Subsurface Utility Engineering (SUE)

Underground utility facilities present unique problems because their location is not readily apparent
aboveground. Subsurface Utility Engineering (SUE) lets project managers accurately locate and plan for
the presence of underground utilities to avoid costly and/or unexpected relocations that can delay
highway projects. It can generate considerable economic savings. Based on project data from four
states, Lew (2000) found that for every $1.00 spent on SUE, state transportation agencies realized $4.62
in savings. The study also concluded that proper and systematic adoption of SUE would result in national
savings of at least $1 billion per year (roughly $1.8 billion in 2023 dollars).

Contents

1. KYTC Utility Policy

2. Early Utility Coordination and Data Gathering
3. Underground Facility Damage Prevention Act of
1994
4. KY 811
5. Tolerance Zone
6. Locating Utilities
6.1. Surface Geophysical Location Methods
6.2. Other Methods
6.3. Surveying
7. Quality Levels
8. Statewide Contracts
9. KYTC References
10. References
11. See Also

1. KYTC Utility Policy

KTYC’s roadway design and utility coordination policies strive avoid utility conflict. If this is not
possible, the goal is to minimize the effects of a conflict. Where minimization is not feasible, KYTC
will mitigate the conflict. A successful utility coordination process demands robust coordination
with utility companies to identify and locate existing facilities within project corridors. The Cabinet
relies on SUE to determine the location of underground features so they can be avoided, or to
minimize conflicts when avoidance is not possible.

The American Society of Civil Engineers (ASCE) Standard Guidelines for the Collection and Depiction
of Existing Subsurface Utility Data (CI/ASCE 38-02) is KYTC’s primary guidance document for the SUE
process. The Cabinet’s utility coordination policies are discussed in the following manuals:

• KYTC Utilities and Rails Guidance Manual

o Section UR-506 Subsurface Utility Engineering (SUE)
o Exhibit UR-9004 Design Memorandum 12-4 for Subsurface Utility Engineering
 • KYTC Highway Design Manual
o HD-202.3.9 Utilities
o HD-203.7.3 Utility Coordination & Subsurface Utility Information
o HD 204.5 Subsurface Utility Information & Continued Coordination
o HD-304 Utility Location

2. Early Utility Coordination and Data Gathering

Utility companies that could be impacted by the project should be contacted in the early stages of
project development to gather information on their facility locations and inform them of the project
scope.

The District Utility Supervisor can assist with early coordination because they have established
relationships with local utility companies and are experienced interacting with them directly. They
may also have knowledge about the location of facilities along the project corridor.

Other sources of information on underground features along the project corridor include:

• KY 811 (see below)

• Utility Company Mapping
• As-Built Highway Plans
• Kentucky Infrastructure Authority (KIA) Wastewater and Water Infrastructure Mapping
• Kentucky Public Service Commission GIS Site

Coordinating with affected utilities should continue throughout a project’s life cycle. For more
information see the HKP Articles:

• Data Gathering, Section 3 Identify & Contact Involved Utility Companies

• Utility Engineering and Coordination

3. Underground Facility Damage Prevention Act of 1994

The Underground Facility Damage Prevention Act of 1994 (hereafter referred to as The Act in this
article) requires that before excavation begins (a) utilities with underground facilities be alerted to
impending project work and (b) facilities must be located. The law defines terms according to which
underground utilities are located for design, construction, and emergency projects. It also outlines
the responsibilities of parties typically involved, including utility companies (operators), engineers,
excavators, and protection notification centers (see Kentucky Revised Statutes (KRS) Chapter 367,
Sections 367.4901-4917, for more information).

4. KY 811

The Act established a Kentucky Contact Center, a nonprofit corporation with a membership made up
of utility companies and other utility stakeholders whose primary purpose is to coordinate the
collection of information on underground utility facilities. This call center is commonly referred to as
Kentucky 811 (formerly known as Before You Dig (BUD)).

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 Kentucky 811 uses a ticket system to provide information and utility location markings for design
and construction activities. Tickets are submitted by phone or through the Kentucky 811 website.
Design tickets are submitted to obtain utility mapping services and establish location markings on
the ground that represent the horizontal location of underground utilities. Location markings consist
of paint, chalk, flags or stakes and follow the American Public Works Association (APWA) Uniform
Color Code.

Once a design locate request is submitted, a utility operator has 10 full working days to provide the
best available description of all utility facilities within the area of the proposed excavation. A normal
locate request ticket is required before construction begins. It must be obtained two (2) days prior
to construction.

5. Tolerance Zone

The Act has guidelines for excavating near an underground facility. A tolerance zone is established
around each utility and defined by “a strip of land at least four (4) feet wide but not wider than the
width of the underground facility plus two (2) feet on either side of the outer limits of the facility.”
Section 10 establishes procedures for working in the tolerance zone:

(10) When excavation or demolition is necessary within the tolerance zone, the excavator shall
hand-dig or use nonintrusive means to avoid damage to the underground facility, except that
mechanized equipment may be used:
(a) To remove the pavement or other manmade hard surface if used during the initial
penetration only to the depth necessary and if an individual other than the equipment
operator visually monitors the excavation activity;
(b) To remove indigenous rock if used during the initial penetration only to the extent
necessary, if an individual other than the equipment operator visually monitors the
excavation activity, and if the excavation is planned to avoid damage to the underground
facility. However, if the underground facility contains flammable, toxic, corrosive, or
hazardous products, the excavator shall notify the facility owner of the excavator's intent
prior to removing indigenous rock;
(c) To remove materials that are more than twelve (12) inches in any direction from the
outer edge of the located facility if the excavator visually identifies the precise location of
the underground facility or visually confirms that no facility is present within the depth of
the excavation, if an individual other than the equipment operator visually monitors the
excavation activity, and if the excavation is planned to avoid damage to the underground
facility; and
(d) To place shores into an existing excavation or remove shores from an existing excavation.

6. Locating Utilities

Methods to locate facilities vary from highly advanced technologies to visually locating surface
elements. More common techniques are described below.

6.1. Surface Geophysical Location Methods

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Surface geophysical location methods locate underground facilities from the surface without digging
or exposing the features. According to ASCE 38-02, the methods are “designed to utilize and
interpret ambient or applied energy fields for the purpose of identifying properties of, and structure
within, the earth. Such methods typically include variants of electromagnetic, magnetic, elastic
wave, gravitational, and chemical energies.”

While numerous subsurface geophysical technologies are available, many carry limitations that
restrict their use. The methods used most often in Kentucky include:

Electromagnetic Pipe and Cable Locators

Electromagnetic pipe and cable locators detect a magnetic field around a line or cable. This field is
created by applying a current to a metallic facility or tracer wire buried with the facility. In the case
of electric lines, this magnetic field is produced by the current flowing through the line. A receiver is
used to detect this field, allowing the horizontal location to be traced on the ground.

Metal Detectors

Metal detectors transmit electromagnetic fields into the ground. Metal targets within the metal
detector's electromagnetic field become energized and emit their own electromagnetic field that
the unit detects. Electromagnetic fields decay exponentially with depth, limiting the use of metal
detectors to features such as shallow manhole lids and valve box covers.

Magnetic Locators

Magnetic locators use two magnetic sensors separated by a known distance. A difference in field
strength between the two sensors results from a localized magnetic field created by a ferrous object
below the ground surface. Isolated shallow facilities, underground storage tanks, wells, and vault
covers may be detected using this method.

Ground Penetrating Radar (GPR)

GPR beams a microwave pulse into the ground and measures reflection that is received back at the
ground surface. Under the right conditions, GPR can be a useful tool to assist in identifying shallow
facilities, but clay soils (common in Kentucky) can greatly reduce the dept of signal penetration.

6.2. Other Methods

Surface features (e.g., valves, meters) provide a good indication of a subsurface facility’s location as
these elements are usually found directly above the feature. Another technique is probing the soil
until making contact with the facility. Care must be taken not to damage the feature when probing.

Excavating and exposing the facility is the most precise method. Several minimally intrusive
excavation methods (e.g., vacuum excavation) are available to minimize the risk of damaging the
feature.

6.3. Surveying

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 Once a facility’s location is marked on the ground, its horizontal location is surveyed so it can be
mapped on the plans. For features exposed by excavation, elevation data are obtained by survey as
well. If the facility is not accessible, elevation can be estimated with depth information.

Survey data points are converted to the appropriate coordinate system and displayed on plan
documents. Accuracy of survey data should accord with applicable standards for horizontal survey
and mapping accuracy and be within ± 0.05 foot vertically. Representations of utility features on
Cabinet plans should adhere to the latest version of the CADD Standards.

7. Quality Levels

A quality level is used to characterize the quality and reliability of facility location data. Quality level is
tied to the means and methods of data acquisition. The chosen quality level should be dictated by the
stage of project development and amount of risk posed by features along the corridor.

Quality levels for SUE work are defined below.

Quality Level D (QL-D): The most basic level of information on facility locations. Derived solely from
existing utility company records or verbal recollections, data are primarily used for project planning
and route selection.

Quality Level C (QL-C): Data are obtained by surveying, plotting visible aboveground facility features,
and using professional judgment to correlate this information with QL-D data.

Quality Level B (QL-B): Involves the application of surface geophysical methods to determine
whether a facility exists, establish its horizontal position, and survey the location.

Quality Level A (QL-A): Affords the highest level of precision. It involves visibly exposing existing
facilities using minimally intrusive excavation equipment and surveying their horizontal and vertical
positions.

Two sections in the HKP article Data Gathering discusses how to select of the appropriate SUE
Quality Level for a project :

• Section 4. Locate Utilities – Subsurface Utility Engineering QL C or D

• Section 5. Locate Utilities-Subsurface Utility Engineering QL A or B

8. Statewide Contracts

When extra resources are needed for utility location and coordination, KYTC project managers can
retain consultants through two statewide contracts.

1. Surveying – The Statewide Surveying contract can be used to survey facilities and includes
subsurface feature location in the scope of work. For more details on this statewide contract,
see the RFP link on the Professional Services website.

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 2. Utility Management – The Statewide Utility Management contract can be used for facility
surveys as well as coordination and design of various utilities. For more details on this statewide
contract, see the RFP link on the Professional Services website

9. KYTC Reference Documentation

• KYTC Utilities and Rails Guidance Manual

o Section UR-506 Subsurface Utility Engineering (SUE)
o Exhibit UR-9004 Design Memorandum 12-4 for Subsurface Utility Engineering
• KYTC Highway Design Manual
o HD-202.3.9 Utilities
o HD-203.7.3 Utility Coordination & Subsurface Utility Information
o HD 204.5 Subsurface Utility Information & Continued Coordination
o HD-304 Utility Location

10. References

ASCE C-I 38-02, Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility
Data. (2002). American Society for Civil Engineers.

Lew, J.J. (1999), Cost Savings on Highway Projects Utilizing Subsurface Utility Engineering,
Publication No. FHWA-IF-00-014

FHWA Subsurface Utility Engineering Website

11. See also

Other HKP articles related to this topic include:

• Utility Engineering and Coordination

• Division of Right of Way & Utilities