by the width of the trench plus a minimum one foot (1’) on each side of the trench. In the event the distance to any adjacent longitudinal or transverse joint or crack is less than four feet (4’), the pavement must be removed to the joint or crack. Cuts for perpendicular service tie-ins should be a minimum of three feet (3’) wide. Longitudinal main installations are typically cut at a minimum of half the lane width, but in no instance should the cut be along the wheel path of the lane.

Figure 643.1.4.6.1. Pavement Repair Dimension Requirements.

The utility facilities should be placed in a location with the least impact to the roadway. Typically, this leads to placement in the shoulder when available followed by the two-way left turn lane (TWLTL), and then outside lanes before allowing placement in interior through lanes. Lane switching should be kept to a minimum and should not be used to minimize repair sizes. Cuts for mains or service leads that may not be perpendicular to the roadway should be squared-off.

Replacement of cut pavement should be full depth concrete in accordance with the current version at the time of installation of Section 613.10 Full Depth Pavement Repairs of the Missouri Standard Specifications for Highway Construction and the Missouri Standard Plans for Highway Construction. If the area of the pavement repair is not to be fully resurfaced all joints including the overcut from the sawing operation should be filled with an expansive mortar, epoxy, polyester, or joint material as approved by the Engineer in accordance with Section 1057 of the Missouri Standard Specifications for Highway Construction.

643.1.4.6.2 Pedestrian Access Routes

All cuts in the pedestrian access routes whether asphalt or concrete should be made by saw and be the full depth of the material. Entire slabs of concrete sidewalk should be removed. Repair of the pedestrian access route must meet Americans with Disability Act requirements, see EPG 642. Cuts through curb ramps or detectable warning areas are not permitted. Rather the entire curb ramp or detectable warning area must be removed and replaced. MoDOT district ADA contacts can help ensure ADA compliance of impacted pedestrian access routes.

643.1.4.7 Non-disturbance Areas

MoDOT has certain areas of right of way where mowing, spraying, digging, or other vegetation disturbance activities are restricted. These areas have been established to mitigate the environmental impacts of a previous project and should be avoided. If the areas cannot be avoided, contact MoDOT’s Environmental Section.

643.1.5 Bridge Attachment Policy

No utility facility will be permitted in or on a structure carrying an interstate or other freeway unless it is part of a federal requirement or for MoDOT’s use. When the structure carries any other road type and no other practical means exists for the crossing, wires (communication, electrical, fiber, or metal) will be permitted. Electrical lines must be located to cause minimum exposure to MoDOT maintenance personnel and the public. Pressurized pipelines for gas or other petroleum products and water and all sewer lines are prohibited on all structures due to the risks associated with their failure.

643.1.5.1 Agreement

An agreement is required for all utility facilities attached to any structure. A charge will be made for the increased maintenance costs involved. This fee is set by the Bridge Division. When permitted, a 50-year occupational agreement is executed with the utility owner. Agreement BR04 Utility Attachment Agreement is used when an attachment is added to a bridge during its construction. Agreement BR09 Bridge Attachment Agreement is used when an attachment is added to an existing bridge.

643.1.5.2 Requests

Requests to attach facilities to structures is a multi-step process. Bridge Division is responsible for approval of the bridge attachment. If at any point in the process, Bridge Division determines the attachment to be unacceptable, a reason is to be provided.

To start, the utility owner submits a conceptual request to the district utilities staff. The conceptual request consists of an explanation of the proposal; a general location sketch (i.e., which side of the bridge); and details on the facility, length, and weight per foot when full. The district utilities staff should work with all relevant district personnel including the District Bridge Engineer in reviewing and recommending the attachment. The district utilities staff will submit the recommended details to the Bridge Division to determine the applicable costs including future maintenance costs and for attachments to new bridges, design and construction. Once the Bridge Division has determined the cost, the district utilities staff shares the cost with the utility owner for their concurrence with furthering the process. For new bridges, if the utility owner concurs with the costs, the district utility staff will prepare the BR04 Agreement for execution by the utility owner and the Commission. MoDOT will be responsible for the design and construction of attachments to new bridges. For existing bridges, the district utilities staff will forward the applicable as-built bridge plans to the utility owner for its use in designing the bridge attachment. The utility owner will provide detailed design drawings, signed and sealed by a professional engineer in the State of Missouri, to the district utilities staff for review. The district utilities staff should work with all relevant district personnel, including the District Bridge Engineer, in reviewing and recommending the details of the attachment to the Bridge Division. Once Bridge Division approves, the Bridge Division will prepare the BR09 Agreement for execution by the utility owner and the Commission. The utility owner is responsible for the construction of attachments to existing bridges. A flow chart of the process is available.

Payment from the utility owner for the attachment will be sent to Financial Services by district utilities staff. For BR04 agreements, district utilities staff should discuss with Financial Services how to get the payment credited to the project constructing the attachment. For BR09 agreements, district utilities staff should copy Bridge Division on correspondence with Financial Serves. Checks should be made payable to Director of Revenue, Credit State Road Fund.

For requests from government entities such as cities, counties, and other municipalities, the requested information should be submitted to Bridge Division as described above. However, the district utilities staff will take the lead in preparing the DE10 County Agreement or DE11 Municipal Agreement, as applicable, with input from Bridge Division and Bridge Maintenance. All fees are waived for government entities.

643.1.5.3 Considerations

The following considerations are made in determining the acceptability of a bridge attachment. Unique situations will be discussed with the Bridge Division as required.

643.1.5.3.1 Bridge Asset Management Program

Requests for bridge attachments should be reviewed for consistency with the district’s upcoming bridge asset management program needs. If a structure is due for rehabilitation or replacement in the near future, information should be provided to the utility owner indicating existing remaining life of the bridge. In some instances, it may be in MoDOT’s best interest to deny the request for attachment outright. In some instances, the utility owner may still choose to pursue the short-term attachment to the existing structure. In almost all cases, the utility owner is responsible for the cost of removing and/or relocating their utility facilities for a necessary repair, widening, improvement or reconstruction of the structure. Review existing agreements for cost responsibility for current attachments.

643.1.5.3.2 Aesthetics

In reviewing a request for a bridge attachment, how the structure is viewed by the public will be considered. For example, is the structure over a scenic stream that is extensively used by canoeists, or does the structure span a road that may provide access to a park, campgrounds, or boat launching facilities? Is the structure a grade separation where the motoring public will see the attachment before they pass under it?

643.1.5.3.3 Method of Attachment

In order to maintain structural integrity of any structures the following requirements will apply for attachments.

643.1.5.3.3.1 Welding

Welding of hardware to structural steel members (i.e., flanges, webs, stiffeners, and diaphragms) whether in tension or compression is not permitted.

643.1.5.3.3.2 Drilling

Drilling holes in any structural steel member is not permitted. Drilling holes for anchors into any prestressed concrete member is not permitted. Although permitted, drilling holes for anchors into the underside of bridge decks must be done with caution. It is recommended all anchors be installed to miss deck reinforcing steel. Generally, drilling into decks will not be allowed where sonotubes were used (voided slab bridges). The depth of the holes should be such that breaking out of the concrete on the top side of the deck does not occur.

643.1.5.3.3.3 Corrosion

Attachment hardware will be new, properly coated to prevent corrosion or be of a non-corrosive material, and be designed to support the facility.

643.1.5.3.4 Location

In general, attachments are made on the underneath side of the bridge deck. The condition of the bridge deck will dictate the location of the attachment supports. An exception may be attachments to trusses or other overhead structures.

Attachments that may require manholes in bridge decks are not allowed.

When attachments are required to structures over streams that may carry large drifts, they must be attached to the downstream side of the structure and above the lowest superstructure element. It is preferred to locate the attachment on the outside of the exterior girder. If aesthetics are a concern, a better appearance can be achieved by having the attachment made to the inside of the exterior girder and above the bottom of the lower flange to hide the conduit and the attaching hardware.

Placement of utilities must not prevent the removal of old paint, the application of new paint on superstructure steel, or cause debris buildup, which could cause structural deterioration.

643.1.5.3.5 Construction and Maintenance

If the attachment cannot be built while maintaining one (1) lane of traffic on the structure, it will not be allowed.

Construction procedures that severely impact traffic may factor into the allowable location of the attachment on the structure.

When scaffolding is to be attached or supported by bridge rails, bridge superstructure, or bridge substructure, the procedures for construction of the attachment must be reviewed.

The utility owner or local entity will pay for, or be responsible for, the painting of the attachment, if necessary, when the bridge requires painting.

643.1.6 Private Lines

Private lines are permitted to cross the right of way of a highway in the same manner as outlined for all utility facilities in above sections of this article. Parallel installations along the right of way of a highway are not permitted. Special conditions at a specific location that make adherence to this policy impractical will be submitted to the Chief Engineer for consideration of an acceptable alternative. In certain situations, it may be necessary to obtain approval from the Federal Highway Administration (FHWA) before approval to use the alternative can be given to the private utility owner.

643.1.7 Water and Sewer Separations

The Missouri Department of Natural Resources (MoDNR) Safe Drinking Water Commission via 10 CSR 60-10 and Clean Water Commission via 10 CSR 20-8 govern the design of water and sewer lines in the vicinity of one another. Basic criteria are outlined below for information, and details are contained within the regulations. MoDOT is not responsible for providing or acquiring adequate right of way for utility owners to comply with MoDNR requirements.

643.1.7.1 Water and Sewer Separations

643.1.7.1.1 Horizontal

Sanitary and storm sewers are to be laid at least ten feet (10’) horizontally measured from outside edge to outside edge from any existing or proposed water main. In cases where it is not practical to maintain ten feet (10’) of separation, installation of the water main closer to the sewer is acceptable where the water main is installed in a separate trench or on an undisturbed earth shelf located on one (1) side of the sewer at an elevation so the bottom of the water main is at least eighteen inches (18”) above the top of the sewer.

643.1.7.2 Crossings

Water mains are to be laid to provide a minimum vertical distance of eighteen inches (18”) vertically measured outside edge to edge from sanitary or storm sewers. This is the case whether the water main is above or below the sewer. One (1) full length of water pipe must be located so both joints will be as far from the sanitary or storm sewer line as possible. Special structural support for the water main or sanitary or sewer main may be required.

643.1.7.3 Exception

When it is impossible to obtain proper horizontal and vertical separation as stipulated, the sewer will be designed and constructed equal to water pipe and will be pressure-tested to assure it is watertight prior to backfilling.

643.1.7.4 Water Supply Interconnections

No physical connection is permitted between a public or private potable water supply system and any sanitary or storm sewer or appurtenance that would permit the passage of any sewage or polluted water into the water supply. No water pipe is permitted to pass through or come in contact with any part of a sanitary sewer manhole.

643.1.7.5 Water Works Structures

Sewers are not permitted to be installed within fifty feet (50’) in any direction from any existing or proposed public water supply well or other water supply sources or structures.

643.1.8 Variances

Occasionally, it is impractical to locate a utility facility in accordance with requirements outlined in this article. MoDOT may consider a utility owner’s request for a variance from these requirements on a case-by-case basis. The utility owner should complete a Utility Variance Approval Form to be submitted to MoDOT for consideration. Variances on the Interstate System require approval of the Federal Highway Administration (FHWA). A flow chart of the variance process is available.

A variance will not be permitted just for the convenience of the utility owner. The utility owner requesting a variance must provide all necessary information to properly evaluate if a variance should be approved. For example, a utility owner requesting a variance because “the utility corridor is full” must explore all reasonable options. It is suggested that the requestor pothole the existing utility corridor to confirm the location of existing utility facilities and provide that data to support the need to locate outside of the utility corridor due to its congestion.

643.1.8.1 Variance Process

Any utility owner of a public utility facility may apply for a variance. The process for requesting a variance is as follows:

643.1.8.1.1 Submittal Requirements

Utility owners submit to the district utilities staff a written request for a variance using the Utility Variance Approval Form. The utility owner must clearly show the provision(s) or guideline(s) for which the variance is being requested; the condition(s) which the utility owner believes warrant(s) the granting of a variance; a thorough explanation of the reason(s) for the requested variance, including sufficient and appropriate documentation of safety, aesthetic, or constructability constraints that would be adverse to the function, access, or maintenance of the utility facility and not in the best interest of the public.

643.1.8.1.2 MoDOT Consideration of Variance Request

The utility owner bears full responsibility for demonstrating to MoDOT’s satisfaction that the variance is the most appropriate way to serve the public interest. MoDOT may present to the utility owner and the utility owner must consider reasonable alternatives to the variance requested by the utility owner. In determining whether to grant a variance, district utilities staff will consider all relevant factors including, but not limited to: the requested variance is reasonably necessary for the convenience, safety, health, and/or welfare of the public; there is an exceptional or undue burden or hardship on the specific applicant; a physical impracticability that would result from the applicant’s adherence to the normal location requirements; and the requested variance will not impair the safe construction, maintenance, operation, and safety of public travel on the highway. District utilities staff may consult with the Design Liaison Engineer in evaluating variances.

643.1.8.1.3 Approval of Variances

Once district utilities staff have agreed to accept a variance proposed by the utility owner, the Utility Variance Approval Form and all supporting documentation is sent to the District Design Engineer (DDE) for approval. If a variance is on interstate right of way, the DDE-signed Variance Request Form and all supporting documentation is forwarded to the Design Liaison Engineer who will forward to FHWA for their concurrence.

643.1.8.1.4 Variance Appeal Informal Hearing

If denied a variance, the utility owner has thirty (30) calendar days to request an informal hearing for the purpose of appealing the denial. Requests must be made in writing to the State Design Engineer, Missouri Department of Transportation, P.O. Box 270, Jefferson City, MO 65102. If the utility owner requests an informal hearing, MoDOT’s authorized representative will advise the applicant of the time, date, and place of the hearing. The hearing is not a contested case under RSMo 536. The rules of evidence will not apply at the hearing, and MoDOT’s decision after the conduct of the hearing is not subject to further appeal.

643.1.9 Excess Right of Way

Prior to conveyance of excess right of way, the status of utility facilities within said parcel must be addressed. See EPG 236.5.12.

643.1.10 Broadband

Broadband development in the state of Missouri is handled by the Department of Economic Development (DED). MoDOT shares its approved Statewide Transportation Improvement Program (STIP) project list with DED. All MoDOT policies related to placement of utility facilities within Commission right of way as outlined in this EPG article 643.1 are to be followed.

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643.1 documents not being used https://epg.modot.org/files/5/55/643.1_Utility_Status_Letter.doc

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643.2 Utilities in Program Delivery page title

643.2.1 Introduction

Improvements to the highway system often require negotiation between the Commission and a city, a county, or a public or private utility owner. The Commission’s district utilities staff is responsible for coordination of highway improvement projects with the utility owner’s representative. The impact to a utility, the responsibility for the cost of adjustments necessary to allow highway construction, the plan of adjustment of the utility, the responsibility of performance of work on utility facilities, and the schedule of the utility adjustment are all items that vary depending on the project and should be investigated and negotiated to ensure highway improvement projects are delivered on-time and on-budget. These should comply with Commission policy. A flowchart outlining all the utility adjustment processes (reimbursable and non-reimbursable relocations, Master Reimbursable Utility Agreements and Project Specific Agreements, etc.) are available in the list of figures at the top of the page. These processes will not always be in combination, but each should be considered with each project.

The district utilities staff, in conjunction with the Transportation Project Manager (TPM), is expected to invite and encourage participation of utility owner representatives in MoDOT project meetings as needed.

When a project involves utility adjustments for which the Commission is responsible for costs, the TPM should program the costs of the utility adjustments as non-contractual construction costs in the STIP Information Management System (SIMS).

643.2.2 Annual Utility Meeting

Each district should hold an annual meeting with utilities to discuss current STIP projects in the district. The annual meeting should be held during each year's STIP preparations, ideally between January and May. All utility owners that have utility facilities in the district should be invited. The intent is to provide the utility owners with an idea of upcoming projects to allow them the opportunity to plan and budget for potential adjustments of their utility facilities, identify both MoDOT and utility roadblocks, and develop action plans to complete utility adjustments better, faster, and cheaper.

643.2.3 Determination of Existing Utilities

District utilities staff should determine the appropriate level of effort needed to accurately identify existing utilities within the footprint of a proposed highway construction project. Aboveground utilities are easily identifiable via field checks; however, determination of the precise location of underground utilities can be more challenging and time consuming. Therefore, the district utilities staff should balance the risk of conflict with the highway construction project against the level of effort needed to determine the location.

The level of effort on mapping utilities is dependent on the scope of the project and the potential for utilities having an impact on the construction of the project. The project schedule should include the time to complete this task accurately. The time and effort necessary for having accurate locates requires close interaction with the utility locators. Early contact with utility owner representatives may be necessary to accurately locate underground utility facilities.

Various methods of determining existing underground utilities result in different levels of quality. ASCE Standard 38 Standard Guidance for Investigating and Documenting Existing Utilities classifies four levels of quality:

1. Quality Level D: QL-D is the most basic level of information for utility locations. It comes solely from existing utility records or verbal recollections, both typically unreliable sources. It may provide an overall "feel" for the congestion of utilities but is often highly limited in terms of comprehensiveness and accuracy. QL-D is useful primarily for project planning and route selection activities.

Missouri 811 or “private-locate” markings are to be considered to be QL-D.

2. Quality Level C: QL-C is probably the most used level of information. It involves surveying visible utility facilities (e.g., manholes, valve boxes, etc.) and correlating this information with existing utility records (QL-D information). When using this information, it is not unusual to find that many underground utilities have been either omitted or erroneously plotted. Therefore, its usefulness is primarily on rural projects where utilities are not prevalent or are not too expensive to repair or relocate.

3. Quality Level B: QL-B involves the application of appropriate surface geophysical methods to determine the existence and horizontal position of virtually all utilities within the project limits. This activity is called "designating". The information obtained in this manner is surveyed to project control. It addresses problems caused by inaccurate utility records, abandoned or unrecorded utility facilities, and lost references. The proper selection and application of surface geophysical techniques for achieving QL-B data is critical. Information provided by QL-B can enable the accomplishment of preliminary engineering goals. Decisions regarding location of storm drainage systems, footers, foundations, and other design features can be made to avoid conflicts with existing utilities. Slight adjustments in design can produce substantial cost savings by eliminating utility relocations.

4. Quality Level A: QL-A, also known as "locating or potholing", is the highest level of accuracy presently available and involves the full use of the subsurface utility engineering services. It provides information for the precise plan and profile mapping of underground utilities through the nondestructive exposure of underground utilities, and provides the type, size, condition, material, and other characteristics of underground features.

For projects with scopes that have potential for utility conflicts, the minimum level of effort required is SUE Quality Level D. Locations of existing utilities are determined by requesting locates through Missouri 811, also known as the “One-Call” process. Missouri 811 locating requests should be carefully considered for the scope of work of the project. When necessary, the location of existing utilities should be established by a field survey of locate markings and features and shown on the roadway plans. Higher level SUE Quality Levels can be used on any project. Adjustment cost savings, whether to the MoDOT or to the utility owner, are beneficial to the taxpayer. Good SUE projects are typically urban in nature, or in congested areas, where the project footprint is to be minimized, or anytime accurate vertical and horizontal location of the utility facility might allow a design to avoid the utility facility thus preventing the need for the adjustment. The SUE process combines civil engineering, surveying, and geophysics. It utilizes several technologies, including vacuum excavation and surface geophysics.

When proposed excavation or installation of subsurface features (drainage, equipment bases, etc.) falls within three feet (3’) of a marked Missouri 811 line, soft digging (hand digging, potholing, vacuum methods, pressurized air/water jetting, pneumatic hand tools, etc.) is required to more exactly locate the utility facility both horizontally and vertically. Utility facilities present within the right of way by permit, should be investigated by the utility owner. Utility facilities that would be reimbursable or partially reimbursable as defined in EP 643.2.8 will be investigated by MoDOT.

643.2.4 Conflict Determination

Determination of whether a conflict exists between an existing utility facility and a proposed highway improvement project should occur at the earliest possible stage of project development. A conflict may be the result of the physical interaction between the roadway infrastructure and utility facility, a reduction in cover or increase in fill over underground utilities, a reduction in horizontal clearance whether above or below ground, a reduction in overhead vertical clearance, paving over utilities, or restricting a utility owner’s access to its utility facilities. District utilities staff should work with utilities to determine if a conflict exists and the appropriate plan of adjustment to remedy the conflict. The adjustment to the utility may be a relocation or another measure that protects the utility or access to the utility from the proposed highway improvement project. Determination of a conflict needs to be continually re-evaluated as the project design progresses. Continuing coordination is essential.

643.2.5 Utility Plan of Adjustment

643.2.5.1 Request for Plan of Adjustment

District utilities staff will request a plan of adjustment from utility owners whose utility facilities are in conflict with a proposed highway project. The plan of adjustment may consist of efforts to relocate the utility or otherwise protect a utility from the impacts of the proposed highway project. Utilities are shown on the roadway plan and profiles sheets that are furnished to utility owners for use in planning required utility adjustments. Any other sheets such as drainage, traffic signal, lighting, or ITS plans that show impacts to a utility facility should also be provided to the utility owners. All adjustments, reimbursable or not, require a plan of adjustment furnished by the utility owner.

A transmittal letter is included in the request for a plan of adjustment. The letter informs the utility owner that regardless of whether an adjustment is reimbursable, no physical adjusting or relocating of their utility facilities to accommodate the proposed highway improvement is to be performed without specific approval and authorization. Additionally, if any part of the adjustment has the potential to be reimbursable, they are advised:

1. They may undertake preliminary engineering by their own forces upon approval by district utilities staff of the estimated costs of preliminary engineering.
2. They may employ a consultant to do the PE work provided they request and obtain prior approval. See EPG 643.2.6 Preliminary Engineering Requirements.
3. Any preliminary engineering costs accrued prior to the date of written authorization to proceed will not qualify for reimbursement.
4. Replacement right of way or easements cannot be purchased without specific approval and authorization.

643.2.5.2 Proposed Plan of Adjustment

Developing a plan of adjustment is a multi-step process. The utility owner will propose a conceptual approach to adjusting the utility facilities to allow highway construction. This conceptual approach is used as the basis for determining cost responsibility, estimate of costs for preliminary engineering and construction, developing the agreement if necessary, and final design of the adjustment. Negotiations between district utility staff and the utility owner’s representative can result in changes to the design throughout the process.

Final plans of adjustment must contain a legend on the first sheet identifying the utility symbols used. They must also show the existing utility facilities and their disposition, the location of the new or adjusted utility facilities, the existing and new right of way lines, the limited or fully controlled access symbols (where applicable), the existing and proposed roadways, ramps, and outer roadways and any other pertinent roadway information. They must contain sufficient details concerning location, elevation, compaction, clean up, etc. to provide for the proper adjustment of the utility facility. Relocated and/or existing utility facilities that will remain in place must be dimensioned or indicated in a manner to show their location in respect to the right of way lines. It is preferred that the utility owner transmits the plan of adjustment by electronic deliverables in a format that can be incorporated into the roadway plans. This will reduce the time and effort necessary as well as increase the accuracy of transferring this information into the roadway plans.

Plans of adjustment received from the utility owner are to be checked for compliance with MoDOT’s requirements (EPG 643.1 Utility Location) by the district utilities staff. They are also checked to ensure compatibility with the roadway design. Any continuing conflicts are resolved through negotiations with the utility owner.

Occasionally, it is impractical to perform a utility adjustment in accordance with MoDOT’s requirements. Sometimes the utility may request approval of a plan of adjustment that does not conform to these requirements. Deviation from MoDOT’s utility requirements is a variance. Refer to 643.1.8 Variance Process for additional guidance. The final plan of adjustment is included as Exhibit “A” to the agreement (EPG 643.2.12 Agreements).

643.2.6 Preliminary Engineering Requirements

Preliminary engineering (PE) can be performed one of four ways for utility adjustments:

1. The utility owner can use its own engineering forces.
2. MoDOT can select an engineering consultant, after consultation with the utility owner, and the consultant contract will be administered by MoDOT.
3. The utility owner can select an engineering consultant, with approval by MoDOT, and the consultant contract will be administered by the utility owner.
4. If a utility adjustment is being included in a MoDOT administered construction contract, the preliminary engineering of the adjustment can be provided by MoDOT.

For reimbursable utility adjustments, the amount paid to engineers, architects, and others for required engineering and allied services can be included in reimbursement amount provided such amounts are not based on a percentage of the costs of the necessary adjustments to allow highway construction. Reimbursement is available for contracts executed after solicitation of a consultant for the specific adjustment or existing continuing contracts when it is demonstrated that such work is performed regularly for the utility owner in its own work and that the costs are reasonable.

A checklist is available for reviewing consultant-engineering contracts to ensure the contract conforms to MoDOT policy and complies with applicable federal regulations. District utilities staff should use the checklist to review contracts and may consult with Audits and Investigations Division as necessary. The procedures in 23 CFR part 172, Administration of Engineering and Design Related Service Contracts may be used as a guide for reviewing proposed consultant contracts. EPG 136.4 Consultant Selection and Consultant Contract Management may also be used as a guide.

643.2.6.1 Solicited Consultant Contracts

If solicitation of PE services is required for reimbursable utility adjustments, the utility owner must provide the following documents and information to district utilities staff. These documents need to be provided as soon as the utility owner has chosen to solicit a consultant. Document 1 must be supplied by all utility owners. Documents 2 and 3 are only required when the utility owner is a local government agency who is also a political subdivision of the state of Missouri (e.g., city-owned utilities, county-owned utilities). All other utility owners are encouraged, but not required, to provide Documents 2 and 3:

1. A statement that the utility owner is not staffed or able to perform the required PE services with its own forces.
2. Provide the names of at least three (3) consultants considered.
3. The criteria used to evaluate each consultant and reasons why the selected consultant was selected.

The following documents need to be provided as soon as the utility owner has successfully negotiated and entered into a contract with the consultant:

1. The name and address of the selected consultant.
2. A statement that the "Certification of Consultant" will be furnished immediately upon award of the contract to the consultant.
3. One executed copy of the proposed engineering contract or agreement between the utility owner and consultant, only if the engineering will exceed $5,000.00.
4. The consultant's fixed (lump sum) or estimated fee (actual cost) and the contract maximum.
5. A cost summary providing a detailed breakdown of the basis for the consultant's compensation, including estimated labor hours, hourly rates for each classification, overhead rate (if used), the amount of profit charged, and any other estimated charges such as travel expenses, equipment rentals, etc. If an overhead rate is used, the consultant must also submit the supporting overhead rate calculations.
6. An independent cost estimate of engineering services provided by the utility owner to use in comparison to the consultant’s proposed engineering services to check for cost reasonableness.

643.2.6.2 Continuing Consultant Contracts

When a utility owner chooses to use an existing continuing contract for PE services, the utility owner must provide the following documents and information to the district utilities staff as soon as possible.

1. A statement that the utility owner is not staffed or able to perform the engineering with its own forces.
2. The name and address of the consultant under the existing continuing contract.
3. A statement that the "Certification of Consultant" will be furnished.
4. A copy of the continuing contract to the district utilities staff. The district utilities staff will review the contract for reasonableness of cost.
5. The consultant's fixed (lump sum) or estimated fee (actual cost) and the contract maximum for the work associated with the utility adjustment.
6. A cost summary providing a detailed breakdown of the basis for the consultant's compensation, including estimated labor hours, hourly rates for each classification, overhead rate (if used), the amount of profit charged, and any other estimated charges such as travel expenses, telephone, etc. If an overhead rate is used, the consultant must also submit the supporting overhead rate calculations.
7. An independent cost estimate of engineering services provided by the utility owner to use in comparison to the consultant’s proposed engineering services to check for cost reasonableness.

643.2.6.3 Consultant Contract Changes

If a PE services contract between a utility owner and a consultant needs to be revised, a copy of the revised contract, fee, and schedule should be submitted by the utility owner to the district utilities staff prior to allowing for contract changes. District utilities staff should review the contract changes to ensure the revised contract conforms to MoDOT policy and complies with applicable federal regulations.

643.2.7 Environmental and Right of Way

643.2.7.1 Utilities and Environmental Clearances

District utilities staff should coordinate with the TPM and utility owner’s representative to understand and communicate on known environmental and cultural constraints that could impact a utility owner’s plan of adjustment. This will allow the utility owner to consider permitting timelines and alternatives that avoid environmental or cultural resources to keep the project on schedule.

One strategy to make project delivery more efficient and ensure regulatory compliance is for MoDOT to obtain the environmental and cultural resource permits and clearances for the utility owners associated with a roadway improvement while obtaining its own. This would generally only be for the permits and regulatory clearances MoDOT already needs to pursue as a part of the transportation improvement.

District utilities staff should coordinate with the utility owner’s representative early in the project timeline to determine if it is in the best interest of both MoDOT and the utility owner to obtain permits and environmental clearances jointly. The following strategies can be utilized to determine if a joint approach to environmental work should be pursued:

• If utility facilities are moving to a location within or immediately adjacent to MoDOT right of way, a utility owner may be invited to participate in permitting and environmental compliance activities.
• If utilities move to a location not within or adjacent to MoDOT right of way, the utility company would not normally be invited to participate in permit applications and environmental compliance activities. However, some unique projects may necessitate further attention and should be discussed with the Design Liaison Engineer.

If MoDOT and the utility owner agree to obtain joint permits and clearances, written communication between the utility owner’s representative and the district utilities staff should document the following items:

• List of the permits and clearances that MoDOT will acquire on behalf of the utility owner.
• List of the information needed from the utility owner in order for MoDOT to acquire the permits and clearances.
• Schedule and deadlines for submittal of the information by the utility owner. For example: utility plans, fill quantities, construction methods, dates, or seasons of construction.

Permits and clearances that may be needed by both a utility owner and MoDOT include:

• Endangered Species Act consultation and clearance
• Section 106 of the National Historic Preservation Act clearance
• Section 4(f) clearance
• Section 6(f) of the Land and Water Conservation Fund Act clearance
• Section 401 and Section 404 of the Clean Water Act permits
• Section 402 of the Clean Water Act permit (State Operating Permit for Erosion Control)
• Recommendations on contaminated soil disposition

643.2.7.2 Right of Way Acquisition and Utilities

The Commission is obligated to acquire the width of right of way required by the design of the highway improvement. For utility facilities currently located within the Commission’s right of way, this includes the necessary space for the utility facilities impacted by the design of the highway improvement. Either additional right of way width to accommodate a utility corridor or a utility easement can be obtained for the relocation of utility facilities. When drainage easements are acquired along a channel, additional space for utility facilities should be considered to avoid conflicts between the utility facility and the bridge or culvert.

District utilities staff should inform the utility owner’s representative of the potential of a conflict between an existing utility facility and a proposed highway construction project early in the project development process to allow sufficient time for the utility owner to prepare a plan of adjustment and notify the district utilities staff of any easement needs. When utility facilities are located on a utility owner’s private easement, the utility owner may obtain its own new easements. If the utility owner is not in a position to negotiate for new easements or if the utility owner’s policies will not permit it to condemn property to obtain the easement, MoDOT can acquire the easement in the same manner roadway right of way is obtained. The district utilities staff should verify the utility owner is aware of the opportunity to have MoDOT acquire the easement, and the utility owner should provide written documentation on whether the utility owner would like to pursue this option with MoDOT.

For situations where the utility owner will obtain its own replacement right of way and the cost of the adjustment is MoDOT’s responsibility, the utility right of way cost should be reviewed by the district right of way department to ensure the cost is reasonable and acquisition followed state and federal regulations. In order to expedite utility adjustments necessary to allow highway construction, the district utility staff may authorize the utility owner to obtain easements prior to all details of a plan of adjustment being developed. In this situation, the district utilities staff should ensure enough details are known to justify the needed right of way, and an agreement for right of way costs only should be executed with the utility owner.

For situations where MoDOT will obtain the right of way necessary to allow highway construction, district utility staff should negotiate with the utility owner’s representative to ensure all necessary utility easements are shown on the approved right of way plans. The TPM should confirm with district utilities staff that the right of way plans accurately reflect the needs of the utility owners prior to requesting right of way plan approval. The district Right of Way Manager should confirm with district utilities staff before requesting an acquisition date (A-date). Every effort should be made to avoid adding utility easement requests once negotiations with property owners have begun.

Occasionally, when negotiations cannot be completed for easements for the adjustment of utility facilities, it may be necessary to condemn for the property. District utilities staff should coordinate with the utility owner’s representative to ensure no alternate design for the adjustment of the utility facility is practical. The decision to condemn for easements for the adjustment of the utility facilities requires the exercise of good judgment in reaching the conclusion that further good faith negotiations are futile and condemnation is necessary to maintain the project in the scheduled letting. The TPM should coordinate with the district utilities staff and district Right of Way (RW) personnel on the condemnation proceedings.

Easement and other right of way documents used with utility owners are handled in accordance with procedures established jointly with RW and district utilities staff. District survey staff prepare the land descriptions for use in utility easements. The district utilities staff is responsible for completion of the easements in the correct form and scope. A sketch delineating the area described is attached to the easement as Exhibit “A”. Communication with the Design Division will ensure use of proper forms, corporate names and locations, and particular wording required for joint ownerships. The description for a utility easement is to be referenced to the nearest land corner shown on the plans. Examples of easements can be found in the template list in eAgreements.

In situations where MoDOT is acquiring right of way with existing utility easements, but the district utilities staff and the utility owner’s representative agree that the utility facility may remain in place, the utility owner will release the property to the Commission separate from the right of way acquisition. This is done by executing an Easement for Highway Construction (UT16). The utility owner grants and conveys, with warranty of title expressed or implied, to the Commission, the right to construct, reconstruct, and maintain a highway over and across that portion of the easement owned and held by the utility owner. In the future, the utility owner retains any reimbursable rights should future projects require adjustments to allow highway construction.

643.2.8 Cost Responsibility

In addition to determining if a conflict exists between an existing utility facility and a highway improvement project, it is important to determine who is responsible for the costs of the necessary adjustments to allow highway construction. An adjustment for which the Commission is responsible for the costs is known as a reimbursable adjustment. An adjustment for which the Commission is not responsible for the costs is known as a non-reimbursable adjustment. An adjustment for which the Commission and the utility share responsibility for costs is known as a partially reimbursable adjustment. Adjustments determined to be reimbursable or partially reimbursable by the Commission are to be completed under the terms of an agreement executed between the utility owner and the Commission.

643.2.8.1 Commission Responsibility

643.2.8.1.1 Utility Facilities Located on Private Easements

When the utility facility is located on a private easement within the new right of way to be acquired for a future project, the Commission is responsible for the cost of the necessary adjustments to allow highway construction. It may be possible that such easement does not have written easement rights. The Commission will honor this oral right provided acceptable documentation is provided by the utility owner to the district utilities staff. An example of acceptable documentation for not written easement rights is available. Other forms of documentation will be considered on an individual basis.

643.2.8.1.1.1 Future Moves

When the utility facility is located on a private easement, taken into the Commission’s right of way, the Commission may agree that any future moves of the same utility by Commission order may be made at the Commission’s cost. Documentation of this agreement is by an Easement for Highway Construction (UT16) agreement. If the Commission provides a substitute private easement, then the Commission will have future obligations consistent with the utility facility’s status in an easement.

643.2.8.1.2 Utility Facilities Located within Commission Right of Way

When the utility facility is located within Commission right of way, but has prior land rights, the Commission is responsible for the cost of adjustments to allow highway construction. The utility owner is responsible for documenting to the satisfaction of the district utilities staff, the basis for the claim of prior land rights within Commission right of way. Time spent researching prior rights is considered coordination and is reimbursable.

643.2.8.1.3 City or County Utility Facilities on City or County Streets

When roadway improvements are within the corporate limits of cities, towns, and villages, a municipal agreement is negotiated between the Commission and the municipality. Likewise, when roadway improvements are within the limits of a county and outside the municipal limits, a county agreement is negotiated between the Commission and the County Commission. Included in these agreements are provisions regarding reimbursement for adjusting city or county owned utility facilities. Reimbursement is provided for adjustment of city or county owned utility facilities that are now located on city or county streets and not on Commission right of way.

643.2.8.1.4 Lumen

Lumen – National (formerly CenturyLink, Lightcore, or Digital Telephone, Inc. (DTI)) and the Commission have entered into a partnership agreement, “Amended and Restated Fiber Optic Cable on Freeways in Missouri,” executed June 5, 2003 which obligates the Commission to be responsible for the cost of the necessary adjustments to allow highway construction along the routes identified in the agreement. A copy of the agreement is available to district utilities staff.

643.2.8.1.5 Services to the Commission

When a utility facility provides a service connection to local Commission facilities such as power to traffic signals, lighting, ITS, and cathodic protection and phone drops to traffic signal controllers or other Commission facilities, the Commission is responsible for the cost of the necessary adjustments to allow highway construction.

643.2.8.1.6 Private Service Lines

While most utility owners reconnect the private service lines at no cost to the property owner, some do not. If a utility owner does not reconnect service lines, MoDOT can include adjustment of private service lines in roadway contracts. Bid items for relocating service connections are provided for the different types of anticipated adjustments.

643.2.8.1.7 Second Moves

If the Commission requires additional work to a utility facility after the facility has been relocated or adjusted in accordance with a plan of adjustment approved by the Commission for a single project number, the Commission is responsible for the cost of the additional work regardless of whether the initial adjustment was Commission responsibility as outlined in other parts of #643.2.8.1_Commission_Responsibility 643.2.8.1.

The purpose of the policy is to encourage utilities to relocate early rather than waiting until plans are published for bidding. The policy eliminates the utility having to relocate twice at its own expense because of late changes in the design. It is best to have utilities relocated prior to construction, and this policy helps achieve that goal. Therefore, it is imperative that the designer notifies district utilities staff as soon as possible of any changes made after these plans have been sent. If notified immediately, it may be possible to inform the utility owner prior to their final design thereby eliminating a second move.

Under this policy, the following are not considered second moves. Temporary and staged relocations necessary to accommodate construction and agreed upon by the utility and the Commission prior to relocation are considered a single move and are not subject to the provisions of the second move policy. If the Commission requires adjustment of a utility facility for which the utility owner is responsible for the cost of the adjustment and was originally determined to not need adjustment, the utility owner is responsible for the cost of the adjustment. The utility owner is responsible for the cost of additional work to any portion of the utility facility after the utility facility has been adjusted in accordance with a plan of adjustment approved by the Commission if the additional work is required by the Commission due to error by the utility owner in preparation of plan of adjustment, field location of, or construction of the adjustment of the utility facility.

When evaluating construction contract changes by change order or value engineering, the impacts of the second move policy should be considered.

643.2.8.2 Utility Owner Responsibility

643.2.8.2.1 Utility Facilities Owned and Operated by a Political Subdivision

When a utility facility is located within Commission right of way, but does not have prior land rights, the utility owner is responsible for the cost of the necessary adjustments to allow highway construction. When a utility facility is located on public right of way other than Commission right of way, the utility owner is responsible for the cost of the necessary adjustments to allow highway construction.

When a political subdivision must bear part or all the cost of adjustments to their utility facilities, and the cost creates a financial hardship, the Commission, by its authorized representative, the Chief Engineer, may temporarily assume these costs. A payback agreement with the political subdivision will include an applicable interest rate for a comparable maturity from a widely published index of tax-exempt municipal rates obtained from Financial Services. Payback time will not exceed five (5) years.

643.2.8.2.2 Utility Facilities Other Than Those Owned by a Political Subdivision

When a utility facility is on the right of way of a public road or street or on state highway right of way without prior land rights and adjustment is necessary to allow for the construction of a roadway improvement, the utility owner is responsible for the cost of the necessary adjustments to allow highway construction.

643.2.8.3 Shared Responsibility

When a utility facility is located such that portions of it are a Commission responsibility and portions of it are a utility owner responsibility by the definitions above, the costs of the necessary adjustments to allow highway construction will be split by the Commission and the utility owner. If the exact cost for each party can be determined, each party will be responsible for their portion of the cost of relocating the utility facility. If the exact cost for each party cannot be determined, the parties will arrive at a percentage reimbursement on an equitable basis.

643.2.8.4 Notice of Hearing

When relocation or other difficulties with utility facilities on public right of way arise that prevent resolution by negotiation, formal hearings will be required.

The district initiates a request for a utility relocation hearing with a letter to the Chief Counsel’s Office (CCO) (a copy is provided to the Design Division) requesting a hearing date. CCO will arrange for a hearing room, court reporter, etc. and advise the district of the hearing date.

The district will prepare the notice of hearing by strictly following the given format and serve the notice on all persons and utility owners listed. The property and utility owner must be served only by personal service or by mailing a certified letter, return receipt requested, no later than 15 days before the date of hearing. This will require the district to make every effort to identify the correct property owner before preparing the notice of hearing. To avoid delays, every attempt will be made to issue the hearing notice at least 30 days prior to the hearing date in case any property has changed ownership and any additional property owners must be served. A notice of hearing on service line connections will also be served on the private or public owner of the main or distribution line to which the service lines are connected. A notarized "Report of Personal Service" will be completed when notification by certified mail is not used.

One copy of the hearing notice and attachments, "Report of Personal Service" and certified mail notices are to be submitted to CCO after notification is complete.

Prior to the hearing, the district's representative will become familiar with the details of the utility adjustment in order to provide concise testimony to expedite the hearing process. CCO will assign an attorney to work with the district and present the case.

Refer to 7 CSR 10-3.030 020 Utility Relocation Hearings for additional information.

A Waiver of Hearing should be obtained for non-reimbursable adjustments to document the commitment of the utility owner to adjust its utility facilities without adversely impacting the highway construction project. This may be accomplished informally via written communications between the district utilities staff and the utility owner’s representative. A formal Waiver of Hearing statement may be requested by either MoDOT or the utility owner. A sample transmittal letter for the Waiver of Hearing is available. For reimbursable or partially reimbursable adjustments, the formal agreement serves as the basis of documentation of this commitment.

643.2.9 Estimates

District utilities staff will negotiate with utility owners to determine reimbursable costs of the necessary adjustments to allow highway construction (EPG 643.2.8 Cost Responsibility). These estimates are prepared in accordance with the provisions of 23 CFR 645 and any amendment thereto. These estimates must reflect the same procedures and costs used by the utility owners in their normal operations and must also accurately represent the expected costs of the work. The utility owner’s estimate will be reviewed by the district utilities staff to ensure compliance with 23 CFR 645.

643.2.9.1 Independent Cost Estimate

The independent cost estimate provides the basis for district utilities staff to review the utility owner’s estimate of costs of the necessary utility adjustments to allow highway construction and any subsequent negotiations with the utility owner. The district utilities staff should prepare an independent cost estimate. The independent cost estimate may be based on unit prices of anticipated items of work in a utility adjustment necessary to allow highway construction. The independent cost estimate alternately may be based on recent similar types of utility adjustments necessary to allow highway construction and scaled for size. Consultants can be used to develop the independent cost estimate. All documentation of the independent cost estimate should be placed in MoProjects.

643.2.9.2 Type of Project Cost Estimates

Either Actual Cost or Lump Sum estimates may be used for estimating the costs on the necessary utility adjustments to allow highway construction. If an Actual Cost estimate is used, detailed records of materials, labor, and equipment are made by district utilities and/or construction staff during construction, and a final audit of the utility owner’s cost records is made to determine the Commission’s actual responsibility for costs of the adjustment completed to allow highway construction. If a Lump Sum estimate is used, a final audit of costs for an adjustment in payment is not required. The Actual Cost method requires more detailed record keeping and documentation by the utility owner and district staff during construction. The Lump Sum method requires more upfront detail and work by the utility owner and judgment on the district utilities staff on the acceptability of the cost. The district utilities staff will work with the utility owner’s representative to determine the best type of estimate and therefore agreement to use.

643.2.9.2.1 Actual Cost Estimate

The cost estimate that supports the actual cost agreement is prepared in sufficient detail to determine the reasonable expected cost of the work to support development of an agreement between the utility owner and the Commission. However, reimbursement is based on the actual costs of design and construction of the necessary adjustment to allow highway construction. The actual cost estimate should detail all costs of the necessary adjustment to allow highway construction, even if the Commission is only responsible for a portion of the costs as detailed in EPG 643.2.8.3 Shared Responsibility.

Actual cost estimates can be used for any dollar amount of reimbursement.

643.2.9.2.2 Lump Sum Estimates

The cost estimate that supports the lump sum agreement must be accurate, comprehensive, verifiable, and in sufficient detail to present a clear picture of the work involved and the cost of the individual items. The estimate may cover only that portion of the adjustment for which the Commission is responsible for the costs of the necessary utility adjustments to allow highway construction. Lump sum estimates are limited to a maximum of $200,000 of Commission responsibility of costs of the necessary utility adjustments to allow highway construction; however, exceptions may be made for special situations that have prior approval from Design Division. These exceptions usually cover major relocations for which the Commission's proportionate responsibility is extremely small.

643.2.9.3 Utility Cost Estimate Requirements

Whether using an Actual Cost or Lump Sum estimate, the following should be included in the estimate, if applicable. If any of the following sections are not included in the estimate, a qualifying statement as to why the costs were not included should be provided.

643.2.9.3.1 Scope of Work

All estimates require a concise summary of the work to be performed on the estimate. An example is "an estimate of cost covering the work of relocating Company's 12-inch Cushing-Woodriver pipeline to accommodate construction of Route 47 in Franklin County on Job No. J6P0172".

643.2.9.3.2 Engineering Costs

Costs of engineering, whether preliminary or construction, must be shown as separate items and are not to be included with "labor costs". Concurrent cost accounting procedures of FHWA and MoDOT make this a necessity. See EPG 643.2.6 Preliminary Engineering and EPG 643.2.16.2 Construction Contract Requirements for further information.

643.2.9.3.3 Right of Way Costs

A detailed estimate of the cost to acquire replacement easements by the utility owner is required. The cost should be supported by a right of way plan.

643.2.9.3.4 Material Costs

Quantities, description of the item, the unit cost, and the extended totals are shown. Percentage computations will be shown immediately following "total cost" so the utility owner’s and Commission's cost obligations are properly indicated. Unit assembly costs similar to those used by several of the rural electric association (R.E.A.) cooperatives are acceptable, provided the same units and charges are used in the utility owner’s regular operations. A handling charge conforming with the utility owner’s regular procedures may also be included.

643.2.9.3.5 Labor Costs

Hours, individual or crew rates, and extended totals are shown. Payroll additives such as insurance, retirement, social security, vacation, and other benefits are shown as a separate item under this heading in accordance with utility owner’s regular procedures. Adequate explanation must be given for total percentage used, especially in those cases where materials and labor are combined as unit costs or where labor percentages include additives and equipment requirements.

643.2.9.3.6 Equipment Costs

A description of the equipment to be used must be shown jointly with the number of hours to be charged. Rates charged for equipment usage must be justified by the utility owner’s established accounting procedures. When the utility owner does not have an established accounting procedure or a capitalization and depreciation schedule that is used in its own operations, the rates are to be established by using rental rate publications as a guide. A reasonable amount will be deducted, when using rental rate schedules, for profit that the rental company realizes. A full explanation of the methods used in establishing the rates must also be submitted to support the utility owner’s request and with approval of the district utilities staff.

Equipment may be rented when the utility owner’s equipment is not available or is inadequate, with the rental rate justified by appropriate solicitation of bids. See EPG 643.16.2 Construction Contract Requirements for further information.

Unusual accounting procedures may be accepted with adequate prior explanations and approval of the Design Division.

643.2.9.3.7 Removal Costs

These costs are estimated and shown in a similar method but separately from installation costs. When removal costs exceed salvage credits by more than the estimated cost of removal by the roadway contractor, an effort should be made to persuade the utility owner to abandon the utility facilities in place. An exception is made when the utility owner is required to remove abandoned utility facilities because of liability, hazard, or by specific agreement with the Commission. Abandoned utility facilities can be included with the miscellaneous removals in the roadway contract. It may be possible for the utility owner to remove those portions of the utility facility for which credits will exceed removal costs, with the remainder of the utility facility to be abandoned for removal in the roadway contract. Materials removed must be itemized, with the utility owner’s customary salvage credit given. Items to be scrapped or junked should be indicated. Whenever a utility facility or portion thereof is shown to be abandoned on the plan of adjustment, the roadway plans should be notated accordingly. This eliminates ownership problems if these utility facilities are removed or salvaged by the roadway contractor.

When the utility facility is no longer needed and removal is necessary to accommodate the roadway project, the removal of the item may be handled either as a right-of way-item or a utility adjustment. When handled as a right of way item, the damages allowed are to equal the depreciated value of the utility facility, with the necessary removals being accomplished by the roadway contractor. If accomplished as a utility adjustment, the Commission, by utility agreement, will reimburse the utility owner for removal costs and receive salvage credit for the material removed, up to but not exceeding removal costs.

643.2.9.3.8 Salvage of Removed Materials

This statement, to explain the salvage credit or lack of credit, will reflect routine utility owner policy as well as the particular situation. The utility owner will place a value on any recovered material for salvage. District utilities staff should check this value for reasonableness. Examples of salvage statements include:

• Existing utility facilities to be abandoned in place, since the cost of salvaging, based on our past experience, will exceed their value.
• Only those items will be salvaged for which salvage credit will exceed the cost of removal and salvage.
• Company liability requires removal of the retired utility facilities, even though the cost of removal will exceed allowable credit for salvage.
• Salvage credits are in accordance with established company accounting procedures.

643.2.9.3.9 Accrued Depreciation Credits

Credit is required for the accrued depreciation of a utility facility that is being replaced. Examples are a building, structure, pumping station, filtration plant, power plant, substation, or other similar operational unit. Credit for accrued depreciation will not be required for a segment of the utility's service, distribution, or transmission lines. It is also not required when the building or structure is being moved as necessitated by the highway project. Acceptable accrued depreciation credit will be determined by using the following formula: $\frac{\text{Actual Length of Service of Replaced Facility (Years)}}{\text{Total Estimated Service Life of Replaced Facility (Years)}}x$ Original Cost ($) = Credit ($)

643.2.9.3.10 Betterment Credits

Betterment means the upgrading of the utility facility being relocated, made solely for the benefit of and at the election of the utility owner and is not attributable to the roadway improvement. Credit to the Commission is required for the additional costs incurred for the betterments introduced in the adjusted utility facility. No betterment credit is required for additions or improvements which are:

• Required by the highway project
• Replacement devices or materials that are of equivalent standards although not identical
• Replacement of devices or materials no longer regularly manufactured with next highest grade or size
• Required by law under governmental and appropriate regulatory commission code
• Required by current design practices regularly followed by the utility owner in its own work, and there is a direct benefit to the highway project

643.2.9.3.11 Overhead Costs

Overhead costs are usually a percentage of the total labor cost. This item must be in accordance with the utility owner’s established accounting procedures, which in some cases may include handling costs or be a percentage of the total cost of the work involved. Additional attention to overhead costs is required when the rate is different from previously accepted rates. Occasionally, it can be difficult to obtain the necessary information at the time of the estimate to approve the overhead rates. In this situation, the estimate can be approved with exception of the overhead rates for payment. The utility owner is informed of this matter with the understanding that the overhead rates could be approved and paid with submission of appropriate supporting data and Financial Services audit review.

643.2.9.3.12 Prorating Costs

The need for prorating utility adjustment costs occurs when both the Commission and the utility owner are responsible for a portion of the utility adjustment necessary to allow for highway construction, and the actual costs for reimbursement in each category cannot be explicitly determined. Generally, the following conditions require division of costs:

• The adjustment is considered partially reimbursable per EPG 643.2.8.3
• Betterments are included in the necessary adjustment of the utility facility

The district utilities staff should negotiate with the utility owner’s representative to determine an equitable basis for the prorating of costs based on the characteristics of the utility adjustment necessary to allow for highway construction.

643.2.9.3.13 Costs Records

The estimate should include a statement as to where the utility owner’s cost records may be reviewed. An example: "Company cost records will be available in our office at 2134 Industrial Avenue, Tulsa, Oklahoma".

643.2.9.3.14 Other

Additional statements will explain or further clarify the work that is included. Such other items may include bypasses, special equipment, need for larger utility facilities, etc.

643.2.10 Schedule

Timely adjustments of utility facilities are essential for efficient completion of highway construction projects. Ideally, all utility adjustments are completed prior to a project’s Plans, Specifications, and Estimate (PS&E) submittal to Central Office. Depending on the specifics of the highway construction and utility adjustment necessary, early completion of the utility adjustment may not be practical. The district utilities staff should negotiate with the utility owner to determine the schedule parameters necessary for the utility adjustment. At a minimum, the utility owner should document the dates it anticipates starting and completing the work. If a utility adjustment depends upon the completion of a portion of the highway construction, the necessary milestone for starting the utility adjustment should be documented along with an anticipated number of working days to complete the utility adjustment. The schedule is included as Exhibit “C” to the agreement.

643.2.11 Pre-Audits

The district utility staff performs a pre-audit review and approval prior to preparation of the agreement. A pre-audit checklist should be completed and saved in MoProjects.

643.2.12 Utility Agreements

Whenever the Commission is responsible for the cost of the necessary adjustments to allow highway construction, an agreement is required. If a Master Reimbursable Utility Agreement (see EPG 643.2.12.2) has not been executed with the utility owner, a Project Specific Agreement (see EPG 643.2.12.3) is executed between the utility owner and the Commission. In some cases, it may be more practical for the Commission to include adjustment of utilities into a Commission administered contract. A Utility Agreement - Actual Cost (For Utility Work That is to be Included in the Missouri Highways and Transportation Commission's Road Project) (see EPG 643.2.12.4). Agreements include a plan of adjustment (Exhibit “A”), cost estimate (Exhibit “B”), and schedule (Exhibit “C”).

The Utility Agreement boilerplate forms have been approved by the Chief Counsel’s Office (CCO). They are identified in the upper left-hand corner of each agreement by an identifier such as CCO Form: UT01 for the Master Reimbursable Utility Agreement. CCO updates these agreements as necessary. They serve as a guide in the preparation of the agreement to be executed with the utility owner for the adjustments required to their utility facilities to accommodate the proposed roadway improvement project. District utilities staff should use the latest version of the agreement found in eAgreements in drafting an agreement with utility owners. A list of utility agreements and detailed information concerning the sequence for preparing and executing an agreement is available in EPG 153 Agreements and Contracts.

These forms are to be used word for word. Revisions or additions are only made to address specific project details. The intent of each paragraph must be retained, although specific words may be revised to fit the particular situation. No paragraphs are deleted without prior approval from CCO. For guidance on acceptance of liability, refer to the Acceptance of Liability Policy at the CCO SharePoint page. Drafts of agreements having major revisions or complications are to be submitted, with supporting data, to Design Division for comment and approval.

A reference to 23 CFR 645 is included in all agreements. Utility owners must be acquainted with these requirements and procedures. The incorporation of 23 CFR 645 by reference in all agreements eliminates the need for a second set of regulations to be included in the document.

The agreement for the adjustment of a utility is prepared by the district utilities staff and submitted to the utility owner for execution. The agreement is based on the plan, estimate of cost which was prepared in accordance with 23 CFR 645, and schedule. Authorized individuals representing the utility owner will execute the agreement. The agreement must be signed, sealed, and if necessary, notarized by the utility owner. If the utility owner does not have or use a corporate seal, write "NO SEAL" under the signatures of the owner’s officers. Agreements with political subdivisions are to be supported by an appropriate ordinance, a copy of which is to be submitted with the executed agreements. All copies will be forwarded to the CCO for further handling. A fully executed copy of the agreement will be retained in eAgreements. If the agreement was executed using electronic signatures, the district utilities staff should forward an electronic copy of the fully executed agreement to the utility owner. If the agreement was executed using wet signatures, one (1) paper copy of the fully executed agreement will be returned by the Commission Secretary’s Office to the district utilities staff. The district utilities staff will forward this copy to the utility owner.

643.2.12.1 Buy America Build America Requirements

All agreements contain information on Buy America Build America (BABA) compliance. The utility owner should select the method of certification (See EPG 643.2.19) at the time of agreement completion. The appropriate paragraph will be inserted into the agreement. All BABA compliance documents must be retained by the utility owner and made available upon request at no cost to the Commission and/or FHWA.

643.2.12.1.1 Utility Owner Self-Certification

The City/Company certifies that when determining products/materials subject to Buy America Build America requirements to use in the performance of this Agreement, it shall use only such products/materials for which it has received a certification from its supplier, or provider of construction services that procures the product/material, certifying compliance with Buy America Build America requirements. This does not include products/materials for which waivers have been granted pursuant to 23 CFR 635.410. The City/Company will not be required to provide the Commission copies of the supplier certification as part of this Agreement or with the final invoice of said Commission’s Federal-Aid Highway Construction Project.

643.2.12.1.2 Vendor/Manufacturer Certification

The City/Company certifies that when determining products/materials subject to Buy America Build America requirements to use in the performance of this Agreement, it shall use only such products/materials for which it has received a certification from its supplier, or provider of construction services that procures the product/material, certifying compliance with Buy America Build America requirements. This does not include products/materials for which waivers have been granted pursuant to 23 CFR 635.410. The City/Company shall provide to the Commission all Buy America compliance documents as outlined in the Commission’s Engineering Policy Guide 643. All required compliance documents shall accompany the final invoice submitted to the Commission.

643.2.12.2 Master Reimbursable Utility Agreements

The UT01: Master Reimbursable Utility Agreement (MRUA) is a statewide agreement that has been executed by the utility owner and the Commission for all future reimbursable utility adjustments between both parties. Once a MRUA is executed, no other utility agreements are required on design-bid-build projects. The district utilities staff should encourage utility owners to enter into a MRUA with the Commission to reduce potential future delays in executing a project specific agreement. A list of previously executed Master Reimbursable Utility Agreements is available. District utilities staff should add newly executed agreements to this list. The MRUA can be employed as either an actual cost (EPG 6432.12.3.1) or lump sum (EPG 643.2.12.2.2) agreement. When the reimbursable adjustment will utilize a MRUA, the district utilities staff will prepare a MRUA correspondence letter (“letter agreement”) referencing the executed MRUA. A copy of the MRUA correspondence letter should be saved in MoProjects for reference by Financial Services, the district construction office, and the district staff responsible for inspection of utility adjustments. All project specific items such as type of agreement (actual cost or lump sum), plan of adjustment, estimated total cost, cost allocation, and schedule are addressed in the MRUA correspondence letter from the district utilities staff to the utility owner. A flowchart of the MRUA process is available.

643.2.12.3 Project Specific Agreements

If a utility owner does not have a MRUA with the Commission, a project specific agreement will be required for every project for which the Commission is responsible for the necessary adjustments to allow highway construction. The project specific agreement will be either an actual cost (EPG 643.2.12.3.1) or lump sum (EPG 643.2.12.3.2) agreement.

643.2.12.3.1 Actual Cost Agreements

The UT03: Utility Agreement – Actual Cost is used when detailed estimates are not practical or costs appear to be questionable. Details on actual cost estimates can be found at EPG 643.2.9.2.1 Actual Cost Estimates. Once the final invoice on a UT03 is submitted to Financial Services, district utilities staff should change the status on the agreement in eAgreements to completed.

643.2.12.3.2 Lump Sum Agreements

The UT02: Utility Agreement – Lump Sum eliminates the need for keeping detailed records of cost and the auditing of cost records. Estimates of cost must be prepared in detail for use of this agreement. When detailed estimates are not practical or costs appear unreasonable, actual cost agreements are to be used. Use of special forms of agreements, such as "subordination agreements", which are desired by certain utility owners, is acceptable. These, too, must be revised to cover the particular situation. Details on lump sum estimates can be found at EPG 643.2.9.2.2 Lump Sum Estimates. Once the final invoice on a UT02 is submitted to Financial Services, district utilities staff should change the status on the agreement in eAgreements to “completed”.

643.2.12.4 Agreement for Utility Work Included in Roadway Improvement Project

The UT04: Utility Agreement - Actual Cost (For Utility Work That is to be Included in the Missouri Highways and Transportation Commission's Road Project) allows for the adjustment to be based on actual cost with the roadway contractor performing the utility work. Caution should be exercised in the type of utilities to be relocated in roadway contracts. Utilities recommended are waterlines and sewer lines. Other utilities, such as gas lines, communication lines, and power lines are to be studied thoroughly before being included in the project.

The Transportation Project Manager and district utilities staff must plan ahead to get this work in the roadway contract. The utility owner must agree to include the utility adjustment in the roadway contract. The adjustment may be on highway right of way or on private easement in the name of the utility owner. The utility owner can agree to allow MoDOT’s contractor to work in its easement. However, district utilities staff in consultation with district right of way staff should review the easement documentation to verify the utility owner’s rights to the easement and any limitations on its use. MoDOT’s contractor can work and operate on both Commission right of way and on the utility easement, even when not directly connected to the Commission right of way, as part of the job site. Temporary construction easements may be necessary in addition to the utility easement to ensure adequate working room for the contractor.

The utility owner may request exemption to any liability for negligence of our contractor working on their easement. The Commission can assume that liability (refer to Acceptance of Liability Policy), but it should be included in the utility agreement if so desired by the utility owner. A Job Special Provision is necessary to require the MoDOT contractor to hold the utility harmless from all claims due to contractor negligence.

Subsurface information, i.e. boring data, etc., should be obtained by the utility owner since it may be needed for the design of the utility adjustment. This information should be included in the plans. If the utility owner must bear all or part of the cost of the adjustment, the utility owner must agree to pay a pre-deposit to the Commission prior to opening bids on the project. This should be in the utility agreement. The pre-deposit will be credited to the "Missouri Highway and Transportation Commission - Local Fund." Any interest earned in the fund will apply to the cost of the adjustments. The utility agreement will include language that the utility will inspect the installation and assume maintenance of the utility facility after construction. MoDOT will also provide engineering supervision to be sure the road contractor is in compliance with the contract. Utility plans and specifications are to be approved by the owner prior to submittal to the Central Office. The following items will provide minimum information to allow MoDOT’s contractor to bid the work.

1. Individual bid items (not "lump sum") should be established to promote better bidding and to handle overruns and underruns. Bid items not included on the Computer Stored Bid Item list should be "99" numbers.
2. he bid package must be in our letting format. If the package was prepared by a consultant as if the utility owner were going to let it, all bid bond or bidding procedures must be screened to remove requirements contrary to MoDOT letting requirements. District utilities staff should work with the Transportation Project Manager, Design Liaison Engineer, and Central Office Bidding and Contract Services to ensure this requirement is met.
3. The specifications required by the utility owner should be reviewed for items that could cause a bid problem for our contractor. Items such as non-readily available materials or sizes should be avoided.
4. Utility plan sheets should be .pdf files equivalent to 22 in. x 34 in. It is helpful to have a quantity sheet specifically for utility items.
5. Any special procedures required for the utility installation should be included in the Job Special Provisions.
6. The utility package should be submitted on-time to Central Office with other project plans.

643.2.12.5 Agreement for a Utility Only Project

Any of the above agreements can be modified for a utility only project separate from the roadway project. The utility only project may be done by forces hired by the utility owner or by the Commission. A separate utility only project has distinct advantages when the following occurs:

• The utility work is extensive
• It must be performed in accordance with the utility owner’s seasonal requirements
• It extends beyond the limits of the construction project
• It must be performed considerably in advance of the roadway contract

Necessary environmental and design work is still required for the limits of the separate utility only project. It may be necessary in these cases to have a second agreement with the utility owner to cover any other work that must be performed concurrently with the roadway contract. These latter agreements will use the roadway construction job number. Early need for utility projects is to be determined at the time when the STIP is updated each year. The utility construction funds will be shown in the year right of way funds are assigned. This will be done whenever possible to secure early adjustment of utility facilities. A request by the district is sent to the Planning Division. Estimated dollar amounts for utility adjustments are needed. These are estimates and do not need to be extremely accurate. When a special utility project is established, it is preferred, if at all possible, to include all the utility adjustments necessary for the entire roadway project. If funds are available, additional agreements can be added to this utility project until the final invoice for the first completed agreement is received for payment.

643.2.12.6 Supplemental Agreements

For utility owners with a UT01 agreement, a supplemental letter agreement documenting the change in the scope or cost of the work is acceptable.

The UT05: First Supplemental Agreement is used to document changes to UT02 and UT03 agreements. If changes to the scope of work occur that are anticipated to exceed $100,000 or 15% of the original agreement, a UT05 is required. If the final invoice on an actual cost adjustment without changes in the scope of work exceeds the limits shown in the table below, a UT05 is required.

Amount in Original Actual Agreement	Final Bill Total Exceeds Original Amount by:
0-$25,000	50%
$25,000-$100,000	40%
Exceeds $100,000	30%

Should multiple UT05s be required with the same utility owner, the UT05 should be modified for additional supplemental agreements. Once the final invoice on an UT05 is submitted to Financial Services, district utilities staff should change the status on the agreement in eAgreements to “completed”.

643.2.13 Utility Adjustments in Roadway Plans and Job Special Provisions (JSPs)

It is the responsibility of the MoDOT Transportation Project Manager (TPM) to ensure utility plans of adjustment are shown on the project plans at the Plan, Specification, and Estimate (PS&E) stage based upon information coordinated by the district utilities staff with the appropriate utility owner.

643.2.13.1 Plans

A legend showing all applicable utility symbols and the names of the utility owners is shown on the first special utility sheet. In the absence of special utility sheets, this information may be shown on the title sheet or the first plan and profile sheet. The following note is required to be placed on the title sheet or the first plan and profile sheet and the first special utility sheet (if used) to inform contractors of the suitability of the utility information contained on the plans.

"The existence and approximate location of utility facilities known to exist, as shown on the plans, are based on the best information available to the Commission at this time. This information is provided by the Commission "as-is" and the Commission expressly disclaims any representation or warranty as to the completeness, accuracy, or suitability of the information for any use. Reliance upon this information is done at the risk and peril of the user, and the Commission shall not be liable for any damages that may arise from any error in the information".

643.2.13.2 Job Special Provisions

Since the addition of utility information on the plans, supplied by a third party, could subject the Missouri Highway and Transportation Commission to additional liability, a Utility JSP reflecting the status of utility adjustments will be required. The JSP will include the name, address, e-mail address, and telephone number of all utility owner representatives for all utility facilities located on the project. The anticipated adjustment completion date for each utility adjustment is also to be shown based on the agreed upon dates, durations, or completion dates with the utility owner’s representative. This information will inform the bidder of the status of utilities for proper work coordination that could affect the bids for the proposed highway construction project. Status notations will include general notations such as: “N/A”, “Work is in progress”, “Work has not started”, “Work is complete”, and “Work is included in contract.”

643.2.13.3 PS&E Submittal

In the District Final Plans Submittal Checklist (D-12), the TPM should note any issues related to existing utility facilities or the adjustment of utility facilities either shown or not shown on the plans. Projects with “No Utility Impacts” such as some overlays, striping, bridge washing, etc. do not need a Utility Status Letter or Utility JSP. The D-12 is used for these projects. In the D-12, under Project Details – “Utilities”, the note “NO” is selected and under “Status”, select “Clear”. For all other projects, the district utilities staff will write a Utility Status Letter. The TPM will include the Utility Status Letter with the submittal of the final plans to the Design Division. The Utility Status will be defined as:

1. Utility facilities are present, but no conflict is anticipated with the highway construction project. Or,
2. All utility facilities requiring adjustment to allow highway construction have been physically adjusted on the project. Or,
3. Utility construction work is planned or active and will be completed to such a point that no impact will be expected to the highway construction project. The status of this work is defined in the utility JSP. Or,
4. Utility facilities are not expected to be adjusted by the notice to proceed date for the road project, but the utility work will have no impact on the progress of the highway construction project. The status of this work is defined in the utility JSP. Or,
5. Utility facilities must be adjusted after the road contractor completes stage construction or in coordination with the contractors’ work. Details of the coordination effort required of the contractor are defined in the utility JSP to properly advise bidders. Or,

1. Utility adjustment plans and specifications are included in the bid documents for the highway construction project. A UT04 agreement must be executed.

643.2.14 Payment to Utility Companies for Reimbursable Work

Authorization and federal funding obligation must be approved prior to incurring costs. This applies to all types of work on utility facilities including preliminary engineering. An obligation is a commitment by the federal government to reimburse MoDOT for the federal share of a project’s eligible cost.

643.2.14.1 Obligation Process

Federal funding can be used with both lump sum and actual cost agreements. After the utility agreement is fully executed, the district utilities staff will email a copy of the utility agreement or the letter agreement referencing the MRUA to the email group OBLIGATE. This email should request the authorization authority for use of federal funds and to be informed of a Notice to Proceed (NTP) (see EPG 643.2.15) date by Financial Services once federal funding has been obligated. District utilities staff should allow three (3) weeks to receive the NTP. Financial Services will use Advance Construction (AC) funding to fund reimbursement to utility owners. With AC funding, state funds initially are used to pay for reimbursement to utility owners. Once construction is complete, with appropriate documentation of the work via the C-9 and C-13, Financial Services will convert to federal funding.

643.2.14.2 Preliminary Engineering

On occasion, preliminary engineering (PE) may need to be undertaken by the utility owner prior to the execution of a utility agreement. If a utility owner has a MRUA, an estimate of the cost of the PE work by the utility owner may be used to obligate funding for preliminary engineering under the MRUA as a PE only letter agreement. If a lump sum or actual cost agreement will be required with the utility owner for the project, district utilities staff should do two (2) agreements with one agreement covering PE only, and once a design for the adjustment is obtained, a second agreement for the construction of the adjustment should be executed. If a separate PE only agreement is obtained, NTP will need to be issued twice to the utility owner: once for PE and once for construction.

643.2.14.3 Right of Way

Once Notice to Proceed has been given, the utility owner may begin the right of way acquisition process. If the utility owner needs to acquire right of way prior to a full agreement for relocation has been negotiated, the agreement specifically for the acquisition of right of way should be executed. This agreement will be sent to Financial Services to begin the obligation process.

643.2.14.4 Construction

Payment to utility owners for construction of the adjustment may occur in a number of phases.

643.2.14.4.1 Prepayment

Per the utility agreement, the Commission allows utility owners to be prepaid prior to commencing work. The district utilities staff may negotiate the prepayment if the utility owner is receptive. The utility owner will submit a request for prepayment with an invoice prior to any prepayment. Route, county, and job number must be included in the request. The district utilities staff will submit a request to Financial Services with a copy saved in MoProjects for future reference by the district staff responsible for inspection of the utility adjustment.

643.2.14.4.2 Progress Payments

If a utility owner has not been prepaid the entire estimated amount in the utility agreement, then the utility owner may request progress payments after completing a portion of the proposed work, including PE.

Progress payments for PE by consultants should not exceed the "maximum not to exceed amount" shown in the cost estimate unless additional costs are approved first by district utilities staff.

For progress payments, the utility owner is required to submit only a summary of work and materials for which payment is claimed, not a detailed billing. District utilities staff should check only to be sure that sufficient work has been done to justify making the requested payment. Payment should be made for allowable costs incurred up to the date of the progress payment request.

Progress payment invoices do not relieve the utility owner of the responsibility of submitting one complete and final invoice upon completion of the adjustment. The utility owner’s address must be shown on the invoice. The district utilities staff should submit progress payment invoices and applicable C-9s to Financial Services within one (1) week of receipt of invoice.

One copy of the progress payment and one copy of the district utilities staff letter of recommendation must be sent to Financial Services for payment and be stored in MoProjects. The cover memo should include the project number, route, county, actual cost or lump sum utility agreement, Commission obligation percentage, total cost estimate of Commission obligation, and indicate the progress payment number, i.e., progress payment number 1, 2, 3, etc. If more than one progress payment is requested by the utility company, the district should submit progress payment bills to Financial Services in the following format:

Payment	Amount
Progress Payment #1	$50,000
Progress Payment #1	10,000
Total Payment to Date	$60,000

This format will help clarify payment history with the utility owner. Progress payments for actual cost utility agreements may not exceed the Commission's total estimated cost shown in the agreement. However, if the request for a progress payment exceeds the original estimate, a change order with explanation should accompany the request. (See EPG 641.2.16.5 Change Orders.)

643.2.14.4.3 Final Payment

Utility owners are required to submit a detailed final invoice to MoDOT for all actual cost reimbursable utility work and for any lump sum reimbursable utility work that was not prepaid. For prepaid lump agreements, the utility owner must submit a zero-dollar ($0) invoice to demonstrate the work has been completed. After the utility work has been fully completed, the district utilities staff responsible for inspection should send the utility owner a “60 Day” Final Acceptance Letter requesting a complete final invoice within 60 days, as detailed in the utility agreement. If the final invoice is not received from the utility owner within 30 days, then a follow up letter should be sent (i.e., “30 Day” Reminder Final Invoice Letter) reminding the utility owner of its obligation to submit a final invoice within 60 days of the completed work. If a final invoice from the utility owner is not received within this timeframe, then the district utilities staff should contact the Design Liaison Engineer for guidance on how to close out the work.

The district utilities staff is expected to check the final bill within two (2) weeks after receipt in as much detail as possible against the C-9. It is their responsibility to verify from field records the quantities of labor, equipment, material used, material retired, and to justify all changes made. If the utility owner’s contractor made the adjustment at unit cost prices, then it is the district utility staff’s responsibility to verify the number of units completed and not the hours of labor and equipment. It is also important for the utility owner to show the words “final bill” or “final invoice” on the last bill, in order for MoDOT to understand that no additional charges will be made on the adjustment. The final bill must show a general description of the utility adjustment, the highway project number, the date on which work was completed or last item of billed expense was incurred, and the location where records can be audited. The order of items in the final statement should follow as closely as possible the order of items in the original estimate. A summary, on the utility owner’s letterhead, of the total cost of preliminary engineering, construction engineering, right of way, labor, overhead, construction travel expense, transportation, equipment, materials, supply, handling, and salvage credits should be shown in a way that will permit direct comparison with the approved estimate from the original or supplemental agreements (see EPG 643.2.12.6).

If the Actual Cost final invoice shows a much higher cost than the original estimate without scope change, the utility owner is required to give reasons in a letter to the district utilities staff explaining why the invoice cost increased. When the Actual Cost final invoice exceeds the amount shown in the table in EPG 643.2.12.6, a supplemental agreement is required.

When the district utilities staff has determined that the final invoice is accurate, the C-13 should be completed. Once the C-13 is completed, the C-13 and the final invoice from the utility owner are forward to Financial Services. For Actual Cost agreements, the C-9s should also be included in this transmittal. If no additional payments are required, the district utilities staff should note this in the transmittal as well. If the final invoice indicates previous payments to a utility owner exceeded the final invoice, the utility owner will need to send MoDOT a check for the overpayment amount. The check should be made payable to Director of Revenue – Credit State Road Fund. If the utility owner did not send MoDOT an overpayment check with the final invoice, district utilities staff should send a letter to the utility owner requesting the refund amount. Submittal of the final invoice to Financial Services should not occur until repayment has been received. The submittal to Financial Services should note the receipt of the repayment check.

643.2.15 Notice to Proceed

For PE only, once an agreement has been executed, and Financial Services has advised that authorization from FHWA has been received, district utilities staff will issue a notice to proceed (NTP) letter to the utility owner for the PE. For agreements that include PE and construction or once a final agreement for construction has been executed, right of way clearance has been issued, and Financial Services has advised that authorization from FHWA has been received, the district utilities staff will issue NTP to the utility owner for construction. See Example of Notice to Proceed Letter. If salvage credit is part of the agreement with the utility owner, the NTP letter should include a statement that the utility owner will need to inform district utilities staff of the time and place that inspection may be made of the removed material. The utility owner may be held accountable for full value of materials disposed without proper notice. Utility owners may purchase materials prior to NTP for construction; however, no other work on the adjustment necessary to allow highway construction may begin prior to NTP for construction. The utility owner, for reasons of planning their workload or due to seasonal situations, may request early authorization to perform the work. This request, with the district utilities staff recommendations, is sent to the Design Liaison Engineer for further handling, approval, and advancement of the necessary funds. A copy of the NTP should be saved in MoProjects. If a utility owner begins adjustments prior to NTP for construction, district utilities staff should notify the utility owner immediately in writing that reimbursement will not be made for work done prior to NTP for construction.

643.2.16 Construction of Utility Adjustments

643.2.16.1 Utility Owner Self-Perform

As per 23 CFR 645.115 Construction, it may be cost-effective for certain utility adjustments to be performed by a utility owner with its own internal forces and equipment, provided the utility owner is qualified to perform the work in a satisfactory manner. This cost-effectiveness finding covers minor work on the utility owner’s existing utility facilities routinely performed by the utility owner with its own forces.

643.2.16.2 Construction Contract Requirements

When the utility owner is not adequately staffed and equipped to perform such work with its own forces and equipment at a time convenient to coordination with the associated highway construction, such work may be done one of four ways for utility adjustments:

1. MoDOT can provide the construction services, via awarded contract to the lowest qualified bidder based on appropriate solicitation. This can be done by including the adjustment work in the roadway improvement project (EPG 643.2.12.4 Utility Agreement for Utility Work Included in Roadway Improvement Project) or by having a utility only project (EPG 643.2.12.5 Utility Only Project).
2. The utility owner can award a construction contract to the lowest qualified bidder based on appropriate solicitation.
3. The utility owner can utilize an existing continuing contract, provided the costs are reasonable (see EPG 643.2.9.1 Independent Cost Estimate).
4. The utility owner can contract for low-cost incidental work, such as tree trimming and the like, without competitive bidding, provided the costs are reasonable (see EPG 643.2.9.1 Independent Cost Estimate).

When a utility owner chooses option 2 to award its own new construction contract, the utility owner must provide the following documents and information to the district utilities staff. These documents need to be provided as soon as the utility owner has chosen to pursue a construction contract. Document 1 must be supplied by all utility owners. Documents 2 and 3 are only required when the utility owner is a local government agency who is also a political subdivision of the state of Missouri (e.g., city-owned utilities, county-owned utilities). All other utility owners are encouraged, but not required, to provide Documents 2 and 3.

1. A statement that the utility owner is not staffed or able to perform the required construction activities with its own forces.
2. A copy of the request for proposal used to secure bids.
3. A list of a minimum of 3 bidders whom they believe can do the work. Political subdivisions are required to advertise for the work.
4. Upon review of these documents, the district utilities staff will advise the utility owner to proceed with the solicitation of bids, but the utility owner will not be permitted to award the contract without the concurrence of district utilities staff. For lump sum agreements, approval of contract work and subcontract work is not required.

The following documents need to be provided as soon as the utility owner has determined the lowest qualified contractor and would like to award the project. Document 1 must be supplied by all utility owners. Document 2 is only required when the utility owner is a local government agency who is also a political subdivision of the state of Missouri (e.g., city-owned utilities, county-owned utilities). All other utility owners are encouraged, but not required, to provide Document 2.

1. The name address of the lowest qualified contractor.
2. The tabulation of bids received and other information to support their recommendation for award to the lowest qualified bidder.

The district utilities staff will review and approve the utility owner's bid information prior to the award of the contract. The Design Liaison Engineer is available to assist the district with review of bid information if necessary. Once the district utilities staff provides concurrence, the utility owner may proceed with awarding the contract. When the utility owner is a local government agency who is also a political subdivision of the state of Missouri (e.g., city-owned utilities, county-owned utilities), a copy of the executed contract must be shared with the district utilities staff. All other utility owners are encouraged, but not required, to provide a copy of the executed contract.

A checklist is available for reviewing contracts to ensure the contract conforms to MoDOT policy and complies with applicable federal regulations.

When a utility owner chooses to utilize a an existing continuing contract, the utility owner will submit a copy of the contract to the district utilities staff. The district utilities staff will review the contract for reasonableness of cost. If district utilities staff and the utility owner’s representative cannot agree on the reasonableness of cost, then the utility owner will be required to award a new construction contract.

643.2.16.3 Inspection

The degree of inspection needed for utility adjustments will vary considerably with the nature and location of the work and whether the Commission is responsible for any portion of the cost of reimbursement. Judgment must be used regarding the manner and regularity of inspection duties. Some phases of the work require a very close check to ensure that the highway will not be adversely affected and to ensure satisfactory performance of work in accordance with the agreement and plans. The degree of inspection may vary from spot checking of overhead installations to continuous close observation of backfilling trenches beneath proposed pavement, embankment area, or adjacent to bridge abutments. Proper inspection can ensure that the utility adjustment is completed as efficiently as possible to minimize future impacts to the utility facility and the highway construction project. A Field Inspection Checklist to assist district utilities staff responsible for inspection is available.

If it is found that any actual cost reimbursable utility adjustment is being performed by unapproved contractors, district utilities staff should direct the work to stop. The utility owner’s representative should be informed immediately and should be advised in writing that the costs incurred by an unapproved contractor are not eligible for reimbursement under provisions of the agreement. The district utilities staff can take appropriate steps to approve a subcontract and advise when the utility owner can recommence work.

643.2.16.4 Documentation

All documents related to the construction of the utility adjustment necessary to allow highway construction should be stored in MoProjects.

Construction records must be kept to confirm that work is done in accordance with the terms of the agreement and in the manner proposed in the plans. The importance of a complete and accurate record cannot be overemphasized. Detailed records are necessary to support the recommendation for payment of the final invoice. A complete, separate daily record must be kept on each actual cost adjustment and submitted for review when the final invoice is recommended for payment. This district utilities staff responsible for inspection should complete the Daily Utility Report (C-9).

643.2.16.4.1 Utility Reports

The Daily Utility Report (Form C-9) and the Final Utility Report (Form C-13) are used for documenting utility adjustments necessary to allow highway construction. The use of C-9s and C-13s will vary with method of reimbursement. For utility adjustments necessary to allow highway construction that overlap with the highway contractor’s work, progress records should be kept as necessary to coordinate the highway and utility construction activities. Sufficient records must be maintained to check and verify the items of labor, equipment, materials, and salvaged items as submitted on the final invoice.

643.2.16.4.1.1 Daily Utility Report (C-9)

C-9s are only required for actual cost agreements. The district utilities staff responsible for inspection must in all cases keep records to document inclement weather, down time, and verbal authorization for minor changes. The district utilities staff responsible for inspection must complete a C-9 documenting the number and classification of employees and number of hours worked. Records of material used and of retired materials returned to stock or scrapped must be kept. The utility owner’s major items of equipment must also be recorded. When work is done by the contract method based on unit prices, the district utilities staff responsible for inspection should ascertain that units of work as provided in the bid proposal are measured and recorded to form a basis for checking the final invoice. C-9s should list the location and the number of units of work accomplished for that period. If contract labor or equipment is used by a utility owner on the basis of a bid per hour, per day, etc., it will be necessary to keep records on this labor or equipment time in the same manner as if the utility owner were performing the work with its own internal forces. District utilities staff responsible for inspection should also note all contractors working for the utility owner and the contractor approval authorization dates given in the agreement.

643.2.16.4.1.2 Final Utility Report (C-13)

C-13s summarize that the utility adjustment work that was done in accordance with the agreement and plans, the percentage of total cost that is the responsibility of the Commission, and any progress payments that have been made. A C-13 is required for both actual cost and lump sum agreements. The requested numbers shown on line 9 (Commission Estimated Cost) and line 10 (Amount of Final Bill) in the report are the Commission’s total responsibility.

643.2.16.4.2 Breakdown and Emergency

When breakdown and emergency situations occur, prior approval by MoDOT is not required for contract or equipment rental work unless the cost or period of time will be extensive. The utility owner should furnish a letter as soon as possible to explain the situation and set out the estimated costs involved. The district utilities staff’s records should substantiate the need and the changes for personnel and equipment.

643.2.16.4.3 Stop Work

If at any point, a stop work order is given by MoDOT to a utility owner, written documentation of the stop work order should be saved in MoProjects.

643.2.16.5 Change Orders

Any change in the plan of adjustment should be documented in writing to the utility owner as a change order. If the change order is anticipated to exceed $100,000 or 15% of the original agreement amount, district utilities staff should negotiate a supplemental agreement with the utility owner’s representative. Once a supplemental agreement is in place, district utilities staff should contact Financial Services to obtain an adjustment of the obligation mid-project. Change orders without supplemental agreements will be settled once the project is complete.

643.2.16.5.1 Actual Cost Agreement

Slight modifications in quantities or the addition of minor items not included with the original agreement do not require a supplemental agreement. However, such changes should be documented in writing with the utility owner. A supplemental agreement is needed if costs exceed the above threshold or if there is a change in the percentage of cost that is the Commission’s responsibility on an agreement with shared responsibility for costs. Intermediate partial payments cannot be made on items in a supplemental agreement until the supplemental agreement is approved.

643.2.16.5.2 Lump Sum Agreement

A supplemental agreement to a Lump Sum Agreement is only required for significant changes in the scope of work of the utility adjustment necessary to allow highway construction. Normal overruns are not considered as changes in approved work and will not be reimbursed. Significant changes in the scope of work on utility adjustments necessary to allow highway construction cannot be done until the supplemental agreement is approved, and the adjustment in obligation of funds is complete.

643.2.17 Utilities during Highway Construction

The contractor is responsible for having utilities located by contacting Missouri One-Call (811) prior to any excavation on the project. A reminder of this responsibility should be made at the preconstruction meeting.

643.2.17.1 Preconstruction Meeting (Pre-Con)

District utilities staff should be invited to all pre-cons.

Pre-cons fall into three categories relating to utilities:

1. No utility adjustments are anticipated within the project limits,
2. All utility adjustments completed prior to the pre-con, and
3. All utility adjustments not completed prior to the pre-con.

643.2.17.1.1 No Utility Adjustments Anticipated within the Project Limits

For projects without a Utility Job Special Provision (JSP), no involvement of the utility owners is required at the pre-con. For projects with a Utility JSP, the Resident Engineer (RE) should invite all utility owner representatives listed in the JSP with known required adjustment to the pre-con. The RE should review potential impacts of the highway construction project with the contractor and the utility owner.

643.2.17.1.2 All Utility Adjustments Completed Prior to the Pre-Con

The RE should invite all utility owner representatives listed in the JSP with known required adjustment to the pre-con. The RE should review potential impacts of the highway construction project with the contractor and the utility owner. A general discussion should highlight the previous adjustments made by the utility owner and what abandoned utility facilities the contractor may encounter.

643.2.17.1.3 All Utility Adjustments Not Completed Prior to the Pre-Con

It is important for the RE and inspector to understand the utility owner’s work schedule and how it relates to the contractor’s work schedule. During the pre-con, the schedule of the utility owner and highway construction contractor should be discussed, and conflicts should be addressed to allow utility adjustments and highway construction to progress as near to the proposed schedule as possible. On large-scale projects that have many utility issues to address that could impact the work of the highway construction contractor, it may be necessary to have a separate pre-con with utility owner representatives.

643.2.17.2 Coordination Meetings

When the utility work will not be completed soon after the preconstruction meeting, the RE should meet with district utilities staff, the highway construction contractor, and the utility owner representatives on a regular basis to discuss utility coordination issues, so expectations from all parties are known and conveyed clearly. The utility owner may need some work performed by MoDOT or the highway construction contractor prior to completing their adjustments. (Examples include: survey staking of right of way or proposed facilities, trees cleared, grading performed, or new structures built).

643.2.18 Service Drops

Power and communication services provided by utility owners are necessary for the operation of the highway system. These services may include power to traffic signals, lighting, or ITS devices; power for cathodic protection; or telecommunication services to signal controllers or ITS devices. The project design teams should work with district utilities staff to identify proper locations for the applicable utility owners to provide these services. Various utility owners have different requirements for this process. The district utilities staff is encouraged to develop a workable relationship with the utility owners who provide these services to MoDOT. The costs of installing the services charged by the utility owner are considered a non-contractual item and should be accounted for in the project’s budget in the STIP. The proposed location and method for the service drops should be shown on the roadway plans. District utilities staff should meet with the utility owner’s representative to ensure the proposed location can be accommodated by the utility owner. For electrical service connections, the power supply assembly is ideally located a maximum of ten feet (10’) from the source location. Plans submitted for PS&E should reflect the agreed upon location for all service connections. During construction, district utilities staff and district construction staff should work together to ensure the placement of the services is consistent with the project plans. Payment for the service drops should be invoiced by the utility owner to the district. District utilities staff is responsible for submission of the invoice directly to Financial Services for payment noting the non-contractual charges for the project. 643.2.19 Buy America Build America for Utilities FHWA’s Buy America Build America (BABA) policies require a domestic manufacturing process for all steel or iron products, other construction materials, and manufactured products that are permanently incorporated into Federal-Aid Highway construction projects, including products and materials used for adjustments to utility facilities to allow highway construction. These guidelines are for all federally reimbursable transportation projects where FHWA is the lead federal agency; it does not take precedence over projects where Federal Transit Administration or the Federal Railroad Administration is deemed the be the lead federal agency. 643.2.19.1 Program Requirements for Utilities All MoDOT projects are federal-aid projects, and therefore, all reimbursable utility adjustments are required to follow the provisions of BABA. More information on MoDOT’s BABA policy and procedures can be found in EPG 106.9 Buy America Requirement. Specifically, utility owners should be aware of the following procedures for determining applicability of the EPG 106.9 requirements to reimbursable utility adjustments necessary to allow highway construction: BABA does not apply when materials are relocated from one location to another within the project limits. BABA does not apply for materials necessary for temporary utility adjustments assuming materials are removed from the right of way upon completion of the utility adjustment to allow highway construction. Non-reimbursable work must be kept separate from reimbursable work (agreements, permits, etc.) in order to not be subject to BABA. 643.2.19.2 Certification Requirements for Utilities Utility owners have the option of choosing either to self-certify BABA compliance or provide vendor/manufacturer certification to MoDOT. The method of certification is chosen by the utility owner and is documented in either the MRUA or the project specific agreement. Regardless of agreement type or certification method, the utility owner must be compliant with BABA requirements. 643.2.19.2.1 BABA Utility Owner Self-Certification If a utility owner chooses to self-certify BABA compliance, the utility owner is not required to provide MoDOT copies of the supplier certification as part of the project documentation or with the final invoice for any reimbursable utility adjustment necessary to allow highway construction. Retention of all documents should be as described in the agreement. 643.2.19.2.2 BABA Vendor/Manufacturer Certification If a utility owner chooses to use vendor/manufacturer certification, the utility owner will supply MoDOT BABA compliance from all vendors and/or manufacturers. Certification from vendors will be signed by an authorized representative of the vendor on company letterhead or other acceptable documentation and will declare that all supplied materials subject to BABA requirements are fully compliant. Certification from iron or steel manufacturers must be in the form of a mill test report (MTF) issued and signed by the initial fabricator stating the materials subject to BABA were melted and manufactured in the United States. Other written statements on company letter or other acceptable documentation signed by an authorized representative of the manufacturer for any additional treatment to the fabricated material (such as blasting, galvanizing, painting, or coating) will state that all treatment processes occurred in the United States according to FWA guidelines. Retention of all documents should be as described in the agreement. Manufacturer certification for manufactured products or construction materials will state that all materials were sourced from the United States and were fabricated in the United States. Retention of all documents should be as described in the agreement.

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  643.3 Reserved for Future Use

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643.4 Railroads NO CHANGE

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  236.5.12 Excess Land Conveyances & Relinquishments – Regulated Utilities All conveyances and relinquishments of Commission-owned property shall be evaluated for the existence of any regulated utility facilities located within the areas to be conveyed or relinquished. Regulated utility facilities consist of the regulated utilities as defined by the Public Service Commission. By law, regulated utilities have the right to locate within Commission-owned property. Therefore, a A conveyance or relinquishment of Commission-owned property may have implications to the utility facilities, and the utility providers who own such facilitiesowners, when the Commission no longer controls the property. It is important to maintain the continuity of utility facilities for the general public; therefore, to identify and minimize potential impacts, MoDOT shall involve utility providers owners in the conveyance and relinquishment processes. 236.5.12.1 Excess Land Conveyances Utilities MoDOT shall only recommend that a property be declared excess upon satisfactorily addressing the utility impacts. Whether MoDOT or an external party initiates the conveyance of excess property, utility impacts shall be adequately addressed by using one of the following methods: 1. Each utility facility will be relocated by permit into a new utility corridor retained by the Commission. 2. Each utility facility will remain in place with the benefit of a non-exclusive permanent utility easement. If the Commission holds fee simple title to the property, the Commission shall convey a non-exclusive permanent utility easement to each utility providerowner. If the Commission holds a less than fee simple title interest in the property, MoDOT shall facilitate the conveyance of a non-exclusive permanent utility easement from the party acquiring the property to each utility providerowner. 3. Each utility facility will be relocated to another portion of the property being conveyed. If the Commission holds fee simple title to the property, the Commission shall convey a non-exclusive permanent utility easement to each utility providerowner. If the Commission holds a less than fee simple title interest in the property, MoDOT shall facilitate the conveyance of a non-exclusive permanent utility easement from the party acquiring the property to each utility providerowner. 4. Each utility facility will be relocated onto a portion of the property already owned by the party acquiring the Commission-owned property, with the benefit of a non-exclusive permanent easement. (MoDOT shall facilitate the conveyance of a non-exclusive permanent utility easement from the party acquiring the property to each utility providerowner.) 5. A three-party negotiated settlement taking into consideration the overall value of the proposed transaction. 6. Additional options to address utility impacts may be utilized with approval from the Asst. to the State Design Engineer - Right of Way. 7. A parcel conveyed to a county or municipality shall include a clause similar to the following in the deed from the Commission to the county or municipality: "Grantee, by acceptance of this conveyance, covenants and agrees for itself, its successors and assigns, to allow known or unknown utility facilities currently located on the property, whether of record or not, to remain on the property, and to grant the current and subsequent owners of those facilities the right to maintain, construct and reconstruct the facilities and their appurtenances over, under, and across the land herein conveyed, along with the right of ingress and egress across the land herein conveyed to and from those facilities." 236.5.12.2 Road Relinquishment Utilities MoDOT shall only recommend the relinquishment of roadways through the Change in Route Status Report upon satisfactorily addressing the utility impacts to utility facilities. If the roadway will be relinquished to a local public transportation authority, with the intent that it continues to be used as a public roadway, the following a clause similar to the following shall be included in the deed from the Commission to the local public transportation authority: "Grantee, by acceptance of this conveyance, covenants and agrees for itself, its successors and assigns, to allow known or unknown utility facilities currently located on the property, whether of record or not, to remain on the property, and to grant the current and subsequent owners of those facilities the right to maintain, construct and reconstruct the facilities and their appurtenances over, under, and across the land herein conveyed, along with the right of ingress and egress across the land herein conveyed to and from those utilities." Proposed roadway relinquishments to private entities shall be reviewed in a manner consistent with the conveyance of excess property described in EPG 236.5.3 Asset Management Committee.

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