Tenn. Comp. R. & Regs. 1680 — Transportation

Chapter 1680-01-01 Supervision and Control of Common Carriers by Air

Tenn. Comp. R. & Regs. 1680-01-01-.01 CERTIFICATE OF CONVENIENCE AND NECESSITY

(1) APPLICATION.

(a) Every application for a certificate of convenience and necessity must be in writing and on forms prescribed by the Bureau.

(b) All applicants for certificates of convenience and necessity shall deliver notice of the application (Form I) in person or by first class mail postage prepaid to all air carriers operating either directly on the proposed route or on any adjacent route serving the same points. Said notice shall contain the date application is filed, type equipment and route description. Each applicant shall execute a certificate of service (Form J) to be filed with the application certifying to the Bureau that all said parties have been served by the applicant with notice of the filing of said application. No application shall be received or filed unless accompanied by said certificate, duly executed by the applicant. Forms may be obtained from the Bureau upon request.

(c) It is mandatory for any common carrier by air not in possession of a certificate of public convenience and necessity issued by a Federal Agency, who desires to furnish service as a common carrier by air between points within this state, to first obtain from the Tennessee Bureau of Aeronautics a certificate declaring that public convenience and necessity will be promoted by such operation. The Bureau, upon the filing of a petition for a certificate of convenience and necessity, shall within a reasonable time, fix a time and place for hearing thereon. The Bureau shall cause notice of such hearing to be served, at least ten (10) days before the hearing, upon the officers or owners of every common carrier by air that is operating, or has applied for a certificate of convenience and necessity to operate, in the territory proposed to be served by the applicant, and any such common carrier is declared to be an interested party to said proceedings and may offer testimony for or against the granting of such certificate; and any other person or persons who might, in the opinion of the Bureau, be properly interested in or affected by issuance of said certificate, may be by the Bureau made a party and may offer testimony for or against the granting of such certificate. If the Bureau shall find from the evidence that public convenience and necessity will be promoted by the creation of the proposed service, as the Bureau shall determine, a certificate of convenience and necessity therefore shall be issued. In determining whether or not a certificate of convenience and necessity should be issued, the Bureau shall give reasonable consideration to the transportation service being furnished by any air carrier on the route or in the territory in which the applicant proposes to operate, the service to be rendered and/or capable of being rendered by the applicant, the financial condition and character of the applicant, the public demand or need for the service proposed, the likelihood of the proposed service being permanent and continuous, the effect which such proposed transportation service may have upon other transportation service being rendered, and all other pertinent facts.

(2) FILING FEE.-Any application for a certificate of convenience and necessity, or petitions for transfer must be accompanied by a payment of $25.00 to cover the cost of hearing thereon.

(3) OPERATION MUST BEGIN WITHIN SIXTY DAYS.-Every applicant for a certificate must comply with the provisions of the order authorizing such certificate and must actually begin the operation called for under such certificate or permit within sixty days from the date of the order, or within the time fixed by the order, otherwise the order will become null and void without further notice or action by the Bureau.

(4) TEMPORARY SUSPENSION OF SERVICE.-In case of an emergency the holder of a certificate shall apply to the Bureau for permission to suspend service.

(5) SALE OR TRANSFER.-No certificate of convenience and necessity shall be sold, assigned, transferred or leased without the approval of the Bureau. In the event of such transfer, etc., the contracting parties shall file with the Bureau a copy of the contract and a petition asking for approval of the transfer.

(6) FOREIGN CORPORATION OR RESIDENT TO APPOINT PROCESS AGENT.-Each foreign corporation or resident of another state operating under authority of this Bureau must appoint an agent upon whom process may be served. This appointment must be on a form prescribed by the Bureau.

(7) FREIGHT CARRIERS NOT TO CARRY PASSENGERS.-A certificate of convenience and necessity authorizing the transportation of freight only does not authorize the transportation of persons.

(8) DISCONTINUANCE OR ALTERATION OF SERVICE.

(a) No air carrier rendering service to the public of any nature subject to the jurisdiction of this Bureau shall discontinue, suspend or alter such service unless and until the following conditions precedent shall have been met:

1. Notice shall be posted either in printed or typewritten form in the most conspicuous place reasonably accessible to the general public at each place of business, station or stop theretofore utilized, stating briefly and specifically the proposed change in service and advising the general public of its right to protest said change by contacting the Tennessee Bureau of Aeronautics, Nashville, Tennessee 37217. The before described notice shall be maintained in good and readable condition for a period of thirty (30) days prior to the holding of a hearing or the issuance of an order by the Bureau.

2. Copies of the before required notice shall be filed with the Bureau within ten (10) days after the posting of same together with a statement showing the date and place of the posting of same.

3. Notice shall also be given to the general public in the affected area of the proposed changes in service through advertisement in at least one issue of a newspaper of general circulation in each city/county theretofore served. This notice shall contain the same general essentials as prescribed in 1680-1-1-.01(8)(a)l. Copies of this newspaper notice shall be filed with the Bureau in the manner provided in 1680-1-1-.01(8)(a)2.

(b) In addition to the requirements above stated, any common carrier by air desiring to discontinue, suspend or alter the service theretofore rendered shall file with the Bureau in writing its petition requesting such authority, stating in detail the areas affected and the reasons for the request.

This request shall meet with the requirements prescribed for the filing and hearing of other requests.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.02 TARIFFS

(1) TARIFFS FOR PUBLIC INSPECTION.-Copies of tariff naming rates and fares to be charged, together with rules and regulations, if any, governing same, shall be kept open for public inspection by every air carrier at its principal office, and at the terminal of each route or routes and at the principal station or stations thereon.

(2) PASSENGER TARIFF.-Passenger tariffs must contain the fixed rules and regulations, if any, which govern the tariff in clear and explicit terms, setting forth:

(a) All privileges of stopovers, extension of those limit, restrictions outlined in certificate, refund for unused and partly used ticket, children’s fares, package rules, excess baggage rates, etc.

(b) All tariffs must contain a rule with reference to rates applicable to intermediate points not specifically named in such tariff.

(c) Full explanation of reference marks and technical abbreviations used in tariff.

(d) Adult fares definitely and specifically stated in cents or in dollars and cents per passenger, together with the names of the stations or stopping places from and to which they apply, arranged in simple and systematic manner.

(e) Location of stopping point in each terminal municipality.

(f) Commutation rates by ticket or otherwise.

(3) FREIGHT TARIFF.-Every freight tariff shall contain:

(a) Rules and regulations which govern tariff in clear and explicit terms, setting forth all privileges and services covered by the rates, such as free storage and store-door delivery and receipt.

(b) When tariffs name class rates, a classification must be published or adopted, and such classification should contain all articles or commodities arranged alphabetically, showing opposite each the class to which such articles or commodities belong.

(c) Full explanation of reference marks and technical abbreviations used in the tariff.

(d) All rates must be expressly stated in cents or in dollars and cents per hundred pounds, or per standard package or unit together with the names of the places from and to which they apply, arranged in a simple and systematic manner.

(4) CHANGES IN TARIFF.

(a) All air carriers, agents, representatives, or bureaus issuing tariffs or schedules of rates and changes affecting Tennessee intrastate business shall file with the Tennessee Bureau of Aeronautics of the State of Tennessee written notice, in triplicate, containing a brief explanation of the character of and reason for proposed changes in said tariff schedules.

(b) Such explanation shall be filed not later than the date said tariff or schedule is filed.

(c) A receipted copy of said explanation shall be evidence of filing such explanation and related tariffs or schedules.

(d) All tariffs and supplements affecting Tennessee intrastate business by air shall be filed with the Tennessee Bureau of Aeronautics at least thirty (30) days before the date upon which they are to become effective, unless upon application and for good cause shown the Bureau may waive the thirty (30) days time limit or any portion thereof.

(e) The Bureau may, on its own motion or on the filing of a sufficient protest by any person or persons affected, order such tariff modified or suspended.

(5) FARES, CHARGES, AND FREE TRANSPORTATION.-No air carrier shall charge, demand, collect, or receive a greater or less or different compensation for the transportation of persons or freight, or for any service in connection therewith, than the rates, fares, and charges applicable to such air carrier as specified in its tariffs filed and in effect at the time provided, nor shall any such air carrier refund or remit, in any manner or by any device any portion of the rates, fares, or charges so specified, except upon an order from the Bureau, nor extend to any corporation or person, any privileges or facilities in the transportation of persons or freight except such as are regularly and uniformly extended to all corporations and persons.

(6) PASSES.-No air carrier shall directly or indirectly issue, give, tender, or honor any free annual passes except to its officers, agents, employees, or members of their families, or to the Bureau and its staff in the discharge of their duties, or for charitable or patriotic purposes.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.03 PASSENGER TIME SCHEDULES

(1) TIME SCHEDULES.-Passenger time schedules must show time of arrival and departure at and from all terminals.

(2) POSTING OF TIME SCHEDULES.-At least one copy of such time schedule shall be posted in a conspicuous place, easily accessible for public inspection at each regular stopping place on the route, and a copy shall be in the possession of each operator.

(3) CHANGES IN TIME SCHEDULES.-Changes in time schedules affecting the time of arrival or departure at or from any point on its route must be made as follows:

(a) A copy of such new time schedule shall be filed with the Bureau for approval and notice must be given to the public by posting due notice in a conspicuous place in each station or stopping place affected, at least thirty (30) days before the proposed effective date thereof.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.04 INSURANCE

(1) (a) No common carrier by air subject to the provisions of T.C.A. 42-232, et seq. shall engage in the transportation of passengers or property for compensation, and no certificate shall be issued to a carrier, or shall remain in force, unless and until there shall have been filed with and approved by the Bureau a policy of insurance (or certificate of insurance in lieu thereof), or a surety bond in not less than the amounts hereinafter prescribed, conditioned to pay, within the amount of such policy of insurance (or certificate of insurance in lieu thereof), or surety bond, any final judgment recovered against such carrier for bodily injuries to or the death of any person resulting from the negligent operation, or for loss or damage to property of others; nor shall any common carrier by air subject to the provisions of said Act engage in the transportation of property for compensation, nor shall any certificate be issued to such carrier, nor remain in force, unless and until there shall have been filed with and approved by the Bureau a policy of insurance written on a continuous basis, (or certificate of insurance in lieu thereof) or a surety bond in not less than the amounts hereinafter prescribed, conditioned upon such carrier making compensation to shippers or consignees for all property belonging to shippers or consignees and coming into the possession of such carrier in connection with its transportation service.

(b) Endorsements that add previously unlisted aircraft, or aircraft type or classes to coverage or that delete such listed aircraft, or types or classes, from coverage shall be filed with the Bureau not more than 30 days after the effective date of such endorsement, Provided however that aircraft shall not be operated unless liability coverage has attached.

(2) The minimum amounts referred to in this rule are hereby prescribed as follows:

(a) Liability for bodily injury to or death of aircraft passengers. A limit for any one passenger of at least seventy-five thousand dollars ($75,000), and a limit for each occurrence in any one aircraft of at least an amount equal to the sum produced by multiplying seventy-five thousand dollars ($75,000) by seventy-five percent (75%) of the total number of passenger seats installed in the aircraft.

(b) Liability for bodily injury to or death of persons (excluding passengers). A limit of at least seventy-five thousand dollars ($75,000) for any one person in any one occurrence, and a limit of at least three hundred thousand dollars ($300,000) for each occurrence.

(c) Liability for loss of or damage to property. A limit of at least one hundred thousand dollars ($100,000) for each occurrence.

(d) The minimum limits of liability coverage maintained by an air carrier who restricts his operations in air transportation to the carriage of mail or property, or both, shall be those specified in paragraphs (b) and (c) of this section.

(e) Cargo insurance-$3,000.00

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.05 EQUIPMENT AND SAFETY REQUIREMENTS

(1) RECORD OF EQUIPMENT TO BE FILED WITH THE BUREAU.-Any common carrier by air operating under the authority of any certificate granted by this Bureau is required to maintain on file with this Bureau at all times a full and complete record and description of all aircraft approved for use under the certificate or certificates issued by this Bureau. Forms on which to file a record and description of such aircraft will be furnished by the Bureau. Such forms must be filed for approval by the Bureau at least thirty (30) days before the effective date of any proposed change of aircraft.

(2) SAFE AND SANITARY CONDITION.-Every aircraft shall be maintained in a safe and sanitary condition at all times, and shall be at any reasonable time subject to inspection by duly authorized representatives of the Bureau.

(3) TERMINAL FACILITIES.-All passenger carriers shall maintain suitable and adequate terminal facilities at the terminals on the routes and at the main stations on the routes.

(4) INTOXICATED PERSONS.-Persons who are apparently under the influence of intoxicants shall not be received or transported as passengers on aircraft and any person on board any aircraft as a passenger in violation of any of the foregoing should be discharged from the aircraft at the first scheduled stop.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.06 REPORTING ACCIDENTS

(1) Accident reports made by air carriers in compliance with these regulations shall be for the information of the Bureau, and shall not be open to public inspection.

(2) (a) Every common carrier by air shall mail to the Tennessee Bureau of Aeronautics, Nashville, Tennessee 37217, a report in writing as to every accident in which any aircraft operated by him is involved in and from which there results the death of any person, personal injury requiring medical attention or property damage to an apparent extent amounting to $100 or more, within 10 days after the date of such accident. Such reports shall include the following information:

1. Date, hour, and exact location of the accident; a brief description of circumstances of the accident.

2. Name and address of the reporting carrier; and signature and title of person making report;

3. Type of aircraft involved;

4. Number of persons killed or injured, with statement as to whether injuries are of serious or minor nature; and 5. Estimated amount of property damage.

(b) A further detailed report as to each reportable accident shall be furnished promptly by the air carrier upon demand.

(c) Whenever the death of any person results from such accident after the time the carrier submits report of the accident, as required by Paragraphs (a) and (b) of this section, notice of such death shall be given by the carrier in writing to the Bureau, as soon as such death is known to the carrier, with sufficient information to identify the accident from which the death resulted.

(d) Every carrier shall make available to the duly authorized representative or representatives of the Bureau, all records which in any way pertain to any reportable accident and shall afford all reasonable assistance in the investigation of any such accident.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.07 ACCOUNTS AND REPORTS

(1) CLASSIFICATION OF ACCOUNTS.-Common Carriers of air shall keep an accurate record of receipts and disbursements. This record shall be subject to inspection by representatives of the Bureau at all times.

(2) ANNUAL REPORTS.-At the close of each calendar year, common carriers by air must secure from the Bureau annual report blanks and file the same on or before April lst. The report will be of design to cover the receipts from operation, operating and other expenses and business transacted during the year. These reports must be filed as of December 31st of the preceding year.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.08 GENERAL PROVISIONS

(1) REVOCATION.-The failure on the part of any carrier to comply with any of these rules and regulations will be sufficient cause for the Bureau, in its discretion, to revoke a certificate. These rules and regulations are for general application and are subject to such changes and modifications as the Bureau, from time to time, may determine advisable, and also subject to such exceptions as may be considered just and reasonable by the Bureau in individual cases.

(2) EXISTING CERTIFICATES RECOGNIZED.-It shall not be necessary for the holder of any certificate of convenience and necessity on November 1, 1972, to make application for a new certificate of convenience and necessity over the same route under these rules. Provided further, however, nothing in these rules shall be construed as in any manner restricting or abridging the power of the Bureau over said certificates of convenience and necessity.

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.09 BODILY INJURY AND PROPERTY DAMAGE LIABILITY-CERTIFICATE OF

INSURANCE.

BODILY INJURY AND PROPERTY DAMAGE LIABILITY

CERTIFICATE OF INSURANCE

(Executed in Triplicate)

Filed with Tennessee Bureau of Aeronautics This is to certify, that the _________________________________________________________________ (Name of Company)

(hereinafter called company) of _______________________________________________________________ (Home Office Address of Company) has issued to ______________________________ of _____________________________________________ (Name of Common Carrier) (Address of Common) _______________________________________________________ a policy or policies of insurance effective (Carrier) from _____________________ 12:01 a.m. standard time at the address of the insured stated in said policy or policies and continuing until canceled as provided herein, which, (1) Liability for bodily injury to or death of aircraft passengers. A limit for any one passenger of at least seventy-five thousand dollars ($75,000), and a limit for each occurrence in any one aircraft of at least an amount equal to the sum produced by multiplying seventy-five thousand dollars ($75,000) by seventy-five percent (75%) of the total number of passenger seats installed in the aircraft.

(2) Liability for bodily injury to or death of persons (excluding passengers). A limit of at least seventy4ive thousand dollars ($75,000) for any one person in any one occurrence, and a limit of at least three hundred thousand dollars ($300,000) for each occurrence.

(3) Liability for loss of or damage to property. A limit of at least one hundred thousand dollars ($100,000) for each occurrence.

(a) The minimum limits of liability coverage maintained by an air carrier operator who restricts his operations in air transportation to the carriage of mail or property, or both, shall be those specified in paragraphs (2) and (3) of this section.

Whenever requested, the Company agrees to furnish the Bureau a duplicate original of said policy or policies and all endorsements thereon.

This certificate may not be canceled without cancellation of the policy to which it is attached. Such cancellation may be effected by the Company or the insured giving thirty (30) days’ notice in writing to the Tennessee Bureau of Aeronautics, such thirty (30) days’ notice to commence to run from the date notice is actually received in the office of the Bureau.

Countersigned at ___________________________________________________________________________ (Street Address) (City) (State) (Zip Code)

This _______________ day of _______________________ 19 ________. ______________________________________________ Authorized Company Representative Insurance Company File No. ____________________________ (Policy Number)

TBA Form A Revised 5/74

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule filed June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.10 BODILY INJURY AND PROPERTY DAMAGE LIABILITY SURETY BOND

BODILY INJURY AND PROPERTY DAMAGE

LIABILITY SURETY BOND

(Executed in Triplicate)

KNOW ALL MEN BY THESE PRESENTS, That we, _________________________________________ (Name of Air Carrier) _______________________________ of ___________________________, ________________________, as (Principal) (City) (State)

Principal (hereinafter called Principal), and ______________________________________________________ (Name of Surety) _____________________________________________________ a corporation created and existing under the laws of the State of Tennessee, with principal office at ___________________________ (City) _________________________________________________ as Surety (hereinafter called Surety), are held and (State) firmly bound unto the State of Tennessee in the sum or sums hereinafter provided for which payment, well and truly to be made, the Principal and Surety hereby bind themselves, their successors and assigns, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT:

WHEREAS, the Principal is or intends to become a common carrier by air subject to the laws of such State and the rules and regulations of The Tennessee Bureau of Aeronautics (hereinafter called Bureau), relating to insurance or other security for the protection of the public, and has elected to file with the Bureau a surety bond conditioned as hereinafter set forth; and WHEREAS, this bond is written to assure compliance by the Principal as a common carrier by air of passengers or property with the laws of such State and the rules and regulations of the Bureau relating to insurance or other security for the protection of the public, and shall insure to the benefit of any person or persons who shall recover a final judgment or judgments against the Principal for any of the damages herein described.

NOW THEREFORE, if every final judgment recovered against the Principal for bodily injury to or the death of any person or loss of or damage to the property of others, sustained while this bond is in effect, and resulting from the negligent operation, maintenance, or use of aircraft in transportation (but excluding injury to or death of the Principal’s employees while engaged in the course of their employment, and loss of or damage to property of the Principal and property transported by the Principal designated as cargo), shall be paid, then this obligation shall be void, otherwise to remain in full force and effect.

Within the limits hereinafter provided, the liability of the Surety extends to such losses, damages, injuries, or deaths regardless of whether such aircraft are specifically described herein and whether occurring on the route or in the territory authorized to be served by the Principal or elsewhere.

This bond is effective from ________________________ (12:01 a.m., standard time, at the address of the Principal as stated herein) and shall continue in force until terminated as hereinafter provided. The Principal or the Surety may at any time terminate this bond by written notice to the Bureau, such termination to become effective not less than thirty (30) days after actual receipt of said notice by the Bureau. The Surety shall not be liable hereunder for the payment of any judgment or judgments against the Principal for bodily injury to or the death of any person or persons or loss of or damage to property resulting from accidents which occur after the termination of this bond as herein provided, but such termination shall not affect the liability of the Surety hereunder for the payment of any such judgment or judgments resulting from accidents which occur during the time the bond is in effect.

The liability of the Surety on each aircraft shall be the limits prescribed in the laws of such State and the results and regulations of the Bureau governing the filing of Surety bonds, which were in effect at the time this bond was executed, and will be a continuing one notwithstanding any recovery hereunder.

IN WITNESS WHEREOF, the said Principal and Surety have executed this instrument on the _________________ day of _________________, 19 _______. _______________________________________ (Principal)

(Affix Corporate Seal) By ____________________________________ _______________________________________ (Surety) ___________________, ___________________ (City) (State)

By Countersigned at ___________________________ this ________________ day of ______________ 19______ Bond No. ___________________________________ _______________________________________ Registered Resident Agent TBA Form B Revised 5/74

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.11 AIR CARRIER-CARGO CERTIFICATE OF INSURANCE

AIR CARRIER-CARGO

CERTIFICATE OF INSURANCE

(Executed in Triplicate)

Filed with Tennessee Bureau of Aeronautics (hereinafter called Bureau)

This is to certify, that the _________________________________________________________________ (Name of Company)

(hereinafter called Company) of _______________________________________________________________ (Home Office Address of Company) has issued to ________________________________________ of ___________________________________ (Name of Carrier) (Address of Carrier) a policy or policies of insurance effective from __________________________________________ 12:01 a.m. standard time at the address of the insured stated in said policy or policies and continuing until canceled as provided herein, which, provide cargo insurance covering obligations of at least three thousand dollars ($3,000).

Whenever requested, the Company agrees to furnish the Bureau a duplicate original of said policy or policies and all endorsements thereon.

This certificate and the endorsement described herein may not be canceled without cancellation of the policy to which it is attached. Such cancellation may be effected by the Company or the insured giving thirty (30) days’ notice in writing to the Bureau such thirty (30) days’ notice to commence to run from the date notice is actually received in the office of the Bureau.

Countersigned at ___________________________________________________________________________ (Street Address) (City) (State) (Zip Code) _______________________________________________ Authorized Company Representative Insurance Company File No. __________________________ (Policy Number)

TBA Form C Revised 5/74

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.12 AIR CARRIER-CARGO SURETY BOND

AIR CARRIER-CARGO SURETY BOND

(Executed in Triplicate)

KNOW ALL MEN BY THESE PRESENTS, That we, _________________________________________ (Name of Air Carrier) ____________________________________ of _________________________, _____________________, as (Principal) (City) (State)

Principal (hereinafter called Principal), and ______________________________________________________ (Name of Surety) ____________________________________________________, a corporation created and existing under the laws of the State of Tennessee, with principal office at _____________________________________________ (City) ________________________________________________, as Surety (hereinafter called Surety), are held and (Surety) firmly bound unto the State of Tennessee in the sum or sums hereinafter provided for which payment. well and truly to be made, the Principal and Surety hereby bind themselves, their successors and assigns, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT:

WHEREAS, the Principal is or intends to become a common carrier by air subject to the laws such State and the rules and regulations of the Tennessee Bureau of Aeronautics (hereinafter called Bureau), relating to insurance or other security for the protection of shippers and consignees, and has elected to file with the Bureau a bond conditioned as hereinafter set forth, and WHEREAS, this bond is written to assure compliance by the Principal as a common carrier by air with the laws of such State and the rules and regulations of the Bureau relating to insurance or other security for the protection of shippers and consignees, and shall inure to the benefit of any and all shippers or consignees to whom the Principal may be held liable for any of the damages herein described.

NOW, THEREFORE, if the Principal shall make compensation to shippers and consignees for all losses of or damage to property belonging to them which shall, while this bond is in effect, come into the possession of the Principal in connection with it’s transportation service, regardless of whether such losses or damages occur while said property is in an aircraft, terminal, warehouse or other place, for which losses or damages the Principal may be held legally liable, then this obligation Shall be void, otherwise it shall remain in full force and effect.

The liability of the Surety for the limits hereinafter provided shall be a continuing one notwithstanding any recovery hereunder, and extends to such losses or damages regardless of whether the aircraft, terminals, warehouses, and other facilities used in connection with the transportation service of the Principal are specifically described herein or not, and whether occurring on the route or in the territory authorized to be served by the Principal or elsewhere.

The liability of the Surety for any such loss or damage shall be the limits prescribed in the laws of such State and the rules and regulations of the Bureau governing the filing of Surety bonds, which were in effect at the time this bond was executed, but not less than $3,000, and will be a continuing one notwithstanding, any recovery hereunder.

This bond is effective from ____________________________(12:01 a.m., standard time, at the address of the Principal as stated herein) and shall continue in force until terminated as hereinafter provided. The Principal or the Surety may at any time terminate this bond by written notice to the Bureau, such termination to become effective not less than thirty (30) days after actual receipt of said notice by the Bureau.

The Surety shall not he liable hereunder for the payment of any of the losses or damages herein before described which arise on property coming into the possession of the Principal in connection with its transportation service after the termination of this bond as herein provided, but such termination shall not affect the liability of the Surety hereunder for the payment of any such losses or damages arising on property coming into the possession of the Principal in connection with its transportation service prior to the date such termination becomes effective.

IN WITNESS WHEREOF, the said Principal and Surety have executed this instrument on the ___________________________ day of _______________________, 19 __________. _______________________________________ (Principal)

(Affix Corporate Seal) By ____________________________________ _______________________________________ (Surety) _____________________, _________________ (City) (State)

By ____________________________________ Countersigned at ____________________________ THIS ______________ DAY OF ____________ 19 ____ Bond No. ________________________ _______________________________________ (Registered Resident Agent)

TBA FORM D

Revised 5/74

History

• Authority: T.C.A. §42-220.
• Administrative History: Original Rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.13 NOTICE OF CANCELLATION OF AIR CARRIER INSURANCE POLICIES

NOTICE OF CANCELLATION

OF AIR CARRIER INSURANCE POLICIES

(Executed in Triplicate)

Check Type Cancelled BI and PD Cargo Filed with Tennessee Bureau of Aeronautics This is to advise that under the terms of a policy or policies issued to _________________________________________________________________________________ (Name of Air Carrier) of ______________________________________________________________________________________ (Address of Air Carrier I by ______________________________________________________________________________________ (Name of Company) of ______________________________________________________________________________________ (Address) said policy or policies, including any and all endorsements forming a part thereof or certificates issued in connection therewith, is (are) hereby canceled effective as of the day of ____________19 ___, 12:01 a.m., standard time at the address of the Insured as stated in said policy or policies provided such date is not less than thirty (30) days after the actual receipt of this notice by the Bureau. _______________________________________ Signature of Insuror Insurance Company File No. _________________________ TBA Form E Revised 5/74

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.14 NOTICE OF APPLICATION FOR AIR CARRIER CERTIFICATE OF CONVENIENCE

AND NECESSITY.

STATE OF TENNESSEE

DEPARTMFNT OF TRANSPORTATION

BUREAU OF AERONAUTICS

Date: __________________________ NOTICE OF APPLICATION FOR AIR CARRIER CERTIFICATE OF CONVENIENCE & NECESSITY Be advised that ____________________________________________ with its principal place of business located at ___________________________________________________ , filed on an application for a Certificate of Public Convenience and Necessity pursuant to the rules and regulations of the Tennessee Bureau of Aeronautics of the State of Tennessee, authorizing operation of an intrastate air carrier for the transportation of persons and property on a certain designated route within the State of Tennessee.

The route over which the applicant seeks to offer air service is designated in said application, being principally between the cities of _______________________________________________________________________.

Applicant proposes to operate _____________________ multi-engine, as required. The aircraft designated as ____________________ of ____________________ seat capacity and ___________________ single-engine aircraft of ___________________ seat capacity are to be operated on a regular scheduled basis between the aforementioned terminal points.

The application has been filed with the Tennessee Bureau of Aeronautics and is available, upon request, for public inspection. by ________________________________________

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Tenn. Comp. R. & Regs. 1680-01-01-.15 APPLICATION TO TENNESSEE BUREAU OF AERONAUTICS FOR AIR CARRIER

CERTIFICATE OF CONVENIENCE AND NECESSITY.

APPLICATION TO TENNESSEE BUREAU OF AERONAUTICS

FOR AIR CARRIER CERTIFICATE OF CONVENIENCE AND NECESSITY

GENERAL INSTRUCTIONS: Submit to Tennessee Bureau of Aeronautics signed original, executed under oath, and six (6) copies of application, including all attachments. Number attachments to conform to the item to which they pertain. Charts and all other attachments should be 8 1/2” x 14” or folded to that size. Enclose check for $25.00 payable to the Bureau as filing fee.

ITEM NO.

1. Name of Applicant __________________________________________________________________ Address (general offices) _____________________________________________________________ 2. By attachment, identify those served with a notice of the application, including date, place, manner of service and person served. Those served must include any scheduled air carrier or CAB certified carrier which serves or is authorized to serve over the routes proposed to be served by the applicant, or any portion thereof.

2. Applicant is a corporation ______________ Partnership ______________ Individual _____________ Other ______________ Incorporated in the State of ____________________________ on ____________________ (if applicable).

Assumed name (if any) will be: ____________________________________________________________ 4. If applicant is a corporation, then submit, by use of appropriate attachments, the following:

a. Copies of articles of incorporation with date of incorporation, charter expiration date and name of incorporators shown therein or by attachment, together with amount contributed by each of the incorporators. If an out of state corporation, attach copy of permit from the Secretary of State to do business within the State of Tennessee.

b. Complete information pertaining to authorized capitalization including number of shares of stock of each class authorized and the par value of each share of each class.

c. Amount of any paid-in surplus or earned (or deficit) surplus.

d. Schedule showing number of shares of stock actually issued, to whom issued and, from each stockholder, the cash and/or other consideration received, with description of any other consideration. If any stockholder listed, or any other person has subscribed for additional shares, then the same schedule shall provide all names and in each case the number of additional shares and the amount and nature of the consideration.

e. Names and addresses of all directors and all officers and the amount of stock now held by each as well as any additional shares subscribed for by each.

f. Brief summary of any other businesses in which any director or officer is engaged, with name of the business and nature of the operations.

g. Statement by the applicant that a public offering of its corporate stock has, or has not, been made, and if it has, evidence that the applicant has complied with the laws, rules, regulations of the Federal Securities Exchange Commission and the State of Tennessee.

h. Detailed operating statement and complete balance sheet prepared by a Certified Public Accountant and dated not more than sixty (60) days prior to date application is filed together with a “no substantial change” statement if the financial statements are dated more than thirty (30) days prior to the filing date. If additional liabilities of significance, such as notes given for purchase of aircraft, are anticipated, such information should be submitted as a memorandum. Newly organized corporations may submit pro forma operating statements, so identified.

5. If applicant is an individual or a partnership (or other entity), submit:

a. Name or names, with addresses of the individual or of all the partners (or other entity), together with the names and activities of any other businesses in which said principles are engaged. If a partnership, a schedule showing the amount that each partner has contributed to the air carrier operation; arid, if additional partners are anticipated, their Dames and addresses together with the amount to be contributed by each and the percentage of the partnership that each partner will then own.

b. If applicant has conducted air carrier operations prior to filing for certificate, the following: (1) Profit and loss statement of recent date on which, so far as possible, income and expense items pertaining to air carrier operation are segregated from other income and expense, and (2) Balance sheet or balance sheets of recent date on which, so far as practicable, aircraft and other assets utilized in air carrier operation are segregated from assets utilized for other purposes. Where possible, identify corresponding liabilities.

6. Attach a policy of insurance (or certificate of insurance in lieu thereof) or a surety bond in Dot less than the amounts prescribed in the rules, or submit evidence that application for insurance has been made and that insurance will be issued if an air carrier certificate is granted to applicant. The insurance here referred to pertains to liability covering passengers and other persons, in the air, as well as on the ground, as well as property, and cargo insurance.-Reference Bureau Forms A thru D.

7. Describe proposed air carrier operation by submitting a full description of routes for which authority is sought, identifying all cities, including name of airport, to be served together with a chart depicting proposed routes and also routes of any other scheduled air carrier or CAB certificated carrier which serves or is authorized to serve over the same routes or any portion thereof, Include description of passenger and cargo facilities to be used at each airport.

8. Attach copy of proposed schedules of operation, including times of arrival and departure for each city served, together with frequency of service.

9. Attach a copy of any operating certificate issued by Federal Aviation Administration.

10. Attach complete schedule of fares and rates.

11. Attach Copy of CAB Form 298A, Registration under Part 298 of the Economic Regulations of the Civil Aeronautics Board.

12. Submit evidence to substantiate that the public convenience and necessity will be served by the operation for which authority is requested. Data should be in detail and include present and future need for the service.

13. Submit evidence, including projected operating statements, that the operation will be economically sound.

Summarize experience of key personnel in supervision of air carrier flight operations and experience of management in financial and administrative areas of such operations, or in other fields.

14. On attached form describe aircraft that applicant proposes to use and for which authority to operate is requested. Certificated carriers shall not, without prior approval in accordance with rules of the Bureau, operate aircraft other than aircraft so described or other aircraft authorized for the carriers use by the Bureau at the time of certification or subsequent to certification of the carrier.

15. All maintenance will be performed in accordance with Federal Aviation Regulations.

16. Principal operations base will be at (airport & city) _________________________________________ _______________________________________.

17. Does applicant propose instrument flight? _________________________ List equipment in all aircraft equipped for instrument flight _________________________________________________________ ________________________________________________________________.

18. Applicant requests authority to carry: Passengers only _______________Cargo only ______________ Both ______________.

The operations proposed in this application, if applicant is granted, will be in accordance with the laws of the State of Tennessee and the United States, the Rules and Regulations of the Tennessee Bureau of Aeronautics and the Federal Aviation Regulations.

Date _______________________ Signature of applicant _______________________________________ Title __________________________________________ BEFORE ME, the undersigned authority, a Notary Public in and for said County and State on this day personally appeared _____________________________________ known to me to be the same person whose name is subscribed to the foregoing instrument and declared to me upon oath that the foregoing instrument is true and correct.

Given under my hand and seal of office this _______________day of __________________, 19 ____________________________________________________________ TBA Form H Revised 5/74 Notary Public in and for _________________________County, Tennessee

History

• Authority: T.C.A. §42-220.
• Administrative History: Original rule certified June 10, 1974.

Chapter 1680-01-02 Licensing and Registration of Airports

Tenn. Comp. R. & Regs. 1680-01-02-.01 PURPOSE

The purpose of this rule is to promote civil aviation and the safety of civil aviation by eliminating hazards; to provide certain prescribed standards for airport sites; to categorize airports as to use; to provide minimum airport standards.

History

• Authority: T.C.A. §42-233.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 25, 1977.

Tenn. Comp. R. & Regs. 1680-01-02-.02 DEFINITIONS

(1) For purposes of this rule, the following terms are defined:

(a) “Aircraft” includes barren, airplane, hydroplane, and every other vehicle used for navigation through the air. A hydroplane. while at rest on water and while being operated on or immediately above water, shall be governed by the rules regarding water navigation; while being operated through the air otherwise than immediately above water, it shall be treated as an aircraft.

(b) “Airport” means any area of land or water which is used, or intended for use, for the landingsand take off of aircraft, and any appurtenant areas which are used, or intended for use, for airport buildings or other airport facilities or aviation easements or rights-of-way, together with all airport buildings and facilities located thereon.

(c) “Airport hazard” means any structure, object of natural growth, or use of land, which obstructs the airspace required for the flight of aircraft in landing or taking off at an airport or is otherwise hazardous to such landing or taking off.

(d) “Approach surface” means the imaginary sloping plan beginning at the end of a runway or landing strip and rising uniformly over the approach area at the required slope.

(e) “Effective Gradient” - The difference in evaluation of high and low points on the runway divided by the runway length (in percent).

(f) “FAA” is Federal Aviation Administration.

(g) “Landing strip” means that part of the area within an airport boundary which either in its natural state or as a result of construction work, is suitable for the landing and take off of aircraft.

(h) “License Type” means one of the following: airport, heliport, seaplane base or Stolport.

(i) “Limited Airport” means an airport limited exclusively to the specific conditions listed in the Site Approval Order.

(j) “Navigable Water” is any water capable of supporting interstate commerce.

(k) “Office of Aeronautics” means the Department of Transportation.

(l) “Person” means any individual, firm, partnership, corporation, company, association, joint stock association or body politic-, and includes any trustee, receiver, assignee or other similar representative thereof.

(m) “Primary Surface” means an imaginary plane free of hazards, and centered on the runway safety area.

(n) “Private Airport” means an airport used primarily by the owner, but which may be available for use by invitation of the owner. Commercial aeronautics operations such as sale of aircraft fuel or aviation supplies, flight training, rental aircraft or associated equipment, and carrying of passengers or cargo for compensation are specifically prohibited. Private airports do not require licensing by the State of Tennessee.

(o) “Public Airport” means an airport, publicly or privately owned, which meets minimum physical and service standards and is open for use to the general flying public. Commercial aeronautical operations are authorized. Public Airports require licensing by the State of Tennessee.

(p) “Public Airport License” denotes the document issued by the Department of Transportation which grants State of Tennessee approval for the use of an airport by the general public.

(q) “Runway” means the paved, hard surfaced, or stabilized portion of a landing strip.

(r) “Runway Safety Area” - usable landing area.

(s) “Runway Clear Zone” - A flared approach zone off either end of a runway safety area which must be free of airport hazards to the approach surface as specified herein.

(t) “Seaplane Base” means a designated area on a water surface where docking or ramping facilities are available for use by seaplanes or amphibious type aircraft.

(u) “STOL Aircraft” signifies an aircraft of special design, but with performance characteristics enabling safe flight from a short field utilizing steep approaches and departures as normal aircraft operating procedures and not requiring unusual or special skills of the pilot in command.

(v) “STOLport” denotes a landing area designated exclusively for the area of STOL Aircraft (SHORT TAKEOFF AND LANDING), with landing area and approach zone dimensions compatible with aircraft performance characteristics.

History

• Authority: T.C.A. §§42-2-102 and 42-2-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 26, 1977. Amendment filed December 12, 1986; effective January 26, 1987. 1680-1-2-03 AIRPORT SITE APPROVAL. (1) Owners of proposed public airports shall be required to apply for airport site approval prior to issuance of a license. (a) Application of site approval shall be filed with the Office of Aeronautics. (b) An applicant must be the owner or a lessee. Application for site approval by a lessee shall be consigned by the owner of the airport and a copy of the lease agreement filed with the Office of Aeronautics. (c) An applicant must show that the minimum airport standards herein enumerated are attainable on any site proposed as a public airport. (d) An Office of Aeronautics representative must personally inspect the proposed site and shall file a written report containing a recommendation with the Office of Aeronautics. Site approval shall be granted when it is shown that: (1) the site is adequate for the proposed airport and, (2) that safe air traffic patterns could be worked out for such proposed airport and for all existing airports and approved airport sites in its vicinity. (e) Each Site Approval Order shall state the location of the proposed airport by: (1) geographical coordinates and, (2) distance and direction from an established nearby community. The order shall also include the name and mailing address of the applicant as well as a listing of any specific conditions for approval. (f) A Site Approval Order for an airport shall remain in effect for one year from the date thereof unless an airport license has been issued. A site approval may be extended an additional year upon request of the applicant. Authority: T.C.A. §§42-233, 42-2-102, and 42-2-102.

Tenn. Comp. R. & Regs. 1680-01-02-.05 MINIMUM AIRPORT STANDARDS

(1) Subsection A - Airports (a) Airport Dimensions (Also see Figure 1.)

Effective Length of Runway Safety Area 2, 000 ft.* Width of runway safety area 150 ft Width of runway 40 ft Maximum effective gradient 2% Slope of Approach Surface 20:1 *Minimum length increased 10 % for each I of effective gradient.

(b) STOLport Dimensions (Also see Figure 1.)

Effective Length of Runway Safety Area 1,500 ft* Width of runway safety area 150 ft Width of runway 40 ft Maximum effective gradient 2% Slope approach/departure surface 15:1 *Minimum length increased 10 % for each I % of effective gradient.

(c) Facilities 1. Office of Aeronautics approved markers shall be installed on unpaved landing areas at 200 foot intervals along the useable width and at 150 foot intervals at the ends of the landing area.

2. Off-ice of Aeronautics approved wind indicator must be installed.

3. A fire extinguisher which is capable of extinguishing all classes of fire must be available for immediate use.

4. An Office of Aeronautics approved runway lighting system must be installed prior to approval for nighttime operations.

(d) Miscellaneous 1. Airport hazards as determined by the Office of Aeronautics must be marked and must also be lighted if the airport is approved for nighttime operation.

2. The licensee shall notify the Office of Aeronautics in writing whenever alternations, improvements, or major repairs are to be accomplished on the airport.

3. The landing area, taxiways, and ramp area must be maintained in such a manner as to assure the sate operation of aircraft.

4. The owner of a closed or abandoned airport shall remove all airport identifying markers and wind indicators and shall place upon the runway an approved “Closed” marker.

This marker shall be maintained until the runway is no longer identifiable.

(2) Sub-paragraph B - Heliports (a) Definitions:

1. Heliport An area, either at ground level or elevated on a structure, that is used for the landing and taking off of helicopters.

2. Landing and Takeoff Area That specific area in which the helicopter actually lands and takes off, including the touchdown area.

3. Touchdown Area That part of the landing or takeoff area where it is preferred that the helicopter alight.

4. Peripheral Area A safety zone that provides an obstruction-free area on all sides of the landing and takeoff area.

5. Obstruction Clearance Plane Imaginary planes leading outward and upward from the take-off and landing area at angles compatible with the flight characteristics of the helicopter and type of operations anticipated.

(b) Dimensions (See Figure 2)

Landing and Takeoff Area 50 ft. x 50 ft.

Touchdown Area 20 ft. x 20 ft.

Peripheral Area Width 10 ft.

Obstruction Clearance Slope 8:1 (c) Facilities 1. Office of Aeronautics approved wind indicator must be installed.

2. A fire extinguisher which is capable of extinguishing all classes of fire must be immediately available.

3. All heliports shall be marked with standard heliport or hospital heliport markings approved by the Office of Aeronautics. Markings shall be painted on paved or concrete surfaces; patio stones painted suitable colors may be used on turf areas.

4. An Office of Aeronautics approved lighting system must be installed proper to approval for nighttime operations.

(d) Miscellaneous 1. Obstructions as determined by the Office of Aeronautics must be marked and must also be lighted if the airport is approved for nighttime operations.

2. The licensee shall notify the Office of Aeronautics in writing whenever alterations, improvements, or major repairs are to be made.

3. The landing area must be maintained so as to assure safe operations.

(3) Subparagraph C - Seaplane Bases (a) Since the length of waterway necessary for seaplanes varies greatly depending on the airplane types, the purpose of this subsection will only be to specify that each seaplane base must be judged individually with regard to the type of seaplanes using the facility. However, in no case, will approach-departure paths be less than a 20:1 slope.

(b) Facilities 1. Office of Aeronautics approved wind indicator must be installed.

2. A fire extinguisher which is capable of extinguishing ail classes of fire must be available for immediate use.

3. At least three life preservers of the ring or throwing type, with line attached to each, shall be available during hours of operation.

4. The minimum water depths and landing area lengths shall be posted at the docking or beaching area.

(c) Miscellaneous 1. Airport hazards as determined by the Office of Aeronautics must be marked.

2. No seaplane base shall be approved which requires aircraft to operate in close proximity to a bridge, public beach, power line, boat dock or other area which could constitute a danger to persons or property.

3. No seaplane base shall be approved on the navigable waters of Tennessee unless a permit is first obtained from the U.S. Army Corps of Engineers or the Tennessee Valley

Authority, as appropriate. Additionally, proof of a lease or ownership of the needed land adjacent to the water areas of the base is required.

History

• Authority: T.C.A. §§42-233, 42-2-102, and 42-2-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 25, 1977. Amendment filed December 12, 1986; effective January 26, 1987.

Tenn. Comp. R. & Regs. 1680-01-02-.06 REPEALED

History

• Authority: T.C.A. §§42-2-102 and 42-2-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 25, 1977. Repeal filed December 12, 1986; effective January 26, 1987.

Tenn. Comp. R. & Regs. 1680-01-02-.07 AIRPORT MARKINGS

Displaced thresholds at non-paved public airports shall be marked with at least four markers on each side of the landing area where the effective length commences. The threshold markers shall be no more than five feet apart, and placed on a center line 90 degrees to the runway heading.

History

• Authority: T.C.A. §42-233.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 25, 1977.

Tenn. Comp. R. & Regs. 1680-01-02-.08 EXEMPTIONS

The provisions of the foregoing shall not apply to airports owned or operated by the United States. The Office of Aeronautics may from time to time, to the extent necessary, exempt any other airport from any requirement if it finds that the application of such a requirement would constitute an undue burden on such airport and is not required in the interest of public safety.

History

• Authority: T.C.A. §§42-2-102 and 42-2-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed July 26, 1977; effective August 25, 1977. Amendment filed December 12, 1986; effective January 26, 1987.

Tenn. Comp. R. & Regs. 1680-01-02-.09 EXHIBITS

Elev.

Location Identifier: Operator:

Coordinates: Manager:

From City: Attended Runways: Fuel:

Lights: Repairs:

Traffic Indicator: Storage:

Radio Facilities: Accommodations:

Weather: Transportation:

Remarks: Airport Nautical Miles From Exhibit No. 5 Airport Name__________________________________________________________________________________ Geographic Coordinates Lat. ___________________________________N, Long _________________________W Runway Size ____________________________________________ Long _________________________ Wide (Heliport) Ground Level ______________________________ Elevated _________________________________ Elevation:

Use:

Facilities:

Communications:

Location from town:

Distance and Radial from closest VOR:

Operation Information _________________________________________Open to Public _________________________________________Prior Permission Requested _________________________________________Restricted, emergency only Do you want your Airport listed on a sectional Aeronautical Chart? _____________________________________ Exhibit No. 7

History

• Authority: T.C.A. §§42-2-102 and 42-2-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Amendment filed December 12, 1986; effective January 26, 1987.

Chapter 1680-01-03 Repealed

Tenn. Comp. R. & Regs. 1680-01-03 Repealed

RULES

OF TENNESSEE DEPARTMENT OF TRANSPORTATION -- 1 of 1 --

Chapter 1680-02-01 Repealed

Tenn. Comp. R. & Regs. 1680-02-01-.01 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.18 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.02 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original Rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.03 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.04 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.05 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.06 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.07 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.08 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.09 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.10 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.11 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.12 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.13 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.14 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.15 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.16 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Repeal filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-02-01-.17 REPEALED

History

• Authority: T.C.A. § 54-540.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 21, 1978; effective November 6, 1978. Repeal filed December 28, 2015; effective March 27, 2016.

Chapter 1680-02-02 Cutting and Baling of Hay Along Interstate Right-of-Ways

Tenn. Comp. R. & Regs. 1680-02-02-.01 AREA RESTRICTIONS

(1) Cutting and baling of hay may be performed in the median of the interstate highway right-of-way or in other areas which have been approved by the Regional Landscape Supervisor. Cutting and baling of hay is prohibited in areas designated as regeneration areas, seedling areas, crown vetch areas, wild flower areas, rest areas and welcome station areas.

(2) Areas must be of sufficient width such that equipment maneuvers may be executed without encroachment on paved areas of the highway and shoulder.

(3) Due to traffic congestion in urban areas, mowing and baling activities shall be confined to rural areas.

(4) Each permit issued shall be valid for a maximum area of fifty (50) acres or for three (3) miles in length as measured parallel to the interstate highway.

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-02-.02 PERFORMANCE REQUIREMENTS

(1) Permittee shall perform the operations of cutting, baling, hauling of hay, and equipment mobilization and demobilization between the hours of 8:00 a.m. and 4:00 p.m. Mobilization and demobilization of over-dimensional equipment shall be restricted to the hours between 9:30 a.m. and 3:30 p.m.

(2) Permittee shall not perform the operations of mowing and baling and equipment mobilization or demobilization on Saturdays, Sundays or Official State Holidays. Furthermore, Permittee shall not perform these operations at any time in which weather conditions (including fog) contribute to reduced visibility for motorists on the area highway.

(3) The Regional Maintenance Engineer or his representative shall be given 24 hour advance notice as to those days on which Permittee plans to mobilize equipment at the operation site, and as to those days on which Permittee plans to perform authorized cutting and baling activities.

(4) If machinery operations are performed within twenty (20) feet of the edge of the interstate shoulder, Permittee shall be responsible for placement of signs that conform with standards set forth in the Tennessee Manual on Uniform Traffic Control Devices For Streets and Bridges. These required signs, which must be removed each evening are as follows:

(a) A sign bearing the message, “Farm Machinery-One Mile” will be placed one mile in advance of operation.

(b) A sign bearing the message, “End Work” will be placed 500 feet beyond the mowing limit.

(5) Parking, loading and/or off-loading of equipment on paved shoulders is prohibited.

(6) All cutting and baling equipment shall be removed from the interstate right-of-way each night, unless the equipment may be parked in a place such that guard rails or existing natural barriers provide protection for the interstate motorists. Any such overnight site must be approved by the Regional Maintenance Engineer or his representative.

(7) Permittee shall not cut the hay to a height less than three (3) inches.

(8) The removal of controlled-access fences to facilitate ingress and egress to the right-of-way is strictly prohibited.

(9) Any damages to the right-of-way (roadway, appurtenances, vegetation, etc.) incurred during the performance of cutting and baling activity shall be repaired and/or replaced at the expense of the Permittee.

(10) At the completion of the hay harvest, the entire area involved shall be left in a neat and orderly condition. Any litter attributable to the harvesting operation shall be removed.

(11) Hay and grass on areas normally mowed by maintenance forces will not be allowed to grow to excessive heights.

(12) An authorized permit to cut and bale hay will be valid for fourteen (14) weekdays (holidays excluded), on any one location. Baled hay which has not been removed from the right-of-way upon expiration of the permit will become the property of and be removed by the Department of Transportation.

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.02 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-02-.03 PERMIT APPLICATION PROCEDURE

(1) All applications for permits to cut and bale hay along interstate right-of-way in Tennessee, shall be submitted to the State Department of Transportation, Office of the Regional Engineer at one of the following locations nearest to the proposed cutting and baling site:

(a) Region 1 711 Concord St.

Knoxville, TN 37901 Phone: (615) 546-3660 (b) Region 2 P.0. Box 910 Cromwell Rd.

Chattanooga, TN 37401 Phone: (615)892-3430 (c) Region 3 2200 Charlotte Ave.

Nashville, TN 37203 Phone: (615)741-4725 (d) Region 4 State Street P.0. Box 429 Jackson, TN 38301 Phone: (901)424-4110 (2) The application shall include the following. (See Application Form, 1680-2-2-.05)

(a) A statement establishing that the applicant is a resident of Tennessee and that the harvested hay will be used for personal farming purposes only and will not be sold.

(b) A description of the proposed location at which the applicant desires to cut and bale hay.

(c) In the event the Regional Engineer approves the location, he shall advise the applicant. At this time the applicant must provide the Regional Engineer with the following:

1. A certificate of insurance which provides the following coverage:

(i) Minimum liability insurance in the amount of $50,000 for bodily injury or death to any one person in a single accident, plus, (ii) $100,000 for bodily injury or death to two or more persons in a single accident, plus, (iii) $10,000 for injury to or destruction of property in a single accident.

2. A $2,500 surety performance bond for each permit requested by the applicant.

(d) Upon receiving the certificate of insurance and surety performance bond, the Regional Engineer shall issue a letter of authorization to the applicant. (See Sample Letter of Authorization, 1680-2-2-.06)

(e) Under no circumstances shall the applicant proceed with cutting and baling operations until he has received the Letter of Authorization.

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.03 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-02-.04 GENERAL REQUIREMENTS

(1) Permittee will defend and hold the Department of Transportation, its officers and employees harmless from any claims or actions by any person against the Department of Transportation, its officers and employees as a result of Permittee’s hay harvesting operation.

(2) At all times, the safety of the interstate motorists and the Perrnittee shall be of utmost importance.

The rules and regulations contained in this Chapter are not intended to relieve Permittee from compliance with other safety regulations required by local, state or federal law.

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.04 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-02-.05 SAMPLE APPLICATION FORM

SAMPLE

APPLICATION

FORM

PERMIT TO CUT AND BALE HAY ALONG

INTERSTATE RIGHTS-OF-WAY IN TENNESSEE

I, ______________________________________ , _________________________________ , _____________

NAME ADDRESS ZIP _________________________________ , being a resident of the State of Tennessee and deriving a significant PHONE NO. portion of my annual income from farming, petition the Tennessee Department of Transportation for permission to cut and bale hay on a certain portion of the Interstate Rights-of-Way as described below.

I certify by this petition that all hay derived from the Interstate Rights-of-Way will be used for personal farming purposes and will not be sold.

DESCRITPION

INTERSTATE I- ______________________________ COUNTY ______________________________

MILE MARKER _________________________ TO MILE MARKER ___________________________

MEDIAN ____________R-O-W RIGHT SIDE ______________R-O-W LEFT SIDE ________________

AVERAGE WIDTH ______________________________ LENGTH ______________________________

I certify that I will adhere to the required rules and regulations at all times during this operation.

I certify that if this application is approved, I will defend and hold the Department of Transportation, its officers, or employees harmless from any claims or actions brought by any person against the Department of Transportation, its officers or employees as a result of my hay harvesting operation.

APPLICANT ___________________________

SIGNATURE ___________________________

(STREET, RFD) ___________________________

CITY STATE ZIP

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.05 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-02-.06 SAMPLE LETTER OF AUTHORIZATION

Re: Application for Permit to Cut and Bale Hay on Interstate Right-of-Way Dear ____________________________, Your Application for Permit to Cut and Bale Hay Along Interstate Right-of-Way in Tennessee has been reviewed.

Permission is hereby ___________________________ granted ______________________ denied to proceed with operations in the area as listed on the attached copy of your application.

APPROVED DATES OF OPERATION:

Begin ______________________________________________End _________________________________ This letter, copy of application, and copy of rules and regulations must be in possession of cutting and baling personnel and be available for inspection on demand.

This permission may be revoked upon violation of rules and regulations.

You have provided the Department of Transportation with a performance bond in the amount of $2,500 and a certificate of insurance in the required amount. It is understood that should your insurance be cancelled, this permit is void.

Furthermore, this permission is granted with the understanding that, after seven (7) days notice, authorization may be revoked or suspended in case the permit law or policy of this Department is changed, or, for any reason deemed necessary by the Commissioner of the Department of Transportation.

Reason(s) for denial:

DOT CONTACT REPRESENTATIVE ____________________________________________ ____________________________________________ _______________________________________ REGIONAL ENGINEER PHONE NO. _________________________________

History

• Authority: T.C.A. §54-585.
• Administrative History: Original rule filed June 30, 1980; effective August 14, 1980. Rule has been assigned a new control number from 1680-2-5-.06 filed and effective February 1, 2003.

Chapter 1680-02-03 Transferred to 1680-06-03

Tenn. Comp. R. & Regs. 1680-02-03-.01 TRANSFERRED

History

• Authority: T.C.A. § 54-2-23 and U.S.C § 131.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.02 TRANSFERRED

History

• Authority: T.C.A. §§ 54-21-104, 54-21-105, and 54-21-112.
• Administrative History: Original rule certified June 10, 1974. Repeal and refiled June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Amendment filed February 1, 1989; effective March 18, 1989. Public Necessity rule filed August 1, 2006; effective October 1, 2006 through March 15, 2007. Amendment filed December 21, 2006; effective March 6, 2007. Amendment filed September 24, 2008; effective December 8, 2008. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.03 TRANSFERRED

History

• Authority: T.C.A. §§ 54-21-104, 54-21-105, and 54-21-112.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Amendment filed December 21, 2006; effective March 6, 2007. Amendment filed September 24, 2008; effective December 8, 2008. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.04 TRANSFERRED

History

• Authority: T.C.A. § 54-21-112.
• Administrative History: Original rule certified June 10, 1974. Repealed and refiled June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Amendment filed February 1, 1989; effective March 18, 1989. Public Necessity rule filed August 1, 2006; effective October 1, 2006 through March 15, 2007. Amendment filed December 21, 2006; effective March 6, 2007. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.05 TRANSFERRED

History

• Authority: T.C.A. § 54-21-112.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Amendment filed December 21, 2006; effective March 6, 2007. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.06 TRANSFERRED

History

• Authority: T.C.A. § 54-21-23 and U.S.C. § 131.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.07 TRANSFERRED

History

• Authority: T.C.A. §§ 54-21-104, 54-21-105, and 54-21-112.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Amendment filed September 24, 2008; effective December 8, 2008. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.08 TRANSFERRED

History

• Authority: T.C.A. § 54-21-23 and U.S.C. § 131.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.0 9 TRANSFERRED

History

• Authority: T.C.A. § 54-21-23 and U.S.C § 131.
• Administrative History: Original rule filed June 9, 1977; effective July 11, 1977. Repeal and new rule filed January 27, 1989; effective March 13, 1989. Transfer to chapter 1680-06-03 filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-02-03-.10 THROUGH 1680-02-03-.13 REPEALED

History

• Authority: T.C.A. § 54-21-23 and U.S.C § 131.
• Administrative History: Original rule filed October 10, 1984; effective November 9, 1984. Repeal filed January 27, 1989; effective March 13, 1989.

Chapter 1680-02-04 Rules and Regulations for Junkyard Control

Tenn. Comp. R. & Regs. 1680-02-04-.01 GENERAL STATEMENT

(1) The following rules have been promulgated by the Tennessee Department of Transportation to regulate the establishment, operation, and maintenance of junkyards adjacent to the Federal-Aid Interstate and Federal-Aid Primary Highway Systems for aesthetic purposes.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 US.C. §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.02 DEFINITIONS

(ALPHABETICAL ORDER)

(1) Abandoned junkyard shall mean any junkyard located within the control area which is not operated as a business or used for any other purpose whatsoever; or, to which no one claims ownership.

(2) Automobile graveyard shall mean any establishment or place of business which is maintained, used or operated for storing, keeping, buying, or selling wrecked, scrapped, ruined, or dismantled motor vehicles or motor vehicle parts. Ten (10) or more such vehicles will constitute an automobile graveyard.

(3) Automotive dismantler and recycler means any person, firm, association, corporation, or trust resident or nonresident, who is engaged in the business and/or providing facilities for the purpose of recovering parts from automobiles and trucks, which have been wrecked or otherwise rendered inoperable as transportation vehicles with the parts recovered being for resale and further reduce used automobiles and trucks to a condition capable of salvage for their metal scrap content by scrap processors.

(4) Control area means all areas inside the boundaries of this state which are within 1,000 feet of the nearest edge of the right-of-way of any highway which is part of the interstate or primary highway systems.

(5) Department means the Tennessee Department of Transportation.

(6) Ferrous material means any man-made product composed primarily of iron or an iron alloy. This definition includes, but is not limited to, such items as appliances, equipment, mechanical devices, or parts thereof.

(7) Grandfathered junkyard means a junkyard which was lawfully in existence and adjacent to an interstate or primary highway on May 25, 1967, and which does not conform with the location restriction of rule 1680-2-4-.03.

(8) Industrial activities means those activities permitted only in industrial zones or in less restrictive zones by the nearest zoning authority in the state or prohibited by such authority, but generally recognized as industrial by other zoning authorities within the state except that none of the following shall be considered industrial activities for the purpose of establishing an unzoned industrial area:

(a) Outdoor advertising structures;

(b) Agricultural, forestry, ranching, grazing, farming and related activities, including, but not limited to wayside fresh produce stands;

(c) Activities normally and regularly in operation less than three months of the year, (d) Transient or temporary activities;

(e) Activities not visible from the traffic lanes of the main traveled way;

(f) Activities more than 300 feet from the nearest edge of the main traveled way, (g) Activities conducted in a building principally used as a residence;

(h) Railroad tracks, minor sidings, and passenger depots;

(i) Junkyards, as defined in Title 23, United States Code Section 136.

(9) Junk shall mean old or scrap copper, brass, rope, rags, batteries, paper, trash, rubber, debris, waste or junked, dismantled, or wrecked automobiles, or parts thereof, iron, steel, and other old or scrap ferrous or nonferrous materials.

(10) Junkyard shall mean an establishment or place of business which is maintained, operated, or used for storing, keeping, buying, or selling junk, or for the maintenance or operation of an automobile graveyard. This definition includes scrap metal processors, used auto pads yards, yards providing temporary storage of automobile bodies or parts awaiting disposal as a normal part of the business operation when the business will continually have like materials located on the premises, garbage dumps and sanitary landfills. Provided, however, a “junkyard” shall not be construed to include a recycling center.

(11) Main traveled way shall mean the traveled way of a highway on which through traffic is carried. In case of a divided highway, the traveled way of each of the separated roadways for traffic in opposite directions is a main traveled way. It does not include such facilities as frontage roads, turning roadways, or parking areas.

(12) Nonconforming Junkyard means any junkyard lawfully existing outside the control area of an interstate or primary highway after to May 25, 1967, which subsequently lies within the control area of an interstate or primary highway as a result of new highway construction or a change in highway system classification, and which does not conform with the location restrictions of rule 1680-2-4-.03.

(13) Nonferrous material means any man-made product composed primarily of metals or substances other than iron or an iron alloy. This definition includes, but is not limited to, such items as clothing, furniture, tires, and building materials.

(14) Old means discarded or no longer in use.

(15) Person means any individual, firm, agency company, association, partnership, business, trust, joint stock company, body politic, or corporation.

(16) Recycling center means an establishment, place of business, facility or building which is maintained, operated, or used for the storage, keeping, buying or selling of newspaper or used food or beverage containers for the purpose of converting such items into a usable product.

(17) Ruined means irreparably damaged; or damaged to an extent that repair or restoration is not feasible.

(18) Scrap or scrapped means rejected, discarded, or no longer being of enough worth or effectiveness to retain; or being useful only for recycling, re-processing, or for the salvage of parts or material content.

(19) Screen or screening means a naturally occurring barrier or a barrier constructed of suitable materials, as defined by the Department, which is capable of concealing a junkyard from the view of the main traveled way, year-round.

(20) Pash dump means an open-air site or facility which is used for the disposal of trash, refuse, garbage or other discarded materials.

(21) Unzoned industrial area means the land occupied by a regularly used building, parking lot, storage or processing area of an industrial activity and that land within 1,000 feet thereof which is:

(a) Not zoned by state or local law, regulation, or ordinance.

(b) Located on the same side of the highway as the principal part of said activity.

(c) Not predominantly used for residential or commercial purposes.

(22) Wrecked means broken, damaged, disabled, dilapidated, or partially ruined.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.02 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.03 LOCATION RESTRICTIONS

(1) No person shall establish, operate, or maintain a junkyard, any portion of which is within one thousand feet (1,000’) of the nearest edge of the right-of-way of any interstate or primary highway, except for the following:

(a) Those junkyards which are screened by natural objects, plantings, fences, or other appropriate means so as not to be visible from the main traveled way of an interstate or primary highway, or which are otherwise removed from sight;

(b) Those junkyards located within areas which are zoned for industrial use under authority of law;

(c) Those junkyards located within unzoned industrial areas, as defined in these rules;

(d) Those junkyards which are not visible from the main traveled way of an interstate or primary highway.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.03 filed and effective February 1, 2003. 1680-2-4-04 ABANDONED JUNKYARDS. (1) Abandoned junkyards shall not be lawful and shall be removed by the owner or owners of the property on which they are located. Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C, §136.

Tenn. Comp. R. & Regs. 1680-02-04-.05 MEASUREMENT OF DISTANCE

(1) Distance from the nearest edge of the right-of-way shall be measured horizontally along a fine perpendicular to the edge of the highway, from the nearest edge of the right-of-way to the nearest portion of the junkyard.

(2) Distance along the edge of the main traveled way of a highway shall be measured between two vertical planes which are perpendicular to and interest the edge of the highway, and which pass through the termini of the measured distance.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 US.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.05 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.06 JUNKYARDS INDICATED WITHIN ZONED OR UNZONED INDUSTRIAL, AREAS

(1) Any junkyard located, in its entirety, within a zoned or an unzoned industrial area is not required to be screened. Any extension beyond the limits of a zoned or unzoned industrial area shall be treated as a separate establishment.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.06 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.07 GRANDFATHERED AND NONCONFORMING JUNKYARDS

(1) Grandfathered and nonconforming junkyards may lawfully continue in their existing condition subject to the following conditions, any violation of which shall terminate their status and render them in violation of the screening or concealment requirements of rule 1680-2-4-.03(l)(a):

(a) The junkyard must continue to be lawfully maintained and operated;

(b) There must be existing property rights in the junk or junkyard;

(c) Junkyards consisting of abandoned or worthless junk, or the like, shall not be lawful;

(d) Abandoned junkyards shall not be lawful;

(e) The location of the junkyard may not be changed for any reason; if the location is changed, the junkyard shall constitute a new establishment at a new location;

(f) The junkyard may not be extended, enlarged, or changed in use.

(g) The junkyard may not be destroyed or voluntarily discontinued.

(2) Extension or enlargement of such junkyards is prohibited except where the junkyard has been brought into compliance with rule 1680-2-4-.03(l)(a) by proper screening or concealment.

(3) Trash dumps shall not be considered as lawful for the purpose of constituting either a grandfathered or nonconforming junkyard since such establishments are composed of worthless and/or abandoned junk.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.07 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.08 JUNKYARDS ESTABLISHED AFTER MAY 25, 1967 OUTSIDE OR ZONED OR

UNZONED INDUCSTRIAL AREAS.

(1) Any junkyard which has been or is established within the control area, outside of a zoned or unzoned industrial area, subsequent to May 25, 1967, and which is visible from the main traveled way of the highway shall be screened or otherwise removed from sight by its owner or operator in such a manner as to bring the junkyard into compliance with rule 1680-2-4-.03(l)(a).

(2) Those junkyards to be established within the control area, and which will not be located within an area zoned for industrial use or within an unzoned industrial area, must have appropriate and effective screening in place prior to depositing any junk on the site.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30 1982. Repealed and new rule filed June 1 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.08 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.09 SCREENING MATERIALS

(1) The materials listed below are hereby defined by the Department as being suitable for junkyard screening and shall be used for the construction of barriers for screening purposes:

(a) Wood Fences constructed of:

1. Pressure treated, kiln dried, 1”x6” board; the surface may be painted, stained, or allowed to weather naturally.

2. Standard plywood, 5/8 inch B-C exterior grade, or 3/4 inch A-C exterior grade, pressure treated; the surface must be painted.

3. TI-11 textured exterior grade plywood siding, 5/8 inch, pressure treated, grooved; the surface must be painted or stained.

(c) Metal panel fences constructed of:

1. Solid panels or corrugated or ribbed galvanized steel siding 29 gauge or heavier; the surface may be unpainted or painted (after aging), or factory coated with an enamel paint.

(d) Double slatted chain link fences using aluminum or fiberglass slats as follows:

1. Diagonal slatting front and back.

2. Vertically slatted front and diagonally slatted back.

3. Horizontally slatted front and diagonally slatted back.

(e) Earth mounds or berms shaped and seeded for a natural appearance.

(2) The materials used must form a structurally sound barrier which is neat, orderly and uniform in appearance.

(3) All structural barriers erected for screening purposes must be constructed of rigid materials and must be permanently affixed to the ground.

(4) All wood members are to be pressure treated.

(5) The color of the material used for the face of a structural barrier, including paint applied to the material after installation, shall be unobtrusive and compatible with the highway environs. Where a wood surface is to be stained, the stain used shall be a wood tone which simulates the colors of natural woods.

(6) Damaged, dilapidated, or rusted materials, or a patch-work of various materials shall not be suitable for screening purposes.

(7) Other materials may be approved by the Department as being suitable for screening purposes upon submission of detailed specifications for the materials to he used.

(8) Those screens in existence prior to the effective date of these rules which provide effective concealment and which are constructed of materials other than those herein defined as suitable for screening purposes, may lawfully remain. Should it become necessary to replace the screen, the new screen must be constructed of materials defined or otherwise approved by the Department as being suitable for screening purposes.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C., §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.09 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.10 REQUIREMENTS FOR EFFECTIVE SCREENING

(1) Screens must be structurally sound and must have a neat, orderly, and uniform appearance Structural soundness and a neat, orderly, and uniform appearance must continue to be maintained.

(2) A screen must effectively conceal the junkyard from the view of the main traveled way of the controlling highway on a year-round basis.

(3) Screens which provide a “see-through” effect when viewed from a moving vehicle do not provide effective concealment and are therefore prohibited.

(4) Screen entrances must be constructed in a manner that precludes a direct view of the junk material within from the main traveled way, or, there must be entrance gates which are capable of concealing the junk materials from view when closed.

(5) Junk materials shall not be stacked or placed so as to be visible above the screen, nor shall junk materials be placed outside of the screened area so as to be visible from the main traveled way.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 US.C, §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repeated and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.10 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.11 PERMITS AND FEES

(1) On or after July 1, 1981, it shall be unlawful for any junkyard located within the control area to be operated or maintained without a Junkyard Control Permit issued by the Commissioner of Transportation.

(a) Permits shall be valid for the fiscal year for which they are issued and shall be subject to renewal from year to year.

(b) Each application for an original or renewal permit shall be accompanied by a fee of fifty dollars ($50.00) which is not subject to either proration or refund.

(c) A permit is valid only while held by the permitee and is valid only for the location and establishment for which it is issued.

(d) A material violation of these rules shall render a permit voidable.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C, §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.11 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.12 TEMPORARY STORAGE

(1) Any site or facility located within the control area, which is maintained or operated by an establishment or place of business for the temporary storage of junk pending disposition as a normal

part of the operation, when like materials will continue to be located on the premises, shall be subject to all of the provisions of these rules.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C, §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.12 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.13 UTILIZATION OF HIGHWAY RIGHT-OF-WAY

(1) The utilization of state highway right-of-way for operating or maintaining any portion of a junkyard is prohibited; this shall include temporary use for the storage of junk pending disposition.

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-106; 23 U.S.C, §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.13 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-02-04-.14 AUTOMOTIVE DISMANTLERS AND RECYCLERS

(1) All the provisions of these rules are applicable to automotive dismantlers and recyclers. However, the permit and fee requirement of rule 1680-2-4-.11 shall not apply to such establishments licensed by the State of Tennessee pursuant to T.C.A. §§55-17-109(b) and 55-17-109(a)(6).

History

• Authority: T.C.A. §§54-20-104(a)(3) and 54-20-10; 23 U.S.C, §136.
• Administrative History: Original rule filed August 31, 1982; effective September 30, 1982. Repealed and new rule filed June 1, 1992; effective July 16, 1992. Rule has been assigned a new control number from 1680-7-1-.14 filed and effective February 1, 2003.

Chapter 1680-02-05 Transferred to 1680-10-02

Tenn. Comp. R. & Regs. 1680-02-05-.01 TRANSFERRED

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered 1680-10-02 effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-02-05-.04 TRANSFERRED

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered 1680-10-02 effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-02-05-.02 TRANSFERRED

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered 1680-10-02 effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-02-05-.03 TRANSFERRED

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered 1680-10-02 effective March 1, 2018.

Chapter 1680-03-01 Adoption of the Tennessee Manual on Uniform Traffic Control Devices for Streets and Highways

Tenn. Comp. R. & Regs. 1680-03-01-.01 APPLICABILITY

These rules shall govern the design and location of all signs, signals, markings and postings of traffic regulations on or along all streets and highways in the State of Tennessee, and no signs, signals, markings or postings of traffic regulations shall be located on any street or highway in the State of Tennessee regardless of type or class of the governmental agency having jurisdiction thereof except in conformity with the current edition of the Manual on Uniform Traffic Control Devices (MUTCD), as adopted in these rules.

History

• Authority: T.C.A. §§ 54-5-108 and 54-5-108(b).
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed September 26, 1979; effective December 29, 1979. Repeal and new rule filed January 23, 2002; effective May 31, 2002. Amendment filed July 16, 2004; effective November 26, 2004.

Tenn. Comp. R. & Regs. 1680-03-01-.02 ADOPTION OF MANUAL ON UNIFORM TRAFFIC CONTROL DEVICES

The current edition of the United States Department of Transportation, Federal Highway Administration, Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD), 11th Edition, 2023, is hereby adopted in its entirety and is incorporated herein by reference, with the following exception:

(1) Section 4C.01 Paragraph 20, of the 11th Edition, 2023, is not adopted and the following text shall be adopted in its place: 20 The safe and efficient movement of all road users is the primary consideration in the engineering study to determine whether to install a traffic control signal or to install some other type of control or roadway configuration. Installation of a traffic control signal does not necessarily result in improved safety in every case. In some cases, the installation of a traffic control signal at an inappropriate location could adversely impact safety for one or more types of road users. The purpose of the engineering study is to evaluate all of the factors that are relevant to a specific location.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule certified June 10, 1974. Repeal filed September 26, 1979; effective December 29, 1979. New rule filed April 20, 1981; effective June 4, 1981. Repeal and new rule filed January 23, 2002; effective May 31, 2002. Amendment filed July 16, 2004; effective November 26, 2004. Repeal and new rule filed February 17, 2012; effective July 29, 2012. Amendments filed January 15, 2026; effective April 15, 2026.

Tenn. Comp. R. & Regs. 1680-03-01-.03 ADOPTION OF FUTURE REVISIONS TO MANUAL ON UNIFORM TRAFFIC

CONTROL DEVICES.

It is the intent of the Tennessee Department of Transportation to amend these rules as necessary to adopt future revisions of the MUTCD as may hereafter be approved by the United States Department of Transportation, Federal Highway Administration.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule certified June 10, 1974. Repeal filed September 26, 1979; effective December 29, 1979. New rule filed June 28, 1984; effective July 29, 1984. Repeal and new rule filed January 23, 2002; effective May 31, 2002. Amendment filed July 16, 2004; effective November 26, 2004.

Tenn. Comp. R. & Regs. 1680-03-01-.04 STANDARD HIGHWAY SIGNS

(1) The provisions of the MUTCD set forth the basic principles that govern the design and usage of the most commonly used highway signs. Detailed specifications for the layout of these signs are provided in the latest edition of the United States Department of Transportation, Federal Highway Administration, Standard Highway Signs, which is incorporated by reference in the MUTCD.

(2) Detailed specifications for other signs frequently used in the State of Tennessee, as may be required by statute or otherwise authorized by the MUTCD, are detailed in the Tennessee Supplement to Standard Highway Signs, which is published by the Tennessee Department of Transportation.

(3) The Tennessee Department of Transportation authorizes the design and usage of the signs in the Tennessee Supplement to Standard Highway Signs.

(4) Signs on any street or highway open to public travel in the State of Tennessee shall be fabricated, installed and used in accordance with the specifications of the current edition of Standard Highway Signs and/or, for signs erected on state highways, the Tennessee Supplement to Standard Highway Signs.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule certified June 10, 1974. Repeal filed September 26, 1979; effective December 29, 1979. New rule filed June 13, 1985; effective July 13, 1985. Amendment filed June 5, 1987; effective July 20, 1987. Repeal and new rule filed January 23, 2002; effective May 31, 2002. Amendment filed July 16, 2004; effective November 26, 2004.

Tenn. Comp. R. & Regs. 1680-03-01-.05 REPEALED

History

• Authority: T.C.A. § 54-5-108.
• Administrative History: Original rule certified June 10, 1974. Repeal filed September 26, 1979; effective December 29, 1979. New rule filed June 5, 1987; effective July 20, 1987. Repeal filed January 23, 2002; effective May 31, 2002.

Tenn. Comp. R. & Regs. 1680-03-01-.06 REPEALED

History

• Authority: T.C.A. § 54-108.
• Administrative History: Original rule certified June 10, 1974. Amendment filed April 9, 1975; effective May 9, 1975. Repeal filed September 26, 1979; effective December 29, 1979. Amendment filed December 8, 1989; effective January 22, 1990. Amendment filed August 24, 1994; effective December 29, 1994. Repeal filed January 23, 2002; effective May 31, 2002.

Tenn. Comp. R. & Regs. 1680-03-01-.07 REPEALED

History

• Authority: T.C.A. § 54-508.
• Administrative History: Original rule certified June 10, 1974. Repeal filed September 26, 1979; effective December 29, 1979. Repeal filed January 23, 2002; effective May 31, 2002.

Chapter 1680-03-02 Manual on Uniform Traffic Control Devices - Supplemental Rules for Guide Signs on Freeways, Expressways and Conventional Highways

Tenn. Comp. R. & Regs. 1680-03-02-.01 PURPOSE

(1) The purpose of these rules is to supplement the Manual on Uniform Traffic Control Devices (MUTCD), which the Tennessee Department of Transportation (Department) has adopted and incorporated by reference in Chapter 1680-3-1, by establishing additional rules for guide signs on freeways, expressways and conventional highways on the state highway system within the State of Tennessee. Local governmental agencies are encouraged to employ similar standards for guide signs along freeways, expressways and conventional highways under their jurisdiction.

(2) In addition, local governments may elect to adopt a guide sign program for streets and roads under their jurisdiction, including conventional highways on the state highway system, in accordance with the procedures and guidelines established in Chapter 1680-3-5 for the Local Government Guide Sign Program (Wayfinding Program) Including Conventional State Highways.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.01 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.02 POLICY FOR GUIDE SIGNS ON FREEWAYS AND EXPRESSWAYS

(1) This policy establishes standards for guide signs to be installed within the highway right-ofway on state-maintained freeways and expressways in Tennessee and sets forth eligibility criteria for selecting the destinations to be displayed. These standards shall also apply to signs installed as part of state-funded projects.

AND CONVENTIONAL HIGHWAYS

(2) Where specific differences occur, the special provisions of this policy shall supersede the provisions of the MUTCD.

(3) A freeway, such as an interstate highway, is a divided highway with full control of access and grade-separated interchanges. An expressway is a divided highway with partial control of access and generally having grade-separated interchanges.

(4) In establishing this policy, the Department assumes that motorists will use a variety of aids to reach their destinations, including signs, maps, brochures, verbal instructions, outdoor advertising and landmarks located along the highway.

(5) The purpose of guide signs is to provide directional and guidance information to motorists concerning major destination points (e.g., crossroads, cities, towns, and special traffic generators). Guide signs also aid motorists in orienting themselves and in judging their progress along their routes.

(6) It is not practical, however, to display all the destinations motorists may wish to reach. Drivers are expected to make reasonable preparation for locating their exit. They are expected to have information that is readily available on road maps. This means statewide maps in rural areas, and more detailed street maps in metropolitan areas.

(7) In recognition of the multi-lane, high-volume, high-speed, and interstate traffic characteristic of freeways and expressways, it is essential to provide motorists with clear and concise directional and guidance information. The legend on guide signs should be kept to a minimum and the signs should be adequately spaced in order to avoid driver confusion.

Accordingly, only the destinations that best identify an interchange should be signed.

(8) To be considered for signing, a destination must be on the intersecting road or accessible without circuitous travel or trailblazing over long distances.

(9) In addition, destinations should be displayed only at the intersecting road that provides the most direct and convenient route to the destination, taking into account such factors as distance, traffic volumes and roadway conditions.

(10) A minimum spacing of 800 feet should be maintained between signs along the mainline of freeways and expressways.

(11) A uniform system for sign legend, size and location should be employed. This system is to be compatible with the design standards and safety principles of the MUTCD and this policy.

(12) The three primary types of guide signs used on freeways and expressways are:

(a) Major Guide Signs (see Rule 1680-03-02-.03);

(b) Supplemental Guide Signs (see Rule 1680-03-02-.04); and (c) Ramp Destination Signs (see Rule 1680-03-02-.05).

(13) Major guide signs on freeways and expressways provide the names and numbers of crossroads and city destination information.

(14) Supplemental guide signs on freeways and expressways provide information concerning special traffic generators such as airports, State parks, universities or similar attractions.

AND CONVENTIONAL HIGHWAYS

(15) Ramp destination signs are used where needed to indicate the direction the motorist should turn at the end of the off-ramp in order to reach the destinations shown on the major and supplemental guide signs.

(16) The information displayed on guide signs may vary depending on the classification and location of the interchange.

(17) A directional interchange is an interchange of two interstate highways, or any other freewayto-freeway interchange having comparable geometric design features.

(18) Because a directional interchange is a major decision point, the amount of information that may be displayed on the major guide signs must be more restricted than at a non-directional interchange. Accordingly, supplemental guide signs shall not be installed at directional interchanges.

(19) Any previously installed signs that are not in substantial conformance with this policy will be removed or have their legend changed when another destination qualifies for the sign space, when normal maintenance is required, or when observed driver behavior indicates that the changeover cost can be justified.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.02 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.03 MAJOR GUIDE SIGNS (ADVANCE GUIDE AND EXIT DIRECTION SIGNS) ON

FREEWAYS AND EXPRESSWAYS.

(1) Major guide signs display basic directional and guidance information, such as the crossroad route number, the crossroad name, or the names of incorporated cities or towns located on or adjacent to the crossroad. The major guide sequence on freeways and expressways consists of an advance guide sign, normally located one mile in advance of the interchange, and an exit direction sign, located at or immediately in advance of the off-ramp.

(2) The information displayed in a major guide sign sequence should be consistent, without additions or deletions. Accordingly, the same messages shall be displayed on the advance guide sign and exit direction sign for each interchange.

(3) The selection of destinations to be shown on major guide signs should take into account that guide signing is primarily for the benefit and direction of drivers who are not familiar with the route or area, and it should be consistent with available map information on the official state highway map published by the Department.

(4) At a directional interchange (defined at Rule 1680-03-02-.02(17)), only the route shield with cardinal direction and the name of the next control city (i.e., a city of national or regional significance) for each route may be displayed. The control cities shown on the Interstate system of highways have been selected in cooperation with neighboring states and the American Association of State Highway and Transportation Officials.

(5) At a non-directional interchange, not more than three lines of destination information may be displayed. Where city or town names are used, not more than two city or town names may be displayed. Only the destinations that best identify the interchange shall be signed.

AND CONVENTIONAL HIGHWAYS

(6) The top line shall display the crossroad route number, the crossroad name, or some other designation of the interchange. If the crossroad is a numbered route, the route shield shall be displayed on this line.

(7) The other two lines may consist of the crossroad name (if the crossroad is a numbered route) and/or the names of cities and towns located on or adjacent to the crossroad. However, in major metropolitan areas, only the route number and/or the cross street name should be displayed. In such areas the display of a street name and a city or town name on the same sign should be avoided unless the display of the city name is essential for proper motorist guidance.

(8) The city or town destination shown for each direction of travel should be that which provides the best orientation for motorists. In most cases, this would be the nearest principal city or town (i.e., having a population greater than 1,000) or the county seat. However, factors such as population, geographical location, junctions with State highways serving other areas, and commerce may warrant the selection of a principal city or town that is farther from the freeway or expressway.

(9) Where a principal city/town or county seat is not available, the first city or town having a population of 350 or greater and located within five miles of the interchange may be shown.

Otherwise, only the route shield and/or name of the crossroad shall be shown.

(10) Where two city or town names are eligible to be displayed, normally only one city or town may be shown for each direction of travel on the crossroad. Two city or town names may be displayed in one direction of travel only in unusual cases where there is no warranted destination in the other direction.

(11) Only incorporated city or town names and official road names may be displayed on major guide signs. Unincorporated communities are not eligible for signing.

(12) Population will be determined by reference to the latest edition of the Tennessee Blue Book.

(13) Route number, crossroad name and city or town destination information takes precedence over special traffic generator destination information on the major guide signs. Special traffic generators may, however, be displayed on major guide signs in unusual cases. Where the eligible route number, crossroad name or city/town destination information does not exceed two lines and the special traffic generator meets the criteria of Rule 1680-03-02-.08 and exceeds the prime criterion by at least 100%, the special traffic generator may be shown on the major guide signs in lieu of being displayed on a supplemental guide sign (see Rule

Tenn. Comp. R. & Regs. 1680-03-02-.04 SUPPLEMENTAL GUIDE SIGNS ON FREEWAYS AND EXPRESSWAYS

(1) Occasionally, the need arises to sign destinations in addition to those shown on the major guide signs (see Rule 1680-03-02-.03) because of the presence of a facility that generates a significant volume of non-repetitive traffic from motorists unfamiliar with the area. Under appropriate circumstances, information regarding such special traffic generators may be AND CONVENTIONAL HIGHWAYS displayed on supplemental guide signs. Supplemental guide signs should be considered as auxiliaries to major guide signs in promoting the safe and efficient flow of traffic. Such signs shall be located at a minimum 800-foot spacing between the major guide signs.

(2) Rule 1680-03-02-.08 identifies traffic generators that may be displayed on supplemental guide signs, and it establishes specific eligibility criteria for such signing. As a general rule, no traffic generator will be considered for a supplemental guide sign unless it meets the eligibility criteria established in Rule 1680-03-02-.08 and other conditions set forth in this

Rule; provided, however, that the Commissioner may make an exception to this general rule upon finding that the signing of a traffic generator is in the interest of the motoring public and would not be contrary to public safety. Even if a traffic generator meets these minimum criteria, it may not be signed if, in the judgment of the Department, the sign would not be in the interest of public safety.

(3) Rule 1680-03-02-.09 lists examples of the types of facilities that as a general rule are not eligible for supplemental guide signs; provided, however, that the Commissioner may make an exception to this general rule upon finding that the signing of a traffic generator is in the interest of the motoring public and would not be contrary to public safety. This listing is not intended to be all-inclusive, but provides an indication of the types of facilities that normally do not warrant signing.

(4) Supplemental guide signs are intended for use only at non-directional interchanges to advise of special traffic generators accessible from such interchanges. Because directional interchanges (defined at Rule 1680-03-02-.02(17)) are major decision points, and since special traffic generators are not accessible from such interchanges, supplemental guide signs for special traffic generators shall not be installed at any directional interchange.

(5) City or town destinations may be shown on supplemental guide signs at directional or nondirectional interchanges in cases where omission of the sign and reliance on the cities shown on the major guide signs would otherwise mislead or disorient the motorist.

(6) Because supplemental guide signs are auxiliary in nature, such signs should be used sparingly and should not be installed where they would interfere with or detract from regulatory, warning, or major guide signs or where such signs would otherwise adversely affect traffic safety.

(7) To be eligible for supplemental guide signing, a special traffic generator should be open to the public at least eight hours a day and five days a week during six months each year. This provision does not apply to facilities where regular daily and weekly hours of operation would not be expected, such as arenas, stadiums, and auditoriums. Festivals, cultural shows, athletic contests, religious gatherings and other similar short-duration events are not eligible for signing on expressways or freeways.

(8) The facility requesting supplemental guide signing may be required to submit such documentation as the Department deems appropriate to demonstrate the facility’s eligibility for such signing. Where annual attendance is the prime criterion for eligibility, a copy of the previous year’s annual attendance will be required.

(9) Because it is essential to provide clear and concise directions to motorists, the legend on supplemental guide signs should be kept to a minimum. Where more than one qualifying traffic generator is located within or associated with a single facility, complex or area, only the name of the facility, complex or area may be displayed. In addition, elimination of nonessential descriptive words or the use of abbreviations, partial names or generic names may AND CONVENTIONAL HIGHWAYS be required where necessary to retain legibility of the sign message and to avoid undue cost of sign fabrication. Trademarks or logos shall not be displayed.

(10) Only one supplemental guide sign may be installed at each interchange approach. If used, the supplemental guide sign shall be installed as an independent sign assembly.

(11) Generally, no more than two destinations may be shown on one supplemental guide sign. If more than two destinations qualify for signing at an interchange, only the two destinations (without respect to direction of travel) that exceed the prime criterion established in Rule

Tenn. Comp. R. & Regs. 1680-03-02-.05 RAMP DESTINATION SIGNS ON FREEWAYS AND EXPRESSWAYS

(1) Ramp destination signs may be installed along freeway or expressway off-ramps, if needed, to indicate the direction a motorist should turn at the end of the off-ramp in order to reach a destination shown on the major guide signs (see Rule 1680-03-02-.03) or a supplemental guide sign (see Rule 1680-03-02-.04).

(2) The distance to a city, town or special traffic generator shall not be displayed on the ramp destination sign.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.05 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.06 NAMED BRIDGE AND HIGHWAY SIGNS ON FREEWAYS AND EXPRESSWAYS

(1) Bridges or highways that have been designated by the Tennessee General Assembly as a memorial or commemorative bridge, and that have been rebuilt or widened, will retain their legislative designation if there is no change in the route number or no significant realignment of the route.

(2) All commemorative bridge or highway signs shall conform to the specifications as prescribed for the standard TN-26 sign in the current edition of the Tennessee Supplement to Standard Highway Signs, as adopted in Rule 1680-3-1-.04. All interstate bridges will be signed using a plaque as opposed to the standard green highway type sign.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.06 filed April 12, 2002; effective August 28, 2002. Amendment filed March 11, 2005; effective July 29,2005.

Tenn. Comp. R. & Regs. 1680-03-02-.07 MISCELLANEOUS GUIDE SIGNS ON FREEWAYS AND EXPRESSWAYS

Miscellaneous guide signs that indicate river names, county lines and time zone boundaries may be used if they do not interfere with other more important signing. City limits, mountain elevations or other boundaries (e.g., the limits of forests, refuges, jurisdictions, etc.) will not be signed.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.07 filed April 12, 2002; effective August 28, 2002. 1680-03-02-08 TABLE A-1. CRITERIA FOR SIGNING TRAFFIC GENERATORS ON FREEWAYS AND EXPRESSWAYS. Type of Traffic Generator Specific Eligibility Criteria Urban Area Rural Area AND CONVENTIONAL HIGHWAYS Airports Minimum Number of Commercial Passengers Daily (Prime Criterion) Maximum Distance from Interchange (By Road) Distance from Interchange For Optional Trailblazer Signs (By Road) 5,000/day Nearest interchange Up to 10 mi. 3,000/day Nearest interchange Up to 10 mi. Universities, Colleges, Junior Colleges/Community Colleges, State Technology Centers, State Vocational/Technical Schools, and stateoperated special schools Minimum Total Enrollment- Full & Part-time Students (Prime Criterion) Must be listed as an institution of higher learning on Tennessee Higher Education Commission website, or must be a state-operated special school Maximum Distance from Interchange (By Road) No. of dedicated parking spaces 1,000 10 miles 1,000 10 miles Military Bases Minimum Number of Employees & Military Personnel (Prime Criterion) Maximum Distance from Interchange (By Road) 5,000 7 miles 5,000 7 miles Arenas/Stadiums Auditoriums Convention Halls Dams Major Recreation Sites: Fairgrounds, Zoos, Amusement Parks Minimum Annual Attendance (Prime Criterion) Maximum Distance from Interchange (By Road) 300,000 5 miles 200,000 5 miles National Parks, Monuments, Memorials, Historical Parks, Recreation Areas, Parkways, Battlefields/Military Parks Must be listed on U.S. Dept. of Interior, National Park Service website Maximum Distance from Interchange (By Road) Nearest interchange Nearest interchange AND CONVENTIONAL HIGHWAYS State Veterans’ Cemeteries and National Cemeteries Must be listed as a State Veterans’ Cemetery on Tenn. Dept. of Veterans Affairs website or as a National Cemetery on the U.S. Dept. of Veterans Affairs website or the U.S. Dept. of Interior, National Park Service website Maximum Distance from Interchange (By Road) Nearest interchange Nearest Interchange State and National Historic Sites Must be listed as a State-owned historic site on Tenn. Dept. of Environment and Conservation, Tennessee Historic Commission website or as a National Historic Site owned by the Federal government and listed on U.S. Dept. of Interior, National Park Service website Maximum Distance from Interchange (By Road) 10 miles 10 miles State Wildlife Management Areas, Wildlife Refuges & State Lakes Must be open year-round Minimum Annual Attendance (Prime Criterion) Maximum Distance from Interchange (By Road) 6,000 10 miles 6,000 10 miles Cultural Interest Areas: Museums, Art Galleries, Historic Sites Minimum Annual Attendance (Prime Criterion) Must be open to the general public, and the primary purpose of the facility must be as a cultural interest area (museum, art gallery or historic site) Historic sites must be listed on the U.S. Dept. of Interior, National Park Service, National Register of Historic Places website Maximum Distance from Interchange (By Road) 300,000 5 miles 200,000 5 miles AND CONVENTIONAL HIGHWAYS Comprehensive Regional Pediatric Centers Administrator of facility must verify in writing that the facility is designated as a Comprehensive Regional Pediatric Center under Tenn. Dept. of Health regulations Maximum Distance from Interchange (By Road) 5 miles 5 miles Veterans Administration Medical Centers Must be listed as a VA Medical Center on the U.S. Dept. of Veterans Affairs website Maximum Distance from Interchange (By Road) Nearest interchange Nearest interchange Table 1-A Footnotes Urban Area: Population of 100,000 or greater in most recent federal decennial census. Rural Area: Population of less than 100,000 in most recent federal decennial census. Pursuant to T.C.A. § 54-5-708, the Department is given a discretionary duty to implement a directional signing program for institutions of higher learning, state technology centers and state-operated special schools throughout the State. To be considered for such signing, an institution must be identified by the Tennessee Higher Education Commission (listed on THEC webpage) as a public university, a public community college, a Tennessee Technology Center, or an independent college or university within the State of Tennessee, or the institution must be a state-operated special school, and the institution must have a minimum enrollment of 1,000 full-time and part-time students; provided, that a stateoperated/public community college may be signed if it is within 19 miles (by road) of an interchange, and the minimum enrollment requirement does not apply to Tennessee Technology Centers or stateoperated special schools. For institutions having multiple campuses, the minimum enrollment requirement must be met by each specific campus for which signing is requested. The maximum distance from the interchange (by road) may be increased by one mile for each 10% over the minimum number of employees and military personnel required. The maximum distance from the interchange (by road) may be increased by one mile for each additional 20,000 persons attending annually over the minimum annual attendance required. A National Battlefield/Military Park and National Cemetery at the same location may be signed together on one supplemental guide sign. Pursuant to T.C.A. § 54-5-709(b), the Tennessee Wildlife Resources Agency shall reimburse the Department of Transportation for the cost of installing such supplemental guide signs. The minimum annual attendance may be reduced to 60,000 for urban areas and 40,000 for rural areas if the following conditions are met:  The local government of the municipality or county where the facility is located has endorsed the facility in writing to the Department as being culturally significant to the community; and  The Department must determine, in its engineering judgment, that signing is essential for AND CONVENTIONAL HIGHWAYS proper motorist guidance. The maximum distance from the interchange (by road) may be increased by one mile for each additional 20,000 persons attending annually over the minimum annual attendance required. The facility will be signed, if possible, at the nearest freeway or expressway interchange as measured in travel time to the facility under average daytime traffic conditions. The local government having jurisdiction over the local streets or roads between the interchange and the facility shall be responsible for installing and maintaining trailblazer signs on those local streets or roads as may be necessary to provide directions to the facility. These local trailblazer signs must be in place prior to the installation of a supplemental guide sign at the interchange of a freeway or expressway. Pursuant to T.C.A. § 54-5-710, general aviation airports located not more than 10 miles from a freeway may be signed; provided that the facility has at least a six-thousand foot (6,000’) runway with at least two thousand three hundred feet (2,300’) of approach lead in strobe lights; has at least fifty-eight (58) hangars; complies with all federal design/safety standards; has an instrument landing system with distance measuring equipment (ILS/DME); serves as the prime staging area for regional disaster preparedness and relief; and provides full-time trauma hospital flight access service. Authority: T.C.A. §§ 54-5-108(b); 54-5-704 through 54-5-710.

Tenn. Comp. R. & Regs. 1680-03-02-.08 by the greatest percentage may be shown.

(12) If, in exceptional cases, the Department determines that more than two destinations may be signed at an interchange, letter sizes may be reduced to the expressway category (as defined in the MUTCD) to allow for the signing of additional destinations on one supplemental guide sign.

(13) Not more than one supplemental guide sign shall be provided for any one traffic generator in each direction of travel along any one freeway or expressway.

(14) Within the urbanized area boundaries of cities having a population of 100,000 or more, an eligible traffic generator shall be signed only along the nearest freeway or expressway, with the signs located in advance of the interchange crossroad that provides the most direct and convenient route to the facility; provided, however, that where the annual attendance for an eligible facility exceeds 500,000 persons per year, such facility may be signed along a second freeway or expressway at an interchange within the urbanized area boundary if the facility is within the maximum eligibility distance from the interchange and, in the judgment of the Department, a second sign would facilitate the safe and efficient movement of traffic. In order to qualify for such additional signing, an official of the facility must submit a written request for such signing to the Department and verify that the facility meets the attendance requirements described above. This provision only applies to those facilities whose specific eligibility criterion is based on annual attendance.

(15) Supplemental guide signs should not be erected for a traffic generator where the motorist would be required to travel on the crossroad past a second freeway or expressway.

(16) In rural areas, an eligible traffic generator may be considered for signing at an interchange along a second freeway or expressway if the facility is within the maximum eligibility distance from the interchange and can be reached without circuitous travel.

(17) Supplemental signing of areas or districts (e.g., forests, downtowns, historic districts, etc.), which are difficult to define or have no facilities, will not be allowed. Only specific facilities associated with these areas or districts that meet eligibility criteria will be considered for signing.

(18) When a qualifying facility is located on a crossroad that is not a state highway, or if reaching the facility requires travel over city or county roads after leaving the state highway, the facility will not be signed unless each local government having jurisdiction over such roads provides written confirmation that it will install and maintain suitable trailblazer signs to direct traffic to the facility. Trailblazer signing must be in place before supplemental guide signs will be installed.

(19) The use of a corporate sponsor name for an eligible traffic generator may be allowed on a supplemental guide sign, provided that the corporate sponsor is consistently identified as

part of the name used to designate the facility. The use of a corporate sponsor name must AND CONVENTIONAL HIGHWAYS be endorsed in writing by the local government where the facility is located. Where an existing sign would need to be modified or replaced to add or change a corporate sponsor, the cost for such modification or replacement shall be charged to the facility requesting the modification or replacement. The design of all such signs shall conform to the MUTCD.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-3-44-.05 filed April 12, 2002; effective August 28, 2002. Amendments filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.09 TABLE A-2

TRAFFIC GENERATORS THAT DO NOT WARRANT SIGNING ON

FREEWAYS AND EXPRESSWAYS.

Businesses Campgrounds Industrial Parks & Plants Motels, Hotels or Inns Restaurants Service Stations Shopping Centers Utilities Theaters TV or Radio Stations Funeral Homes Cemeteries Local or State Military Private or Public Communities Subdivisions Suburban Communities Unincorporated Communities Trailer Parks Educational Grade or High Schools Libraries Private Vocational or Trade Schools Research or Experimental Facilities Seminaries Adult Education Centers Governmental Civic Centers County or City Facilities Driver’s License Centers Civil Defense Facilities Police Facilities Motor Pools Jails or Prisons Post Offices Research or Experimental Facilities Local Parks Vehicle Testing Centers Waste Management Centers Medical Hospitals Research Facilities Mental Facilities or Sanitariums Infirmaries or Treatment Centers AND CONVENTIONAL HIGHWAYS Fraternal or Veterans Facilities Nursing Homes Drug Rehabilitation Facilities Retirement Facilities Humane Facilities Veterinary or Animal Control Facilities Military Sites or Detachments Armories Arsenals Recruitment Centers Recreational/Conservation Tourist Information Centers Country Clubs or Golf Courses Fish Hatcheries or Game Farms Preserves or Refuges Tree Nurseries or Arboretums Camps: Civic, 4-H, Scout, Youth, YMCA/YWCA, Church Equestrian Centers Swimming or Wave Pools Sports or Game Complexes Forests or Ranger Stations Points of Interest Religious Churches TABLE A-2 FOOTNOTES State and National Veterans’ Cemeteries may be signed in accordance with Rule 1680-03-02-.08.

Comprehensive Regional Pediatric Centers and Veterans Administration Medical Centers may be signed in accordance with Rule 1680-03-02-.08. Other hospitals may be signed with a General Service Sign in accordance with Rule 1680-03-02-.17.

Tourist Information Centers may be signed with a General Service Sign in accordance with Rule 1680- 03-02-.17.

State wildlife management areas, wildlife refuges and state lakes established and operated by the Tennessee Wildlife Resources Agency pursuant to Title 70 of the Tennessee Code may be signed as provided in T.C.A. § 54-5-709 and Rule 1680-03-02-.08.

History

• Authority: T.C.A. §§ 54-5-108(b) and 54-5-709.
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.09 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.10 POLICY FOR GUIDE SIGNS ON CONVENTIONAL HIGHWAYS

(1) This policy establishes standards for guide signs to be installed within the rights-of-way of conventional highways on the State highway system and sets forth eligibility criteria for selecting the destinations to be displayed. These standards shall also apply to signs installed as part of state-funded projects.

(2) Where specific differences occur, the special provisions of this policy shall supersede the provisions of the MUTCD.

(3) A conventional highway is a highway characterized by at-grade intersections and a lack of control of access.

(4) In establishing this policy, the Department assumes that motorists will use a variety of aids to reach their destinations, including signs, maps, brochures, verbal instructions, outdoor advertising and landmarks located along the highway.

AND CONVENTIONAL HIGHWAYS

(5) The purpose of guide signs is to provide directional and guidance information to motorists concerning major destination points (e.g., crossroads, cities, towns, and special traffic generators). Guide signs also aid motorists in orienting themselves and in judging their progress along their routes.

(6) It is not practical, however, to display all the destinations motorists may wish to reach.

Drivers are expected to make reasonable preparation for locating their destination. They are expected to have information that is readily available on road maps. This means statewide maps in rural areas, and more detailed street maps in metropolitan areas.

(7) The information displayed on guide signs should be clear and concise, the legend should be kept to a minimum, and the signs should be adequately spaced to avoid driver confusion.

Accordingly, only those destinations that best identify an intersection may be signed.

(8) To be considered for signing, a destination must be on the intersecting road or accessible without circuitous travel or trailblazing over long distances.

(9) In addition, destinations should be displayed only at the intersecting road that provides the most direct and convenient route to the destination, taking into account such factors as distance, traffic volumes and roadway conditions.

(10) A uniform system for sign legend, size and location should be employed. This system is to be compatible with the design standards and safety principles of the MUTCD and this policy.

(11) The three primary types of guide signs used on conventional highways are:

(a) Major Guide Signs (see Rule 1680-03-02-.11);

(b) Supplemental Guide Signs (see Rule 1680-03-02-.12); and (c) Street Name Signs (see Rule 1680-03-02-.13).

(12) Major guide signs on conventional highways provide route numbers, the names of cities, towns or communities, and distance information.

(13) Supplemental guide signs on conventional highways provide information concerning special traffic generators such as airports, State parks, universities or similar attractions.

(14) Street name signs provide the names of roads crossing the state highway.

(15) The installation and maintenance of street name signs is the responsibility of the local governmental agency having jurisdiction over the crossroad.

(16) The information that may be displayed on guide signs must vary depending on the classification and location of the intersection.

(17) Where sign space is limited, route number information takes priority over city destination information, and city destination information takes priority over special traffic generator information.

(18) Any previously installed signs that are not in substantial conformance with this policy will be removed or have their legend changed when another destination qualifies for the same sign space, when normal maintenance is required, or when observed driver behavior indicates the changeover cost can be justified.

AND CONVENTIONAL HIGHWAYS

History

• Authority: T.C.A. §54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.10 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.11 MAJOR GUIDE SIGNS ON CONVENTIONAL HIGHWAYS

(1) The purpose of major guide signs is to display basic directional and guidance information regarding the through and crossroad route numbers and the names and distances to cities, towns, or communities located on the routes. Major guide signs on conventional highways include route marker assemblies, destination signs, and distance signs.

(a) Route Marker Assemblies.

1. Route marker assemblies identify the route number and indicate the general direction of the highway.

2. In the case of overlapping routes (where two or more numbered routes follow the same section of highway), the route markers for Interstate, U.S. and State routes shall be mounted in that order from the left in horizontal arrangements and from the top in vertical arrangements. Subject to this order of precedence, route markers for lower-numbered routes within each category of highway shall be placed at the left or top.

3. Within groups of route marker assemblies, information for routes intersecting from the left shall be mounted at the left in horizontal arrangements and at the center of vertical arrangements. Similarly, information for routes intersecting from the right shall be at the right or bottom. Information for through routes shall be at the center or top.

4. It is important to maintain continuity of the route marker signing for a numbered route. In some cases, however, groups of route marker assembles that include overlapping routes and multiple turns may be confusing. Where engineering judgment indicates that this possibility exists, omission of route markers for less important routes may be required to provide clear and concise directions to motorists. Therefore, where a U.S. route and a State route overlap for more than a short distance, normally only the U.S. route markers will be displayed. In addition, where two State routes overlap for more than a short distance, it may be appropriate to display the route markers for only the principal State route.

(b) Destination Signs.

1. Destination signs provide information concerning cities, towns, and unincorporated communities located on the intersecting roadways. Such signs are generally warranted in the following situations:

(i) At the intersection of U.S. or State-numbered routes with Interstate, U.S. or State-numbered routes; and (ii) At points where such signs serve to direct traffic from U.S. or Statenumbered routes to the business sections of cities, towns, or unincorporated communities reached by unnumbered routes.

AND CONVENTIONAL HIGHWAYS

2. Only one destination sign may be installed on each approach to the interchange or intersection.

3. The number of destinations displayed must be kept to a minimum to provide clear and concise directions and avoid driver confusion. Therefore, not more than four destinations shall be displayed on any destination sign.

4. The most important function of destination signing is to advise motorists of points where they must turn in order to reach destinations located on the crossroad.

Therefore, in most cases, the destination lying straight ahead on the through highway will not be signed.

5. Generally, not more than one destination will be displayed for each direction of travel.

6. Two destinations may be displayed in one direction of travel on the crossroad if no eligible destination exists in the other direction.

7. In the case of overlapping numbered routes that separate prior to the first eligible destination on either route, the eligible destination for each of the overlapping routes may be displayed for that direction of travel, provided that the total number of destinations on the destination signing will not exceed four.

Otherwise, only the destination in which the greater amount of the traffic is interested will be displayed.

8. In selecting the destinations to be shown on the destination sign, it must be recognized that guide signing is primarily for the benefit and direction of drivers who are not familiar with the route or area and that consistency with the available map information is important.

9. The destination shown for a direction of travel must be that which provides the best orientation for motorists. In most cases, this would be the nearest principal city or town (i.e., having a population greater than 1,000) or county seat.

However, factors such as population, geographical location, junctions with State highways serving other areas, and commerce may warrant the selection of a principal city or town which is farther away.

10. Where a principal city/town or county seat is not available, the largest city or town on the route may be shown.

11. Where no incorporated city or town is available, the first unincorporated community on the route may be shown.

12. Population will be determined by reference to the latest edition of the Tennessee Blue Book.

13. Destinations shall be displayed in the following sequence from the top to the bottom of the sign: (i) destinations located straight ahead, (ii) destinations located to the left, and (iii) destinations located to the right.

14. If there is more than one destination shown in any direction, the name of the nearest city or town shall appear above that of the more distant destination.

AND CONVENTIONAL HIGHWAYS

15. The destination sign is of lesser importance than route marker assemblies.

Therefore, where sign spacing is critical, the destination sign may be eliminated.

(c) Distance Signs.

1. Distance signs display the names of cities, towns and unincorporated communities located on the route and the distance (to the nearest mile) to those places. Such signs are generally warranted on important routes leaving incorporated municipalities and just beyond intersections with numbered routes in rural areas.

2. Not more than three destinations may be displayed on a distance sign.

3. The distance sign shall display as its primary destination the name of and distance to the city, town or unincorporated community that would be selected under the criteria and order of priority for destination signing set forth above. The name of and distance to the next control city (population of 50,000 or greater), if any, for the route should be displayed below the primary destination. In the case of overlapping numbered routes that continue concurrently to the primary destination, the control city to be displayed should be that of the control city in which the greater part of the through traffic is interested. If no city, town or unincorporated community meets these criteria, then distance signing shall not be installed.

4. The name of and distance to an additional city, town or unincorporated community on the route may be displayed if, in the absence of the primary destination, it would have been the next city, town or unincorporated community selected under the criteria and order of priority for destination signing set forth above.

5. Where alternate routes lie between the distance sign and the destinations displayed, the mileage shown on the sign should be that along the best route.

6. If there is more than one destination shown on the distance sign, the name of the nearest destination shall appear above that of the more distant destinations.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.11 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.12 SUPPLEMENTAL GUIDE SIGNS ON CONVENTIONAL HIGHWAYS

(1) Occasionally, the need arises for signing of destinations in addition to those shown on the major guide signs (see Rule 1680-03-02-.11) because of the presence of a facility that generates a significant volume of non-repetitive traffic from motorists unfamiliar with the area.

Under appropriate circumstances, information regarding such special traffic generators may be displayed on supplemental guide signs. Supplemental guide signs should be considered as auxiliaries to major guide signs in promoting the safe and efficient flow of traffic.

(2) Rule 1680-03-02-.15 identifies traffic generators that may be displayed on supplemental guide signs, and it establishes specific eligibility criteria for such signing. As a general rule, no traffic generator will be considered for a supplemental guide sign unless it meets the eligibility criteria established in Rule 1680-03-02-.15 and other conditions set forth in this

Rule; provided, however, that the Commissioner may make an exception to this general rule AND CONVENTIONAL HIGHWAYS upon finding that the signing of a traffic generator is in the interest of the motoring public and would not be contrary to public safety. Even if a traffic generator meets these minimum criteria, it may not be signed if, in the judgment of the Department, the sign would not be in the interest of public safety.

(3) Rule 1680-03-02-.16 lists examples of the types of facilities that as a general rule are not eligible for supplemental guide signs; provided, however, that the Commissioner may make an exception to this general rule upon finding that the signing of a traffic generator is in the interest of the motoring public and would not be contrary to public safety. This listing is not intended to be all-inclusive, but provides an indication of the types of facilities that normally do not warrant signing.

(4) Because supplemental guide signs are auxiliary in nature, such signs should be used sparingly and should not be installed where they would interfere with or detract from regulatory, warning, or major guide signs or where such signs would otherwise adversely affect traffic safety.

(5) To be eligible for signing, a special traffic generator should be open to the public at least eight hours a day and five days a week during six months each year. Festivals, cultural shows, athletic contests, religious gatherings and other similar short duration events are not eligible for signing. The sign legend for facilities open only a portion of each year should be covered or removed during the off-season period.

(6) The facility requesting supplemental guide signing may be required to submit such documentation as the Department deems appropriate to demonstrate the facility’s eligibility for such signing. Where annual attendance is the prime criterion for eligibility, a copy of the previous year’s annual attendance will be required.

(7) Because it is essential to provide clear and concise directions to motorists, the legend on supplemental guide signs should be kept to a minimum. Where more than one qualifying traffic generator is located within or associated with a single facility, complex or area, only the name of the facility, complex or area may be displayed. In addition, elimination of nonessential descriptive words or the use of abbreviations, partial names or generic names may be required where necessary to retain legibility of the sign message and to avoid undue cost of sign fabrication. Trademarks or logos shall not be displayed.

(8) If used, the supplemental guide sign shall be installed as an independent sign assembly.

(9) No more than two destinations may be shown on one supplemental guide sign. If more than two destinations qualify for signing at an intersection, only the two destinations (without respect to direction of travel) that exceed the prime criterion established in Rule 1680-03-02- .15 by the greatest percentage may be shown.

(10) One supplemental guide sign may be installed on each approach to an intersection. A second supplemental guide sign may be installed in exceptional cases where it is required in order to maintain continuity of trailblazer signing. However, in such cases, the total number of traffic generators displayed on the supplemental guide signing shall not exceed four.

(11) Supplemental guide signs are intended to be installed at points where motorists would be required to turn in order reach the destination. Signing of destinations is not warranted (and will be removed if existing and another eligible traffic generator qualifies for the same sign space) where the motorist would continue straight ahead in the same direction of travel along the numbered route that the motorist is following.

AND CONVENTIONAL HIGHWAYS

(12) If a traffic generator is located adjacent to a State highway, it is presumed that the facility’s on-premise signing will provide adequate guidance information to motorists. Therefore, traffic generators that abut a State highway are normally not eligible for supplemental guide signing along the State highway. Supplemental guide signs may be erected at the entrances to such traffic generators only when engineering judgment indicates that such signing is essential for proper motorist guidance and traffic safety.

(13) It is not the intent of this Rule to provide trailblazer signing for a facility over a long distance.

In most cases, such signs will be installed only at the nearest State route intersection in each direction of travel from the facility. (Where the traffic generator abuts a State highway, this means the nearest intersection with another State highway for each direction of travel along the State highway. If the traffic generator is not located adjacent to a State highway, this means the nearest intersection with a State highway for each direction of travel on the local road.) By thus locating the signs, motorists will be given guidance as to where to turn from the nearest State highways onto the local road or State highway on which the traffic generator is located.

(14) When a destination is not located adjacent to a State highway, the Department will not install supplemental guide signs on the State highway until others having jurisdiction over the nonstate highways have erected all other necessary guide signs of appropriate design and size.

(15) Since special traffic generators will not be trailblazed over long distances and since it is necessary to keep the sign message to a minimum to avoid driver confusion and undue cost of sign fabrication, information concerning the distance to special traffic generators shall not be displayed on supplemental guide signs.

(16) The use of a corporate sponsor name for an eligible traffic generator may be allowed on a supplemental guide sign, provided that the corporate sponsor is consistently identified as

part of the name used to designate the facility. The use of a corporate sponsor name must be endorsed in writing by the local government where the facility is located. Where an existing sign would need to be modified or replaced to add or change a corporate sponsor, the cost for such modification or replacement shall be charged to the facility requesting the modification or replacement. The design of all such signs shall conform to the MUTCD.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.12 filed April 12, 2002; effective August 28, 2002. Amendments filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.13 STREET NAME SIGNS ON CONVENTIONAL HIGHWAYS

(1) Local governmental agencies are encouraged to erect street name signs in urban areas at all street intersections regardless of other route marking that may be present and in rural areas to identify important roads not otherwise marked.

(2) It is recommended that a street name sign be installed on the near right-hand side of the State highway approaches. The street name sign should be installed as a separate sign assembly. However, where speeds are low and visibility of the sign can be maintained, the street name sign may be installed on the far right-hand side of the State highway approaches and located above the crossroad stop sign.

(3) At signalized intersections, the street name signs may be located overhead on the signal head span wire in lieu of ground mounted signing.

AND CONVENTIONAL HIGHWAYS

(4) The street name sign panel should be of adequate size to assure legibility of the sign message. The lettering must conform to the MUTCD.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.13 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.14 NAMED BRIDGE AND HIGHWAY SIGNS ON CONVENTIONAL HIGHWAYS

(1) Bridges or highways that have been designated by the Tennessee General Assembly as a memorial or commemorative bridge, and that have been rebuilt or widened, will retain their legislative designation if there is no change in the route number or no significant realignment of the route.

(2) All commemorative bridge or highway signs shall conform to the specifications as prescribed for the standard TN-26 sign in the current edition of the Tennessee Supplement to Standard Highway Signs, as adopted in Rule 1680-3-1-.04.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.14 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.15 TABLE B-1

CRITERIA FOR SIGNING TRAFFIC GENERATORS ON

CONVENTIONAL HIGHWAYS.

Type of Traffic Generator Specific Eligibility Criteria Urban Area Rural Area Airports Must be publicly owned with a minimum 3,000-foot paved runway (Prime Criterion)

Maximum Distance from Intersection (By Road) 5 miles 5 miles Universities, Colleges, Junior Colleges/Community Colleges, State Technology Centers, State Vocational/Technical Schools, and stateoperated special schools Must be listed as a public university, public community college, Tennessee Technology Center, or independent college or university on Tenn. Higher Educ. Com’n website, or must be a state-operated special school Maximum Distance from Intersection (By Road) 4 miles 10miles Military Bases Minimum Number of Employees & Military Personnel (Prime Criterion)

Maximum Distance from Intersection (By Road) 3,000 4 miles 1,000 5 miles AND CONVENTIONAL HIGHWAYS Arenas/Stadiums Auditoriums Convention Halls Dams, Lakes, and Launching Ramps Major Recreation Sites:

Fairgrounds, Zoos Amusement Parks Minimum Annual Attendance (Prime Criterion)

Maximum Distance from Intersection (By Road) 100,000 10 miles 100,000 10 miles State Parks Must be listed on Tenn. Dept. of Environment and Conservation, State Parks website Maximum Distance from Intersection (By Road)

Nearest intersection Nearest intersection National Parks, Monuments, Memorials, Historical Parks, Recreation Areas, Parkways, Battlefields/Military Parks Must be listed on U.S. Dept. of Interior, National Park Service website Maximum Distance from Intersection (By Road)

Nearest intersection Nearest intersection State Veterans’ Cemeteries and National Cemeteries Must be listed as a State Veterans’ Cemetery on Tenn. Dept. of Veterans Affairs website or as a National Cemetery on the U.S. Dept. of Veterans Affairs website or the U.S. Dept. of Interior, National Park Service website Maximum Distance from Intersection (By Road) 10 miles 10 miles State and National Historic Sites Must be listed as a State-owned historic site on Tenn. Dept. of Environment and Conservation, Tennessee Historic Commission website or as a National Historic Site on U.S. Dept. of Interior, National Park Service website Maximum Distance from Intersection (By Road) 10 miles 10 miles AND CONVENTIONAL HIGHWAYS State Wildlife Management Areas, Wildlife Refuges & State Lakes Must be open year-round Minimum Annual Attendance (Prime Criterion)

Maximum Distance from Intersection (By Road) 6,000 10 miles 6,000 10 miles Cultural Interest Areas:

Museums, Art Galleries, Historic Sites Minimum Annual Attendance (Prime Criterion)

Must be open to the general public, and the primary purpose of the facility must be as a cultural interest area (museum, art gallery or historic site)

Historic sites must be listed on the U.S. Dept. of Interior, National Park Service, National Register of Historic Places website Maximum Distance from Intersection (By Road) 50,000 10 miles 20,000 10 miles Comprehensive Regional Pediatric Centers Administrator of facility must verify in writing that the facility is designated as a Comprehensive Regional Pediatric Center under Tenn. Dept. of Health regulations Maximum Distance from Interchange (By Road) 5 miles 5 miles Veterans Administration Medical Centers, Outpatient Clinics and Vet Centers Must be listed as a VA Medical Center, Outpatient Clinic or Vet Center on the U.S. Dept. of Veterans Affairs website Maximum Distance from Intersection (By Road) 5 miles 5 miles TABLE B-1 FOOTNOTES Urban Area: Population of 5,000 or greater in most recent federal decennial census.

Rural Area: Population of less than 5,000 in most recent federal decennial census.

Dams, lakes and launching ramps may be signed at the nearest point of access onto a State highway without regard to annual attendance if the facility is:  Located within 10 miles of the intersection;  Open to the general public; and  Owned and operated by a governmental agency or non-profit organization; and if AND CONVENTIONAL HIGHWAYS  The Department determines, in its engineering judgment, that signing is essential for proper motorist guidance.

In rural areas, where traffic generators are not commonly found and there is also greater need for guide signs, attendance requirements may be reduced by 50% if approved by the Department.

A National Battlefield/Military Park and National Cemetery at the same location may be signed together on one supplemental guide sign.

Pursuant to T.C.A. § 54-5-709(b), the Tennessee Wildlife Resources Agency shall reimburse the Department of Transportation for the cost of installing such supplemental guide signs.

The facility will be signed, if possible, at the nearest state highway intersection as measured in travel time to the facility under average daytime traffic conditions. The local government having jurisdiction over the local streets or roads between the state highway intersection and the facility shall be responsible for installing and maintaining trailblazer signs on those local streets or roads as may be necessary to provide directions to the facility. These local trailblazer signs must be in place prior to the installation of a supplemental guide sign at the state highway intersection.

History

• Authority: T.C.A. §§ 54-5-108(b) and 54-5-704 through 54-5-709.
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680- 03-02-.15 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.16 TABLE B-2

TRAFFIC GENERATORS THAT DO NOT WARRANT SIGNING ON

CONVENTIONAL HIGHWAYS.

Businesses Campgrounds Industrial Parks & Plants Motels, Hotels or Inns Restaurants Service Stations Shopping Centers Utilities Theaters TV or Radio Stations Funeral Homes Cemeteries Local or State Military Private or Public Communities Subdivisions Suburban Communities Unincorporated Communities Trailer Parks Educational Grade or High Schools Libraries Private Vocational or Trade Schools Research or Experimental Facilities Seminaries Adult Education Centers Governmental Civic Centers County or City Facilities Driver’s License Centers Civil Defense Facilities Police Facilities Motor Pools Jails or Prisons Post Offices Research or Experimental Facilities Local Parks Vehicle Testing Centers Waste Management Centers Medical Hospitals Research Facilities Mental Facilities or Sanitariums Infirmaries or Treatment Centers Fraternal or Veterans Facilities Nursing Homes AND CONVENTIONAL HIGHWAYS Drug Rehabilitation Facilities Retirement Facilities Humane Facilities Veterinary or Animal Control Facilities Military Sites or Detachments Armories Arsenals Recruitment Centers Recreational/Conservation Tourist Information Centers Country Clubs or Golf Courses Fish Hatcheries or Game Farms Preserves or Refuges Tree Nurseries or Arboretums Camps: Civic, 4-H, Scout, Youth, YMCA/YWCA, Church Equestrian Centers Swimming or Wave Pools Sports or Game Complexes Forests or Ranger Stations Points of Interest Religious Churches TABLE B-2 FOOTNOTES State and National Veterans’ Cemeteries may be signed in accordance with Rule 1680-03-02-.15.

Comprehensive Regional Pediatric Centers and Veterans Administration Medical Centers, Outpatient Clinics and Vet Centers may be signed in accordance with Rule 1680-03-02-.15. Other hospitals may be signed with a General Service Sign in accordance with Rule 1680-03-02-.17.

Tourist Information Centers may be signed with a General Service Sign in accordance with Rule 1680- 03-02-.17.

State wildlife management areas, wildlife refuges and state lakes established and operated by the Tennessee Wildlife Resources Agency pursuant to Title 70 of the Tennessee Code may be signed as provided in T.C.A. § 54-5-709 and Rule 1680-03-02-.08.

History

• Authority: T.C.A. §§ 54-5-108(b) and 54-5-709.
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.16 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.17 POLICY FOR GENERAL SERVICE SIGNS (HOSPITAL AND TOURIST

INFORMATION ONLY).

(1) This policy establishes standards for general service signs on State highways in Tennessee, which shall be restricted to hospital and tourist information signs only. This policy also sets forth eligibility criteria for signing these facilities. Where specific differences occur, the special provisions of this policy supersede the provisions of the MUTCD.

(2) It is not practical to display signing for all hospital and tourist information facilities that may be accessible from the State highway system. Only those facilities that are essential and adequately meet motorists’ needs may be displayed.

(3) The purpose of hospital and tourist information signing is to inform unfamiliar motorists of the availability of medical facilities and tourist information centers where these services would not reasonably be expected to be available.

(4) A freeway, such as an interstate highway, is a divided highway with full control of access and grade-separated interchanges. An expressway is a divided highway with partial control of access and generally having grade-separated interchanges. A conventional highway is a highway characterized by at-grade intersections and which lacks control of access.

AND CONVENTIONAL HIGHWAYS

(5) The information provided by hospital and tourist information signs is auxiliary in nature.

Therefore, such signs should not be installed where they would interfere with or detract from the more essential regulatory, warning or major guide signs or where such signs would otherwise adversely affect traffic safety. These signs should be erected only if the installation would be in conformance with the design standards and safety principles of the MUTCD and this policy.

(6) Not more than one sign assembly, with not more than two messages being displayed, shall be installed for hospitals or tourist information centers on any approach to an interchange or intersection.

(7) The symbol legend identified in the MUTCD will be used for signing hospitals. A word legend will be used to sign a tourist information center.

(8) Hospital and tourist information signing is not eligible to be installed at directional interchanges (interchanges of two interstate highways, or other freeway-to-freeway interchanges having comparable geometric design features).

(9) On the mainline of freeways and expressways, hospital and tourist information signs should be located at a minimum spacing of 800 feet from the guide signs. Where a hospital or tourist information center is available in only one direction and is not identifiable from some point either on the mainline or off-ramp, signs may be installed on the off-ramp if needed to indicate the direction a motorist is required to turn to reach that service.

(10) On conventional highways, hospital and tourist information signs should be located at or immediately in advance of the crossroad.

(11) In view of the local character of hospitals and tourist information centers, the local governmental agency associated with the hospital or tourist information center shall be responsible for the installation and maintenance of all signs on conventional highways for those facilities eligible under this policy. The Department will not install signs on State freeways and expressways until the local government having jurisdiction over the conventional highways leading to the eligible facilities has erected all necessary signs.

(12) Signing for hospitals or tourist information centers that fails to continue to qualify under this policy shall be removed.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.17 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.18 CRITERIA FOR HOSPITAL AND TOURIST INFORMATION SIGNING

(1) Hospital and tourist information signs may be installed on State-maintained freeways and expressways at interchanges located outside the urbanized area boundaries of cities having a population of 100,000 or more under the following conditions:

(a) The facility meets the eligibility criteria established in Rule 1680-03-02-.19.

(b) The tourist information facility is located on or is readily identifiable from the crossroad intersecting the freeway or expressway.

AND CONVENTIONAL HIGHWAYS

(c) The hospital facility is the closest qualifying medical facility in point of time of travel under average daytime traffic conditions and may be reached without circuitous travel.

(d) Not more than one sign shall be installed for each facility in each direction of travel on the freeway or expressway.

(e) Motorists can readily return to the freeway or expressway and continue in their original direction of travel.

(2) Hospital and tourist information signs may be installed on State-maintained freeways and expressways at interchanges located within the urbanized area boundaries of cities having a population of 100,000 or more based on the 2000 US Census and which have multiple interstates under the following conditions:

(a) The facility meets the eligibility criteria established in Rule 1680-3-2-.19.

(b) For tourist information signs, the facility is located on or is readily identifiable from the crossroad intersecting the freeway or expressway.

(c) Not more than one sign shall be installed for the facility in each direction of travel on the freeway or expressway.

(d) For tourist information signs, motorists can readily return to the freeway or expressway and continue in their original direction of travel.

(e) For hospitals inside of urbanized areas and which have multiple interstates, the city and/or county government may submit a comprehensive sign plan to the Commissioner of Transportation for consideration and possible approval. The plan may cover the entire county. All associated cost of any plan must be covered with non- State funds.

(3) Hospital and tourist information signs may be installed on a conventional State highway under the following conditions:

(a) The facility meets the eligibility criteria established in Rule 1680-3-2-.19.

(b) The tourist information center is located within one mile of the intersection where signing is proposed to be installed and the facility may be reached without circuitous travel. Not more than one tourist information center may be signed at an interchange.

(c) The hospital facility is located within three miles of the intersection where signing is proposed to be installed and the facility may be reached without circuitous travel. Only the closest qualifying medical facility in point of time of travel under average daytime traffic conditions may be signed.

(d) A facility may be signed only at the nearest State route intersection for each direction of travel from the facility. Where the facility abuts a State highway, this means the nearest intersection with another State highway for each direction of travel along the State highway. Where the facility is not located adjacent to a State highway, this means the nearest intersection with a State highway for each direction of travel on the local road. Signs may be installed at additional locations where engineering judgment indicates such additional signing is essential for proper motorist guidance.

AND CONVENTIONAL HIGHWAYS

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.18 filed April 12, 2002; effective August 28, 2002. Repeal and new rule filed June 20, 2012; effective November 28, 2012.

Tenn. Comp. R. & Regs. 1680-03-02-.19 CRITERIA FOR FACILITY ELIGIBILITY FOR HOSPITAL AND TOURIST

INFORMATION SIGNING.

To qualify for hospital or tourist information signing, a facility must meet the following specific criteria:

(1) HOSPITAL

The facility must maintain continuous emergency care capability, with a physician on duty, twenty-four hours per day, seven days per week, as certified to the Department by the hospital facility’s chief administrative officer.

(2) TOURIST INFORMATION

(a) The tourist information center must be located within one mile of the interchange or intersection where the signing is to be installed.

(b) The facility must be within an area reserved exclusively for the distribution of tourist information and completely separated from any other activity. It must be adequate to house attendants and visitors, and it must have adequate free parking available for its visitors. It must be clean and well constructed. The facility may not be operated with a

purpose to promote or enhance any on-premise or adjacent business activity.

(c) The distribution of tourist information must be the sole activity conducted at the facility.

(d) The facility must be operated at least eight hours per day, seven days per week.

(e) The facility may be either publicly or privately operated.

(f) The facility must display information of statewide as well as regional interest, and the information must be dispensed at no cost to the motorist.

(g) All privately owned tourist information centers and their associated parking areas must be located off of State highway right-of-way.

(h) Clean, modern restroom facilities and drinking water must be available to visitors at all times the facility is open to the public.

(i) Telephone service must be available for public use.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed January 10, 1992; effective February 24, 1992. Repeal and new rule renumbered from 1680-03-02-.19 filed April 12, 2002; effective August 28, 2002.

Tenn. Comp. R. & Regs. 1680-03-02-.20 POLICY FOR TRAIL SIGNS ON CONVENTIONAL HIGHWAYS

(1) This policy establishes standards for trail signs to be installed within the rights-of-way of conventional highways on the state highway system and sets forth criteria and procedures for selecting trails to be signed.

AND CONVENTIONAL HIGHWAYS

(2) Where specific differences occur, the special provisions of this policy shall supersede provisions of the MUTCD.

(3) Trail signs are informational signs, plaques, or shields designed to provide road users with route guidance in following a trail of particular cultural, historical, or educational significance.

(4) Trail signs may be installed only on conventional highways. Trail signing will not be allowed on any freeway, expressway, or the ramps of such highways.

(5) A conventional highway is a highway characterized by at-grade intersections and a lack of control of access. A freeway, such as an interstate highway, is a divided highway with full control of access and grade-separated interchanges. An expressway is a divided highway with partial control of access and generally having grade-separated interchanges.

(6) In establishing this policy, the Department assumes that a road user’s primary guidance for identifying trails will be in the form of printed literature and maps rather than trail signing.

(7) The information displayed on trail signs should be clear and concise, the legend should be kept to a minimum, and the signs should be adequately spaced from other signs to avoid driver confusion. Where sign space is limited, other signs – including without limitation, regulatory signs, warning signs, major guide signs, or other existing signs – will take priority over trail signs.

(8) To be considered for trail signing on a conventional state highway, the designated or proposed trail must link together individual sites that have a clearly common theme of historical, social, or cultural significance. Individual tourist destinations having no clearly apparent common theme or relationship shall not be eligible for trail signing.

(9) In addition, all individual sites along the designated or proposed trail must be properly interpreted, with a sign or other appropriate means of communication, to explain the historical, social or cultural significance of the site, and they shall be identified in readily available printed literature or brochures with maps, prior to the installation of any trail signs along conventional state highways. Each site must be accessible to the public for visitation or viewing, and it must have adequate off-road parking for visitors.

(10) A conventional state highway may be considered for signing as a designated trail where the route itself or the route generally followed by the highway has a particular historical, social, or cultural significance, as for example, the Overmountain Victory National Historic Trail and the Trail of Tears National Historic Trail. Trails of this type should also provide convenient access to individual sites of related historic, social, or cultural significance.

(11) All trail signs shall comply with the MUTCD and are subject to the Department’s approval.

Trail signs of the same type must be signed with a common trail sign. For example, all Civil War trails must be signed with the same type of trail sign throughout the State. Trail signs shall not be copyright protected.

(12) There shall be no identification of individual sites on trail signs installed along state highways.

Trail signs shall identify only the trail name and a directional arrow for guidance to individual sites having related historic, social, or cultural significance. The identification and description of individual sites should be available in printed literature relating to the trail.

(13) To be considered for trail signing, the designated or proposed trail must be sponsored by a governmental agency or private organization having the legal authority and capability to enter into contracts and finance the installation and maintenance of trail signs.

AND CONVENTIONAL HIGHWAYS

(14) A governmental agency or private organization requesting to sign a designated or proposed trail along a conventional state highway shall submit the following to the Department’s Traffic Engineering Office:

(a) Adequate evidence that the agency or organization has the legal authority and capability to enter into contracts and finance the installation and maintenance of trail signs (e.g., an ordinance or resolution authorizing the expenditure of funds for trail signing or articles of incorporation that allow the expenditure of corporate funds for trail signing);

(b) A clearly marked map depicting the designated or proposed trail, including the beginning and ending points of the trail, and showing related individual sites along or conveniently accessible from the trail;

(c) A copy of the available or proposed literature or brochure that describes the common historical, social, or cultural significance of the individual sites along the trail; and (d) A proposed design for the trail sign.

(15) Designated or proposed trails related to the Civil War and their related individual sites must be sponsored or approved by the Tennessee Wars Commission, and the documentation for such sponsorship or approval shall be submitted to the Department’s Traffic Engineering Office.

(16) If the Department approves a request to sign a trail, the Department will provide the requesting agency or organization with the following:

(a) The number and approximate location of the trail signs to be installed by the Department on conventional state highways;

(b) The approved design, dimensions and other specifications for fabrication of the trail signs;

(c) An estimate of the costs to be incurred by the Department in the installation of the trail signs; and (d) A letter agreement setting forth the obligations of the requesting agency or organization as described below.

(17) The requesting agency or organization shall execute and fulfill the terms of a letter agreement setting forth the obligations of the agency or organization, including without limitation as follows:

(a) The agency or organization shall be responsible for all costs associated with the fabrication, installation, and maintenance of the trail signs;

(b) The agency or organization, at its own expense, shall have the trail signs fabricated in accordance with the approved design, dimensions and other specifications provided by the Department, and these signs shall be delivered to the Department;

(c) The agency or organization shall provide to the Department a cashier’s check, letter of credit, or similar method of payment acceptable to the Department in the amount of the Department’s estimate of the costs of installation; and AND CONVENTIONAL HIGHWAYS (d) The agency or organization shall provide replacement trail signs as necessary whenever a sign is damaged or destroyed and it shall replace all trail signs at regular intervals, not to exceed ten (10) years, in the same manner as it provides for the initial fabrication and installation of the trail signs.

(18) Upon receipt of the foregoing, the Department will inspect the signs and, if acceptable, install them along the state highway system. If the actual costs of installation are less than the estimated amount, the Department will reimburse the difference to the requesting agency or organization. If the actual costs of installation exceed the estimated cost, the Department shall invoice the agency or organization, and the agency or organization shall pay, the full amount of the difference.

(19) Some trails may be ended before entering areas that have an unusually high number of sites within a relatively confined geographic area and where the Department’s Traffic Engineering Office has determined that signing such areas would be confusing to motorist.

(20) Trails that enter incorporated cities whose population exceeds 40,000 persons may be discontinued within the city limits where it has been determined by the Department that such signing would be unreasonably circuitous and/or confusing to motorists. Also, trails entering cities whose populations exceed 40,000 persons may only be approved with the concurrence of the local government.

(21) If questions arise in the interpretation of these rules, the Commissioner of Transportation, or the Commissioner’s designee, will make the final administrative determination.

History

• Authority: T.C.A. § 54-5-108(b).
• Administrative History: Original rule filed March 11, 2005; effective July 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.21 AREA OR DISTRICT SIGNING

(1) Any municipality having a population in excess of one hundred fifty-five thousand (155,000), according to the 2000 federal census or any subsequent federal census, or any county which adopts a Wayfinding Program pursuant to Chapter 1680-3-5 of these Rules, may elect to develop a comprehensive plan whereby all freeway signing for individual traffic generators within the local jurisdiction shall be replaced by area or district signing. The plan shall be submitted to the Department for review and final approval.

(a) The plan must establish specific criteria for determining which areas or districts shall be eligible for signing. A list of the areas or districts determined to be eligible by the local jurisdiction shall be forwarded to the Department for review and approval.

(b) The plan shall include a detailed process to be followed by those requesting modifications or inclusion in the system. All requests approved by the local jurisdiction shall be forwarded to the Department for review and approval.

(c) Prior to implementation of the plan, the local jurisdiction must obtain written consent from any entity or facility which is signed within an eligible area or district to remove its existing interstate guide sign and any associated ramp sign as part of the overall plan for area or district signing. Copies of all such written consent shall be forwarded to the Department.

(d) The Department shall retain final authority for approval of all freeway signing. All funds for the implementation of any approved plan shall be provided by the local jurisdiction.

AND CONVENTIONAL HIGHWAYS

All approved freeway signing must be installed to State specifications and will become property of the State upon installation. Any jurisdiction which adopts such a plan shall be responsible for development of aspects of design, construction, and letting of the plan under the oversight of the Department.

History

• Authority: T.C.A. § 54-5-108(b); 2010 Pub.Acts, c. 727, eff. April 9, 2010.
• Administrative History: Original rule filed June 20, 20912; effective November 28, 2012.

Chapter 1680-03-03 Specific Service Signs (Logo Sign Program)

Tenn. Comp. R. & Regs. 1680-03-03-.01 PREFACE

(1) Specific service signs (hereafter referred to as logo signs) provide the traveling public with business identification and directional information for essential motorist services. Logo signs will be permitted at interchanges on freeways that are located outside of the census boundary of cities of 100,000 or greater population as designated by the United States Bureau of Census in the most recent decennial federal census. In addition, logo signs will be permitted on freeways within the urbanized area boundary of cities of 100,000 or greater population as designated by the United States Bureau of Census in the most recent decennial federal census, upon written request by the local government, provided all the criteria are met as described in these rules.

(2) The following rules set forth the criteria to be followed in the administration of the Logo Sign Program. If questions arise in the interpretation of these rules, the Commissioner of the Tennessee Department of Transportation, or the Commissioner’s designee, will make the final administrative determination. These rules supersede all prior rules related to gas, food, lodging, and camping or attraction service signs.

History

• Authority: T.C.A. §§ 54-5-1101 and 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Amendment filed September 7, 1990; effective October 22, 1990. Amendment filed May 20, 1997; effective September 18, 1997. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-09-01-.01 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.02 DEFINITIONS

(1) Background Sign Panel means an official sign panel placed within the freeway right-of-way along the mainline of travel or exit ramp with the words Gas, Food, Lodging, Camping or Attraction, or a combination thereof, and with space where one to six individual business logo signs may be attached.

(2) Business means any approved public commercial facility that provides one of the five qualifying motorist services eligible to participate in the Logo Sign Program.

(3) Commissioner means the Commissioner of the Tennessee Department of Transportation.

(4) Contractor means the firm awarded the administrative services contract by the Department for the marketing, management, and maintenance of the Logo Sign Program.

(5) Department means the Tennessee Department of Transportation.

(6) Disadvantaged Business Enterprise means a small business concern that is certified as a “Disadvantaged Business Enterprise” pursuant to the Rules of the Tennessee Department of Transportation Contract Compliance Office, Chapter 1680-08-01, Certification of Disadvantaged Business Enterprises.

(7) Double Exit means an interchange design where, for a given direction of travel on the mainline, two exit ramps provide access to the crossroad, with one ramp for each direction of travel on the crossroad.

(8) Eligibility Distance means the total roadway distance plus the offset distance to the primary point of entrance to a business. (See Rule 1680-03-03-.13, Figure 9 for an example.)

(9) Exit Ramp means the travel lane at an interchange on a freeway leading from the mainline to the intersecting crossroad.

(10) Freeway means a divided highway with full control of access.

(11) Logo Sign means an individual sign of a participating business in the Logo Sign Program that consists of the business’s name, trademark, logo, or combination of same. This is the sign that is attached on the background sign panels.

(12) Mainline means the through travel lanes of a freeway.

(13) Motorist Service means a place of business providing either gas, food, lodging, camping or attraction facilities.

(14) MUTCD means the Manual on Uniform Traffic Control Devices.

(15) Offset Distance means the distance measured from the secondary point of intersection (SPOI) to the nearest comer of the business’s building. If the building has an offset the comer that will provide for the shortest eligibility distance will be used for measurement purposes.

(See Rule 1680-03-03-.13, Figure 9 for an example.)

(16) PPOI (Primary Point of Intersection) means the point at which the centerline of the median on the freeway intersects with the centerline of the crossroad. When the crossroad has more than two lanes, the centerline of the median, bridge or the exact center of the roadway surface crossing the freeway mainline will be used. (See Rule 1680-03-03-.13, Figure 9 for an example.)

(17) Priority Distance means the distance measured from the Secondary Point of Intersection (SPOI) to the center of the main doorway of the business. (Used only in case of ties in eligibility distance measurements. See Rule 1680-03-03-.13, Figure 9 for an example.)

(18) Rest Room means a clean private rest room, having at least one flush toilet and at least one sink with running water, in working order.

(19) Roadway Distance means the distance measured from the Primary Point of Intersection (PPOI) along the centerline of the crossroad or other public/private roadway leading to the Secondary Point of Intersection (SPOI).

(20) Single Exit means an interchange design where, for a given direction of travel on the mainline, only one exit ramp provides access to the crossroad.

(21) SPOI (Secondary Point of Intersection) means the point at which the center line of the public or private thoroughfare providing direct access to the business facility intersects with a perpendicular line to the nearest corner of the business building.

(22) Tennessee-Based Business Enterprise means a person or entity that has an office in the State of Tennessee.

(23) Trailblazer Background Panel means an official sign panel placed before the intersection where a turn is required to get to the business to display Trailblazer Signs. These are placed at intersections with 3 or more trailblazers signs.

(24) Trailblazer Sign means the sign used in the Logo Sign Program that indicates the name, direction and distance to a motorist service.

(25) Urbanized Area Boundary means that boundary identified as the census boundary by the United States Bureau of Census for a specific geographical location.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Amendment filed September 7, 1990; effective October 22, 1990. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-09- 01-.02 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.03 GENERAL PROVISIONS

(1) The Department has the authority to provide for the construction and administration of the Logo Sign Program.

(a) Construction contract(s): The Department may enter into contract(s) for the construction of logo sign background sign panels. The construction contract(s) shall be for the construction and erection of the background sign panels.

(b) Administrative services contract(s): The Department may enter into contract(s) for administration of the Logo Sign Program. The contract(s) shall be subject to the provisions of T.C.A. § 54-5-1103.

(2) Contracts shall be awarded to Tennessee-based business enterprises pursuant to T.C.A. § 54-5-1105.

History

• Authority: T.C.A. §§ 54-5-1103, 54-5-1105, and 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09- 01-.03 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.04 CRITERIA FOR THE ERECTION OF SIGNS FOR THE LOGO SIGN PROGRAM

(1) The Department will allow the erection and maintenance of signs for the Logo Sign Program in accordance with the MUTCD, these rules, and contract provisions. However, to minimize the interference with the more critical regulatory, warning and guide signs, the logo sign background sign panels will be erected prior to the advance guide sign on the mainline, where possible, and at close spacing on the exit ramp. In addition to the aforementioned, the following criteria should be met:

(a) The desired spacing between each mainline background sign panel should be at least eight hundred (800) feet, and the mainline background sign panel shall not conflict or interfere with any other official highway guide sign.

(b) Exit ramp background sign panels shall not be erected where the ramp terminus offers no options for turns. However, where no businesses are visible from the terminus, the contractor may install trailblazer signs at a location determined by the Department and in conformance to specifications for trailblazer signs.

(c) There shall be no more than a total of four background sign panels along the approach to any interchange, in each direction of travel, and no more than one background sign panel shall be erected for each eligible motorist service. The background sign panels should be erected in the following order in relation to the direction of travel: first, attraction and/or camping; second, lodging; third, food; and fourth, gas.

1. A separate background sign panel shall be erected for each type of motorist service, except where no more than three approved businesses are available for each of two types of services. The Department in that case may elect to display a background sign panel for two types of services on the same background sign panel.

2. A business will have its logo signs installed at an interchange that provides it with the shortest eligibility distance.

3. A business may have logo signs installed at a second interchange, provided it meets all the requirements as set forth in these rules and the business does not prevent another eligible business from participating in the Logo Sign Program at that interchange.

4. The number of logo signs on the background sign panel shall be limited to six for each motorist service.

5. The placement of individual logo signs on all background sign panels will be as follows:

(i) All businesses that are accessible via a left turn from the exit ramp terminus will be placed first.

(ii) All businesses that are accessible via a right turn from the exit ramp terminus will then be placed.

(iii) The logo signs of all businesses will be placed according to eligibility distance from each direction of turn, starting with the logo sign of the business with the shortest eligibility distance and going to the logo sign of the business with the greatest eligibility distance.

6. A business is eligible to participate in the Logo Sign Program provided that it offers at least one of the specific motorist services (gas, food, lodging, camping or attraction) and it meets the applicable minimum criteria set forth in Rule 1680- 03-03-.05.

7. In the event that a business provides more than one motorist service, it may be eligible to display a logo sign for each service it provides on the proper background sign panel, provided the following conditions are met;

(i) It meets all minimum criteria for the service, (ii) It does not prevent participation by another business which offers a sole service and would otherwise qualify for placement on the background sign panel, (iii) Space is available on the background sign panel.

8. Within the urbanized area boundary of cities of 100,000 or greater population as designated by the United States Bureau of Census in the most recent decennial federal census, the total number of boards at each individual interchange may vary based on the space allowance, but the total number shall not exceed four.

Priority will be as follows: first, gas and/or food; second, lodging; and third, attraction and/or camping.

(d) At interchange approaches having a single exit, each background sign panel shall bear the type of service followed by the exit number on a line above the logo signs.

(e) On interchange approaches having a double exit, each background sign panel shall consist of two sections.

1. The top section shall bear the type of service and display the logo sign for the businesses accessible from the first exit.

2. The lower section shall bear the type of service and display the logo sign for the businesses accessible from the second exit.

3. The exit number shall be displayed on a line above the logo signs in each

section.

4. When a motorist service is to be signed at only one of the two exits, one section of the background sign panel may be omitted or a single exit interchange background sign panel may be employed.

(f) All businesses displayed on a mainline background sign panel will also be displayed on the exit ramp background sign panel. This only applies to interchanges that are eligible for exit ramp background sign panels.

1. Exit ramp background sign panels shall consist of a logo sign identical to but smaller than the logo sign on the mainline background sign panel.

2. The arrangement of individual logo signs on an exit ramp background sign panel will be the same as the arrangement of logo signs as stipulated in Rule 1680-03- 03-.04(1)(c)5.

3. There will be directional arrows and mileage to each business on the exit ramp background sign panels at single exit interchanges. (See Rule 1680-03-03-.13, Figure 2.)

(g) Descriptive advertising words, phrases, or slogans shall not be allowed on any logo sign, except to indicate dates of operation of eligible campgrounds that open on a seasonal basis, to indicate that a business is “open 24 hours,” or that a business offers “diesel” or “auto diesel fuel,” or other as approved by the Department. If more than two (2) descriptive words, phrases, or slogans are requested, approval must be obtained from the Department.

(h) The distance that a gas, food or lodging motorist service business can be located from the PPOI to qualify for a logo sign shall not exceed three (3) miles in either direction.

The distance that a camping or attraction motorist service business can be located from the PPOI to qualify for a logo sign shall not exceed fifteen (15) miles in either direction.

(i) Trailblazer signs may be installed to indicate the need for a turn when the crossroad terminates. In addition, trailblazer signs should be used to indicate whenever a turn is needed to reach an eligible business. All trailblazer signs will have a supplemental sign showing a directional arrow and mileage to the business.

1. Where the road on which the trailblazer sign is needed is a state highway, the qualifying business will furnish the contractor with the appropriate trailblazer signs. The contractor will erect and maintain all trailblazer signs.

2. Where the road on which the trailblazer sign is needed is a city or county road, it shall be the responsibility of the business to make arrangements with the appropriate local governmental agency allowing the contractor to erect and maintain the trailblazer sign(s).

3. Trailblazer signs shall consist of a logo sign identical to but smaller than a mainline logo and a supplemental directional arrow and mileage sign. (See rule

Tenn. Comp. R. & Regs. 1680-03-03-.05 SERVICES PERMITTED

(1) Eligible motorist service facilities shall comply with the laws concerning the provision of public accommodations without regard to race, religion, color, age, sex, or national origin, and the laws concerning the granting of licenses and approvals for motorist service facilities.

(2) The types of motorist service facilities shall be limited to gas, food, lodging, camping or attraction. To qualify for the Logo Sign Program and to display a logo sign on a background sign panel, the following minimum criteria must be met:

(a) Gas 1. Vehicle services, which shall include fuel, oil, air and water;

2. Drinking water suitable for public use and two or more clean public rest rooms, with at least one for men and one for women, must be available during all hours the facility is open to the public;

3. Continuous operation at least sixteen (16) hours per day, seven (7) days a week; and 4. Located not more than three (3) miles from the PPOI and meet the requirements set forth in Rule 1680-03-03-.06 (b) Food 1. A valid permit as required by the Hotel, Food Service Establishment and Swimming Pool Inspection Act of 1985 as stipulated in T.C.A. Title 68, Chapter 14, Part 3, and all other licenses and approvals as required by local governmental bodies;

4. Continuous operation, six (6) days a week and opening not later than 7:00 a.m., serving breakfast, and closing no earlier than 8:00 p.m. A business which is only open six (6) days a week must identify the day of closure on its logo, e.g. Closed Sunday, with six inch letters located on the lower one third of the business logo which contrast in color to the color of the logo background.

5. On-premise seating for at least twenty-five (25) persons;

6. Two (2) or more clean public rest rooms, with at least one (1) for men and one (1) for women, must be available during all hours the facility is open to the public; and 5. Located not more than three (3) miles from the PPOI and meet the requirements as set forth in Rule 1680-03-03-.06.

7. A business that meets all criteria set forth above will be considered “fully qualified.” A business that meets the distance criteria but not all of the other criteria will be considered “partially qualified.” A fully qualified business shall have priority over a partially qualified business. If a business is approved for the space as a fully qualified business, but then changes to become only partially qualified, said business may have its contract revoked.

(c) Lodging 1. All appropriate State and local licenses or approvals;

2. Off street parking;

3. A minimum of twenty (20) sleeping units;

4. A private entrance and rest room which has hot and cold water and a tub or shower for each sleeping unit;

5. Continuous operation 24 hours a day, and;

6. Located not more than three (3) miles from the PPOI, and meet the requirements as set forth in Rule 1680-03-03-.06.

(d) Camping 1. All appropriate State and local licenses and approvals, including health permits;

2. Continuous operation for at least six (6) months of the year.

(i) The contract between the business and the contractor shall specify the seasonal opening and closing dates of operation for the campground, and the logo signs of tile business shall indicate the specific dates that the campground is open for operation.

(ii) The business will be required to pay the total annual fee to the contractor regardless of the number of months of operation.

3. A campground shall consist of a minimum of ten (10) individual campsites each having accommodations for potable water and electrical hook-ups for conventional travel trailers, tents and campers;

4. Parking spaces for each campsite;

5. Each campsite shall have a minimum area of three hundred (300) square feet;

6. A sanitary disposal system for travel trailers and campers;

7. Separate shower facilities for men and women with hot and cold running water and two (2) or more rest rooms, one (1) for men and one (1) for women;

8. A full-time attendant on duty or on call twenty-four (24) hours a day to maintain and manage campground services; and 9. Located not more than fifteen (15) miles from the PPOI and meet the requirements as set forth in Rule 1680-03-03-.06.

(e) Attraction 1. Adequate parking for the facility with a minimum of twenty (20) spaces;

2. Year-round operation and open to the public at least five (5) days a week, including at least one day on the weekend;

3. Located not more than fifteen (15) miles from the PPOI and meet the requirements as set forth in Rule 1680-03-03-.06;

4. Two (2) or more clean public rest rooms, with at least one (1) for men and one (1) for women, must be available during all hours the facility is open to the public;

5. Open to members of the public of all age groups, and excluding businesses open only to adults, and;

6. Open to walk-ins. No appointments required.

7. Categories of businesses eligible for an attraction sign may include:

(i) Arenas or stadiums, (ii) Cultural centers, (iii) Amusement parks, (iv) Zoos or aquariums, (v) Race tracks, (vi) Historical sites, (vii) Museums, (viii) Arts or crafts, (ix) Wineries or breweries, (x) Golf courses, (xi) Recreational areas, and (xii) Shopping, Outlet or Antique Malls.

8. A business that meets all criteria set forth above will be considered “fully qualified.” A business that meets the distance criteria and is open to walk-ins but does not meet all of the other criteria will be considered “partially qualified.” A fully qualified business shall have priority over a partially qualified business. If a business is approved for the space as a fully qualified business, but then changes to become only partially qualified, said business may have its contract revoked.

9. An attraction shall not be eligible to participate in the Logo Sign Program if a guide sign has been erected for the attraction in accordance with Chapter 1680- 03-02, Manual on Uniform Traffic Control Devices - Supplemental Rules for Guide Signs on Freeways, Expressways and Conventional Highways.

History

• Authority: T.C.A. §§ 54-5-1101 and 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Amendment filed January, 17, 1992; effective March 3, 1992. Amendment filed May 20, 1997; effective September 28, 1997. Amendment filed February 27, 1998; effective June 26, 1998. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-9-1-.05 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.06 MEASUREMENTS

(1) For the purpose of determining which business in each category will receive priority for the Logo Sign Program, the following will apply;

(a) The business having the shortest eligibility distance from the PPOI will have priority. In the event that two businesses have the same eligibility distance, the business with the shortest priority distance will have preference. This process will continue in ascending order as the eligibility distance increases from the PPOI until all positions on the background sign panel are filled.

(b) To qualify, the business must meet one of the following criteria- 1. Gas, food and lodging;

(i) The business shall be located on the crossroad within three (3) miles of the PPOI, and either the business or its on-premise sign shall be readily identifiable from the crossroad.

(ii) If the crossroad is less than three (3) miles in length and terminates with a thoroughfare, a business may qualify provided it is located on the thoroughfare and is three (3) miles or less from the PPOI and either the business or its on-premise sign is readily identifiable from the thoroughfare. (See Rule 1680-03-03-.13, Figure 9)

2. Campgrounds and attractions:

(i) A campground or attraction shall be located within fifteen (15) miles of the PPOI.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Amendment filed January 17, 1992; effective March 3, 1992. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-09-01-.06 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.07 APPLICATION PROCESS

(1) Any business that wishes to participate in the Logo Sign Program shall complete and submit a signed application to the contractor.

(2) A business may qualify to provide more than one motorist service under the Logo Sign Program, provided it meets all the requirements of these rules. If a business wishes to have a separate logo sign for each motorist service it provides, the business must submit a separate signed application for each motorist service.

(3) If an application is approved, the contractor shall issue a “Notice of Eligibility.” A “Notice of Eligibility” shall be issued regardless of the availability of space on the background sign panel for which the business has applied.

(4) The “Notice of Eligibility” will be kept on file by the contractor for three (3) years from the date it is issued.

(5) Should the contractor deny an application, the contractor shall provide by certified mail or hand delivery (and obtain a signed receipt) a “Notice of Non-Eligibility” to the business, outlining the facts that warranted the denial.

(6) A business may be bumped from a sign at the end of its existing contract. In order to bump a business, the new business must submit an application at least sixty (60) days prior to the contract end date for the business that will be bumped. A new business that has a shorter eligibility distance than a business with a current sign may bump that business from the sign.

However, a new food or attraction business that is fully qualified but with a longer eligibility distance may bump a business that is partially qualified but with a shorter eligibility distance.

All other criteria contained in these rules shall apply.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09-01-.07 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.13 APPENDIX

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23,1989; effective March 9, 1989. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-09-01-.13 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.08 SPACE AVAILABLE NOTIFICATION

(1) When space is available on a background sign panel, the contractor will:

(a) Contact any establishment that is open for business at the interchange and has a shorter eligibility distance than a business with a current “Notice of Eligibility” on file with the contractor or a current participant of the Logo Sign Program. This establishment must be provided the opportunity to submit an application to participate in the Logo Sign Program; and, (b) Approve or deny the establishment’s application based upon the requirements of these rules; and, (c) Issue a “Notice of Space Availability” to the business with the current shortest eligibility distance that hold a “Notice of Eligibility;” and, (d) Make such inquiries, investigations and inspections as necessary to insure that the business continues to meet the eligibility requirements set out in these rules.

(2) The contractor will notify the business of the required number of mainline, exit ramp and trailblazer logo signs required.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09-01-.08 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.09 TERMINATION OF PARTICIPATION

(1) The Department or the contractor may inspect a business at any time during its contract period to assure that the business continues to meet the eligibility requirements set out in these rules.

(2) The agreement between the contractor and the business shall contain provisions that cover breach of contract by the business. The following concepts shall be included within the provisions:

(a) A business believed by the contractor to be breaching the contract, for any reason, shall be given a reasonable period of time to remedy the situation.

(b) Should the business fail to remedy the situation, its logo sign(s) shall be removed and the contract terminated with no pro-ration of monies paid.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09-01-.09 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.10 SIGN COMPOSITION

(1) All logo signs (main, exit ramp and trailblazer) shall have a blue background and a silverwhite border.

(a) Symbols or trademarks shall be reproduced in the colors and shape consistent with customary use, and any integral legend shall be proportional in size.

(b) Messages, symbols and trademarks which resemble any official traffic control device are prohibited.

(c) Logo signs furnished to the contractor shall be constructed of aluminum, 0.080 inches thick, and conforming to American Society of Testing and Materials (ASTM)-B 209 Alloy 606 1 -T6 or 5052-1138.

(d) The logo sign blanks shall be flat and contain no visible lateral bow.

(2) The logo sign shall be fabricated from encapsulated lens reflective sheeting and shall meet Tennessee Standard Specification 916.06, material Type II. The process color used for screening the business logo on the encapsulated lens background shall be as recommended by the manufacturer of the reflective sheeting.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Amendment filed January 17, 1992; effective March 3, 1992. Rule has been assigned a new control number from 1680-09-01-.10 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.11 BUSINESS LOGO DIMENSIONS AND DETAILS

(1) Mainline business logo signs for all types of services will be 48” x 36” in size, 0.080” in thickness, and will have a 3” border radius and a 1/4” border width.

(2) Exit ramp business logo signs for all types of services will be 24” x l8” in size, 0.080” in thickness, and will have a 1 1/2” border radius and a 3/8” border width.

(3) Trailblazer logo signs will be 24” x 18” in size, 0.080” in thickness, and will have a 1 1/2” border radius and a 3/8” border width.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09-01-.11 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Tenn. Comp. R. & Regs. 1680-03-03-.12 BUSINESS LOGO SIGN MAINTENANCE

(1) The contractor will perform all maintenance work on all background sign panels, trailblazer signs and sign supports that are a part of the Logo Sign Program.

(2) When the logo sign of a business becomes damaged because of acts of vandalism, natural causes, or accidental damage, the business will provide, at its expense, a new logo sign to the contractor unless the damage was caused by the contractor or its agent. If the contractor or its agent damages the logo sign of a business, the contractor will be responsible for the cost of replacement.

(3) If in the opinion of the Department or the contractor, a logo sign of a business becomes unsightly, badly faded, or in a state of disrepair, the business shall provide at its expense a new or refurbished logo sign to the contractor upon request.

History

• Authority: T.C.A. § 54-5-1108.
• Administrative History: Original rule filed January 23, 1989; effective March 9, 1989. Rule has been assigned a new control number from 1680-09-01-.12 filed and effective February 1, 2003. Repeal and new rule filed May 14, 2014; effective October 29, 2014.

Chapter 1680-03-04 Tourist-Oriented Directional Signs

Tenn. Comp. R. & Regs. 1680-03-04-.01 PURPOSE AND SCOPE OF THE TODS PROGRAM.

(1) Purpose of Chapter.

The purpose of this Chapter is to supplement the Manual on Uniform Traffic Control Devices (MUTCD), which the Department has adopted and incorporated by reference in Chapter 1680-3-1, by establishing criteria for participation in and administration of a Tourist-Oriented Directional Signs (TODS) program within the rights-of-way of state highways in the State of Tennessee.

(2) Purpose of TODS Program.

In accordance with the MUTCD, TODS signs are guide signs to be used on conventional highways in rural areas to display business identification and directional information for tourist-oriented businesses that attract highway users from outside the immediate area of the business. Under the MUTCD and this Chapter, TODS signs are a type of traffic control device and are not considered advertising.

(3) Scope of TODS Program.

(a) The TODS program in the State of Tennessee shall be available to lawful cultural, historical, recreational, agricultural, educational, or entertainment activities, state and national parks, and commercial activities which are unique and local in nature, where the major portion of income from or visitors to such activity are derived during its normal business season from highway users not residing in the immediate area of the business.

(b) The scope of the TODS program in the State of Tennessee shall be limited to tourist-oriented businesses that are not located on a state highway.

History

• Authority: T.C.A. §§ 54-5-1301 and 54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.01 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.02 DEFINITIONS

(1) “Commissioner” means the Commissioner of the Tennessee Department of Transportation.

(2) “Conventional highway” means a highway with at-grade intersections and without control of access.

(3) “Department” means the Tennessee Department of Transportation.

(4) “Eligibility distance” means the total roadway distance from the turn on the state highway where the TODS sign is located to the entry driveway of the tourist-oriented business; and, if necessary to break a tie between two otherwise eligible businesses, the eligibility distance shall also include the distance from the beginning of the entry driveway to the entry door of the business.

(5) “Expressway” means a divided highway with partial control of access and some grade-separated interchanges rather than at-grade intersections.

(6) “Freeway” means a divided highway with full control of access and grade-separated interchanges rather than at-grade intersections.

(7) “Immediate area of the business” means the area within a twenty-mile radius of the business.

(8) “Local road” means a city street or county road not on the state highway system.

(9) “MUTCD” means the United States Department of Transportation, Federal Highway Administration, Manual on Uniform Traffic Control Devices for Streets and Highways, which is adopted and incorporated by reference in Chapter 1680-3-1 of the Rules of the Tennessee Department of Transportation.

(10) “Rural” means an area outside the limits of an incorporated municipality having a population of 5,000 or more according to the most recent decennial census of the United States Bureau of Census.

(11) “State highway” means a highway designated by the Department as part of the state highway system of the State of Tennessee.

(12) “TODS sign” means an official sign structure placed along the right-of-way of a state highway that contains one or more TODS sign panels.

(13) “TODS sign panel” means an individual sign panel on a TODS sign that identifies the name of a participating tourist-oriented business, the direction of turn to reach the business, and the distance to the business from the turn off of the state highway.

(14) “Tourist-oriented business” means a private or public entity, including a publicly owned park, which offers lawful cultural, historical, recreational, agricultural, educational, entertainment and/or commercial activities, services or products to the general public, and the major portion of whose income or visitors are derived during its normal business season from highway users residing outside the immediate area of the business.

(15) “Trailblazer sign” means a secondary sign placed on the right-of-way of a local road that indicates the need for and direction of an additional turn necessary to reach a participating tourist-oriented business identified on a TODS sign.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.02 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.04 ELIGIBILITY FOR PARTICIPATION IN PROGRAM

(1) Required Characteristics of a Tourist-Oriented Business.

In general, participation in the TODS program of this State is open to tourist-oriented businesses that are unique and local in nature and located in a rural area. More specifically, to be eligible for identification on a TODS sign panel, a tourist-oriented business shall have each of the following characteristics:

(a) It shall offer lawful cultural, historical, recreational, agricultural, educational, entertainment, or commercial activities, services and/or products to the general public.

(b) It shall be unique and local in nature, and not part of a chain of businesses having a common name under common ownership and management or under a franchise arrangement.

(c) It shall derive the major portion of its income or visitors, during its normal business season, from highway users residing outside the immediate area of the business.

(d) It shall have a permanent location:

1. In a rural area, as defined in this Chapter; and 2. On a local road within ten (10) miles of the nearest intersection with a state highway where a TODS sign may be located in accordance with Rule 1680-3-4-.06 of this

Chapter.

(e) It shall be open to the public on a regular schedule, at least five (5) days per week and eight (8) hours per day (holidays excepted), throughout the year; provided, however, that a touristoriented business open on a seasonal basis may be eligible for participation in the TODS program, as provided in Rule 1680-3-4-.08 of this Chapter.

(f) It shall have a telephone, restrooms and drinking water available to visitors; provided, however, that this requirement shall not apply to seasonal tourist-oriented businesses offering agricultural activities, services or products.

(g) If any general admission is charged, the costs of admission shall be clearly displayed to the prospective visitors at the entrance to the business.

(2) Legal Requirements.

In addition, to be eligible for participation in the TODS program, a tourist-oriented business shall comply with each of the following legal requirements:

(a) It shall comply with all applicable laws and regulations concerning the provision of public accommodations without regard to race, religion, color, age, sex, national origin, disability or other category protected by Federal, State or local law.

(b) It shall have all licenses required by any governmental agency having authority to regulate the business.

(c) It shall comply with all applicable local zoning ordinances and regulations.

(d) It shall comply with all applicable Federal, State and/or local regulations for public accommodations with respect to health, sanitation and safety.

(e) It shall not have any illegal advertising signs on or along any state highway, as provided in the Federal Highway Beautification Act of 1965, 23 U.S.C. § 131, the Tennessee Billboard

Regulation and Control Act of 1972, T.C.A. § 54-21-101, et seq., and regulations promulgated thereunder for the control of outdoor advertising.

(3) Multiple Signing Prohibited.

(a) A tourist-oriented business offering multiple activities, services and/or products to the public shall not be eligible for separate TODS sign panels for separate portions of the business but only as a single entity.

(b) Any tourist-oriented business for which the Department has erected a supplemental guide sign in accordance with Chapter 1680-3-2 of the Rules of the Tennessee Department of Transportation shall not be eligible for participation in the TODS program under this Chapter.

(c) A tourist-oriented business for which the Department has erected a logo sign in accordance with

Chapter 1680-3-3 of the Rules of the Tennessee Department of Transportation, but which is eligible for a TODS sign under this Chapter, shall not be permitted to have a Logo Program trailblazer sign under Chapter 1680-3-3 at the same intersection.

History

• Authority: T.C.A. §§ 54-5-1301, 54-5-1302, 54-5-1303 and 54-5-1306(d).
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.04 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.06 CRITERIA FOR SIGN LOCATION AND PLACEMENT

(1) Location of TODS Signs.

The location criteria for erecting TODS signs are as follows:

(a) The Department will erect TODS signs along state highways, including conventional highways and expressways, at intersections with local roads where highway users will turn to reach eligible tourist-oriented businesses that have qualified to participate in the TODS program in accordance with Rule 1680-3-4-.07 below.

(b) The Department will not erect TODS signs on freeways (including ramps) or at interchanges on expressways (including ramps), or on any scenic highway or parkway that is not eligible for TODS program signing under the provisions of Tennessee Code Annotated, Title 54, Chapter 17, Parts 1 and 2.

(c) The Department will not erect a new TODS sign on any state highway within the limits of an incorporated municipality having a population of 5,000 or more according to the most recent decennial census of the United States Bureau of Census. TODS signs shall not be erected outside of such a municipality for a tourist-oriented business within the limits of such a municipality.

(d) In addition, the Department will not erect a new TODS sign, or renew an existing TODS sign, on any state highway within any incorporated municipality without the prior written consent of the municipal government. This written consent must be obtained by the tourist-oriented business seeking to qualify for participation in the TODS program, as provided in Rule 1680-3- 4-.07 below, or by a tourist-oriented business seeking to renew participation in the TODS program, as provided in Rule 1680-3-4-.08(3) below.

(e) At intersections where TODS signs may be erected, the Department will erect TODS signs for each direction of travel along the state highway. Generally, the Department will erect a separate TODS sign for each direction of turn in each direction of travel, unless the Department decides to erect only one TODS sign in each direction of travel as provided in subparagraph (2)(e) of this rule.

(f) TODS signs should be located at least two hundred feet (200’) in advance of the intersection, and they should be spaced at least two hundred feet (200’) from another TODS sign or any other traffic control sign.

(g) The location of other traffic control devices, including regulatory, warning and guide signs, shall take precedence over the location of TODS signs.

(2) Installation and Placement of TODS Sign Panels.

The criteria for installing and placing TODS sign panels are as follows:

(a) No more than four (4) TODS sign panels shall be installed on any one TODS sign.

(b) Subject to space limitations, the Department will install one TODS sign panel for a qualified tourist-oriented business on a TODS sign in each direction of travel at the intersection that provides the shortest eligibility distance to that business.

(c) In the Department’s discretion, a second set of TODS sign panels may be installed for a qualified tourist-oriented business at an additional intersection on a second state highway, but only if the second set of TODS sign panels does not prevent another qualified tourist-oriented business from obtaining a first set of TODS sign panels at that intersection.

(d) TODS sign panels for qualified tourist-oriented businesses shall be grouped by direction of turn. The placement of TODS sign panels on TODS signs will be as follows, except as provided in subparagraph (2)(e) of this rule:

1. All qualified tourist-oriented businesses that can be reached by turning left will be placed on the TODS sign farthest from the intersection in each direction of travel.

2. All qualified tourist-oriented businesses that can be reached by turning right will be placed on the TODS sign nearest to the intersection in each direction of travel.

3. On each TODS sign, the TODS sign panels for each qualified tourist-oriented business will be placed in order of eligibility distance, with the business having the shortest eligibility distance at the top and the business with the greatest eligibility distance at the bottom.

(e) If there are not more than four (4) TODS sign panels to be installed for each direction of travel at an intersection, the Department may choose to erect only one TODS sign for each direction of travel. In such case, the TODS sign panels for qualified tourist-oriented businesses that can be reached by turning left will be installed at the top of the TODS sign, in order of eligibility distance from shortest to greatest, and the TODS sign panels for businesses that can be reached by turning right will be installed below, in order of eligibility distance from shortest to greatest.

(f) Where a trailblazer sign is required to reach a tourist-oriented business, the Department will not install a TODS sign panel for that business until the business has erected the trailblazer sign in accordance with paragraph (3) of this rule.

(3) Trailblazer Signs.

The criteria for erecting trailblazer signs on local roads are as follows:

(a) If it is necessary to erect a trailblazer sign on a local road to indicate the need for an additional turn to reach a tourist-oriented business, it shall be the responsibility of the business to erect the trailblazer sign.

(b) No trailblazer sign may be erected on any local road within the limits of an incorporated municipality having a population of 5,000 or more according to the most recent decennial census of the United States Bureau of Census.

(c) The erection of a trailblazer sign on any local road shall be subject to the approval of the local government having jurisdiction over the road. It shall be the responsibility of the touristoriented business to obtain the written approval of the local government for the trailblazer sign and to provide a copy of this approval to the Department before the Department will install a TODS sign panel for the business on a state highway.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8,1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.06 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.07 APPLICATION FOR PARTICIPATION IN PROGRAM

(1) Application.

To qualify for participation in the TODS program, an eligible tourist-oriented business must complete an application, including business identification and directional information, on a form provided by the Department. The application form may be obtained from and shall be submitted to the following:

Tennessee Department of Transportation Maintenance Division, TODS Program Suite 400, James K. Polk Building 505 Deaderick Street Nashville, Tennessee 37243 Telephone: (615) 741-2027 Or through the Department’s website, as follows: www.tdot.state.tn.us/Chief_Engineer/assistant_engineer_operations/maintenance/TODSProgram (2) Additional Requirements.

(a) The business shall provide to the Department an affidavit and/or such other evidence as the Department may reasonably request to demonstrate that the major portion of the business’s income or visitors are derived during its normal business season from highway users residing outside the immediate area of the business.

(b) The business shall obtain and submit to the Department all required written approvals from local governments for erecting TODS signs within an incorporated municipality and/or trailblazer signs on local roads, as provided in Rule 1680-3-4-.06.

(c) The business shall, as part of its application, agree to hold the State of Tennessee, the Department and its officers, employees, representatives, contractors and/or agents harmless for any loss of business that may be caused by any damage to or removal of a TODS sign, TODS sign panel or trailblazer sign as a result of highway construction, highway maintenance or any other reason.

(d) The business shall tender the payment of all fees as required in Rule 1680-3-4-.09 below.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.07 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1690-03-04-.03 GENERAL REQUIREMENTS FOR THE TODS PROGRAM

In general, the TODS program shall be in compliance with:

(1) The MUTCD;

(2) Local zoning and local zoning authorities; and (3) All laws and regulations for scenic highways and scenic parkways, in accordance with Tennessee Code Annotated, Title 54, Chapter 17, Parts 1 and 2.

History

• Authority: T.C.A. §§ 54-5-1302 and 54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.03 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.05 DESIGN AND CONTENT OF SIGNS

(1) TODS Signs and TODS Sign Panels.

(a) Each TODS sign shall have from one (1) up to a maximum of four (4) TODS sign panels.

(b) Each TODS sign panel shall be constructed as follows:

1. It shall have a standard size of sixty inches (60”) wide by fifteen inches (15”) high;

2. It shall have a white legend and border on a blue background; and 3. It shall have a sign face fabricated from reflective sheeting that meets the Department’s Standard Specifications for Road and Bridge Construction, Section 916.06, Type III, which shall be applied to one-tenth inch (0.10”) flat sheet aluminum sign blanks conforming to ASTM-B 209 Alloy 6061-T6 or 5052-H38.

(2) Sign Legend.

The legend on each TODS sign panel, as illustrated in the Appendix to this Chapter (Rule 1680-3-4- .12), shall be designed as follows:

(a) It shall have a message block (48” wide by 15” high) identifying the legal name or “doing business as” name of the eligible tourist-oriented business, which message shall be in upper case letters and shall not exceed two (2) lines nor more than fifteen (15) characters per line (including all letters, symbols and spaces);

(b) It shall have a directional information block (12” wide by 15” high) with an arrow pointing in the direction of the turn and a number stating the distance (to the nearest tenth of a mile) to the identified business, which block shall appear on the left side of the panel for left-turn businesses and on the right side of the panel for right-turn businesses; and (c) All letters and numerals in the legend shall be four inches (4”) in height.

(3) Content.

The content of the legend on each TODS sign panel shall be limited to the business identification and directional information described above in this rule. The legend shall not include any type of business logo or any form of promotional advertising.

(4) Trailblazer Signs.

Any trailblazer sign erected on a local road to indicate the need for an additional turn to reach a tourist-oriented business shall display the same business name as shown on the TODS sign panel installed on the state highway, and it shall display a directional arrow and the distance to the business at the turn. The trailblazer sign shall meet the same specifications and standards described above in this rule for TODS sign panels.

History

• Authority: T.C.A. § 54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.05 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.08 ADDITIONAL CONSIDERATIONS FOR PARTICIPATION

(1) Availability of Space.

The Department’s approval of a tourist-oriented business’s application for participation in the TODS program is subject to the availability of space as follows:

(a) The Department will approve the application only if there is space available to install TODS sign panels for the business as provided in Rule 1680-3-4-.06 above.

(b) When more than one eligible tourist-oriented business applies for participation in the TODS program at an intersection where there is not sufficient space to install TODS sign panels for more than one business, the Department will award installation:

1. To the business from which the Department first received a qualified application, or 2. If the Department received more than one qualified application on the same date, the Department will award installation to the business with the greatest eligibility distance.

(c) The Department shall refund payment of the Initial Permit Fee (but not the Application Fee), as established in Rule 1680-3-4-.09 below, to a tourist-oriented business whose application for participation in the TODS program has been denied based on insufficient space in accordance with subparagraph (b) above.

(d) Where, because of insufficient space, the Department has denied an eligible tourist-oriented business’s application for a TODS sign panel at the intersection providing the shortest eligibility distance, the Department may approve an application by that business for a TODS sign panel at another intersection having a greater eligibility distance where space is available if, in the judgment of the Department, the signing would provide suitable directional information to highway users.

(2) Seasonal Businesses.

A tourist-oriented business that is open to the public only on a seasonal basis rather than year-round may qualify for participation in the TODS program subject to the following additional considerations:

(a) In its application to the Department, the business must provide a schedule of its regular seasonal dates of operation when it is open to the public.

(b) The business shall pay an additional Seasonal Business Fee each year, as provided in Rule

Tenn. Comp. R. & Regs. 1680-03-04-.09 FEES

(1) Standard Fees.

To cover the cost of erecting signs and administering the TODS program, each participating touristoriented business shall pay the Department the following fees:

(a) Application Fee $25.00 (b) Initial Permit Fee (per TODS sign panel) $200.00 (c) Annual Renewal Fee (per TODS sign panel) $50.00 (2) Special Fees.

In addition, a participating tourist-oriented business shall pay the Department the following fees as applicable to that particular business:

(a) Seasonal Business Fee (annually per TODS sign panel) $50.00 (b) Replacement Fee (per TODS sign panel replaced or changed) $200.00 (3) Additional Notes.

(a) Fees will not be pro-rated based on the seasonal closing of any business.

(b) Fees will not be reimbursed if a business closes during an annual term or if TODS sign panels are removed by the Department based on a violation of the provisions of this Chapter.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.09 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.10 MAINTENANCE AND FINANCIAL RESPONSIBILITY

(1) TODS Signs and TODS Sign Panels.

(a) The Department will install all TODS signs and TODS sign panels on state highway rights-ofway, subject to the payment of all required fees by participating tourist-oriented businesses.

(b) Each participating tourist-oriented business shall be responsible for the cost of replacing TODS sign panels that have been damaged or destroyed by acts of vandalism, natural causes or accidents. When it is necessary to replace a sign, the Department will assess, and the participating tourist-oriented business shall pay, the required Replacement Fee, as provided in

Rule 1680-3-4-.09.

(2) Trailblazer Signs.

When trailblazer signs are required on local roads to provide directional information to a participating tourist-oriented business, it shall be the responsibility of each business to install and maintain the necessary trailblazer signs, at its own expense, subject to the approval of the local government having jurisdiction over the local road where the sign is to be located.

(3) Loss of Business.

The Department shall have no liability for any loss of business that may result because a TODS sign panel is, for any reason, temporarily absent from a TODS sign on a state highway.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.10 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.11 REVOCATION OF PARTICIPATION IN TODS PROGRAM

(1) Grounds for Revocation.

The Department may revoke the privilege of participation in the TODS program if it finds that any participating tourist-oriented business:

(a) Has made a false, deceptive or fraudulent statement in its application or in any other information submitted to the Department;

(b) Engages in any deceptive or fraudulent business practice;

(c) Fails to pay any required fee on a timely basis;

(d) No longer meets the eligibility requirements set forth in this Chapter;

(e) Ceases to operate as a business on a continuing basis in accordance with the schedule submitted to the Department in its application; or (f) Alters or modifies any TODS sign or TODS sign panel erected or installed by the Department.

(2) Procedure for Revocation.

The procedures for revocation are as follows:

(a) Prior to revoking the privilege of participating in the TODS program, the Department will notify the tourist-oriented business in writing of the grounds for the proposed revocation. The notice will be sent by certified and regular mail. Notices sent by regular mail will be presumed to have been received by the business within three (3) business days after mailing.

(b) Within fifteen (15) days after receipt of the notice to correct the condition(s) cited as the ground(s) for the proposed revocation, the business shall either:

1. Correct the condition(s) cited as ground(s) for the proposed revocation, and provide sufficient written proof thereof to the satisfaction of the Department, or 2. If the business denies the cited ground(s) for the proposed revocation, the business shall deliver a written response to the Department stating in detail the bases for the denial and requesting a hearing before the Commissioner or the Commissioner’s designee.

(c) If the business fails to correct the cited ground(s) for revocation or fails to respond within fifteen (15) days, the Department will send the business a written notice of revocation and remove all TODS sign panels for that business from the state highway rights-of-way.

(d) If the business requests a hearing, an informal hearing will be held before the Commissioner or the Commissioner’s designee to consider the matter. The decision of the Commissioner or the Commissioner’s designee shall be made in writing to the business and shall be final.

History

• Authority: T.C.A. §54-5-1303.
• Administrative History: Original rule filed April 8, 1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.11 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005. 2MI

Tenn. Comp. R. & Regs. 1680-03-04-.12 APPENDIX

Figure 1. Typical sign layout for TODS

History

• Authority: T.C.A. §54-5-1308.
• Administrative History: Original rule filed April 8,1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.12 filed and effective February 1, 2003. Repeal and new rule filed August 2, 2005; effective December 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-04-.13 REPEALED

History

• Authority: T.C.A. §54-5-1301(b).
• Administrative History: Original rule filed April 8,1996; effective August 28, 1996. Rule has been assigned a new control number from 1680-11-1-.13 filed and effective February 1, 2003. Repeal filed August 2, 2005; effective December 29, 2005. 1MI State Highway JOY’S ANTIQUES ANDY’S TROUT FARM Local Road

Chapter 1680-03-05 Repealed

Tenn. Comp. R. & Regs. 1680-03-05-.01 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-03-05-.06 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-03-05-.02 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-03-05-.03 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-03-05-.04 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-03-05-.05 REPEALED

History

• Authority: T.C.A. §§ 4-3-2307, 54-5-108, and 54-5-703.
• Administrative History: Original rule filed August 2, 2005; effective October 16, 2005. Repeal filed December 1, 2017; effective March 1, 2018.

Chapter 1680-04-01 Rules of Procedure for Hearing Contested Cases

Tenn. Comp. R. & Regs. 1680-04-01 Rules of Procedure for Hearing Contested Cases

RULES

OF TENNESSEE DEPARTMENT OF TRANSPORTATION

ADMINISTRATION

For rules of procedure for hearing contested cases see rules of the Secretary of State, Chapter 1360-1-7.

Authority: T.C.A. §4-509. Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. -- 1 of 1 --

Chapter 1680-04-02 Inspection and Copying of Public Records

Tenn. Comp. R. & Regs. 1680-04-02-.01 PURPOSE

(1) The Tennessee Public Records Act provides that public records shall, at all times during business hours, be open for personal inspection by any citizen of this State, and those in charge of the records shall not refuse such right of inspection to any citizen, unless otherwise provided by State law.

(2) The purpose of these rules is to establish procedures to accommodate requests from the public to inspect or obtain copies of public records maintained by the Tennessee Department of Transportation, to the extent that such public records are open to inspection by citizens of the State of Tennessee under the Tennessee Public Records Act, while at the same time preserving the confidentiality of confidential records or confidential information as provided in State or Federal law.

(3) Pursuant to T.C.A. § 10-7-503(g), these rules provide for:

(a) The process for making requests to inspect public records or receive copies of public records and a copy of any required request form;

(b) The process for responding to requests, including redaction practices;

(c) A statement of any fees charged for copies of public records and the procedures for billing and payment; and (d) The name or title and the contact information of the individual or individuals within the Department designated as the public records request coordinator.

(4) Consistent with the Tennessee Public Records Act and these rules, TDOT personnel shall timely and efficiently provide access and assistance to persons requesting to view or receive copies of public records. No provisions in these rules shall be used to hinder access to open public records. However, the integrity and organization of public records, as well as the efficient and safe operation of this Department, shall be protected as provided by current law.

(5) Concerns about the implementation of these rules should be addressed to the Public Records Request Coordinator for TDOT or to the Office of Open Records Counsel.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.02 DEFINITIONS

(1) “Department” or “TDOT” means the State of Tennessee Department of Transportation.

(2) “Office of Open Records Counsel” or “OORC” means the office established under T.C.A. §§ 8-4-601, et seq., within the Office of the State of Tennessee Comptroller of the Treasury.

(3) “Public Records” means all documents, papers, letters, maps, books, photographs, microfilms, electronic data processing files and output, films, recordings, or other material, regardless of physical form or characteristic, made or received pursuant to law or ordinance or in connection with the transaction of official business by any governmental agency.

(4) “Public Records Request Coordinator” or “PRRC” means the individual, or individuals, designated in Rule 1680-04-02-.03 who has, or have, the responsibility to ensure public record requests are routed to the appropriate records custodian and are fulfilled in accordance with T.C.A. §§ 10-7-503, et seq., of the Tennessee Public Records Act. The PRRC may also be a records custodian.

(5) “Records Custodian” means the office, official or employee lawfully responsible for the direct custody and care of a public record. The records custodian is not necessarily the original preparer or receiver of the record.

(6) “Requestor” means a person seeking access to a public record or public records, whether it is for the purpose of inspection or duplication.

(7) “Tennessee Public Records Act” or “TPRA” means the State law codified in T.C.A. §§ 10-7- 501, et seq., regarding access to public records.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.03 REQUESTING ACCESS TO PUBLIC RECORDS

(1) Public record requests, except those requests generated by the news media, should generally be made, or referred, to the Public Records Request Coordinator, or his or her designee, in order to ensure that public records requests are routed to the appropriate records custodian and fulfilled in a timely manner. A simple request to inspect or duplicate a readily available public record may be made to, and handled by, the applicable records custodian.

(2) The designated PRRC for TDOT is the General Counsel; provided, however, that responsibilities of the PRRC under this rule may be delegated to one or more employees under the supervision of the PRRC. The PRRC may be contacted at:

Office of General Counsel Tennessee Department of Transportation 3rd Floor, James K. Polk Building 505 Deaderick Street Nashville, Tennessee 37243 Telephone: (615) 741-2941 Email: TDOT.RecordsRequest@tn.gov (3) All news media requests for information and documents shall be directed to TDOT’s Community Relations Division, which may be contacted at:

Community Relations Division Tennessee Department of Transportation 7th Floor, James K. Polk Building 505 Deaderick Street Nashville, Tennessee 37243 Telephone: (615) 741-7736 (4) Requests for inspection of public records may be made orally or in writing but shall not be required to be made in writing. Requestors may use the Public Records Request Form provided in the Appendix or any other written form of communication such as mail or email.

There shall be no charge for inspection of public records.

(5) Requests for copies, or requests for inspection and copies, of public records shall be made in writing. Requestors may use the Public Records Request Form provided in the Appendix or any other written form of communication such as mail or electronic mail. There shall be a charge for producing copies of public records, in accordance with Rule 1680-04-02-.07.

(6) Proof of Tennessee citizenship may be required as a condition to inspect or receive copies of public records. Any questions regarding proof of Tennessee citizenship should be directed to the Public Records Request Coordinator.

(7) Public Records and Information Available on TDOT’s Internet Website.

(a) TDOT posts notices of scheduled public meetings and hearings on its internet website at https://www.tn.gov/tdot/transportation-quick-links/upcoming-events.html.

(b) In addition, TDOT makes a wide variety of TDOT forms, documents, publications, and resources available to the public via TDOT’s internet website at https://www.tn.gov/tdot, and particularly through the Index of Services at https://www.tn.gov/tdot/find-localinformation111.html. Examples of files that are available online include, without limitation, TDOT’s Long Range Transportation Plan, Statewide Transportation Improvement Program (STIP), and current Three-Year Comprehensive Multimodal Program (3-Year Plan); information on current transportation projects (by Region); weekly lane closure information; current traffic conditions (TDOT SmartWay); information regarding project funding programs and other transportation programs administered by TDOT; state, county, and city maps; roadway inventory data; bridge inventory and appraisal reports; standard roadway and structures drawings; various procedural manuals and guidelines; standard specifications for road and bridge construction; construction contract and prequalification forms; Disadvantaged Business Enterprise (DBE) information; construction contract bid letting information; prequalification procedures and current advertisements for consultant services; and information on how to obtain various types of permits from TDOT, including permits for driveways, outdoor advertising, overweight/overdimensional vehicle movements, and utility installations.

(c) Individual TDOT divisions may have their own online written forms for requesting copies of particular types of records for which they are the records custodian.

(d) To the extent that such online files are accessible to members of the public who have no business or official relationship with TDOT, the files are made available for informational purposes only. TDOT makes no warranty of any kind, express or implied, regarding these files and specifically makes no warranty that any of these files are fit for any other use or particular purpose. The user of such files assumes all risk and liability for any losses, damages, claims or expenses resulting from the use or possession of any files provided by TDOT.

(e) Further, by making records available for inspection online, TDOT does not waive any restrictions on the use of such records that may be applicable under law, including without limitation 23 U.S.C. § 409, which prohibits certain types of federal-aid safety project related records from being subject to discovery or admitted into evidence in any civil action for damages.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.04 RESPONDING TO PUBLIC RECORDS REQUESTS

(1) Public Record Request Coordinator (a) The PRRC, or an employee under the supervision of the PRRC, will review public record requests and make an initial determination of the following:

1. If TDOT is the custodian of the records;

2. If the requestor provided evidence of Tennessee citizenship (if required) or whether such proof should be required; and 3. If the records requested are described with sufficient specificity to identify them.

(b) The PRRC, or an employee under the supervision of the PRRC, shall acknowledge receipt of the request and take any of the following appropriate actions:

1. Advise the requestor of any determinations made regarding proof of Tennessee citizenship (if required); form(s) required for copies; copy fees and labor threshold and waivers, if applicable; and aggregation of multiple or frequent requests;

2. If appropriate, deny the request in writing, in whole or in part, providing the appropriate ground as enumerated in TDOT’s Public Records Request Response Form, or other written communication, including any of the following:

(i) Lack of evidence of Tennessee citizenship (if required);

(ii) Lack of specificity in the request;

(iii) Non-existence of the requested records;

(iv) Lack of custody or control over the requested records; or (v) An exemption under the Tennessee Public Records Act or other provision of law making the requested record confidential or not subject to public disclosure;

3. If appropriate, contact the requestor to see if the request can be clarified or narrowed;

4. Forward the records request to the appropriate records custodian at TDOT; or 5. If requested records are in the custody of a different governmental entity, and the PRRC knows the correct governmental entity, advise the requestor of the correct governmental entity and PRRC for that entity, if known.

(2) Records Custodian (a) Upon receiving a specific public records request, a records custodian shall promptly make the requested public record or records available, if practicable, in accordance with T.C.A. § 10-7-503. If the request involves multiple records from one or more offices within TDOT that cannot be readily identified, located, and provided to the requestor, or if the records custodian is uncertain whether an applicable exemption applies, the records custodian shall immediately refer the request to the PRRC.

(b) The PRRC shall, within seven (7) business days from the receipt of the request, send the requestor a completed Public Records Request Response Form, or other written communication, if it is not practicable to provide requested records promptly because additional time is necessary:

1. To determine whether the requested records exist;

2. To search for, retrieve, or otherwise gain access to records;

3. To determine whether the records are open or confidential;

4. To redact records; or 5. For other similar reasons.

(c) If a records custodian believes that a public records request, or a part of the request, should be denied, he or she shall inform the PRRC who shall determine whether to deny the request, in whole or part, in writing as provided in subparagraph (1)(b) of this

rule, using the Public Records Request Response Form or other written communication.

(d) If a records custodian reasonably determines production of records should be segmented because the records request is for a large volume of records, or additional time is necessary to prepare the records for access, the records custodian shall refer the requests to the PRRC, and the PRRC shall use the Public Records Request Response Form, or other written communication, to notify the requestor that production of the records will be in segments and that a records production schedule will be provided as expeditiously as practicable. If appropriate, the records custodian or PRRC should contact the requestor to see if the request can be narrowed.

(e) If a records custodian or the PRRC discovers records responsive to a records request were omitted, the records custodian or PRRC will contact the requestor concerning the omission and produce the records as quickly as possible.

(3) Confidential Records and Redaction (a) If the PRRC determines that the requested records are considered confidential or privileged records under Federal or State law and are not available for public inspection, the PRRC shall communicate such determination to the requestor in writing.

However, nothing in these rules shall be construed to require TDOT to generate a detailed description of each confidential record withheld from inspection, such as may be required with respect to the production of documents in discovery under the Tennessee Rules of Civil Procedure.

(b) If a requested record contains confidential information that is not open for public inspection, the records custodian shall prepare a redacted copy prior to providing access. If questions arise concerning redaction, the records custodian shall coordinate with the PRRC, legal counsel, or other appropriate parties regarding review and redaction of records. The records custodian and the PRRC may also consult with the OORC or with the Office of the Attorney General and Reporter.

(c) Whenever a redacted record is provided, a records custodian or PRRC shall provide the requestor with the basis for redaction. The basis given shall be general in nature and not disclose confidential information.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.05 INSPECTION OF RECORDS

(1) There shall be no charge for inspection of public records.

(2) The location for inspection of records within TDOT’s offices will be determined by either the PRRC or the records custodian.

(3) Under reasonable circumstances, the PRRC or a records custodian may require an appointment for inspection or may require inspection of records at an alternate location.

(4) The Tennessee Public Records Act grants Tennessee citizens the right to access open public records that exist at the time of the request. Nothing in the TPRA or these rules shall be construed as requiring a records custodian or the PRRC to sort through files to compile information or to create or recreate a record that does not exist.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.06 COPIES OF RECORDS

(1) A records custodian or the PRRC shall promptly respond to a request for copies of public records in accordance with the procedures set forth in 1680-04-02-.04.

(2) Copies will be available for pickup at a location specified by the records custodian or the PRRC or may be delivered to the mailing address specified by the requestor.

(3) At the discretion of the PRRC, commercial copy services may be used for copying a large volume of public records. In such event, the requestor shall be responsible for the commercial copying costs.

(4) TDOT, or its contractors or agents, shall maintain custody of its records at all times. A requestor shall not be allowed to take custody of any TDOT record, nor shall any requestor be allowed to use a personal photocopier or scanner to make photocopies, download electronic or digital records, reproduce computer disks, or otherwise mechanically reproduce any TDOT record; provided, however, that:

(a) A requestor may use a personal camera or cell phone to take a photograph of a page or frame of a record, or may make personal notes or manually copy the contents of a TDOT record, so long as the integrity of the record is maintained; and (b) A person may use his or her own equipment to download and print, for personal information or fair use purposes, any TDOT document that is accessible to the public on TDOT’s internet website. See Rule 1680-04-02-.03, paragraph (7), regarding access to and use of TDOT records available online.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.07 FEES AND CHARGES FOR PRODUCING COPIES OF PUBLIC RECORDS

(1) Records custodians or the PRRC shall provide requestors with an itemized estimate of the fees and charges prior to producing copies of records. After the copies have been made, the records custodian or PRRC shall itemize the fees and charges and send an invoice to the requestor. Pre-payment of the copy costs shall be required before producing copies of the requested records.

(2) The PRRC or a records custodian may waive payment of copy fees and labor charges under any of the following circumstances:

(a) The applicable fees and charges do not exceed $5.00;

(b) The records are provided to federal, state, or local governmental agencies or officials;

(c) The records are provided to a person or entity that will use the records to perform work for or on behalf of TDOT; or (d) The records pertain to the acquisition of real property from a person or entity and are provided to that person or entity.

(3) Fees for making copies are as follows:

Record page size Fee (black and white) Fee (color) 8 ½” x 11” or 8 ½” x 14”

(letter or legal size) $0.15 per page $0.50 per page 11” x 17” or 12” x 18” $1.00 per page $1.50 per page 24” x 36” $2.00 per page $4.00 per page > 24” x 36” $.75/sq. ft. $1.50/sq. ft.

(4) In addition to the copy fees described in paragraph (3) above, labor charges for the time, in hours, to produce copies of records shall be imposed whenever the time exceeds one (1)

hour. Labor charges shall be calculated by multiplying the base hourly wage rate of each employee by the time each employee spends in identifying, locating, and copying the records, minus the first hour of the most highly paid employee.

(5) If the copies of the requested records are delivered by mail, the costs of delivery, including postage, shall be included in the copy charge.

(6) At TDOT’s discretion, an outside copying vendor may be used to make copies of the requested records. If so, an employee of TDOT shall transport the records to and from the vendor and maintain custody of the records at all times. The requestor shall pay the actual costs assessed by the vendor and any applicable employee labor charges as provided in paragraph (4) above.

(7) If the requested records are in the custody of, and produced by, a TDOT contractor or consultant, the requestor shall pay the total labor and copying costs billed to TDOT by the contractor or consultant.

(8) If TDOT maintains the requested public record(s) in an electronic format, copies of the record(s) may be provided to the requestor in an electronic format, as follows:

(a) The record(s) may be downloaded to a flash drive or compact disc (or equivalent) provided by TDOT. The requestor shall be charged for the flash drive or compact disc (or equivalent) at the current cost to TDOT. Downloading to a flash drive or compact disc (or equivalent) from outside TDOT will not be allowed.

(b) If the requested record exists in an electronic format that may be transmitted by email, there will no copy fee for transmitting the record.

(c) If the time required to identify, locate, and download or transmit the requested electronic records exceeds one hour, the production of the copies shall be subject to the labor charge described in paragraph (4) above.

(9) TDOT may aggregate record requests in accordance with the Frequent and Multiple Request Policy promulgated by the Office of Open Records Counsel when more than four (4) requests are received within a calendar month either from a single individual or a group of individuals deemed working in concert. The PRRC is responsible for making the determination that a group of individuals are working in concert. The PRRC or the records custodian must inform the individual that they have been deemed to be working in concert and that they have the right to appeal the decision to the OORC.

(10) Payment shall be remitted by check or money order made payable to the State of Tennessee Department of Transportation.

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, 10-7-503(g), and 10-7-506.
• Administrative History: Original rule filed February 26, 2007; effective May 12, 2007. Repeal filed July 17, 2017; effective October 15, 2017. New rules filed November 6, 2018; effective February 4, 2019.

Tenn. Comp. R. & Regs. 1680-04-02-.08 APPENDIX: FORMS

The following forms may be used, but are not required, to request inspection or copies of public records and to respond to public records requests, respectively:

(1) Public Records Request Form:

(This space intentionally left blank)

PUBLIC RECORDS REQUEST FORM

The Tennessee Public Records Act (TPRA) grants Tennessee citizens the right to access open public records that exist at the time of the request. The TPRA does not require records custodians to compile information or create or recreate records that do not exist.

To: Public Records Request Coordinator Office of General Counsel Tennessee Department of Transportation 3rd Floor, James K. Polk Building 505 Deaderick Street Nashville, Tennessee 37243 From: _____________________________________ _____________________________________ _____________________________________ Is the requestor a Tennessee citizen? ____ Yes _____ No Request: ____ Inspection ____ Copy/Duplicate If costs for copies are assessed, the requestor will receive an estimate. Delivery will be made by first class mail unless the requestor specifies otherwise.

Records Requested:

Provide a detailed description of the record(s) requested, including type of record(s), timeframe or dates for the record(s) sought, and subject matter or key words related to the record(s). Under the TPRA, record requests must be sufficiently detailed to enable a governmental entity to identify the specific records sought. As such, your request must provide enough detail to enable the records custodian responding to the request to identify the specific records you are seeking. _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________ ________________________________ Signature of Requestor and Date Signature of PRRC and Date (2) Public Records Request Response Form:

PUBLIC RECORDS REQUEST RESPONSE FORM

Office of General Counsel Tennessee Department of Transportation 3rd Floor, James K. Polk Building 505 Deaderick Street Nashville, Tennessee 37243 [Date] [Requestor’s Name and Contact Information]:

In response to your public records request received on __________, our office is taking the action(s) as indicated below: □ The public records responsive to your request will be made available for inspection:

Location:________________________ Date/Time:______________________________ □ Copies of public records responsive to your request are: □ Attached □ Available for pickup at the following location: _________________________________ □ Being delivered via U.S. Mail or other method:________________________________ □ Your request is being denied on the following grounds: □ Your request was not sufficiently detailed to enable identification of the specific requested records. You need to provide additional information to identify the records. □ No such records exist or this office does not maintain records responsive to your request. □ No proof of TN citizenship was presented with your request (if required). Your request will be reconsidered upon presentation of an adequate form of identification. □ You are not a Tennessee citizen (if required). □ You have not paid the copying/production fees. □ The following state, federal, or other applicable law prohibits disclosure of the requested records: _____________________________________. □ It is not practicable for the records you requested to be made promptly available for inspection and/or copying because: □ It has not yet been determined that records responsive to your request exist; or □ TDOT is still in the process of retrieving, reviewing and/or redacting the requested records.

The time reasonable necessary to produce the records or information and/or to make a determination of a proper response to your request is: ______________________________________________________.

If you have any additional questions regarding your record request please contact: _____________________________.

Sincerely, [Records Custodian or PRRC/Name and Contact Information]

History

• Authority: T.C.A. §§ 4-3-2303(2), 10-7-503, and 10-7-506.
• Administrative History: Original rule filed November 6, 2018; effective February 4, 2019.

Chapter 1680-05-01 Contractor Debarment and Suspension

Tenn. Comp. R. & Regs. 1680-05-01-.01 GENERAL INFORMATION

(1) How is this chapter written?

(a) This chapter uses a “plain language” format to make it easier for the general public and business community to use. The paragraph headings and text, often in the form of questions and answers, must be read together. This chapter is substantially similar to and follows the same format as U.S. Department of Transportation rules governing debarment and suspension of contractors in 49 CFR Part 29.

(b) Pronouns used within this chapter, such as “I” and “you,” change from rule to rule depending on the audience being addressed. The pronoun “we” always is the Tennessee Department of Transportation.

(2) Do terms in this chapter have special meanings?

This chapter uses terms throughout the text that have special meanings. Those terms are defined in

Rule 1680-5-1-.02 of this chapter.

(3) What does this chapter do?

This chapter adopts a system of debarment and suspension for the Department. It also provides for reciprocal exclusion of persons who have been excluded under Federal law or the laws of other states.

(4) What is the purpose of the debarment and suspension system?

(a) To protect the public interest, the Department ensures the integrity of state programs by conducting business only with responsible persons.

(b) The Department uses the debarment and suspension system to exclude from Department programs persons who are not presently responsible.

(c) An exclusion is a serious action that may be taken only to protect the public interest.

(5) How does an exclusion restrict a person’s involvement in covered transactions?

With the exceptions as may be allowed by law, a person who is excluded by the Department or any Federal agency may not:

(a) Be a participant in any covered transaction; or (b) Act as a principal of a person participating in any covered transaction.

(6) May we grant an exception to let an excluded person participate in a covered transaction?

(a) The debarring or suspending official may grant an exception permitting an excluded person to participate in a particular covered transaction. If the debarring or suspending official grants an exception, the exception must be in writing and state the reason(s) for deviating from the policy.

(b) An exception granted for an excluded person on one covered transaction does not extend to other covered transactions.

(c) A debarring or suspending official may grant exceptions and make written determinations under this section.

(7) Does an exclusion affect a person’s eligibility for transactions with the Federal government or other states?

Yes, as may be determined by the appropriate state or Federal agency.

(8) Am I obligated to disclose to the Department information regarding exclusion or circumstances that may constitute cause for debarment?

Yes, the Department’s proposals shall require each bidder to state whether or not such bidder or its proposed subcontractors, or any principals of the bidder or its proposed subcontractors— (a) Have been or currently are suspended, debarred or otherwise excluded from transacting business with any federal, state, or other governmental authority; or (b) Have been convicted of or been found liable in a civil judgment for the commission of any of the causes of debarment identified in Rule 1680-5-1-.05, subparagraph (1)(a) and (1)(b) below.

(9) How do I know if a person is excluded?

Check the Department website and Excluded Parties List System (“EPLS”) to determine whether a person is excluded. The U.S. General Services Administration maintains the EPLS and makes it available, as detailed in 49 CFR Part 29, Subpart E. When a Federal agency takes an action to exclude a person under the nonprocurement or procurement debarment and suspension system, the Federal agency enters the information about the excluded person into the EPLS.

(10) What is the intent of this chapter?

Department bidding laws, particularly T.C.A. §§ 54-5-117 and 118, along with other State and Federal laws, charge the Commissioner to protect the public trust, funds, and interest by ensuring that the Department transacts business only with responsible contractors. Toward that end, this chapter sets out standards and procedures for the suspension and debarment of irresponsible contractors. The standards are paramount and are intended to ensure that the Department transacts business only with responsible contractors.

Pursuant to T.C.A. §§4-5-217 and 219, this chapter sets out formal and informal procedures for suspension and debarment. Since suspension and debarment proceedings are not contested cases pursuant to T.C.A. §4-5-102(3), application of the Uniform Administrative Procedures Act (UAPA), T.C.A. §4-5-101, et seq., and the Uniform Rules of Procedure (URP) is not required by law; nevertheless, this chapter adopts the procedures set out in the UAPA and the URP for use in debarment proceedings at the Department. This procedure is in excess of that which is constitutionally required and is not intended to originate any new protected interest. The Commissioner finds that the URP must be modified as set out herein to reflect that a contractor’s protected interest does not rise to the level that would require a contested case hearing and to promote a just, speedy, and inexpensive determination. All proceedings will be conducted by Department personnel.

Indeed, these rules shall be construed to secure a just, speedy, and inexpensive determination. Where necessary and appropriate, reference should be made first to the plain language of this chapter in accord with the rules of construction; second, to T.C.A. §§4-3-2303, 4-4-103, and 54-5-117 and the various other State laws governing bidding and contracting with the Department; and third, to the various Federal laws governing bidding and contracting with the Department, including the Federal rules governing suspension and debarment upon which these rules are based.

History

• Authority: T.C.A. §4-3-2303 and 54-5-117.
• Administrative History: Original rule filed October 17 1980; effective December 1, 1980. Repeal and new rule filed January 8, 1988; effective April 27, 1988. Repeal and new rule filed February 4, 2005; effective April 20, 2005.

Tenn. Comp. R. & Regs. 1680-05-01-.02 DEFINITIONS

(1) “Adequate evidence” means information sufficient to support the reasonable belief that a particular act or omission has occurred.

(2) “Affiliate” means a person that is in affiliation with another person or persons. Persons are affiliates of each other and an affiliation exists if, directly or indirectly, either one controls or has the power to control the other or a third person controls or has the power to control both. The factors we use to determine control include, but are not limited to:

(a) Interlocking management or ownership;

(b) Identity of interests among family members;

(c) Shared facilities and equipment;

(d) Common use of employees; or (e) A business entity which has been organized following the exclusion of a person which has the same or similar management, ownership, or principal employees as the excluded person.

(3) “Agent or representative” means any person who acts on behalf of, or who is authorized to commit, a participant in a covered transaction.

(4) “Civil judgment” means the disposition of a civil action by any court of competent jurisdiction, whether by verdict, decision, settlement, stipulation, other disposition which creates a civil liability for the complained of wrongful acts, or a final determination of liability under the Program Fraud Civil Remedies Act of 1988, 31 U.S.C. §§ 3801–3812.

(5) “Commissioner ” means the Commissioner of the Department of Transportation.

(6) “Conviction” means:

(a) A judgment or any other determination of guilt of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or plea, including a plea of nolo contendere; or (b) Any other resolution that is the functional equivalent of a judgment, including probation before judgment and deferred prosecution. A disposition without the participation of the court is the functional equivalent of a judgment only if it includes an admission of guilt.

(7) “Covered transactions” means the submission of a bid or proposal to the Department, entering into a contract with the Department, subcontracting on a Department project at any level, or any of the above on a local government project funded in whole or part with Department funds. These rules govern only whether a person may submit a bid, enter into a contract, or participate as a subcontractor.

Whether and to what extent a debarment or suspension affects a contract or subcontract in effect at the time of the debarment or suspension is not addressed in these rules but shall be governed by applicable contract provisions and/or law.

(8) “Debarment” means an action taken by a debarring official to exclude a person from participating in covered transactions. A person so excluded is debarred.

(9) “Debarring official” means an agency official who is authorized to impose debarment. A debarring official is either:

(a) The Commissioner; or (b) An individual or individuals designated by the Commissioner.

(10) “Department” means the Tennessee Department of Transportation.

(11) “Excluded or exclusion” means:

(a) That a person is prohibited from being a participant in covered transactions whether the person has been suspended, debarred, or voluntarily excluded; or (b) The act of excluding a person.

(12) “Excluded Parties List System” or “EPLS” means the list maintained and disseminated by the U.S.

General Services Administration containing the names and other information about persons who are debarred, suspended or otherwise excluded under Federal law.

(13) “Indictment” means an indictment for a criminal offense. A presentment, information, or other filing by a competent authority charging a criminal offense shall be given the same effect as an indictment.

(14) “Ineligible or ineligibility” means that a person is prohibited from being a participant in covered transactions because of an exclusion.

(15) “Initiating Official” means the official designated by the Commissioner who is authorized to initiate the suspension and/or debarment process.

(16) “Legal proceedings” means any criminal proceeding or any civil judicial proceeding, including a proceeding under the Program Fraud Civil Remedies Act, 31 U.S.C. §§ 3801–3812, to which the Federal Government or a State or local government or quasi-governmental authority is a party. The term also includes appeals from those proceedings.

(17) “Notice” means a written communication served in person, sent by certified mail or its equivalent, or sent electronically by e-mail or facsimile; provided, however the Notice of Hearing described in Rule 1680-5-1-.05(4)(c) shall be served as described in said rule.

(18) “Participant” means any person who submits a proposal or bid for or who enters into a covered transaction, including an agent or representative of a participant.

(19) “Person” means any individual, corporation, partnership, association, unit of government, or legal entity, however organized.

(20) “Preponderance of the evidence” means proof by information that, compared with information opposing it, leads to the conclusion that the fact at issue is more probably true than not.

(21) “Principal” means:

(a) An officer, director, owner, partner, principal investigator, or other person within a participant with management or supervisory responsibilities related to a covered transaction; or (b) A consultant or other person, whether or not employed by the participant, who:

1. Is in a position to handle State funds;

2. Is in a position to influence or control the use of those funds; or 3. Occupies a technical or professional position capable of substantially influencing the development or outcome of an activity required to perform the covered transaction.

(22) “Respondent” means a person against whom the Department has initiated a debarment or suspension action.

(23) “Suspending official” means an agency official who is authorized to impose suspension. The suspending official is either:

(a) The Commissioner; or (b) An individual or individuals designated by the Commissioner.

(24) “Suspension” means an action taken by a suspending official that immediately prohibits a person from participating in covered transactions for a temporary period, pending completion of an agency investigation and any judicial or administrative proceedings that may ensue. A person so excluded is suspended.

(25) “Suspension Review Officer” means the Commissioner or his designee that reviews any objections to a suspension.

(26) “Voluntarily excluded” means the status of a person who has agreed to a voluntary exclusion.

(27) “Voluntary exclusion” means a person’s agreement to be excluded under the terms of a settlement between the person and one or more agencies.

History

• Authority: T.C.A. § 4-3-2303 and 54-5-117.
• Administrative History: Original rule filed October 17, 1980; effective December 1, 1980. Repeal and new rule filed January 8, 1988; effective April 27, 1988. Repeal and new rule filed February 4, 2005; effective April 20, 2005.

Tenn. Comp. R. & Regs. 1680-05-01-.03 , paragraph (3), advising you— (a) That the Department intends to debar you and that the debarment shall go into effect on a date certain (no less than thirty (30) days from receipt of notice) unless you object to the debarment in writing within thirty (30) days after you receive the Notice of Proposed Debarment and request a hearing prior to the debarment effective date. The notice shall clearly state the location and individual who is to receive the objection.

(b) Of the reasons for proposing to debar you in terms sufficient to put you on notice of the conduct or transactions upon which the proposed debarment is based;

(c) Of the provisions of this rule governing debarment;

(d) Of the effect of your debarment from participation in covered transactions; and (e) Of your opportunity to contest the proposed debarment by requesting a hearing described in the Administrative Procedures Act, T.C.A.. §4-5-301, et seq., as provided in paragraph (4) below.

(g) We consider the Notice of Proposed Debarment to be received by you— 1. When delivered, if we mail or hand deliver the notice to the last known street address;

2. When delivered, if we send the notice by facsimile; or 3. When delivered, if we send the notice by e-mail.

(3) When does a debarment take effect?

(a) A debarment is not effective until the debarring official issues a decision.

(b) In the event you do not object and request a hearing to contest the debarment, the debarring official may issue a Debarment Order based on the information in paragraph (2) above that goes into effect upon the date specified in the Debarment Order.

(c) If you object in accordance with paragraph (2) above, then you have the opportunity to participate in a contested case hearing described in the Administrative Procedures Act before the debarring official issues any Order.

(4) How do I oppose a debarment?

(a) If you as a respondent wish to contest a proposed debarment, you must provide the Department with an objection to the debarment and a request for hearing. This objection and request for hearing must be submitted in writing to the Department within thirty (30) days after you receive the Notice of Proposed Debarment.

(b) If you submit a timely objection to the debarment and request a hearing, then the Department shall conduct a contested case hearing like that described in the Administrative Procedures Act, T.C.A. §4-5-301 et seq. and as required by these rules.

(c) The proceeding shall be conducted by official(s) of the Department designated by the Commissioner who shall issue a final order as described in T.C.A. §4-5-314. This individual or group of individuals is referred to as the debarring official. An administrative judge or hearing officer shall preside over the hearing as provided in T.C.A. §4-5-301(b).

(d) The Department shall serve a Notice of Hearing as described in T.C.A. §4-5-307 within fifteen (15) days of receipt of your objection to the debarment. You shall file an answer within fifteen (15) days of receipt of the Notice of Hearing.

(e) All discovery, pre-hearing conferences, briefs and motions must be complete within sixty (60) days of filing the answer.

(f) The proceeding hearing itself shall be held as described in the Uniform Rules of Procedures for Hearing Contested Cases Rule 1360-4-1-.01 with a final order being entered by the Department officials hearing the case.

(g) Any judicial review of a final order shall be in accord with T.C.A. §4-5-323.

(5) Are debarment proceedings formal?

(a) Debarment proceedings are conducted in a fair and informal manner as described in this rule and the Administrative Procedures Act.

(b) You or your representative must submit any documentary evidence you want the debarring official to consider.

(6) What does the debarring official consider in deciding whether to debar me?

(a) The debarring official may debar you for any of the causes allowed by this rule. However, the official need not debar you even if a cause for debarment exists. The official may consider the seriousness of your acts or omissions and the mitigating or aggravating factors set forth below.

(b) The debarring official bases the decision on all information contained in the official record.

The record includes— 1. All information in support of the initiating official’s proposed debarment;

2. Any further information and argument presented in support of, or in opposition to, the proposed debarment; and 3. Any transcribed record of fact-finding proceedings.

(7) What is the standard of proof in a debarment action?

(a) In any debarment action, the Department must establish the cause for debarment by a preponderance of the evidence.

(b) If the proposed debarment is based upon a conviction or civil judgment, the standard of proof is met.

(8) Who has the burden of proof in a debarment action?

(a) The Department has the burden to prove that a cause for debarment exists.

(b) Once a cause for debarment is established, you as a respondent have the burden of demonstrating to the satisfaction of the debarring official that you are presently responsible and that debarment is not necessary.

(9) What factors may influence the debarring official’s decision?

This paragraph lists the mitigating and aggravating factors that the debarring official may consider in determining whether to debar you and the length of your debarment period. The debarring official may consider other factors if appropriate in light of the circumstances of a particular case. The existence or nonexistence of any factor, such as one of those set forth in this paragraph, is not necessarily determinative of your present responsibility. In making a debarment decision, the debarring official may but is not required to consider the following factors:

(a) The actual or potential harm or impact that results or may result from the wrongdoing.

(b) The frequency of incidents and/or duration of the wrongdoing.

(c) Whether there is a pattern or prior history of wrongdoing. For example, if you have been found by another Federal agency or a State agency to have engaged in wrongdoing similar to that found in the debarment action, the existence of this fact may be used by the debarring official in determining that you have a pattern or prior history of wrongdoing.

(d) Whether you are or have been excluded or disqualified by an agency of the Federal Government or have not been allowed to participate in State or local contracts or assistance agreements on a basis of conduct similar to one or more of the causes for debarment specified in this rule.

(e) Whether you have entered into an administrative agreement with a Federal agency or a State or local government that is not governmentwide but is based on conduct similar to one or more of the causes for debarment specified in this rule.

(f) Whether and to what extent you planned, initiated, or carried out the wrongdoing.

(g) Whether you have accepted responsibility for the wrongdoing and recognize the seriousness of the misconduct that led to the cause for debarment.

(h) Whether you have paid or agreed to pay all criminal, civil and administrative liabilities for the improper activity, including any investigative or administrative costs incurred by the government, and have made or agreed to make full restitution.

(i) Whether you have cooperated fully with the government agencies during the investigation and any court or administrative action. In determining the extent of cooperation, the debarring official may consider when the cooperation began and whether you disclosed all pertinent information known to you.

(j) Whether the wrongdoing was pervasive within your organization.

(k) The kind of positions held by the individuals involved in the wrongdoing.

(l) Whether your organization took appropriate corrective action or remedial measures, such as establishing ethics training and implementing programs to prevent recurrence.

(m) Whether your principals tolerated the offense.

(n) Whether you brought the activity cited as a basis for the debarment to the attention of the appropriate government agency in a timely manner.

(o) Whether you have fully investigated the circumstances surrounding the cause for debarment and, if so, made the result of the investigation available to the debarring official.

(p) Whether you had effective standards of conduct and internal control systems in place at the time the questioned conduct occurred.

(q) Whether you have taken appropriate disciplinary action against the individuals responsible for the activity which constitutes the cause for debarment.

(r) Whether you have had adequate time to eliminate the circumstances within your organization that led to the cause for the debarment.

(s) Other factors that are appropriate to the circumstances of a particular case.

(10) How long may my debarment last?

(a) If the debarring official decides to debar you, your period of debarment will be based on the seriousness of the cause(s) upon which your debarment is based. Generally, debarment should not exceed three years. However, if circumstances warrant, the debarring official may impose a longer period of debarment.

(a) In determining the period of debarment, the debarring official may consider the factors in paragraph (9) of this rule above. If a suspension has preceded your debarment, the debarring official must consider the time you were suspended.

(11) When do I know if the debarring official debars me?

(a) The debarring official must make a written decision whether to debar within ninety (90) days of closing the official record. The official record closes upon the debarring official’s receipt of final submissions, information and findings of fact, if any. The debarring official may extend that period for good cause.

(b) The debarring official sends you written notice, pursuant to Rule 1680-5-1-.03, paragraph (3), that the official decided, either— 1. Not to debar you; or 2. To debar you. In this event, the notice— (i) Refers to the Notice of Proposed Debarment;

(ii) Specifies the reasons for your debarment;

(iii) States the period of your debarment, including the effective dates; and (iv) Advises you that your debarment is effective for all covered transactions with the Department.

(12) May I ask the debarring official to reconsider a decision to debar me?

Yes, as a debarred person you may ask the debarring official to reconsider the debarment decision or to reduce the time period or scope of the debarment.

(13) What factors may influence the debarring official during reconsideration?

The debarring official may reduce or terminate your debarment based on— (a) Newly discovered material evidence;

(b) A reversal of the conviction or civil judgment upon which your debarment was based;

(c) A bona fide change in ownership or management;

(d) Elimination of other causes for which the debarment was imposed; or (e) Other reasons the debarring official finds appropriate.

(14) May the debarring official extend a debarment?

(a) Yes, the debarring official may extend a debarment for an additional period, if that official determines that an extension is necessary to protect the public interest.

(b) However, the debarring official may not extend a debarment solely on the basis of the facts and circumstances upon which the initial debarment action was based.

(c) If the debarring official decides that a debarment for an additional period is necessary, the debarring official must follow the applicable procedures of this rule, to extend the debarment.

History

• Authority: T.C.A. §§4-3-2303 and 54-5-117.
• Administrative History: Original rule filed February 4, 2005; effective April 20, 2005.

Tenn. Comp. R. & Regs. 1680-05-01-.04 SUSPENSION

(1) When may the suspending official issue a suspension?

Suspension is a serious action. Using the procedures of this rule, the suspending official may impose suspension only when that official determines that:

(a) There exists an indictment, conviction, civil judgment, or other official findings by Federal, State or local governmental bodies that determine factual and/or legal matters, or other adequate evidence to suspect, an offense listed under Rule 1680-5-1-.05, Subparagraph (1)(a) or (1)(b); or (b) There exists adequate evidence to suspect any other cause for debarment listed under Rule

Tenn. Comp. R. & Regs. 1680-05-01-.05 DEBARMENT

(1) What are the causes for debarment?

The Department may debar a person for— (a) Conviction of or civil judgment for— 1. Commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public or private agreement or transaction;

2. Violation of Federal or State antitrust statutes, including those proscribing price fixing between competitors, allocation of customers between competitors, and bid rigging;

3. Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; or 4. Commission of any other offense indicating a lack of business integrity or business honesty that seriously and directly affects your present responsibility;

(b) Conviction of any criminal violation of the Federal Water Pollution Control Act, as provided in 33 U.S.C. § 1319(c), or as it may be amended, or conviction of any criminal violation of the Tennessee Water Quality Control Act, as provided in T.C.A. §§ 69-3-115(b) and (c), or as either may be amended; or (c) Serious violations of the terms of a contract or grant such as— 1. A willful failure to perform in accordance with the terms of one or more public contracts or grants;

2. A history of failure to perform or of unsatisfactory performance of one or more contracts or grants; or 3. A willful violation of a statutory or regulatory provision or requirement applicable to a contract or grant, including without limitation violations of statutory or regulatory provisions or requirements under the Federal Water Pollution Control Act, 33 U.S.C. § 1251 et seq., and the Tennessee Water Quality Control Act, T.C.A. § 69-3-101 et seq.;

(d) Any of the following causes:

1. A debarment or similar action by any Federal agency, another state or other governmental authority;

2. Using a suspended or debarred subcontractor on a covered transaction; provided, however, this shall not apply if the covered transaction began before the debarment or suspension;

3. Failure to pay a single substantial debt, or a number of outstanding debts (including disallowed costs and overpayments, but not including sums owed the Federal Government under the Internal Revenue Code) owed to any State agency or instrumentality, provided the debt is uncontested by the debtor or, if contested, provided that the debtor’s legal and administrative remedies have been exhausted;

4. Violation of a material provision of a voluntary exclusion agreement or of any settlement of a debarment or suspension action;

5. Violation of the provisions of the Drug-Free Workplace Act of 1988 (41 U.S.C. 701); or (e) Any other cause of so serious or compelling a nature that it affects your present responsibility, which includes but is not limited to a finding by the debarring official based on a preponderance of the evidence that a person committed any action described in subparagraph (1)(a) of this rule.

(2) What notice does the initiating official give me if I am proposed for debarment?

After consideration of the causes in paragraph (1) above of this rule, if the Department proposes to debar you, the initiating official shall send you a Notice of Proposed Debarment, pursuant to Rule

Chapter 1680-05-02 Contractor Qualifications for Construction in High Quality or Impaired Waters

Tenn. Comp. R. & Regs. 1680-05-02-.01 PURPOSE

The purpose of these Rules is to establish staffing, training and certification requirements that the Department of Transportation may require highway construction contractors to meet as a qualification for bidding on contracts for the construction of highway projects involving earthwork within or in close proximity to surface waters of the State of Tennessee that have been identified by the Tennessee Department of Environment and Conservation as either high quality waters or impaired waters.

History

• Authority: T.C.A. §4-3-2303 and 54-5-117.
• Administrative History: Original rule filed March 2, 2005; effective May 16, 2005.

Tenn. Comp. R. & Regs. 1680-05-02-.02 APPLICATION

These rules apply to any proposal contract let by the Department for the construction of a highway project where:

(1) Such highway construction will require earthwork within or in close proximity to either high quality waters or impaired waters of the State of Tennessee; and (2) The Commissioner has determined that it is in the best interest of the Department and the State of Tennessee that the contractor on such project shall be required to meet the staffing, training and certification requirements established in these rules.

History

• Authority: T.C.A. §4-3-2303 and 54-5-117.
• Administrative History: Original rule filed March 2, 2005; effective May 16, 2005.

Tenn. Comp. R. & Regs. 1680-05-02-.03 DEFINITIONS

(1) “Commissioner” means the Commissioner of the State of Tennessee Department of Transportation.

(2) “Department” means the State of Tennessee Department of Transportation.

(3) “Earthwork” means any type of construction work that requires the disturbance or exposure of soil or rock, including without limitation clearing, grubbing, excavation, grading, cutting or filling.

(4) “Enforcement Order” means a final administrative or judicial order, including any order on appeal, which contains a finding of a violation of the Federal Water Pollution Control Act, the Tennessee Water Quality Control Act, or any other State’s water quality control act. The term “enforcement order” does not include administrative notices of violation or equivalent actions that are not subject to appeal.

(5) “General Permit” means the Tennessee General Permit for Storm Water Discharges from Construction Activities as authorized by TDEC.

(6) “High quality waters” means surface waters of the State of Tennessee identified as high quality waters (Tier II) by TDEC, in accordance with TDEC Rule 1200-4-3-.06(2), and surface waters of the State of Tennessee designated as Outstanding National Resource Waters (Tier III) by the State of Tennessee Water Quality Control Board, in accordance with TDEC Rule 1220-4-3-.06(4).

(7) “Impaired waters” means surface waters of the State of Tennessee identified by TDEC on the most recent Tennessee 303(d) list, or otherwise identified by TDEC pursuant to field investigations, as impaired waters not meeting one or more of the use classifications for surface waters as designated in TDEC Chapter 1200-4-4.

(8) “TDEC” means the State of Tennessee Department of Environment and Conservation.

(9) “Water Quality Permits” means any and all permits administered by any federal or state government agency that governs construction activities within or affecting waters of the United States and/or waters of the State of Tennessee, including without limitation Aquatic Resource Alteration Permits (ARAPs) and National Pollution Discharge Elimination System (NPDES) permits, including the General Permit, administered by TDEC; Section 404 permits administered by the United States Army Corps of Engineers; and Section 26a permits administered by the Tennessee Valley Authority.

History

• Authority: T.C.A. § 4-3-2303 and 54-5-117.
• Administrative History: Original rule filed March 2, 2005; effective May 16, 2005.

Tenn. Comp. R. & Regs. 1680-05-02-.04 STAFFING, TRAINING AND CERTIFICATION REQUIREMENTS

At the discretion of the Commissioner, highway construction contractors may be required to meet the following staffing, training and certification requirements in order to qualify as a responsible bidder on proposal contracts for the construction of highway projects involving earthwork within or in close proximity to high quality waters or impaired waters of the State of Tennessee. Nothing in these rules shall be construed to limit the Commissioner’s discretion to impose other or additional staffing, training or certification requirements, or other or additional contract specifications, in particular construction contracts where the Commissioner determines that it is in the best interest of the State to do so.

(1) Staffing Requirements.

(a) The contractor may be required to employ one or more persons as necessary who shall be specifically assigned to the project to perform the duties of an erosion prevention and sediment control inspector. In the absence of any provision in the construction contract to the contrary, the contractor may elect to meet this requirement either by assigning the duties of the erosion prevention and sediment control inspector to one or more of its own employees or by assigning these duties to a subcontractor or consultant. At a minimum, each erosion prevention and sediment control inspector shall have successfully completed the training identified in paragraph (2) of this rule below.

(b) The duties of the erosion prevention and sediment control inspector may include the following:

1. The inspector shall perform all inspections required under section IV.D.4 of the General Permit and such additional inspections as may be required under the construction contract. At a minimum, such inspections shall be performed before anticipated storm events and within 24 hours after the end of a storm event of 0.5 inches or greater rainfall, and in any event at least once per week, or at such more frequent intervals as may be required under the General Permit or the construction contract.

2. Based on the results of the inspections, and subject to the overall supervision of the contractor’s environmental supervisor, the inspector shall identify any erosion prevention and sediment control measures that are in disrepair or otherwise functioning inadequately. The inspector shall also report to the environmental supervisor any modifications that may need to be made in the project’s storm water pollution prevention plan, as provided in section IV.D.4, subsections f and g, of the General Permit and as may be further required in the construction contract.

3. The inspector shall document the inspections by preparing Construction Storm Water Inspection Reports, as provided in section IV.D.4, subsection h, of the General Permit, and as may be further required in the construction contract. These Inspection Reports shall be documented on forms approved by the Department.

(c) In addition, the contractor may be required to employ one or more persons as necessary who shall be specifically assigned to the project to perform the duties of environmental supervisor for the contractor. In the absence of any provision in the construction contract to the contrary, the contractor may elect to meet this requirement either by assigning the duties of the environmental supervisor to one or more of its own employees or by assigning these duties to a subcontractor or consultant. At a minimum, the contractor’s environmental supervisor(s) shall have successfully completed the training identified in paragraph (2) of this rule below.

(d) The duties of the contractor’s environmental supervisor may include the following:

1. The environmental supervisor shall have responsibility for the overall operation of the project’s construction activities that are regulated under the General Permit or any other Water Quality Permit.

2. The environmental supervisor shall be responsible for implementing the project’s storm water pollution prevention plan and otherwise ensuring compliance with the General Permit and any other Water Quality Permits.

3. The environmental supervisor shall be authorized to sign and shall be responsible for signing the certifications on all Construction Storm Water Inspection Reports, as provided in section III.F.3 of the General Permit and as may be further provided in any Water Quality Permit or the construction contract. These Inspection Reports shall be submitted to the Department’s project supervisor and/or to such other persons as the Department may determine.

4. The environmental supervisor shall supervise the erosion prevention and sediment control inspector(s) and ensure that the inspector’s duties are fully and timely performed.

5. Based on the results of the inspections performed by the erosion prevention and sediment control inspector(s), the environmental supervisor shall recommend to the Department any modifications that may need to be made in the project’s storm water pollution prevention plan.

6. The environmental supervisor shall be responsible for ensuring that the erosion prevention and sediment control measures on the project are properly maintained, repaired or replaced as required under any Water Quality Permit, including the General Permit, and as may be further required in the construction contract.

7. The environmental supervisor shall have the authority and responsibility to stop earthwork at any disturbed site on the project where the erosion prevention and sediment control measures are proving ineffective in eliminating or significantly minimizing the runoff of soil or other pollutants in storm water discharges or are otherwise not achieving the general objectives of controlling pollutants in storm water discharges associated with construction activities until such time as the erosion prevention and sediment control measures can be repaired or modified to achieve these objectives.

(2) Training Requirements.

(a) As a minimum, the contractor’s erosion prevention and sediment control inspector(s) shall have successfully completed the following training within the past five years:

1. TDEC’s “Fundamentals of Erosion Prevention and Sediment Control,” or its successor; or 2. A beginner level class in storm water management and construction site inspection offered by the International Erosion Control Association; or 3. A comparable course from another source, subject to Department approval.

(b) As a minimum, the contractor’s environmental supervisor(s) shall have successfully completed the same basic training required for the contractor’s erosion prevention and sediment control inspector as provided in subparagraph (a) above, and within the past five years the contractor’s representative shall have successfully completed the following additional training:

1. TDEC’s “Design Principles for Erosion Prevention and Sediment Control,” or its successor; or 2. An intermediate or advanced level course in storm water management and construction site inspection offered by the International Erosion Control Association; or 3. A comparable intermediate or advanced level course from another source, subject to Department approval.

(3) Certification Requirements.

(a) The contractor’s bid shall include a certification stating that the contractor is able to provide and will provide personnel to perform the duties of the erosion prevention and sediment control inspector and the environmental supervisor, as set forth in paragraph (1) above or as otherwise set forth in the Department’s proposal contract, and who have fulfilled the training requirements set forth in paragraph (2) above. After a contractor has been awarded a contract, the contractor shall certify to the Department the identity of the persons who will perform the duties of the erosion prevention and sediment control inspector and environmental supervisor, and the contractor’s certification shall include documentation to verify the content and date of the training. This certification shall be made in writing at or before the preconstruction meeting and thereafter as necessary whenever the contractor makes a change in the persons fulfilling these duties.

(b) The contractor’s bid shall also include a certification identifying all enforcement orders issued against the contractor within the past twenty-four (24) months for violations of the Federal Water Pollution Control Act, the Tennessee Water Quality Control Act, or any other State’s water quality control act. At the discretion of the Commissioner, and as set forth in the specifications of the proposal contract, serious violations of any such act may be deemed a sufficient ground for finding that a contractor is not a responsive bidder on that project.

(c) If the Commissioner makes an initial determination that a contractor – who is otherwise responsive and the apparent low bidder – should not be considered a responsive bidder based on the certification concerning enforcement orders, the Commissioner shall provide written notice of this initial determination and give the contractor an opportunity for an informal meeting to show why the contractor should nevertheless not be considered non-responsive. This informal meeting shall be held within twenty (20) calendar days after the date of the contract bid opening and may be conducted by the Commissioner or the Commissioner’s designee(s). After considering the information presented by the contractor in the informal meeting, the Commissioner shall make a final determination as to whether the contractor shall be considered a responsive bidder on the project. Written notice of the final determination shall be given to the contractor. The Commissioner’s decision shall be final and not subject to appeal.

(d) A final determination by the Commissioner that a contractor is not a responsive bidder on a particular project as provided in this rule shall not, by itself, be considered a disqualification from bidding on any other proposal contract with the Department.

(e) Falsification of any certification required under these rules may be deemed a sufficient ground for finding that a contractor is not a responsive bidder, and if a falsified certification is submitted after a contract has been awarded it shall be deemed a breach of contract to be dealt with as provided in the contract.

History

• Authority: T.C.A. § 4-3-2303 and 54-5-117.
• Administrative History: Original rule filed March 2, 2005; effective May 16, 2005.

Chapter 1680-05-03 Prequalification of Contractors

Tenn. Comp. R. & Regs. 1680-05-03-.01 AUTHORITY, PURPOSE AND GENERAL REQUIREMENTS

(1) Legal Authority. – Section 54-5-117 of the Tennessee Code provides that bidders for construction contracts to be let and awarded by the Tennessee Department of Transportation shall be responsible and qualified under state law and any applicable regulations. It further empowers the Commissioner to adopt such reasonable regulations as the Commissioner deems proper for the qualification of bidders as to financial responsibility, experience, organization and equipment, the number of contracts, the aggregate of the contract amounts at the contract unit prices, the character of construction, the number of miles of construction each bidder or contractor may have under contract or construction at any given time, and/or any other matter which would in the Commissioner’s judgment promote the best interests of the State of Tennessee in its highway construction, with the power to adopt such regulations being expressly not limited to the matters expressly mentioned in the statute.

(2) Purpose. – The purpose of these rules is to establish procedures and criteria by which the Department determines the responsibility and qualifications of prospective bidders and subcontractors to perform contracts or subcontracts for or related to the construction, improvement and/or maintenance of roads and bridges which are to be let, awarded and administered by the Department. In general, but without limiting any of the following rules, it is the intent of this chapter to govern the prequalification of bidders and subcontractors based on their demonstrated ability, experience and capacity to perform the work required; the quality and timeliness of their past work performance; their financial responsibility; and the integrity of their business practices.

(3) General Requirements.

(a) A prospective bidder or contractor must be prequalified by and in good standing with the Department prior to the issuance of a proposal form.

(b) A prospective subcontractor must be prequalified by and in good standing with the Department prior to being approved as a subcontractor.

(c) Nothing in this rule shall be construed to prohibit any person from requesting or obtaining a void proposal form for any purpose other than submitting a proposal to the Department.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.02 DEFINITIONS

As used in these rules:

(1) “Affiliate” means a person that is in affiliation with another person or entity. Persons or entities are affiliates of each other and an affiliation exists if, directly or indirectly, either one controls or has the power to control the other or a third person controls or has the power to control both. The factors considered to determine control include, but are not limited to:

(a) Interlocking management or ownership;

(b) Identity of interests among family members;

(c) Shared facilities and equipment;

(d) Common use of employees; or (e) A business entity which has been organized following the suspension, debarment or exclusion of a person or entity which has the same or similar management, ownership, or principal employees as the suspended, debarred or excluded person or entity.

(2) “Applicant” means any individual person, partnership, limited liability company, corporation, or other business entity, acting directly or through a duly authorized representative, that seeks to be prequalified by the Department as a bidder and/or subcontractor.

(3) “Award” means the formal acceptance of a proposal by the Department, subject to the Department’s reservation of a right to cancel the award of a contract at any time prior to the execution of the contract by all parties.

(4) “Bid” means the submission of a proposal to perform road, bridge or related work under a contract to be let by the Department.

(5) “Bidder” means any individual person, partnership, limited liability company, corporation or other business entity, acting directly or through a duly authorized representative, that seeks or may seek to submit a proposal and enter into a contract to perform work for the Department.

(6) “Chief Engineer” means the Chief of the Department’s Bureau of Engineering, or any Department employee authorized to act on his/her behalf.

(7) “Civil judgment” means the disposition of a civil action by any court of competent jurisdiction, whether by verdict, decision, settlement, stipulation, other disposition which creates a civil liability for the complained of wrongful acts.

(8) “Commissioner” means the Commissioner of the Tennessee Department of Transportation.

(9) “Contractor” means a bidder to whom the Department has awarded a contract and with whom the Department has executed and entered into a contract for the performance of work pertaining to the construction, improvement and/or maintenance of roads or bridges.

(10) “Conviction” or “convicted” means:

(a) A judgment or any other determination of guilt of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or plea, including a plea of nolo contendere; or (b) Any other resolution that is the functional equivalent of a judgment, including probation before judgment and deferred prosecution. A disposition without the participation of the court is the functional equivalent of a judgment only if it includes an admission of guilt.

(11) “Day” means a calendar day; provided, however, that if the last day for completing any action under these rules falls on a Saturday, Sunday or legal holiday when the Department is closed for business, the day for completing the action shall be the following business day.

(12) “Department” means the Tennessee Department of Transportation.

(13) “Director of Construction” means the Director of the Construction Division of the Tennessee Department of Transportation, or such person as may be authorized to act on behalf of the Director of Construction in the performance of responsibilities under these rules.

(14) “Enforcement Order” means a final administrative or judicial order, including any order on appeal, which contains a finding of a violation of the Federal Water Pollution Control Act, the Tennessee Water Quality Control Act, or any other State’s water quality control act. The term “enforcement order” does not include administrative notices of violation or equivalent actions that are not subject to appeal.

(15) “Equipment” means all machinery, apparatus, and tools necessary for the proper construction and acceptable completion of the project, plus the necessary repair parts, tools, and supplies for upkeep and maintenance.

(16) “General prequalification” means a prequalification to bid on and perform work for the Department as a contractor or subcontractor within approved work classifications that is not limited as to the amount or number of contracts.

(17) “Limited prequalification” means a prequalification to bid on and perform work for the Department as a contractor or subcontractor within approved work classifications that is limited as to the amount and/or number of contracts or a prequalification to participate in Department contracts only as a subcontractor.

(18) “Prequalification” or “prequalified” means the status of having been determined to be responsible and qualified to bid on and perform road or bridge work under a contract or subcontract with the Department.

(19) “Prequalification application” means the information submitted by an applicant on a completed prequalification questionnaire or other forms developed by the Department and such other information as the Department may request the applicant to provide in order to determine whether the applicant is to be prequalified as a bidder or subcontractor.

(20) “Prequalification Committee” means the committee of the Department with authority to hear and make a recommendation to the Commissioner for decision on any appeal of a prequalification decision by the Director of Construction as provided in these rules, and whose members may include the following employees of the Department, as determined by the Commissioner:

(a) The Chief Engineer, who shall preside over the committee;

(b) The Assistant Chief Engineer for Operations;

(c) The Chief of Administration;

(d) The Transportation Director for any Region of the Department (as selected by the Chief Engineer);

(e) The Director of the Civil Rights Division; and/or (f) Other employees of the Department as the Commissioner may from time to time designate.

(21) “Prequalification Office” means the unit of the Department under the direction of the Director of Construction that is assigned to administer the prequalification program and perform responsibilities pertaining to the prequalification of bidders and subcontractors and evaluation of contractors as provided in these rules.

(22) “Proposal” means the offer of a bidder on a prescribed proposal form to perform work under a contract with the Department at the prices quoted in the proposal form.

(23) “Proposal form” means the approved form on which the Department requires bidders to submit proposals to the Department.

(24) “Subcontractor” means any individual person, partnership, limited liability company, corporation, or other business entity, acting directly or through a duly authorized representative, that has entered or may seek to enter into a contract with a contractor to perform some part of the work under a contract with the Department; provided, however, that this definition of subcontractor does not include any such person or business entity that only provides or delivers materials to a contractor or subcontractor performing work under a contract with the Department.

(25) “Surety” means a company authorized to guarantee a bidder’s proposal and a contractor’s performance and payment obligations under a contract and which is authorized to do business in the State of Tennessee.

(26) “Work classification” means a category of work pertaining to the construction, improvement and/or maintenance of roads and bridges, or related work, as the Department may identify such categories of work in the prequalification questionnaire or other prequalification forms developed by the Prequalification Office.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.03 PREQUALIFICATION OFFICE

(1) Duties. – The Prequalification Office shall have the primary responsibility for administering the Department’s prequalification program. The duties of the Prequalification Office shall include the development of a prequalification questionnaire and other prequalification forms; the designation of work classifications; the development and administration of a contractor performance evaluation program; the review and evaluation of prequalification applications; the determination of an applicant’s prequalification status; the modification, revocation or temporary disqualification of a bidder’s or subcontractor’s prequalification status; and the performance of such other responsibilities pertaining to the prequalification of bidders and subcontractors as the Department may determine.

(2) Composition. – The Prequalification Office shall consist of the Director of Construction and such other employees of the Department as the Director of Construction may direct or request to assist in the administration of the prequalification program. The Director of Construction shall oversee the Prequalification Office.

(3) Audits and Investigations. – The Prequalification Office may perform or request other employees of the Department to perform audits or investigations concerning any information requested of or submitted by any applicant for prequalification or any other matter within the scope of these rules. Information and/or documents obtained by the Department in the course of an audit or investigation may be kept confidential to the extent authorized or required by law.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.04 above.

(b) The Prequalification Office will review each prequalification application for completeness. Incomplete applications will be returned to the applicant for additional information without a determination of the applicant’s prequalification status.

(c) The Prequalification Office will review each completed prequalification application and such additional information as the Prequalification Office may request or the applicant may provide for the purpose of evaluating whether the applicant is responsible and qualified to perform work within the work classification(s) for which the applicant seeks prequalification. The evaluation will be made in consideration of:

1. The amount, variety and quality of the applicant’s prior work experience, including the prior work experience of the applicant’s key personnel, if requested;

2. The availability to the applicant of the equipment needed to perform the work required in such work classification(s);

3. The Department’s performance evaluations of the applicant, if available;

4. The financial responsibility of the applicant, the applicant’s affiliates, and any business firms with which any partner, owner, officer, or authorized representative is or has been associated;

5. The business integrity and responsibility of the applicant, the applicant’s affiliates, and any partner, owner, officer, or authorized representative of the applicant;

6. The environmental record of the applicant, the applicant’s affiliates, and any partner, owner, officer, or authorized representative of the applicant;

7. The completeness and accuracy of the applicant’s prequalification application; and 8. Any other information the Prequalification Office may have requested, received or examined with respect to the applicant’s responsibility and qualifications.

(2) Determination of Prequalification Status.

Based on the Prequalification Office’s review and evaluation of the applicant’s prequalification application, the Director of Construction shall either:

(a) Deny the applicant’s request for prequalification in any or all of the work classification(s) for which the applicant seeks to be prequalified, or (b) Approve the applicant’s request for prequalification in any or all of the work classification(s) for which the applicant seeks to be prequalified. An approved prequalification may be either general or limited, as follows:

1. General Prequalification. – An applicant that obtains an approved general prequalification will be eligible to submit a proposal for contract and perform work as a contractor or subcontractor under any Department contract pertaining to the construction, improvement and/or maintenance of roads and bridges that is within the applicant’s approved work classification(s).

2. Limited Prequalification. – Based on an applicant’s request and/or limitations in an applicant’s work experience, equipment, prior work performance, financial responsibility and/or other factors evaluated by the Prequalification Office, the Director of Construction may approve only a limited prequalification. An applicant that obtains an approved limited prequalification will be eligible to submit a proposal for contract only up to a maximum bid amount and/or the applicant may be restricted in the number and/or aggregate amount of Department contracts it will be eligible to perform as a contractor at any given time, or the applicant may be restricted to participate only as a subcontractor, as determined by the Director of Construction.

3. Waiver. – The Director of Construction may waive any restriction(s) established in a limited prequalification on a project-by-project basis. A request for waiver of a limited prequalification must be submitted to the Director of Construction at least fourteen (14) days prior to the date for opening bids for any project on which the applicant wishes to submit a proposal to the Department. Denial of a request for a waiver is not appealable under this chapter.

(c) Determination of Affiliations. – Based on the information provided in the prequalification application and such additional information as the Department may request or the applicant may provide, the Director of Construction shall also make a determination as to whether an applicant shall be deemed an affiliate of another applicant or of a previously prequalified bidder or subcontractor.

(3) Reservations. – Notwithstanding the foregoing or any other provision of this chapter, the Department reserves the right:

(a) To modify, revoke or restrict a general or limited prequalification or temporarily disqualify a prequalified bidder or subcontractor, as provided in these rules;

(b) To suspend, debar or otherwise exclude a prequalified bidder, contractor or subcontractor, as provided in the Department’s rules governing contractor debarment and suspension, Chapter 1680-5-1, which shall not be appealable under this chapter; and/or (c) To establish more restrictive special prequalification requirements in the proposal form for a particular project, which shall not be appealable under this chapter;

(4) Notice of Prequalification and Affiliation Status.

(a) A decision to deny prequalification or to limit an applicant’s prequalification status shall be delivered to the applicant in a written notice signed by the Director of Construction. The written notice shall document the reason(s) for denying a prequalification request in whole or part and/or the reason(s) for issuing a limited prequalification instead of a general prequalification.

(b) A determination that an applicant shall be deemed an affiliate of another applicant or of a previously prequalified bidder or subcontractor shall be delivered to the applicant in a written notice signed by the Director of Construction. The written notice shall document the reason(s) for finding that the applicant is in affiliation with such other person or entity.

(c) Delivery of the written notice may be made in the original via certified or overnight mail or hand delivery, or delivery may be made by copy sent via facsimile or electronic mail, if available (in which case the original shall also be sent by regular mail). The notice will be deemed to have been received by the applicant as of the date the notice is delivered to the applicant’s place of business by any one of these methods, whichever is earliest.

(d) All approved prequalifications will be posted on the Construction Division’s website at www.tdot.state.tn.us/construction . The website address of the Construction Division may be subject to change without amendment of these rules.

(5) Appeals. – The determination of an applicant’s prequalification or affiliation status may be appealed to the Commissioner by following the appeal procedure established in Rule 1680-5- 3-.08 below.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.05 ;

(b) Denies a requested modification of an existing prequalification status, as provided in

Rule 1680-5-3-.07, Subparagraph (1) (a);

(c) Revokes or restricts an existing prequalification held by the prequalified bidder or subcontractor, as provided in Rule 1680-5-3-.07, Subparagraph (1)(b);

(d) Temporarily disqualifies a prequalified bidder or subcontractor, as provided in Rule

Tenn. Comp. R. & Regs. 1680-05-03-.06 EFFECTIVE TERM AND RENEWAL OF PREQUALIFICATION

(1) Effective Term.

(a) A prequalification approved under these rules shall be effective for twelve (12) months from the end of the applicant’s preceding fiscal year.

(b) Any prequalification approved prior to the effective date of these rules shall remain in effect until the expiration date indicated on such prequalification.

(c) A prequalified bidder or subcontractor will have a three-month grace period after the expiration date for its existing prequalification within which to apply for renewal of its prequalification. The existing prequalification will remain in effect during this grace period, subject to the reservations in paragraph (3) of this rule below.

(2) Renewal of Prequalification.

A prequalified bidder or subcontractor may request the renewal of its prequalification for an additional term by submitting a prequalification application to the Prequalification Office as provided in Rule 1680-5-3-.04 above. The determination of the applicant’s prequalification status upon renewal shall be made as provided in Rule 1680-5-3-.05 above.

(3) Reservations. – Notwithstanding the foregoing or any other provision of this chapter, the Department reserves the right to modify, revoke or restrict a general or limited prequalification or to temporarily disqualify a prequalified bidder or subcontractor, as provided in these rules. The Department also reserves the right to establish more restrictive special prequalifications for any particular project and/or the right to suspend, debar or otherwise exclude a prequalified bidder, contractor or subcontractor, as provided in the Department’s rules governing contractor debarment and suspension, Chapter 1680-5-1, and any such decision shall not be appealable under this chapter.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.07 , Subparagraph (1)(c); or (e) Is otherwise expressly appealable under these rules.

(2) Filing of Appeal; Timing and Content.

(a) A request for appeal under these rules must be filed with and received by the Director of Construction, with a copy to the Chief Engineer, no later than fourteen (14) days after delivery to the applicant or prequalified bidder or subcontractor of the adverse decision being appealed. For good cause shown, the Director of Construction may grant a written request for an extension of time, not to exceed an additional fourteen (14) days, within which to file the appeal.

(b) Failure to file a request for appeal within the time allowed will result in a denial of the appeal without any hearing.

(c) The appeal shall be in writing and shall contain:

1. A detailed statement of the reasons why the appellant believes the Director of Construction’s decision was erroneous, improper and/or not in the best interest of the Department;

2. A statement of the relief requested (i.e., a statement of the decision the appellant believes the Commissioner should make on appeal); and 3. Any documentation of evidence that the appellant reasonably believes will support its appeal.

(3) Informal Hearing Before the Prequalification Committee.

(a) Upon receiving a request for appeal as provided in the paragraph above, the Director of Construction will promptly notify the Chief Engineer, who shall schedule an informal hearing before the Prequalification Committee.

(b) The hearing should, if possible, be scheduled to occur within fourteen (14) days after the date on which the appeal was filed. The Chief Engineer shall notify the appellant of the date, time and place for the hearing. For good cause shown, the Chief Engineer may allow for a continuance of the hearing to a later date.

(c) For good cause shown, the Chief Engineer may, but is not required to, stay the decision of the Director of Construction that is the subject of the appeal if:

1. The decision was to revoke or restrict an existing prequalification or to temporarily disqualify a prequalified bidder or subcontractor; and 2. The Chief Engineer determines that it is in the public interest to preserve the status quo pending a hearing and decision on the appeal.

(d) The hearing before the Prequalification Committee shall be held at the time and place set by the Chief Engineer, and the Chief Engineer shall preside. A quorum of the Prequalification Committee, consisting of a majority of the members of the Committee, shall be sufficient to conduct the hearing.

(e) The hearing will be conducted in an informal manner. A court reporter will be present to create a record of the proceedings, but the Committee may use flexible procedures to hear evidence and argument presented by the appellant and the Prequalification Office. Formal rules of evidence and civil procedure will not be required. At the discretion of the Chief Engineer, the Committee may hear statements from and question witnesses at the hearing and/or take written statements, and the Committee may consider relevant written documentation that the appellant or the Prequalification Office may wish to present. Both the appellant and the Department may have the assistance of legal counsel in conducting the hearing.

(f) The Chief Engineer may continue the hearing and reconvene the Prequalification Committee at a later date, if necessary for a full and fair consideration of the appeal.

(4) Commissioner’s Decision. – Upon consideration of the evidence and argument presented at the informal hearing, the Prequalification Committee shall advise the Commissioner and make a recommendation for decision, but the decision shall be the Commissioner’s alone.

The Commissioner shall give the appellant written notice of the decision, and the reasons therefore, within fourteen (14) days after the close of the Prequalification Committee’s informal hearing, unless the time is extended by the Commissioner for good cause. Notice of the decision may be sent by regular mail or other reliable means of delivery. The Commissioner’s decision shall be final.

(5) Inapplicability of Uniform Rules of Procedure. – In accordance with Tennessee Code Annotated §§ 4-5-217 and 4-5-219, these rules establish informal administrative procedures for making and appealing the Department’s prequalification decisions. Because prequalification decisions and proceedings are not contested cases under Tennessee Code Annotated § 4-5-102(3), application of the Uniform Rules of Procedure for Hearing Contested Cases Before State Administrative Agencies (“Uniform Rules”), Rules of the Tennessee Department of State, Administrative Procedures Division, Chapter 1360-4-1, is not required by law. The Commissioner further finds that application of the Uniform Rules would be unduly burdensome and would hinder the ability of the Department to make timely and effective decisions concerning the persons or entities with which it may conduct business. It is the intent of these rules, therefore, that the informal administrative procedures established herein will provide for the just, speedy and inexpensive determination of matters before the Prequalification Office, the Prequalification Committee, and the Commissioner and that these rules will allow the Department to take timely and effective remedial action to ensure that it conducts business with responsible and qualified contractors and subcontractors. The procedures established in these rules are subject to amendment as the Commissioner may determine to be in the best interest of the Department, and nothing in these rules shall be construed to create any vested right to any particular process established herein.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.08 APPEALS

(1) Grounds for Appeal. – In accordance with these rules, an applicant for prequalification or a prequalified bidder or subcontractor may appeal a decision by the Director of Construction that:

(a) Determines the applicant’s prequalification or affiliation status, as provided in Rule

Tenn. Comp. R. & Regs. 1680-05-03-.09 SPECIAL PREQUALIFICATION REQUIREMENTS

(1) Reservation of Right to Establish Special Prequalification Requirements. – Notwithstanding any other provision in this chapter, the Department reserves the right to establish special or additional prequalification requirements for bidders and/or subcontractors on a project-byproject basis whenever, in the judgment of the Department, such special or additional prequalification requirements are in the best interest of the Department because of the project’s size, scope, schedule, complexity, environmental sensitivity or any other special circumstance related to the project.

(2) Notice. – The Department will give notice of any special prequalification requirements and procedures for bidders and/or subcontractors prior to the issuance of the proposal form for the project. Notice shall be given by publication in appropriate newspapers and/or publication on the Construction Division’s website, as the Department may determine.

(3) Rejection of Ineligible or Non-Responsive Bidders or Subcontractors. – The Department reserves the right to refuse to issue a proposal form to any bidder, reject the proposal of any bidder, and/or decline to approve any subcontractor that does not, in the judgment of the Department, meet the special prequalification requirements.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Tenn. Comp. R. & Regs. 1680-05-03-.10 BIDDING, JOINT VENTURES, AND AFFILIATES

In addition to any other provisions pertaining to the submission, opening and acceptance or rejection of bids that are contained in the Department’s Standard Specifications for Road and Bridge Construction (and as amended or supplemented), the following bidding requirements are established in these prequalification rules.

(1) Bidding Procedure.

(a) To bid on any project advertised by the Department, the bidder must be prequalified in work classification(s) applicable to the project so as to be able to perform with its own forces at least thirty percent (30%) of the total original contract price (or such other amount of the contract as the proposal may require), including the cost of materials and manufactured products that are to be incorporated into the project but excluding specialty items.

(b) If the work of a project is not among the work classifications previously identified by the Prequalification Office in the prequalification questionnaire or other forms completed by applicants for prequalification, the Department’s advertisement may solicit applications for prequalification in one or more new or project-specific work classifications, or the Department may waive prequalification requirements in whole or part.

(c) Unless suspended, debarred or otherwise excluded from participation in Department contracts, a prequalified bidder may request a proposal form or other bidding documents from the Department at any time prior to the opening of bids for the project on which the bidder may be interested in submitting a proposal.

(2) Joint Ventures.

(a) When two or more bidders wish to bid together as a joint venture, each bidder wishing to participate in the joint venture must provide a separate written notice to the Prequalification Office to confirm its intention to bid as a party to the joint venture.

Each notice must be signed by an authorized representative of each respective firm.

The notices must be received prior to the issuance of a proposal to the joint venture.

(b) Each bidder participating in a joint venture must be separately prequalified by the Department; provided, however, that if the joint venture has been formed as a single business entity for the purpose of bidding on a particular project, the joint venture must apply for prequalification as provided in these rules.

(c) The joint venturers together must be prequalified in work classification(s) applicable to the project so as to be able to perform with their own combined forces at least thirty percent (30%) of the total original contract price (or such other amount of the contract as the proposal may require), including the cost of materials and manufactured products that are to be incorporated into the project but excluding specialty items.

(3) Affiliates. – Affiliates of a bidder are prohibited from submitting separate proposals for contract on the same Department project. The Department will not issue a proposal form to more than one affiliated party on the same project.

(4) Reservation of Right to Reject Bids or Cancel Awards. – In addition to any provision regarding the rejection of bids or cancellation of awards in the Department’s Standard Specifications for Road and Bridge Construction (and as amended or supplemented), the Department reserves the right to reject the bid of any bidder or to cancel the award of a contract to any bidder:

(a) Who is not prequalified in the applicable work classification(s) for the project, or whose bid exceeds the limitations of a limited prequalification;

(b) Who is the affiliate of any other bidder on the same project, as determined by the Prequalification Office;

(c) Who has been temporarily disqualified or has had its prequalification revoked as provided in these rules; or (d) Who has been suspended, debarred, or otherwise excluded under the Department’s rules governing contractor debarment and suspension, Chapter 1680-5-1, or under applicable Federal rules governing the suspension and debarment of contractors.

History

• Authority: T.C.A. §§54-5-117 and 4-3-2303.
• Administrative History: Original rule filed July 18, 2006; effective October 1, 2006.

Chapter 1680-05-04 Procedures for the Selection and Award of Design-Build Contracts

Tenn. Comp. R. & Regs. 1680-05-04-.01 PURPOSE

The purpose of these rules is to establish procedures and criteria for the solicitation, selection, and award of design-build contracts as authorized in Chapter 274 of the Public Acts of 2007, Tennessee Code Annotated § 54-1-119.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.02 DEFINITIONS

The following terms, as used in this chapter, shall have the following meanings unless the context thereof indicates to the contrary:

(1) “Adjusted low bid” means a form of best value selection in which qualitative aspects are scored on a 0 to 100 scale expressed as a decimal; price is then divided by the qualitative score or calculated by a modified version of this formula as stated within the RFP to yield an “adjusted bid”. The best evaluated design-builder is the one with the lowest adjusted bid.

(2) “Alternate technical concept (ATC)” means an alternative to the base technical concept which promotes innovation and is equal or better in quality or effect, as determined by the Department in its sole discretion, and which has successfully been used elsewhere under comparable circumstances.

(3) “Base technical concept (BTC)” is the project information provided in the RFP upon which design-builders will develop their technical and price proposals, and such project information may include without limitation roadway alignment, preliminary designs, interchange configurations, etc.

(4) “Best and final offer” is a change to a design-builder’s technical and/or price proposal made at the request of, or as allowed by, the Department within a best and final offer RFP after the solicitation closing date when all price proposals exceed an acceptable range of the Department’s estimate.

(5) “Best and final offer RFP” is a revised RFP issued to all eligible design-builders that may make minor changes to the scope and/or contract requirements to allow design-builders to revise their technical and/or price proposals.

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June, 2008 2 (6) “Best value selection” means any selection process in which proposals contain both price and qualitative components and award is based upon a combination of price and qualitative considerations.

(7) “CFR” means the Code of Federal Regulations.

(8) “Commissioner” means the Commissioner of the Tennessee Department of Transportation.

(9) “Department" means the Tennessee Department of Transportation.

(10) “Design-build” means a project delivery method that combines all or some portions of the design and construction phases of a project – including without limitation design, right-of-way acquisition, regulatory permit approvals, utility relocation, and construction – into a single contract.

(11) “Design-build contract” means an agreement that provides for the design and construction of a project – which without limitation may include design, right-of-way acquisition, regulatory permit approvals, utility relocation, and construction – into a single contract.

(12) “Design-Build Review Committee (DBRC)” means the committee designated by the Department to review and evaluate statements of qualifications and/or technical and price proposals, as provided elsewhere in these rules, for the purpose of selecting a design-builder for a design-build contract.

(13) “Design-builder” means any entity or joint venture contractually responsible for delivering the project design and construction, or, as the context may require, any entity or joint venture that responds to a Department solicitation for a design-build contract.

(14) “Final design” means any design activities following preliminary design and expressly includes the preparation of final construction plans and detailed specifications for the performance of construction work.

(15) “Fixed price/best design” means a variation of design-build using a best value selection process in which contract price is established by the Department and stated in the request for proposals document. Design solutions and other qualitative factors are evaluated and rated. The best evaluated design-builder is the one offering the best qualitative proposal for the established price.

(16) “Lowest price-technically acceptable” means a type of modified design-build selection process in which the Department identifies evaluation factors that establish the minimum requirements of acceptability. Proposals are evaluated for acceptability based on qualitative factors (not cost or price) but are not ranked. The award will be made on the basis of the lowest evaluated price of proposals meeting or exceeding the acceptability standards for qualitative factors. Evaluated prices may include provisions such as cost-plus-time bidding, lane rental or other cost-based provisions.

(17) “Modified design-build” means a variation of design-build in which the Department furnishes design-builders with partially complete plans. The design-builder’s role is generally limited to the completion of the design and construction of the project.

(18) “NEPA” means the National Environmental Policy Act of 1969.

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June, 2008 3 (19) “Organizational conflict of interest” means that because of other activities or relationships with other persons or entities, a person or entity is unable or potentially unable to render impartial assistance or advice to the Department or the person’s or entity’s objectivity in performing the contract work is or might be otherwise impaired, or a person or entity has an unfair competitive advantage.

(20) “Preliminary design” defines the general project location and design concepts. It includes, but is not limited to, preliminary engineering and other activities and analyses, such as environmental assessments, topographic surveys, metes and bounds surveys, geotechnical investigations, hydrologic analyses, hydraulic analyses, utility engineering, traffic studies, financial plans, revenue estimates, hazardous materials assessments, general estimates of the types and quantities of materials, and other work needed to establish parameters for the final design.

(21) “Prequalification” means the Department’s process for determining whether a designbuilder, or any member thereof, is fundamentally qualified to compete for a particular project or class of projects. The prequalification process is separate from short listing as elsewhere provided for in these rules.

(22) “Price proposal” means the price submitted by a design-builder to provide the required design services and construction described in the RFP.

(23) “Request for proposals (RFP)” means the document issued by the Department in a single-phase process or the second phase of a two-phase selection process that describes the procurement process, forms the basis for the design-builders’ proposals, and may potentially become an element of the design-build contract.

(24) “Request for qualifications (RFQ)” means the document issued by the Department in the first phase of a two-phase selection process that describes the project in enough detail to let potential design-builders determine if they wish to compete and forms the

basis for identifying (i.e., short listing) the most qualified design-builders.

(25) “Short listing” or “short-listed” means the narrowing of the field of potential designbuilders through the selection of the most qualified design-builders who have responded to an RFQ.

(26) “Single-phase selection process” means a procurement process where price and/or technical proposals are submitted in response to an RFP without an RFQ or short listing.

(27) “Standard Specifications” means the Department’s Standard Specifications for Road and Bridge Construction.

(28) “Statement of qualifications (SOQ)” means the document(s) submitted by a designbuilder in response to an RFQ that describes the qualifications and capability of the design-builder to perform the scope of services to be included in the design-build contract. For each design-builder, the SOQ must include, at a minimum, documentation that the design-builder is capable of performing the scope of services of the project.

(29) “Stipend” means a monetary amount that may be paid to unsuccessful designbuilders who have submitted responsive proposals in response to an RFP.

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June, 2008 4 (30) “Technical proposal” means that portion of a design-build proposal which contains design solutions and other qualitative factors that are provided in response to an RFP.

(31) “Tennessee Environmental Evaluation Report (TEER)” means the environmental evaluation process, similar to the NEPA process, which may be conducted by or for the Department, in accordance with such procedures as the Department may establish, on projects without federal-aid funding or other major federal action where NEPA does not apply.

(32) “Two-phase selection process” means a procurement process in which the first phase consists of short listing based on statements of qualifications submitted in response to an RFQ and the second phase consists of the submission of price and technical proposals in response to an RFP.

(33) “Weighted criteria process” means a form of best value selection in which maximum point values are pre-established for qualitative and price components. The best evaluated design-builder is the one with the highest total points earned.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.03 OVERVIEW OF DESIGN-BUILD SELECTION PROCESS

The following steps outline the typical sequence of actions in a two-phase selection process for the award of a design-build contract; provided, however, that some steps may be omitted or condensed in a single-phase selection process or in a modified design-build process:

(1) Selection of a Design-Build Review Committee;

(2) Advertisement of the proposed design-build project (request for qualifications);

(3) Submission of statements of qualifications;

(4) Determination of the most qualified design-builders (short listing);

(5) Issuance of the request for proposals;

(6) Submission of technical proposals and price proposals;

(7) Evaluation of technical proposals;

(8) Opening of price proposals;

(9) Issuance of a best and final RFP (if any);

(10) Submission of best and final offers (if any);

(11) Determination of the best evaluated design-builder in accordance with the identified selection method;

(12) Recommendation for action by the Design-Build Review Committee; and (13) Award of a design-build contract, or rejection of all proposals, by the Commissioner.

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June, 2008 5

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.04 DESIGN-BUILD REVIEW COMMITTEE

(1) For each proposed design-build project, the Department will designate a Design- Build Review Committee (DBRC).

(2) The members of the DBRC shall include at least three (3) Department employees from various Departmental divisions who are qualified by education and experience and at least two of whom shall be licensed professional engineers. Additional engineering and technical experts may be selected by the Department to serve as DBRC committee members on a project-by-project basis.

(3) It shall be the responsibility of the DBRC to implement the design-build selection process, including the following:

(a) Write or oversee the writing of the RFQ and/or RFP for the proposed designbuild project, including the selection method to be used and a description of the scope of services to be obtained;

(b) Determine the criteria for the award of a stipend, if any, to responsive but unsuccessful design-builders.

(c) Advertise the proposed design-build project or cause it to be advertised;

(d) Review and evaluate the statements of qualifications submitted in response to an RFQ;

(e) Determine which design-builders shall be deemed qualified or short-listed for further consideration in accordance with the selection method identified in the RFQ or RFP;

(f) Review and evaluate technical proposals submitted by qualified or short-listed design-builders in accordance with the identified selection method;

(g) Open and read price proposals from eligible and responsive design-builders, or cause such to be opened and read;

(h) Determine whether the price proposals are within an acceptable range of the Department’s cost estimate and, if not, determine whether to proceed with a best and final RFP and, if so, to review and evaluate best and final offers from eligible and responsive design-builders;

(i) Determine the apparent best evaluated design-builder in accordance with the identified selection method; and (j) Recommend to the Commissioner either:

1. The rejection of all proposals;

2. The award of a design-build contract to the best evaluated designbuilder; or PROCEDURES FOR THE SELECTION AND AWARD 1680-5-4 OF DESIGN-BUILD CONTRACTS June, 2008 6 3. If the DBRC determines after opening the price proposals that the apparent best evaluated design-builder should be considered non-responsive, or if, after award, the best evaluated design-builder declines the award and forfeits the proposal guaranty, the DBRC may recommend award of the contract to the next best evaluated designbuilder.

(4) The DBRC shall have the authority to discontinue the design-build selection process at any time prior to the opening of price proposals, subject to any applicable obligation to pay a stipend to eligible and responsive design-builders.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.05 ADVERTISEMENT OF DESIGN-BUILD PROJECTS

(1) Advertisement of the RFQ and/or RFP for design-build projects shall be published, at a minimum, through the Internet by posting on the Department’s website. The announcement for a design-build project or projects will be made by the Department in sufficient time for design-builders to submit statements of qualifications or other responses solicited in the RFQ or RFP.

(2) The Department’s RFQ shall outline the tentative general scope, description, location, and anticipated procurement schedule for each proposed design-build project.

(3) The Department will establish and determine the appropriate selection method on a project-by-project basis (e.g., adjusted low bid, fixed price/best design, weighted criteria process, lowest price-technically acceptable, etc.). This selection method will be stated in the RFP, and in the RFQ in a two-phase selection process.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008. 1680-5-4 -.06 DESCRIPTION OF THE SCOPE OF SERVICE. (1) A design-build project shall be designed and constructed as described in the RFP. Through the RFP, the design-builder’s specific scope of work will be defined in detail on a project-by-project basis. (2) A tentative general scope of work will be described as part of the RFQ in a two-phase selection process. Authority: T.C.A. §§ 54-1-119 and 4-3-2303.

Tenn. Comp. R. & Regs. 1680-05-04-.07 REQUEST FOR QUALIFICATIONS

(1) The RFQ (or the RFP in a single-phase selection process) will contain all prequalification requirements for the proposed design-build project. The Department will evaluate the scope of the design-build project and will list the required prequalification categories for the design-build contract.

(2) Through the RFQ (or the RFP in a single-phase selection process), the Department shall establish criteria for the evaluation of statements of qualifications on a project- PROCEDURES FOR THE SELECTION AND AWARD 1680-5-4 OF DESIGN-BUILD CONTRACTS June, 2008 7 by-project basis. The RFQ shall include information on the procedures that apply for consideration of a proposal.

(3) The criteria for evaluation of qualifications may include, without limitation:

(a) Technical qualifications, such as specialized experience and technical competence, including key personnel;

(b) Capability to perform, including the availability of key personnel;

(c) Past performance by members of the design-builder’s team, including design and construction members;

(d) Other appropriate qualifications-based selection factors.

(4) A letter of interest shall be submitted as a cover letter to the design-builder’s SOQ submittal package. The SOQ shall address all stated criteria in the RFQ in order to be considered complete and responsive.

(5) The RFQ (or the RFP in a single-phase selection process) will address potential organizational conflicts of interest.

(a) The design-builder must disclose all relevant facts concerning any past, present, or currently planned interests which may present an organizational conflict of interest, including without limitation as follows:

1. Any current contractual relationships between the design-builder or any other person or entity participating in the design-builder’s team (including identification of the Department contract number and project manager and/or project supervisor);

2. Any present or planned contractual or employment relationships between the design-builder, or any other person or entity participating in the design-builder’s team, and any current Department employee;

3. Any current relationships between any other person or entity participating in the design-builder’s team with any other member of the design-builder team on any other Department project (including identification of the Department contract number and project manager and/or project supervisor);

4. Any other circumstances that might be considered to create a financial interest in the contract for the project by any current Department employee if the design-builder is awarded the contract.

(b) With respect to each of the foregoing disclosures, the design-builder must identify, mitigate, or eliminate apparent or actual organizational conflicts of interest, as well as state how its interests or the interests of those participating as members of the design-builder’s team may result in, or could be viewed as, an organizational conflict of interest.

(c) As a general rule, no person or entity that assisted the Department in preparing the RFP will be allowed to participate as a design-builder or as a member of the design-builder’s team; provided, however, the Department may determine that there is not an organizational conflict of interest where:

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June, 2008 8 1. The role of the person or entity was limited to provision of preliminary design, reports, or similar ‘‘low-level’’ documents that may be incorporated into the RFP but did not include assistance in the development of instructions to design-builders or evaluation criteria, or where 2. All documents and reports delivered to the Department by the person or entity are made available to all potential design-builders.

(d) If a person or entity has participated in preparing the NEPA or TEER document for the proposed design-build project, such person or entity shall not be allowed to respond to the RFQ and/or RFP for that project if:

1. The NEPA or TEER process is not complete prior to the date on which the proposed design-build project is advertised; or 2. The person or entity has any continuing decision-making responsibilities with respect to the NEPA or TEER process for the proposed design-build project after the date on which the proposed project is advertised.

(e) If at any time during the selection process or during the contract period a previously undetermined organizational conflict of interest arises, the designbuilder must disclose that information as soon as discovered.

(6) The Department will review all SOQs in accordance with the advertised criteria in the solicitation, including at a minimum:

(a) Any prequalification requirements;

(b) All project-specific qualifications necessary to satisfy both the construction and design portions of the scope of services; and (c) Disclosures concerning organizational conflicts of interest.

(7) Based on the responses provided in the SOQs, the Design-Build Review Committee shall evaluate the qualifications of the design-builders. Based on these evaluations, the Department may either accept all qualified design-builders or short list as appropriate in accordance with the identified selection method and the organizational conflicts of interest provisions established in paragraph (5) of this rule.

(8) The RFQ may be released prior to the conclusion of the NEPA or TEER review process as long as the RFQ informs design-builders of the general status of the NEPA or TEER process. Prior to completion of the NEPA or TEER review process, any preliminary engineering and other activities and analyses must not materially affect the objective consideration of alternatives in the NEPA or TEER review process.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.08 REQUEST FOR PROPOSALS

June, 2008 1 (1) The Department will issue a request for proposals (RFP) for the design-build project to the design-builders that are deemed qualified or that are short-listed based on their response to the RFQ.

(2) The RFP will outline the Department’s time allowance for review of all submittals.

(3) The RFP shall reference any applicable Department construction specifications including Standard Specifications, supplemental specifications or special provisions.

The RFP will define the mandatory project scope elements, deliverables and the project schedule.

(4) The RFP may address any particular processes, traffic control requirements, construction phasing, techniques that need to be specified in order to construct the project satisfactorily, or responsibilities of the design-builder.

(5) As part of the RFP, and when available, the Department may provide any projectspecific documentation, drawings, files, reports, and other pertinent materials which would be of use to the eligible design-builders.

(6) The RFP will address the base technical concept for the design-build contract.

(7) The RFP may allow design-builders to submit one or more alternate technical concepts (ATCs) for preapproval by the date specified within the RFP as long as these ATCs do not conflict with criteria agreed upon in the NEPA or TEER environmental decision making process.

(a) ATCs will only be considered if they are equal to or better than the base technical concept, as determined by TDOT in its sole discretion, and if they have been used successfully elsewhere under comparable circumstances.

Typically, ATCs will improve project quality and/or reduce project costs. TDOT may allow pre-approved ATCs as part of the design-builder’s proposal.

(b) A proposed ATC is not acceptable if it merely seeks to reduce quantities, performance, or reliability, or seeks a relaxation of the contract requirements.

ATCs shall be submitted by the design-builder and pre-approved in writing by the Department. All technical proposals must include the Department’s preapproval letters for consideration of the ATCs.

(c) The price proposal shall reflect any incorporated ATCs. Except for incorporating approved ATCs, the proposal may not otherwise contain exceptions to or deviations from the requirements of the RFP.

(d) The RFP will not distinguish between a proposal that does not include any ATCs and proposals that include ATCs. Both types of proposals are evaluated against the same technical evaluation factors, and a best value determination is made in the same manner.

(e) Each ATC submittal may include the following:

1. Description;

2. Usage;

3. Deviations;

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June, 2008 10 4. Analysis;

5. Impacts;

6. History; or 7. Risks.

(f) A design-builder may incorporate one or more pre-approved ATCs into its technical and price proposal. Each design-builder shall submit only one proposal.

(g) An approved ATC that is incorporated into a design-builder’s proposal will become part of the design-build contract upon award of the design-build contract to that design-builder.

(h) To the extent authorized by law, ATCs properly submitted by a design-builder and all subsequent communications regarding its ATCs will be considered confidential prior to the award of the design-build contract.

(8) The RFP will address selection and award criteria, which shall include cost, and may include the design-builders’ qualifications, time of completion, innovation, design and construction quality and other technical or quality related criteria.

(9) The RFP will address any other project specific information including, but not limited to:

(a) Conflict of interest resolution; and (b) Proposal guaranty requirements.

(10) The RFP may address and identify contract provisions, including but not limited to:

(a) Risk allocation according to the type and location of the project, and the following risk factors may be considered:

1. Governmental risks;

2. Regulatory compliance risks;

3. Construction phase risks;

4. Post-construction risks; and 5. Right-of-way risks;

(b) Payment and performance bonds;

(c) Post-construction warranties;

(d) General and professional liability insurance;

(e) Meetings regarding the preconstruction services;

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June, 2008 11 (f) The Department’s standards, rules, guidelines, and special provisions requirements;

(g) Environmental regulatory requirements, including whether the Department or the design-builder will acquire any or all of the permits required for construction; and (h) Design and construction requirements, including specifications; and (i) The final documents to be provided by the design-builder upon completion of the project, which may include as-built plans, engineering reports, shop drawings, test results, documentation, daily reports, and item quantities.

(11) The RFP will outline the terms and conditions of a project stipend (if applicable).

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.09 REVIEW OF TECHNICAL AND PRICE PROPOSALS

(1) Short-listed or otherwise eligible design-builders will each submit a technical proposal and a price proposal, concurrently, for the project. The technical proposal and price proposal shall be submitted to the Department in separate sealed envelopes marked in strict accordance with the requirements and timeline contained in the RFP, or as it may be amended. Price proposals will be kept in a secure location until read publicly.

(2) On the date provided in the RFP, the DBRC will open, review, and score or otherwise evaluate the technical proposals and any other required technical information in accordance with the evaluation criteria established in the RFP. As part of the evaluation of technical proposals, the DBRC may require each design-builder to make an oral presentation and submit to an interview.

(3) After evaluating the technical proposals, and on the date and at the time specified in the RFP, or as it may be amended, the Department will publicly open and read the total proposed contract amount in the price proposal submitted by each eligible and responsive design-builder.

(4) The DBRC may request that an eligible design-builder provide the support information used to develop its price proposal. This information may include, but is not limited to, design assumptions, summary of quantities, mobilization assumptions, and construction staging assumptions.

(5) In the event all price proposals submitted exceed an acceptable range of the Department’s cost estimate for the project, the Department, at its discretion, may determine whether to proceed to request a best and final offer.

(6) If a best and final offer is requested, the Department will issue a best and final offer RFP to the eligible design-builders. The best and final offer RFP may or may not include minor changes in the scope or contract requirements of the original RFP.

(7) Based upon the proposal from each design-builder and the appropriate selection method as specified in the RFP, or the best and final offer RFP, if applicable, the DBRC will determine the best evaluated design-builder.

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June, 2008 12 (8) The Department shall have the authority to discontinue the design-build selection process at any time prior to the opening of price proposals, subject to any applicable obligation to pay a stipend to eligible and responsive design-builders.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.10 AWARD PROCESS

(1) The DBRC will forward the apparent best evaluated design-builder to the Commissioner with a recommendation either to:

(a) Reject all proposals; or (b) Award a design-build contract to the best evaluated design-builder; or (c) Provided, however, if the DBRC determines after opening the price proposals that the apparent best evaluated design-builder should be considered non-responsive, or if after award the best evaluated design-builder declines the award and forfeits the proposal guaranty, the DBRC may recommend award of the contract to the next best evaluated design-builder.

(2) Upon receiving the DBRC’s recommendation, the Commissioner may either:

(a) Reject all proposals; or (b) Award a design-build contract to the best evaluated design-builder; or (c) If the DRBC determines after opening the price proposals that the apparent best evaluated design-builder should be considered non-responsive, or if the best evaluated design-builder declines the Commissioner’s award, the Commissioner may award the contract to the next best evaluated designbuilder.

(3) After the design-build contract has been awarded, the Department will publish the technical scores and adjusted prices on the Department’s website.

(4) All short-listed design-builders will be afforded the opportunity for a debriefing with the Department regarding the relative merits of their technical proposals and price proposals.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Tenn. Comp. R. & Regs. 1680-05-04-.11 CRITERIA FOR PROVIDING A STIPEND

(1) At the discretion of the Department, a stipend may be paid to the eligible designbuilders who submit responsive but unsuccessful proposals in response to the RFP.

The decision to do so shall be based on the Department’s analysis of the estimated proposal development costs, the complexity of the project, and the anticipated degree of competition during the procurement process. The purpose of a stipend is to encourage competition by offering to compensate responsive but unsuccessful design-builders for a portion of the estimated proposal development costs.

(2) The terms and conditions for stipends shall be included in the RFP.

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June, 2008 13 (3) If a stipend is provided to an unsuccessful design-builder, the work produced within that design-builder’s proposal for the project shall be provided to the Department for its use in connection with the contract awarded for the project, or in connection with a subsequent procurement, without obligation to pay any additional compensation to the unsuccessful design-builder.

(4) Design-builders submitting a response to the RFQ who are considered non-responsive or unqualified, or who are not short-listed by the Design-Build Review Committee, will not be eligible for a stipend.

History

• Authority: T.C.A. §§ 54-1-119 and 4-3-2303.
• Administrative History: Original rule filed April 16, 2008; effective June 30, 2008.

Chapter 1680-06-01 Rules and Regulations for Accommodating Utilities Within Highway Rights-Of-Way

Tenn. Comp. R. & Regs. 1680-06-01-.01 PREFACE

Historically, utility facilities have been accommodated in highway rights-of-way pursuant to various State statutes, local law, ordinances and franchises upon execution of a Utility Use and Occupancy Agreement issued by the Department of Transportation. Heretofore such installations have been made based on Department of Transportation approval of plans, prepared by the utility, prior to execution of the Utility Use and Occupancy Agreement by the Department of Transportation. However, construction of freeway type highways, as exemplified by the system of Interstate and Defense Highways, to accommodate large volumes of vehicular traffic and demands of an ever increasing population for essential utility services, has necessitated the Department of Transportation to carefully consider the effects of joint usage of highway rights-of-way and develop written rules and regulations to govern the use and occupancy of highway rights-of-way by public and private utilities. Rules arid regulations set forth herein have been prepared with the thought of accommodating utility facilities and at the same time maintaining the integrity, operational safety and function of the highway facility.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8,1983; effective September 7, 1983.

Tenn. Comp. R. & Regs. 1680-06-01-.02 DEFINITION OF TERMS:

(1) For the purpose of these rules and regulations the following definitions shall apply:

(a) Average daily traffic. The average 24-hour volume, being the total volume during a stated period divided by the number of days in that period. Unless otherwise stated, the period is a year. The term is commonly abbreviated as ADT.

(b) Backfill. Replacement of suitable material compacted as specified around and over a pipe, conduit, casing or gallery.

(c) Bedding. Organization of soil or other suitable material to support a pipe, conduit, casing or gallery.

(d) Cap. Rigid structural element surmounting a pipe, conduit, casing or gallery.

(e) Carrier, Pipe directly enclosing a transmitted fluid (liquid or gas).

(f) Casing. A larger pipe enclosing a carrier.

(g) Clear Zone. That roadside border area, starting at the edge of the traveled way, available for use by errant vehicles.

(h) Coating. Material applied to or wrapped around a pipe.

(i) Commissioner of Transportation. Commissioner of Transportation, Tennessee Department of Transportation.

(j) Conduit or duct. An enclosed tabular runaway for protecting wiles or cables.

(k) Control of access. The condition where the right of owners or occupants of abutting land or other persons to access, light, air or view in connection with a highway is fully or partially controlled by public authority.

(l) Conventional highway. An arterial highway without access control.

(m) Cover. Depth of Lop of pipe, conduit, casing or gallery below grade of roadway or ditch.

(n) Cradel. Rigid structural element below and supporting a pipe.

(o) Department of Transportation. Tennessee Department of Transportation.

(p) Direct burial. Installing a utility facility underground without encasement.

(q) Division Administrator. Division Administrator, Federal Highway Administration, U.S.

Department of Transportation.

(r) Drain. Appurtenance to discharge liquid contaminants from casings.

(s) Encasement. Structural element surrounding a pipe.

(t) Encroachment. Unauthorized use of highway right-of-way or easements as for signs, fences, utilities, parking, storage, etc.

(u) Expressway. A divided arterial highway for through traffic with full or partial control of a generally with grade separations at major intersections.

(v) FHPM. Federal-Aid Highway Program Manual.

(w) Flexible pipe. A plastic, fiberglass, or metallic pipe having large ratio of diameter to wall which can be deformed without undue stress.

(x) Freeway. An expressway with full control of access.

(y) Frontage road. A local street or road auxiliary to and located on the side of an arterial highway for service to abutting property and adjacent areas and for control of access.

(z) Full control of access. The authority to control access is exercised to give preference to through traffic by providing access connections with selected public roads only by prohibiting crossings at direct private driveway connections.

(aa) Gallery. An underpass for two or more utility lines.

(bb) Gas Main. A pipe installed in a community to convey gas to individual services lines or other mains.

(cc) Grounded. Connected to earth or to some extended conducting body which serves instead of whether the connection is intentional or accidental.

(dd) Grout. A cement mortar or a slurry of fine sand or clay.

(ee) Highway, Street or Road. A general term denoting a public way for purposes of vehicular travel, including the entire area within the right-of-way.

(ff) Jacket. Encasement by concrete poured around a pipe.

(gg) Manhole. An opening in an underground system which workmen or others may enter for the purposes of making installations, inspections. repairs, connections and tests.

(hh) Median. The portion of a divided highway separating the traveled ways for traffic in opposite directions.

(ii) New Utility Installation. An initial installation on the highway right-of-way and the replacement of existing facilities with those of a different type, capacity or design of replacement at a new location on the right-of-way.

(jj) Normal. Crossing at a right angle.

(kk) Oblique. Crossing at an acute angle.

(ll) Partial control of access. The authority to control access is exercised to give preference to through traffic to a degree that, in addition to access connections with selected public roads, there may be some crossings at grade and some private driveway connections.

(mm) Pavement structure. The combination of subbase, base course, and surface course placed on a subgrade to support the traffic load and distribute it to the roadbed.

(nn) Pipe. A tabular product made as a production item for sale as such. Cylinders formed from plate in the course of the fabrication of auxiliary equipment are not pipe as defined here.

(oo) Pipeline or transmission line. A pipe installed for the purpose of transmitting a product from 3 source or sources of supply to one of more distribution centers, or to one or more large volume customers, or a pipe installed to interconnect sources of supply.

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

(qq) Pressure. Relative internal pressure in psig (pounds per square inch gauge).

(rr) Private lines. Privately owned facilities which convey or transmit commodities outlined in the application and scope sections of these rules and regulations but are devoted exclusively to private use.

(ss) Right-of-way. A general term denoting land, property. or interest therein, usually in a strip, acquired for or devoted to transportation purposes.

(tt) Rigid pipe. Pipe designed for diametric deflection of less than 1%.

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

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

(ww) Safety rest area. A roadside area with parking facilities separated from the roadway provided for motorists to stop and rest for short periods. It may include drinking water, toilets, tables and benches, telephones, information, and other facilities for travelers.

(xx) Scenic overlook, A roadside area provided for motorists to stop their vehicle for viewing the scenery in safety.

(yy) Semi-Rigid pipe. Pipe designed to tolerate from 1% to 301% diametric deflection.

(zz) Service line. The piping installed between the meter set assembly and a main, pipeline or other source of supply.

(aaa) Stab, floating. Slab between, but not contacting, pipe or pavement.

(bbb) Sleeve. Short casing through pier or abutment of highway structure.

(ccc) Special Provision. Provision inserted into a Use and Occupancy Agreement revising these rules and regulations or supplements hereto, and covering conditions peculiar to the individual utility installation.

(ddd) Specifications. Standard Specifications for Road and Bridge Construction-Tennessee Department of Transportation.

(eee) State Transportation Engineer. Transportation Engineer, Tennessee Department of Transportation (fff) Surety. The corporation, partnership or individual other than the utility owner, executing a bond furnished the Department of Transportation by the utility owner.

(ggg) Traveled way. The portion of the roadway for the movement of vehicles, exclusive of shoulders and auxiliary lanes.

(hhh) Trenched. Installed in a narrow open excavation.

(iii) Untrenched. Installed without breaking ground or pavement surface, such as by jacking or boring.

(jjj) Use and Occupancy Agreement. The document by which the Department of Transportation regulates and/or gives approval of the use and occupancy of highway rights-of-way by utility facilities or private lines.

(kkk) Utility owner. The public agency, cooperative, corporation, company or individual named in the Use and Occupancy Agreement and responsible for the construction, operation and maintenance of the utility facility.

(111) Utility Service Connection. A service connection from a utility distribution or feeder line or main to the premises served.

(mmm) Vent. Appurtenance to discharge gaseous contaminants from casings.

(nnn) Walled. Partially encased by concrete poured along side the pipe.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8, 1983; effective September 7, 1983. Amendment filed July 20, 1984; effective August 19, 1984.

Tenn. Comp. R. & Regs. 1680-06-01-.03 APPLICATION AND SCOPE

(1) Application.

(a) Rules and Regulations set forth herein shall apply to all publicly, privately or cooperatively owned utilities for producing, transmitting or distributing electric power, light, communications, water, gas, oil, crude products, steam, chemicals, sewage, storm drainage, irrigation structures and ditches, fire and police signal systems and street lighting systems that are to be located, adjusted and/or relocated either overhead or under ground within rights-of-way of highways which compose the state, Federal-aid metro-urban and State-aid highway system of roads.

Utility owners must deal directly with county and/or city officials concerning installations or relocations on Federal-aid metro-urban and State-aid highway system roads unless advised in writing that the Department of Transportation is acting as agent for the local government in acquiring the rights-of-way and adjusting utilities to accommodate proposed highway construction.

(b) It is not intended that these rules and regulations be retroactive but shall be effective on the date they are officially issued or revised by the Commissioner of Transportation. They shall apply to new installations and utility facilities relocated to accommodate highway construction.

(2) Scope.

(a) Rules and Regulations set forth herein are limited to the Department of Transportation’s responsibility for preserving the integrity of the highway and its safe and efficient operation. It is not intended that these rules and regulations alter or conflict with current State statutes, local ordinances, franchises or regulations for installing and maintaining utility facilities within highway rights-of-way. Neither are they to be used as a basis for determining financial responsibility for replacing, adjusting and/or relocating utility facilities. When State statutes, local ordinances, or orders of appropriate governmental agencies require a greater degree of protection than required in these rules and regulations, such requirements take precedence over these rules and regulations.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8, 1983; effective September 7, 1983.

Tenn. Comp. R. & Regs. 1680-06-01-.04 GENERAL CONSIDERATIONS

(1) New utility facilities being installed within highway rights-of-way will require a Use and Occupancy Agree- issued by the Department of Transportation. The Department has adopted a standard Use and Occupancy Agreement which is included as Appendix #1.

(a) The utility official signing the Use and Occupancy Agreement must furnish evidence acceptable to the Department that fie is empowered to bind the corporation or municipality to the terms of the agreement. This evidence will be kept on file by the Department for reference, and it will not be necessary that same be submitted each time a permit is requested so long as the same official executes the agreement.

(b) In those instances where Utility facilities are being installed in highway rights-of-way by an owner or developer of properties adjacent to the highway and the utility facilities will later become the property of a local government or utility company; particular care must be exercised to insure that obligations assumed by the developer in executing the Use and Occupancy Agreement are transferred to the subsequent owner. Both the developer and subsequent owner shall sign the agreement.

(c) Individuals or businesses installing private utility facilities will be required to execute the license as shown in Appendix No. 6.

(2) Utility facilities presently located in public rights-of-way which must be adjusted and/or relocated to accommodate new highway construction will be subject to these stated rules and may be retained in the rights-of-way under provisions of the existing permit or Use and Occupancy Agreement. If no record of a permit can be found by either the utility or State, a Use and Occupancy Agreement will be prepared by the Department of Transportation for execution by the utility and State Transportation Engineer.

(3) The facilities of a utility located in private lands. whether owned in fee or casement, that must be adjusted and/or relocated to accommodate no”, highway construction and will thereafter jointly occupy said lands with the highway shall be subject to these rules.

(4) Utility facilities presently located in private lands, by virtue of adverse possession thereof, which must be adjusted and/or relocated to accommodate highway construction and will, when adjusted and/or relocated, occupy lands acquired for highway rights-of-way will be subject to these rules. A Use and Occupancy Agreement will be prepared by the Department of Transportation for execution by the utility owner and the State Transportation Engineer.

(5) Execution of a Use and Occupancy Agreement will not be required for:

(a) Routine maintenance of utility facilities where pavement and shoulders are not disturbed.

(b) Placement of additional cable in existing underground ducts.

(c) Changing of transformers in electric distribution lines.

(d) Reconductoring of existing poles, anchor and guy facilities when poles are not added or replaced, framing and other minor work. Poles may be replaced in the same location; however, consideration must be given to relocating the pole line in order to meet the present safety requirements as outlined in these rules and regulations.

(e) Underground water, gas, electric, telephone or other service connections when shoulder or pavement of highway is not disturbed.

(f) Overhead service connections on conventional highways. Overhead service connections shall not be made across freeway projects without approval of the Department of Transportation.

1. The utility owner or authorized representative, when performing any of these activities, is required to provide signing and traffic control measures as required and set forth in these rules.

2. The utility owner must notify the Department of Transportation’s Regional Utilities Engineer prior to performing excavation or replacing poles within the highway right-ofway. When work must be done on an emergency basis during other than normal working hours, notification should be given by the next working day. If any temporary structures are required to facilitate the work, the location of these structures must be approved by the Regional Utilities Engineer.

(6) Except as may otherwise be provided in Rule 1680-6-1-.09 for certain fiber optic cable facilities, the design, location and installation of new utility facilities or the necessary relocation and/or adjustment of existing utility facilities within the rights-of-way of freeways shall conform to the provisions of “A Policy on the Accommodation of Utilities Within Freeway Right-of-Way,” published by the American Association of State Highway and Transportation Officials in 1982. This publication is included herein as Appendix # 2.

(7) Longitudinal installations of utility facilities other than certain fiber optic cable facilities governed by

Rule 1680-6-1-.09 shall not be permitted within freeway rights-of-way except in special cases under strictly controlled conditions and only along the outer edge of the right-of-way. This restriction shall not apply to utilities that provide services to Department of Transportation or other state-operated facilities along the freeway, including without limitation rest areas, welcome centers and weigh stations.

(a) To be considered for a permit in a special case, the utility owner must submit to the Department of Transportation a study showing that:

1. The proposed utility accommodation will not adversely affect the safety, design, construction, operation, maintenance or stability of the freeway;

2. The proposed utility accommodation will not be constructed, serviced or maintained by direct access from the traveled way, shoulders or access ramps of the freeway;

3. The proposed utility accommodation will not interfere with or impair the present operation, use and maintenance, or future expansion, of the freeway; and 4. Any alternative location would be contrary to the public interest. This showing shall include an evaluation of the direct and indirect environmental and economic effects that would result if the proposed utility accommodation is denied.

(b) When evaluating this study, the Department of Transportation will give consideration to:

1. The effect the proposed utility accommodation would have on the highway and traffic safety;

2. The direct and indirect environmental and economic effects of any loss of productive agricultural land that would result if the proposed utility accommodation is denied;

3. The interference with or impairment of the use of the highway if the proposed utility accommodation is approved; and 4. The availability of alternative locations for the utility.

(8) Use and Occupancy Agreements for the installation of utility facilities within the rights-of-way of Federal-aid highway projects may require the approval of the Division Administrator, Federal Highway Administration, as provided in the rules and regulations of the Federal Highway Administration with respect to the accommodation of utilities, 23 C.F.R. Part 645, Subpart B, as amended.

(9) The responsibility of designing, installing, maintaining, repairing and operating utility facilities to be located within highway rights-of-way under terms of an approved Use and Occupancy Agreement shall be the express obligation of the company, individual or public agency owning the facility.

(Relocation costs to accommodate highway construction will be considered under the Department of Transportation’s reimbursement procedures for such relocations.)

(10) The Department of Transportation will inspect all utility installations within highway rights-of-way for conformity with herein stated rules and regulations and special provisions which are made a part of the Use and Occupancy Agreement. When new utility installations within the rights-of-way of existing highways are of such magnitude and complexity as to require extensive inspectional services by the Department of Transportation to ascertain that all provisions of these rules and regulations are carried out, the Department of Transportation reserves the right to place an inspector on the site for the duration of construction activities. The utility in accepting the Use and Occupancy Agreement agrees to reimburse the Department of Transportation for said inspector’s salary, equipment use and miscellaneous expense applicable to the installation of the utility facilities. The necessity for such inspectional services can usually be determined prior to execution of the Use and Occupancy Agreement, and the requirement for inspectional services will be set out as part of the agreement by incorporation of a special provision. Failure to install facilities in accordance with these ruled and regulations and terms of the Use and Occupancy Agreement will result in the Department of Transportation’s Regional Engineering Director advising the utility company to suspend further construction activities until corrective measures have been made to the satisfaction of the Department of Transportation.

(11) Any inspection or control exercised by the Department of Transportation shall in no way relieve the utility owner of any duty or responsibility to the general public nor shall such services and/or control by the Department of Transportation relieve the utility owner from any liability for loss, damage or injury to persons or adjacent properties.

(12) The decision of the State Transportation Engineer, and if required the Division Administrator of the Federal Highway Administration, shall be final and conclusive with respect to conditions, terms, stipulations and provisions of the Use and Occupancy Agreement as approved.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8, 1983; effective September 7, 1983. Amendment filed July 20, 1984; effective August 19, 1984. Amendment filed February 1, 1989; effective March 18, 1989. Amendment filed September 24, 2002; effective December 8, 2002.

Tenn. Comp. R. & Regs. 1680-06-01-.05 .

(g) Service Connections.

Service connections to adjacent properties shall not be permitted from fiber optic cable installations within the access control limits of the freeway right-of-way, except at interchanges or other locations approved in writing by the Department of Transportation.

(9) Clear Zone Considerations.

(a) General Clear Zone Location Policy.

The installation of fiber optic cable facilities may be permitted within the clear zone of a state freeway under special circumstances where the Department of Transportation determines that it is not reasonably practical to locate the fiber optic cable facility outside the clear zone and that the installation of fiber optic cable facilities within the clear zone may be done in a manner that is consistent with the Department’s goal to minimize interference with the safe use, operation and maintenance of the freeway.

(b) Limitation of Installations Within the Clear Zone.

In order to minimize interference with the safe use, operation and maintenance of the freeway, and as reasonably necessary to manage the right-of-way, the Department of Transportation reserves the right to restrict the total number of installations within the clear zone to no more than one installation on any particular segment of a state freeway.

(c) Clear Zone Installation Terms and Conditions.

A telecommunications company requesting permission for the longitudinal installation of fiber optic cable facilities within the clear zone of a state freeway may be required to comply with the following terms and conditions, without limitation as to such additional terms and conditions as may be included in the Use and Occupancy Agreement:

1. The telecommunications company may be required to provide other telecommunications companies with reasonable notice of the anticipated or planned opening of the right-ofway within the clear zone.

(i) The notice period should provide such time as another telecommunications company may reasonably require to develop business plans and obtain financing in order to participate in the installation of fiber optic cable facilities during the anticipated or planned opening of the right-of-way within the clear zone, and in any event the notice period should not be less than 60 days.

(ii) The required notice may be accomplished through the publication of a notice of the proposed project, including the anticipated construction schedule, for three consecutive days in a newspaper of general circulation within the area of the project, and by the mailing of such notice to all incumbent local exchange carriers (ILECs) within the area of the project, to all facilities-based competitive local exchange carriers (CLECs) and interexchange carriers (IXCs) certified by the Tennessee Regulatory Authority, and to such other potentially interested parties as the Department of Transportation may direct.

2. The telecommunications company may be required to install spare fiber cable lines, empty innerducts, and/or empty conduit sufficient to accommodate reasonably anticipated future demand.

3. For each section of fiber, empty innerduct or empty conduit within the clear zone, the telecommunications company may be required to install connection points (manhole or cabinets) outside the clear zone, or elsewhere as the Department of Transportation may direct, where other telecommunications companies may, at their option, access or interconnect with these facilities.

4. The rates, terms and conditions for interconnection with facilities and/or the use of empty innerduct or conduit space within the clear zone should be fair, reasonable and nondiscriminatory, but may include a reasonable profit, in accordance with applicable regulations and guidelines of the Federal Communications Commission and/or Tennessee Regulatory Authority.

5. The telecommunications company may be required to make fiber available for sale to other telecommunications companies on an “irrevocable right to use” basis at such rates and upon such terms and conditions as are fair, reasonable and non-discriminatory, but which may include a reasonable profit, in accordance with applicable regulations and guidelines of the Federal Communications Commission and/or Tennessee Regulatory

Authority.

6. The telecommunications company may be required to offer facilities and services for resale at such rates and upon such terms and conditions as are fair, reasonable and nondiscriminatory, but which may include a reasonable profit, in accordance with applicable regulations and guidelines of the Federal Communications Commission and/or Tennessee Regulatory Authority.

7. If the telecommunications company provides retail telecommunications service, either directly or through an affiliated entity, it may be required to provide such services at such rates, terms and conditions as are fair, reasonable and non-discriminatory, in accordance with applicable regulations and guidelines of the Federal Communications Commission and/or Tennessee Regulatory Authority.

(10) Installation and Maintenance Requirements.

(a) General Standards of Care.

1. The telecommunications company shall take care not to install any fiber optic cable facility in such a manner as to create a potential hazard to life, health or property or in such a manner as to impair the use, operation and maintenance of the freeway.

2. The telecommunications company shall cooperate with the Department of Transportation to identify locations for fiber optic cable facilities within the freeway right-of-way that will, to the extent it is reasonably practical, minimize any potential conflict with the future expansion or reconstruction of the freeway. The telecommunications company shall also take care to install all fiber optic cable facilities in such manner as to require only minimal maintenance within the freeway right-of-way after installation.

(b) Tennessee One-Call Service.

The telecommunications company shall comply with the Tennessee One-Call Service as provided in Section 65-31-107 of the Tennessee Code, or as it may be amended.

(c) Permits and Approvals.

The telecommunications company shall be responsible for obtaining all approvals and/or permits that may be required for activities authorized under this Rule, including without limitation all environmental permits and federal regulatory approvals or permits, if applicable.

(d) Minimum Installation and Maintenance Controls.

The following minimum controls shall apply to the installation, servicing and maintenance of all fiber optic cable facilities within state freeway rights-of-way, in addition to such other requirements as the Department of Transportation may provide as a general or special condition of the Use and Occupancy Agreement:

1. Installation and Maintenance Plan.

Before commencing any installation, servicing or maintenance of a fiber optic cable facility, the telecommunications company shall submit an installation and maintenance plan to the Department of Transportation for review and approval, and upon approval such plan shall be made a part of the Use and Occupancy Agreement. At a minimum, the installation and maintenance plan shall specify:

(i) The location and method of installing each part of the fiber optic cable facility within the right-of-way;

(ii) The means by which access to and within the right-of-way shall be accomplished for the purpose of installing, servicing and maintaining each part of the fiber optic cable facility, including provisions for ingress and egress, parking of vehicles and equipment, and storage of materials;

(iii) The means by which the telecommunications company will provide for the control of traffic on the freeway, if needed, in the course of installing, servicing or maintaining any part of the fiber optic cable facility;

(iv) The schedule for completing the installation of the fiber optic cable facility, or parts thereof, within the right-of-way; and (v) The procedure by which the telecommunications company will conduct emergency maintenance operations within the right-of-way.

2. Preservation of Pavement Structure.

Open cutting or trenching of the freeway’s pavement structure, including without limitation the traveled way, shoulders and access ramps, shall not be permitted.

Wherever the Department of Transportation permits a crossing of the freeway pavement structure in accordance with this Rule, the crossing shall be accomplished by boring or other untrenched method as approved by the Department.

3. Blasting.

When blasting is necessary, the telecommunications company shall follow the guidelines established in Rule 1680-6-1-.07.

4. Access to Right-of-Way for Installation and Maintenance.

(i) As far as it is reasonably practical, all fiber optic cable facilities should be designed and located in such a manner that they can be installed, serviced and maintained without direct access thereto from the traveled way, access ramps or shoulders of the freeway. Such direct access may be permitted in special circumstances where there is no reasonably practical alternative means of access and the telecommunications company has made adequate provisions for controlling access to the work zone, directing traffic, and protecting the safety of workers and the traveling public, as specified in the installation and maintenance plan approved by the Department of Transportation.

(ii) Except as may be permitted under special circumstances as described above, access to the freeway right-of-way for the installation, servicing or maintenance of fiber optic cable facilities shall be limited to:

(I) Frontage roads, where available;

(II) Adjacent or nearby public roads and streets;

(III) Trails along or near the freeway right-of-way line that connect only to an intersecting road; or (IV) Adjacent private property behind the access control fence.

(iii) In every case where the Department of Transportation has permitted a temporary break in the access control fence under this Part, the telecommunications company shall have the responsibility to maintain control of access to the state freeway right-of-way as specified in the installation and maintenance plan approved by the Department. Upon completion of the fiber optic cable facility installation in any

part of the freeway where a temporary break in access control has been permitted, the telecommunications company shall promptly restore the access control fence as specified by the Department.

5. Parking of Vehicles.

The telecommunications company shall not be permitted to park vehicles and equipment or to store materials on the freeway right-of-way without express prior approval by the Department of Transportation. In no case shall the telecommunications company be permitted to park vehicles and equipment or store materials within the clear zone of the freeway, except as may be required during actual installation operations within the clear zone and while all required traffic control is present and in place.

6. Traffic Control.

(i) All traffic control signs or other traffic control devices that the telecommunications company may use in the course of any installation, servicing or maintenance of a fiber optic cable facility shall comply with the provisions of

Chapter 1680-6-1 and the Manual on Uniform Traffic Control Devices, as adopted in Chapter 1680-3-1.

(ii) In addition, the telecommunications company shall arrange for law enforcement officers having appropriate enforcement authority to be present to ensure the safe flow of traffic whenever any installation, servicing or maintenance of a fiber optic cable facility occurs within the clear zone of the freeway or as may be required in the installation and maintenance plan approved by the Department of Transportation where access to the work zone has been permitted from the traveled way, shoulders or access ramps of the freeway. The telecommunications company may not conduct any such work within the right-of-way without giving specific advance notice thereof to the Department of Transportation.

7. Advance Notice of Installation or Maintenance Work.

Before performing any non-emergency servicing or maintenance of a fiber optic cable facility at any location within the freeway right-of-way and before performing any installation of a fiber optic cable facility within the clear zone or where access to the utility work zone has been permitted from the traveled way, shoulders or access ramps of the freeway, the telecommunications company shall give at least five (5) work days advance notice thereof to the Regional Director of the Department of Transportation Region in which the work is to be performed.

8. Emergency Maintenance or Repair.

The telecommunications company shall notify the appropriate Regional Director of the Department of Transportation as soon as possible, and in any event not more than twenty-four (24) hours, after the occurrence of an event requiring emergency maintenance or repair of a fiber optic cable facility within the freeway right-of-way, or as otherwise specified in the installation and maintenance plan approved by the Department.

(e) Cessation of Work for Public Safety.

If the telecommunications company fails to comply with the traffic control plan or any other provision of the installation and maintenance plan, or if any activity of the telecommunications company within the freeway right-of-way interferes with the safe and efficient use of the freeway as determined by the Department of Transportation, the telecommunications company shall immediately cease such activity upon notice being given by the Department, and the telecommunications company shall thereafter work with the Department to bring its activities into compliance with the installation and maintenance plan and/or implement such additional safety requirements as may be specified by the Department.

(f) Ecological, Historical and Archaeological Considerations.

If at any time during the installation of fiber optic cable facilities within the freeway right-ofway the telecommunications company encounters an area having ecological, historical or archaeological significance under federal or state law, the telecommunications company shall immediately notify the Department of Transportation and cease installation operations in that area until receiving further instructions from the Department of Transportation.

(g) Trees.

The cutting or removal of trees along the freeway right-of-way shall not be permitted without the express approval of the Department of Transportation.

(h) Hazardous Substances.

The telecommunications company shall not place, install or deposit any hazardous substance or hazardous waste within or on any part of the state freeway or state freeway right-of-way. If at any time the telecommunications company causes or allows a spill of a hazardous waste or substance within the freeway right-of-way, the telecommunications company shall remain solely liable for the clean-up and removal of such hazardous waste or substance. The telecommunications company shall indemnify the State of Tennessee and Department of Transportation, and their officers, employees and agents, and shall hold them harmless against any and all claims or expenses of any kind related to the deposit, spillage and/or clean-up of any such hazardous wastes or substances.

(i) Installation of Access Points for the Department of Transportation.

Where the Department of Transportation requests in-kind compensation for the use of state freeway rights-of-way in accordance with Section 54-16-112 of the Tennessee Code and this

Rule, the telecommunications company shall provide pull boxes, splice boxes and/or other access points at such intervals and locations as the Department of Transportation may require.

Covers for such access points shall be traffic rated in accordance with the requirements of the Department of Transportation’s Standard Specifications for Road and Bridge Construction, and each cover shall be marked to identify it as a fiber optic cable facility.

(j) Inspection.

All work performed within state freeway right-of-way or otherwise on state property, including without limitation any work performed for the Department of Transportation, shall be subject to inspection by the Department. The Department shall have the authority to reject substandard work or materials and/or to suspend or stop work, in whole or part, where the telecommunications company fails to comply with any requirement of this Rule or the Use and Occupancy Agreement, or where any unsafe or hazardous condition exists.

(k) Above-Ground Markers.

The telecommunications company shall install permanent above-ground markers indicating the location of its underground fiber optic cable facilities at such intervals as the Department of Transportation may approve or require in the installation and maintenance plan. These markers shall not interfere with the safe use, operation and maintenance of the freeway, nor shall they constitute a hazard to the traveling public.

(l) Repair and Restoration of Premises.

1. The telecommunications company shall, as directed by and in a manner satisfactory to the Department of Transportation, promptly replace or repair any portion of the pavement, shoulders, structures, ramps, guardrail, drainage, or any other part of the freeway that may have been damaged in the course of any work within the state freeway right-of-way.

2. Upon the completion of any installation, replacement, repair or relocation of fiber optic cable facilities within the state freeway rights-of-way, the telecommunications company shall promptly restore the premises to a condition similar to that which existed prior to such work, in a manner satisfactory to the Department of Transportation.

3. The telecommunications company shall remain responsible for maintaining any excavation or trench on or along the state freeway right-of-way, as directed by and in a manner satisfactory to the Department of Transportation.

(m) As-Built Drawings.

“As-built” drawings of all underground and aboveground fiber optic cable facilities located on the state freeway right-of-way shall be submitted to the Department of Transportation upon completion of any installation or relocation.

(11) Compliance and Revocation.

(a) In the event that the Department of Transportation determines that the telecommunications company is in violation of any provision of this Rule or the Use and Occupancy Agreement, the Department of Transportation may order the telecommunications company to comply.

(b) In any case not presenting any imminent threat to public safety, as determined by the Department of Transportation, the telecommunications company shall be given thirty (30) days, or such other reasonable time as the Department may provide, within which to correct the noncompliance.

(c) In any case presenting an imminent threat to public safety, as determined by the Department of Transportation, the telecommunications company shall correct the noncompliance promptly as directed by the Department.

(d) If the telecommunications company fails to comply with any order or directive given by the Department of Transportation under this Paragraph, the Department of Transportation may revoke the Use and Occupancy Agreement, after such notice and opportunity for hearing, if any, as may be required by law.

(e) The telecommunications company shall not be entitled to any compensation or reimbursement of expenses in the event of such revocation of the Use and Occupancy Agreement.

(f) Upon the revocation of the Use an Occupancy Agreement, the telecommunications company shall promptly remove any fiber optic cable facilities within the state freeway right-of-way, in such manner and within such time as the Department of Transportation may direct. If the telecommunications company fails to remove the fiber optic cable facilities within the time directed, the fiber optic cable facilities shall be deemed to be abandoned by the telecommunications company, and the Department of Transportation shall be deemed the owner thereof; provided, however, that the Department of Transportation, in its sole discretion, may refuse ownership of the abandoned fiber optic cable facilities at any time within one year after the abandonment and thereupon hold the telecommunications company liable for the costs of removing such facilities from the freeway right-of-way.

(12) Appendix: Rate Sheet Adopted by the Advisory Board.

Rate Sheet Underground Fiber Optic Facilities Advisory Board The Advisory Board hereby adopts the following fair, reasonable and nondiscriminatory rate of compensation for access to controlled-access highway right-of-way, and method of valuation of in-kind compensation in accordance with

Section 54-16-112 of the Tennessee Code:

Minimum Underlying Urban/Suburban/Rural Rates Type of Right-of-Way Annual Per Mile Rate Urban $1,500 per 1 ¼ inch innerduct (or equivalent)

Suburban $1,000 per 1 ¼ inch innerduct (or equivalent)

Rural $500 per 1 ¼ inch innerduct (or equivalent)

Minimum Underlying Clear Zone Rate Type of Right-of-Way Annual Per Mile Surcharge All Areas $4,000, per trench The Advisory Board hereby adopts the following rates, developed from the above underlying rates, plus a 3% inflation factor for the annual remittance option, or for the up-front remittance options, based on a 5% rate of discount.

Up-front verses Annual Remittance Options Per 1 ¼ inch innerduct (or equivalent), per mile Type of Rightof-Way Annual Up-front for 10 year term Up-front for 20 year term Up-front for 30 year term Up-front for 40 year term Urban $1,500 + 3% inflation factor compounded (starting yr. two) $12,162 $19,628 $24,212$27,026 Suburban $1,000 + 3% inflation factor compounded (starting yr. two) $8,108 $13,085 $16,141$18,017 Rural $500 + 3% inflation factor compounded (starting yr. two) $4,054 $6,543 $8,071$9,009 Clear Zone (per trench) $4,000 + 3% inflation factor compounded (starting yr. two) $32,431$52,341$64,564$72,068 The Advisory Board hereby adopts an annual increase of the per mile rates listed above by the actual percentage rate of inflation as measured by the Consumer Price Index (CPI). This factor will be applied to all contracts seeking access to the controlled-access highway right-of-way after 2002, and every year thereafter, until the Advisory Board establishes a new rate of compensation.

The Advisory Board hereby adopts the incremental cost valuation methodology, as described in the Summary Report submitted by the Department of Transportation, dated November 30, 2001, for the valuation of in-kind compensation.

This Rate Sheet is hereby adopted, in its entirety, by majority vote of the Advisory Board members present and entitled to vote. ______________________________________ Justin Wilson, Chairman of the Advisory Board Dated: January 7, 2002

History

• Authority: T.C.A. §54-16-112.
• Administrative History: Amendment filed September 24, 2002; effective December 8, 2002 (Original rule renumbered to 1680-6-1-.10).

Tenn. Comp. R. & Regs. 1680-06-01-.06 LOCATION AND ALIGNMENT CRITERIA FOR INSTALLATION WITHIN HIGHWAY

RIGHTS-OF-WAY.

(1) Overhead Power and Communication Lines. Type of Construction.

(a) Longitudinal installations of overhead lines within highway rights-of-way are limited to single pole type of construction unless approved by the State Transportation Engineer as an exception to these rules and regulations based on extreme hardship conditions. new facilities or existing facilities being rebuilt in their entirety shall be designed to provide maximum spacing of poles within the bounds of sound engineering principles and economic considerations, Alignment shall be as near uniform as practical to avoid anchors, stub poles and other ground mounted appurtenances.

(b) On and along conventional highways in rural areas, poles and related ground mounted appurtenances shall be located at or as near as practical to the rights-of-way line. As a minimum the poles shall be located outside the clear zone for the highway section involved without full access control.

(c) Joint use construction, as indicated by Rule 222 of Part 2 of the National Electrical Safety Code, shall be considered at all feasible locations where more than one utility or type of facility is to be located overhead.

(d) The minimum vertical clearance for overhead power and communication lines above the traffic lanes of the highway and the lateral and vertical clearance from bridges shall conform to currently applicable National Electrical Safety Code.

(e) Stub poles or guy wires to ground anchors shall not be placed between a pole and the traveled way where they encroach upon the clear zone.

(f) Where irregular shaped portions of the right-of-way extend beyond the normal right-of-way limits, variances in the location from the right-of-way will be allowed as necessary to maintain a reasonably uniform alignment for longitudinal installations.

(g) Longitudinal installations will not be permitted in the highway median.

(h) On crossing a highway, facilities shall not be located in a highway median within the clear zone from both directions of travel.

(i) Crossing of the highway shall be as near normal as practical under prevailing circumstances.

(j) On or along conventional highways in urban areas, poles and related ground-mounted appurtenances shall be located at or as near as practical to the right-of-way line. Where there are curb and gutter sections, poles shall be located as far as practical behind the face of outer curbs, and where sidewalks are provided to the back of sidewalk if at all practical.

It is realized that these sections of highway with closely abutting improvements and usually a minimum width of right-of-way are special cases which must be resolved in a manner consistent with the prevailing limitations and conditions. Considerations must be given to designs employing selfsupporting, armless, single pole construction, with vertical alignment of wires or cables, or other techniques permitted by applicable governmental or industry codes. Exceptions to these clearances may be considered where poles and related ground-mounted appurtenances are placed behind guard rails, retaining walls or deep drainage ditches, at the toe or top of steep slopes, or at other similarly protected locations without full access control.

(2) Underground Power, Communication, Water and Sanitary Sewer Facilities.

(a) On conventional highways in rural areas longitudinal installations shall be at or as near as practical to the right-of-way line so as to minimize interference with highway drainage, the structural integrity of the traveled way, shoulders, embankment and safe operation of the highway. Alignment of facilities shall be as uniform as possible under prevailing circumstances in order that points of access for installation and maintenance may be kept to a minimum. No new installations will be permitted within the normal highway median area, except in extreme hardship cases where there is no other feasible location.

(b) On or along conventional highways in urban areas underground utility facilities shall be located at or as practical to the highway right-of-way line. Where there are curb and gutter sections, underground utilities shall be located outside the travel lanes whenever practical. No new installations will be permitted within the normal highway median area, except in extreme hardship cases where there is no other feasible location. It is realized that these sections of the highway must be considered as special cases in considering longitudinal encroachment of underground facilities, and problems must be resolved on a case by case basis consistent with prevailing limitations and conditions and design considerations to elevate to every extent possible interference with safety and operations of the highway facilities. Relocation of utility facilities and/or alterations to accommodate reconstruction of the highway will be reviewed and considered on a case by case based on the conditions that exist at the time.

(c) Crossings shall be located as near normal to the highway alignment as practical. Crossing shall have a minimum of 36 inches of cover under the low point of the highway for uncased installations and 30 inches for encased installations.

(d) Conditions which are generally unsuitable or undesirable for underground crossings should be avoided. These include locations such as in deep cuts; near footings of bridges and retaining walls; across intersections at grade or ramp terminals, at cross drains where flow of water, drift or stream bedload may be obstructed; within basins of an underpass drained by a pump; and in wet or rocky terrain where it will be difficult to attain minimum cover.

(e) Longitudinal underground installations under sidewalks or grass plots of curb and gutter urban sections and installations located within 8-fect of the right-of-way line or rural highways (except as specified below) shall have a minimum cover of 24-inches. Longitudinal underground installations other than plowed cable which are located between the ditches of the highway template or within 5-feet of the ditch line shall have a minimum cover of 36-inches.

All longitudinal underground installations which cross under drainage ditches will be located a minimum of 36-inches below the flow line of the ditch. All other underground installation shall have a minimum cover of 30-inches. A minimum cover of 24-inches is acceptable for any longitudinal installation where encasement or mechanical protection is provided. Cable plowed into shoulders shall have a minimum cover of 30-inches. (See Page 918.012)

REQUIRED MINIMUM COVER FOR LONGITUDINAL UNDERGROUND INSTALLATIONS

(f) Pedestals, fire hydrants, markers or other above ground utility appurtenances installed as a part of underground utility facilities shall be located at or as near the highway right-of-way line as practical. In all cases they must be outside the clear zone.

(g) Manholes will not be permitted in the median, pavement or shoulder of the highway in rural areas, nor will they be permitted in the median, pavement or shoulder in urban areas except where this practice is shown to be impractical or creates an undue hardship.

(h) Provisions shall be made in the overall installation of underground facilities to provide shut-off valves or sectionalizing devices in order that segments of the facility may be taken out of service promptly in case of damage or failure.

(i) Water mains and water service lines in excess of two inches in diameter and sanitary sewer mains crossings normal to and under the traveled way of existing highways shall be encased when installed by boring or pushing under the traveled way. Length of encasements shall be consistent with paragraph (3), subparagraph (g) of these rules and regulations. Water mains, water service lines, or sewer mains installed and/or relocated during construction or reconstruction of the highway may be installed without an encasement when trenched construction consistent with the Department of Transportation’s standard specification for pipe structures is utilized.

(j) Sanitary sewer force mains shall be constructed of durable mechanical joint or lock joint material when located on highway bridge structures.

(3) Pipelines or Transmission Lines Carrying Flammable, Corrosive, Expansive, Energized or Unstable Transmittants.

(a) This section applies to interstate and intrastate carriers whose facilities are operated as pipelines or transmission lines as defined by applicable ANSI Standard Code (Example: Definition of pipeline or transmission line as set in Section 805.62 of ANSI Standard Code for Pressure Piping, Gas Transmission and Distribution Piping Systems, ANSI B31.8-1968).

(b) For all crossings, the angle of crossing shall be based on economic considerations of practical alternates. The crossing shall be located as near normal to the highway alignment as practical.

(c) Conditions which are generally unsuitable or undesirable for crossings shall be avoided. These include locations in deep cuts; near footings of bridges and retaining walls; across intersections at grade or ramp terminals; at cross drains where flow of water, drift, or stream bedload may be obstructed; within basins of an underpass drained by a pump if pipeline carries a liquid or liquefied gas; and in wet or rocky terrain where it will be difficult to attain minimum cover.

(d) Longitudinal installations of pipelines or transmission lines within highway rights-of-way will be considered only in extreme hardship cases. Each request will be considered on its own merits subject to the following conditions:

1. Longitudinal installations on conventional highways in rural areas shall be located as near the right-of way line as possible and alignment shall be as near uniform as practical.

The structural integrity of the traveled way, shoulders, and embankment; and the safe operation of the highway shall be maintained in all instances. Highway drainage shall not be impaired by the installation.

2. Longitudinal installations oil conventional highways in urban areas shall be located as near as practical to the right-of-way line. In any event they shall be located so as to be removed train the traveled way as far as possible. installation in these areas pose special problems and require special design consideration to provide the most feasible solution where minimum widths of right-of-way are available.

(e) Vertical and horizontal clearance between a pipeline and highway structures or other highway or utility facilities shall be sufficient to permit maintenance of the pipelines and the other facilities (f) The following controls shall apply to the burying of pipelines or transmission lines within highway rights- of-way:

1. Minimal cover for longitudinal installations shall be consistent with applicable ANSI Standard Code or orders issued by appropriate governmental authority.

2. The minimum cover shall be thirty inches below the low point of the highway cross-

section for encased crossings and thirty-six inches for uncased crossings.

(g) Pipelines or transmission lines may be installed under State highways without using an encasement pipe under the following conditions:

1. When trenched construction is utilized in the adjustment of existing pipelines to accommodate reconstruction of the highway. Wall thickness of carrier pipe, coating and wrapping, welds and cathodic protection shall be in accordance with applicable ANSI Standard Code, industry, or applicable governmental codes.

2. New installations under existing State highways where soil conditions permit the installation of the carrier pipe at a depth with minimum cover or greater without damage to its protective coating. Wall thickness of the carrier pipe, welds and cathodic protection shall be in accordance with applicable ANSI Standard Code, industry, or applicable governmental codes.

3. The Department of Transportation will not permit the cutting of pavement of traveled lanes or excavation of adjacent shoulders for replacement, maintenance or inspection of uncased pipeline crossings. Excavation of highway rights-of-way will be limited to an area that will not disturb the highway embankment.

4. At crossings of uncased pipelines. where the pipeline has a cover less than four feet to the highway drainage flow line, the side ditches of the highway shall be paved a distance of five feet either side of the pipeline centerline with concrete at elevation of highway ditch or at the toe of slope where there is no ditch in accordance with the Department’s specifications, to alleviate the problem of erosion or damage to the pipeline during maintenance of the highway.

(h) Encasement or provision of allied mechanical protection by installation in tunnel or gallery; grouting by mortar filling borehole annulus; cradling; capping; walling; boxing or jacketing, as detailed in Appendix #5, shall be required under file following conditions:

1. For crossings where it is not possible to obtain minimum cover due to other utilities, soil conditions, water table, local ordinances, or other reasons.

2. All crossings where soil conditions preclude the installation of carrier pipe under existing highways by boring or jacking without damage to the protective coating.

3. Where pipelines are located near footing of bridge or other highway structures; across Unstable of subsiding ground; or near other locations where there may be hazards.

4. On conventional highways the encasement of mechanical protection shall extend a distance of five feet beyond the highway embankment or back of side ditch. On curbed portions of conventional highways the encasement or protection provided shall extend to the back of curb or sidewalk.

5. On freeway highway projects the encasement or allied :mechanical protection shall extend the entire width of the rights-of-way including adjacent frontage roads where topography will permit replacement or maintenance of the pipeline. Exceptions to the length of encasement will be considered on freeway project: where the pipeline crossing is located in an area where the median width is in excess of eighty feet or overall rightof-way width is greater than normally acquired for the type of highway involved and in areas where topography precludes use of encasement to repair or replace the carrier pipe.

(i) Every pipeline or transmission line shall be identified by a permanent marker at the right-ofway lines or as near thereto as possible.

(j) Encased crossings shall be vented in order that gases may be exhausted or evacuated from the encasement pipe. Vents shall be placed at the high end of short casing,, and at both ends for casings greater than 150 feet in length. Vent standpipes shall be located at or as near to the right-of-way line as possible so as not to interfere with maintenance of the highway and in a place where they will not be obscured by vegetation.

(4) Gas Mains, Gas Distribution Mains and Gas Service Lines.

(a) For all crossings, the angle of crossing shall be based on economic considerations of practical alternatives. The crossing shall be located as near normal to the highway alignment as practical.

(b) Conditions which are generally unsuitable or undesirable for crossings shall be avoided. These include locations in deep cuts; near footings of bridges and retaining walls, across intersections at grade or ramp terminals; at cross drains where flow of water, drift, or stream bedload may be obstructed; within basins of an underpass drained by a pump if a main carries a liquid or liquefied gas; and in wet or rocky terrain where it will be difficult to attain minimum cover.

(c) Longitudinal installations on conventional highways in rural areas shall be located as near the right-of-way line as possible and alignment shall be as near uniform as practical. The structural integrity of the traveled way, shoulders, and embankment; and the safe operation of the highway shall be maintained in all instances. Highway drainage shall not be impaired by the installation.

(d) Longitudinal installations on conventional highways in urban areas shall be located as near as practical to the right-of-way line. In any event they shall be located so as to be removed from the traveled was as far as possible. Installations in these areas pose special problems and require special design consideration to provide the most feasible solution where minimum widths of right-of-way are available.

(e) Vertical and horizontal clearance between a gas main or gas distribution main and highway structures or other highway or utility facilities shall be sufficient to permit maintenance of the gas main or gas distribution main and other facilities.

(f) The following controls shall apply to the cover over gas mains, gas distribution and gas service lines within highway rights-of-way:

1. Minimum cover for longitudinal installations shall be consistent with ANSI Standard Code USAS B31.8 or orders issued by appropriate governmental authority.

2. The minimum cover shall be thirty inches below the low point of the highway cross-

section for encased crossings and thirty-six inches for uncased coverings.

(g) Gas mains, gas distributions mains or gas service lines may be installed within highway rightsof-way and under the traveled way of highways without encasement under the following conditions:

1. When trenched construction is utilized in the adjustment of existing facilities to accommodate reconstruction of the highway or installation of new mains or service lines within highway rights-of-way. Wall thickness or carrier pipe, coating and wrapping, welds and cathodic protection shall be in accordance with ANSI Standard Code for Pressure Piping Gas Transmission and Distribution Systems ANSI B31.8 or orders of appropriate governmental authority.

2. Crossing under existing highways where soil conditions permit the installation of the carrier pipe without damage to its protection coating. Wall thickness of carrier pipe, coating and wrapping, welds and cathodic protection shall be in accordance with ANSI Standard Code for Pressure Piping Gas Transmission and Distribution Systems. ANSI B31.8 3. At crossings of uncased pipelines the side ditches of the highway shall be paved a distance of five feet either side of the pipeline centerline with concrete at elevation of highway ditch or at the toe of slope where there is no ditch in accordance with Department of Transportation specifications to alleviate the problem of erosion or damage to the gas main during maintenance of the highway.

3. When a gas main or gas distribution main or gas service line is adjusted to accommodate highway construction and an uncased crossing of the highway is proposed, consideration shall be given to future replacement or maintenance of the facility at locations where it would be impractical to borer or jack a replacement pipe under the highway. Provision for replacement at such locations may include, but is not limited to:

(i) A casing enclosing the carrier pipe.

(ii) A spare encasement pipe.

(iii) Enlargement of the carrier pipe to a size sufficient to be used as a casing.

(iv) A gallery or box culvert for future installation of carrier pipe.

5. The Department of Transportation will not permit the cutting of pavement or traveled lanes or excavation of adjacent shoulders for replacement, maintenance or inspection of uncased gas main crossings. Excavation of highway rights-of-way will be limited to an area that will not disturb the highway embankment.

(h) Encasement or provision of allied mechanical protection by installing gas mains or gas distribution in tunnel or gallery; grouting by filing borehole annulus; cradling; capping; walling; boxing or jacketing; as detailed in Appendix #5, shall be required under the following conditions:

1. Crossings where it is not possible to obtain minimum cover due to other utilities, soil conditions, water table, local ordinances, or other reasons.

2. Crossings where soil conditions preclude the installations of carrier pipe under existing highways by boring or jacking without damage to the protective coating.

3. Where pipelines are locate near footing of bridge or other highway structures; across unstable or subsiding ground; or near other locations where there may be a hazard.

4. On conventional highways the encasement or mechanical protection shall extend a distance of five feet beyond the highway embankment or back of side ditch. On curbed portions of conventional highways, the encasement or protection provided shall extend to the back of curb or sidewalk. On freeway highway projects the encasement or allied mechanical protection shall extend the entire width of the rights-of-way including adjacent frontage roads where topography will permit replacement or maintenance of the carrier pipe. Exceptions to the length of encasement will be considered on freeway projects where a gas main or gas distribution main is located in an area where the median width is in excess of eighty feet or overall rights-of-way width is greater than normally acquired for the type of highway involved and in areas where topography precludes use of encasement to repair or replace the carrier pipe.

(i) Crossings of the highway shall be identified by a permanent marker placed at the right-of-way lines or as near thereto as possible. In all cases they shall be located so as not to interfere with maintenance of the highway.

(j) Encased crossings shall be vented in order that gases may be exhausted or evacuated from the encasement pipe. Vents shall be placed at the high end of short casings and at both ends for casings greater than 150 feet in length. Vent standpipes shall be located at or as near to the right-of-way line as possible so as not to interfere with maintenance of the highway and in a place where they will not be obscured by vegetation.

(5) Roadway Lighting (a) The Department of Transportation has developed these rules in an effort to provide a safe, effective and economical lighting system. This can be obtained by utilizing greater mounting heights which results in a more uniform illumination with fewer poles, by using break-away supports and by placing the supports a sufficient distance from the edge of the travel way. The following are prime considerations:

1. Emphasis on minimizing maximum to minimum footcandle ratios.

2. Optimizing average to minimum footcandle ratios.

3. Providing adequate levels of illumination.

4. Minimizing the amount of glare.

5. Reducing the number of poles required.

(b) New lighting installations on the State system of roads will be reviewed by the Department of Transportation on the basis of the following criteria:

1. Minimum Mounting Height-45 feet. In the relocation of utility poles on State highway rights-of-way, every effort shall be taken to relocate these poles to provide for their use for roadway lighting. This will provide an economical system, allowing utility poles to be used for street lighting as well as electrical distribution. It will also reduce the number of the fixed objects most frequently involved in motor vehicle accidents.

Where electrical distribution or communication lines are in existence, mounting heights less than 45 feet may be approved in order to utilize existing poles to the full extent; however, the effectiveness of a satisfactory lighting job should not be jeopardized just to use existing poles.

2. Pole setback from the edge of pavement-20 feet minimum, or at the right-of-way line if located less than 20 feet from the edge of pavement. In urban areas, poles shall be located as near to the right-of-way line as possible, but in no case shall they be less than 2 feet from the face of the curb. Where a utility strip or grass plot is located between the face of curb and the sidewalk, poles may be allowed in this area if they can be set at least 2 feet from the face of the curb. All installation must meet the minimum requirements set by the National Electric Safety Code.

3. Poles shall not be set in the median of the roadway, except where a 20 feet minimum setback can be obtained, or where protected by guardrails already existing because of other safety considerations.

4. Mast Arm Length-Provision shall be made for the horizontal distance from the lamp to the edge of the pavement to be no greater than 5 feet, except as dictated by approved special lighting design.

5. Maximum maintained average horizontal footcandle level shall be used as recommended in the latest edition of the AASHTO Publications “An Information Guide For Roadway Lighting”.

6. Maintenance factor-as suggested by the manufacturer.

7. Maximum allowable uniformity ratio 3.00:1 based on Average/Minimum Horizontal Footcandle Level.

8. Maximum allowable uniformity ratio - 6.00:1 based on Maximum/Horizontal Footcandle Level.

9. Concrete pole bases preferably should be flush but shall not extend over 4 inches above ground level.

10. Luminaire pole mountings shall be of an approved AASHTO breakaway type. in urban or highly developed areas where travel speeds are low and pedestrian activity high, consideration will be given to the installation of non-breakaway mountings where there is eminent danger of an impacted support striking a pedestrian, private property or other traffic. Poles to be located behind existing guardrail, rock bluffs, embankments or ditches are not required to be the breakaway type.

11. Poles used in a lighting system required to be located greater than 20 feet front the edge of the highway due to physical constraints and not meeting acceptable uniformity ratios should be designed using offset lighting applications.

12. Luminaires mounted 45 feet above the pavement on bridges often become inoperable because of excessive vibration from traffic. Therefore, the mounting height for bridge lighting may vary, Light standards may be installed 30 or 35 feet above the pavement if appropriate uniform ratios can be achieved for that portion of the design. If satisfactory uniform ratios cannot be obtained for the design using the shorter mountings, mountings of 40 to 45 feet should be considered for the lighting design. All luminaries mounted on bridges must be approved by the Structures Division.

13. Transitional lighting should be provided when the average maintained horizontal footcandle level of illumination for lighting designs exceeds 1.00 footcandles. The roadway sector requiring transitional lighting should be illuminated so as to allow the motorist’s eyes to adjust to a different level of illumination and should be traditionally illuminated for no less than 15 seconds. The level of illumination for transitional lighting sector should be equal to approximately one-half of the preceding higher lighted sector.

The terminal illumination in the lowest sector should not be less than 0.25 footcandle nor more than 0.5 footcandle. An expedient formula for calculating the required roadway lengths for transitional lighting is as follows:

L = (RS) (C) (T)

Where L = Length of Transitional Lighting RS = Running Speed Along Roadway Section in MPH C = 1.47 (Converts MPH to Feet per Second)

T = 15 See (Recommended exposure time to allow motorist’s eyes to adjust to different level of illumination).

14. Transitional lighting is best provided by maintaining the same average spacing and by using lower wattage lamps. This allows for future extension of the lighting system without having to relocate mountings.

(c) The Engineering Director of the Department of Transportation’s Maintenance Division will be responsible for reviewing and approving all requests for roadway lighting on existing conventional highway projects. Requests for roadway lighting on existing freeway projects will be reviewed and approved by the Engineering Director of the Design Division.

(d) It is recognized that certain locations will not permit installation of lighting consistent with these rules and regulations in every respect. In such cases the proposal submitted to the Department of Transportation will be reviewed by the Engineering Director of the Maintenance or Design Division and forwarded along with recommendations to the State Transportation Engineer for approval or disapproval of the installation.

History

• Authority: T.C.A. §4-3-2303 (2).
• Administrative History: Original rule filed August 8,1983; effective September 7, 1983. Amendment filed July 20, 1984; effective August 19, 1984. Amendment filed February 1, 1989; effective March 18, 1989.

Tenn. Comp. R. & Regs. 1680-06-01-.07 CONTROLS GOVERNING UTILITY INSTALLATIONS

(1) At all times while construction and maintenance of utility facilities is in progress, the utility shall provide signing and if required flagging for control of traffic. Signing shall conform to Part VI of the Manual on Uniform Traffic Control Devices for Streets and Highways. The utility shall substitute the word “Utility” on signs where the word “Road” appears.

(2) Areas disturbed by utility installations, relocations or removals shall be kept to a minimum. Utilities will not be permitted to install facilities by cutting the pavement or adjacent shoulders of State highways except in extreme hardship cases where soil conditions prohibit other feasible and economical methods of installing facilities under the highway. In no instance will the Department of Transportation permit cutting of the traveled way of freeway highways to facilitate installation of utility facilities after the highway is complete and placed in service. This applies to conventional highways which have been paved or resurfaced within the previous three years. The Regional Engineering Director must approve open cutting of the highway. Conditions under which the work is to be performed shall be incorporated as a special provision in the Use and Occupancy Agreement.

(See Appendix #8 for minimum requirements for open cut trenching, replacement paving and backfilling).

(3) If the Department approves installation of Utility facilities by open cutting the highway as set out in paragraph (2) above, the utility will be required to accommodate the traveling Public at all times by keeping one lane of traveled way open and providing necessary flagging and/or construction signing to properly inform the traveling public of the impairment to normal traffic flow.

(4) The utility company shall replace or repair any portion of the right-of-way, embankment, pavement, shoulders, highway bridges and drainage structures, guardrail, private driveways, access roads or ramps or any other part of said highway which may be disturbed or damaged, Repair work will be in accordance with applicable provisions of the Department of Transportation’s “Standard Specifications for Road and Bridge Construction”, as same may be amended, and special provisions or instructions issued by the Department of Transportation and/or made a part of the Use and Occupancy Agreement.

In the event replacement or repairs made by the utility company are not satisfactory to the Department of Transportation. the Department of Transportation, at its discretion, will undertake the work and the utility company shall reimburse the Department of Transportation for the cost of such work. Except in cases of emergency the Department of Transportation shall notify the utility company of the nature and extent of such replacements or repairs to be accomplished prior to undertaking the work.

(5) No excavated material or equipment shall be placed on the pavement or shoulders of the highway without the express approval of the Department of Transportation’s Regional Engineering Director Where conditions warrant such procedures. In no instance will the utility be permitted to leave equipment (trucks, cranes, backhoes, etc.) on the pavement or shoulder overnight. Materials (poles, cable, pipe) to be installed which are placed on the right-of-way in advance of construction shall be placed in such a manner as not to interfere with the safe operation of the highway.

(6) The trimming, cutting, spraying or removal of trees and shrubs or other vegetation located within the highway right-of-way shall either be permitted or denied in accordance with then current regulations established by the Maintenance Division of the Department of Transportation. In cases where rest areas or land acquired for scenic enhancement of the highway is involved, approval of the State Transportation Engineer is required.

(7) Boring, jacking or driving of encasement or carrier pipes under existing highways shall be accomplished without jetting, sluicing or wetboring unless express approval of the method to be utilized is obtained from the Department of Transportation’s Regional Engineering Director in writing.

(8) All debris, refuse and waste of any kinds, which have accumulated upon the highway right-of way as a result of the installation of utility facilities, shall be removed immediately upon completion of construction operations.

(9) The utility owner or its agent shall schedule the installation of facilities in an orderly manner and shall not leave ditches, boring pits and other hazards to the traveling public open for extended periods of time. At such time as construction is commenced, it shall proceed without delay to completion subject to weather and conditions beyond the control of the utility owner, (11) The oversize of the boring excavation shall be no greater than one inch in excess of the outside diameter of the encasement or carrier pipe being installed. Grout backfill shall be used for pipes in excess of 12 inches in diameter for overbreaks, unused holes, or abandoned pipes.

(12) All Use and Occupancy Agreements covering installation of utility facilities within highway rights-ofway shall be accompanied by a bond executed by the owner with good and sufficient surety, acceptable to the Department of Transportation guaranteeing the performance of the terms and conditions of the agreement. This will not be required for a single shot charge, except when blasting in the vicinity of a bridge or other structure. The amount of the bond will be determined by the Regional Utilities Engineer based on the extent the highway facilities are disturbed by the installation.

(a) The utility owner may select one of the following procedures of providing the required bond:

1. Post a cashier’s or certified check in the amount established by the Regional Utilities Engineer, or 2. Post a Surety Bond (Form U-5) in the amount established by the Regional Utilities Engineer; however a Surety Bond for an amount less than two thousand, five hundred dollars ($2,500.00) will not be acceptable; or 3. Post a Running Surety Bond (Form U-4) in the amount established by the Regional Utilities Engineer to cover all approved Use and Occupancy Agreements for a specified area.

(b) All Surety Bonds shall be on forms supplied by the Department of Transportation and must be accompanied by a copy of the Power of Attorney properly executed by the company authorizing the agent signing the Surety Bond to bind the company as Surety on the bond.

Surety Bond (Form U-5) and Running Surety Bond (Form U-4) forms are shown in Appendix - 7 of these rules and regulations.

(c) Notwithstanding any other provision of this Paragraph, the surety bond or bonds required for the installation of certain fiber optic cable facilities on freeway rights-of-way, as provided in

Rule 1680-6-1-.09, shall be submitted to the Right-of-Way Division, Utilities Section, of the Department of Transportation in such form and under such terms as may be specified by the Department in the Use and Occupancy Agreement.

(13) When blasting is necessary, the utility shall include an outline of its blasting procedure and a diagram of its blasting pattern with the applications and Use and Occupancy Agreement. This will not be required for a single shot charge, except when blasting in the vicinity of a bridge or other structure.

The utility shall observe the Special Provisions for Blasting on Highway Rights-of-Way as detailed in

Appendix -9 and in accordance with other applicable State laws.

(14) Where it is determined by the Department that utility facilities have not been installed according to approved plans or that they are likely to be associated with injury or accident to the highway user, as indicated by accident history or safety studies, the utility will be required to adjust, relocate or remove such facilities at its own expense.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8, 1983; effective September 7, 1983. Amendment filed July 20, 1984; effective August 19, 1984. Amendment filed September 24, 2002; effective December 8, 2002.

Tenn. Comp. R. & Regs. 1680-06-01-.08 PROCESSING OF USE AND OCCUPANCY AGREEMENTS

(1) The applicant shall submit four executed copies of the Department’s Application and Utility Use and Occupancy Agreement to the Regional Utilities Engineer. The application shall be accompanied by a plan prepared in accordance with section 1680-6-1-.05, paragraph (3), subparagraph (m) of these rules and regulations.

(2) The Regional Utilities Engineer will be responsible for reviewing the proposed installation for conformity with the herein stated rules and regulations and shall obtain from the applicant the appropriate surety as outlined in section 1680--6-1-.07, paragraph (12). When necessary, a field inspection should be made with the applicant, his representative, and/or inspector from the District Maintenance Office.

(3) The Regional Utilities Engineer will approve the application after he is satisfied that all requirements have been met. He will then obtain approval from the Regional Engineering Director or his designee.

If the proposed installation requires open cutting of the pavement, the Regional Utilities Engineer will advise the Regional Engineering Director of his recommendation. The Regional Engineering Director will approve or disapprove open cutting when executing the agreement.

(4) The application and one copy of the plan will be sent to the State Utilities Engineer for review. The State Utilities Engineer will approve the application and secure the signature of the State Transportation Engineer. Three copies of the executed agreement will be returned to the Regional Utilities Engineer.

(5) The Regional Utilities Engineer will retain one copy in his file and will transmit one copy along with the approved plan to the applicant. He will advise the applicant of the name, address and telephone number of the appropriate District Maintenance Engineer whom the applicant must contact prior to beginning work on the right-of-way. A copy of this transmittal will be sent to the District Maintenance Engineer along with a copy of the approved agreement and plan.

(6) The District Maintenance Engineer will provide an inspector to insure that the installation is made in accordance with the agreement. At the end of the appropriate maintenance period, he will notify the State Utilities Engineer by letter, with a copy to the Regional Utilities Engineer, that the installation is acceptable and the surety can be released.

(7) The State Utilities Engineer will notify the surety company of the release and will advise the utility, the Regional Utilities Engineer and the District Maintenance Engineer, (8) Utilities, which operate statewide or in large populated areas requiring many utility permits, can apply for a General Use and Occupancy Agreement. These agreements will be prepared and handled by the State Utilities Engineer and the Staff Attorney. Proposed installations under General Use and Occupancy Agreements will be reviewed and processed in the same manner as described in this

section; except it will not be necessary to execute an Application and Utility Use and Occupancy Agreement.

(9) Notwithstanding any other provision of this Rule, when an applicant proposes to install fiber optic cable facilities on freeway rights-of-way as provided in Rule 1680-6-1-.09, the application for a Use and Occupancy Agreement shall be submitted to the Right-of-Way Division, Utilities Section, of the Department of Transportation for consideration and approval. The application shall be accompanied by an installation and maintenance plan prepared in accordance with Rule 1680-6-1-.09. Provisions for inspection of the installation and the release of any surety bonds, when appropriate, shall be determined by the Department of Transportation in accordance with the Use and Occupancy Agreement.

History

• Authority: T.C.A. §4-3-2303(2).
• Administrative History: Original rule filed August 8,1983; effective September 7, 1983. Amendment filed September 24, 2002; effective December 8, 2002.

Tenn. Comp. R. & Regs. 1680-06-01-.09 FIBER OPTIC CABLE FACILITIES ON FREEWAYS

(1) Statement of Policy.

(a) Notwithstanding any other rule or provision of Chapter 1680-6-1 to the contrary, it shall be the policy of the Department of Transportation to grant non-exclusive permits, on a competitively neutral and non-discriminatory basis, allowing the longitudinal installation of underground fiber optic cable lines and related facilities within the rights-of-way of freeways on the state highway system and/or federal interstate highway system, as provided in Section 54-16-112 of the Tennessee Code, and subject to this Rule. The installation of fiber optic cable facilities and other utilities that cross over or under freeways shall continue to be regulated in accordance with other provisions of this Chapter.

(b) The Department of Transportation shall receive compensation for the use of freeway rights-ofway to install fiber optic cable facilities in accordance with the rate of compensation established by the Advisory Board under Section 54-16-112 of the Tennessee Code. The Department of Transportation may, at its option, accept monetary compensation or in-kind compensation, or both. Valuation of in-kind compensation shall be calculated in accordance with the method of valuation adopted by the Advisory Board.

(2) Governing Law.

(a) This Rule is promulgated under the authority of, and in compliance with, Section 54-16-112 of the Tennessee Code.

(b) It is the intent of the Department of Transportation that this Rule shall be construed and administered in accordance with applicable provisions of the Federal Communications Act of 1934, 47 U.S.C. § 151, et seq.

(c) The location and installation of fiber optic cable facilities on state freeway rights-of-way shall be governed by this Rule and, where applicable, by other provisions of this Chapter and the rules and regulations of the Federal Highway Administration with respect to the accommodation of utilities, 23 C.F.R. Part 645, Subpart B, as amended.

(d) To the extent that the specific provisions of this Rule conflict with other provisions of Chapter 1680-6-1, the specific provisions of this Rule shall govern.

(3) Definitions.

(a) “Advisory Board” means the advisory board established under Section 54-16-112 of the Tennessee Code with the authority to establish the rate of compensation, and a method for the valuation of in-kind compensation, for the use of state freeway rights-of-way to install underground fiber optic cable lines and related facilities.

(b) “Clear Zone” when used in reference to the use of state freeway rights-of-way to install underground fiber optic cable facilities under this Rule means the roadside border area available for use by errant vehicles, starting from the edge of the traveled way and extending outward to a distance of not less than 30 feet. For administrative practicality, the Department will generally presume that the clear zone along a state freeway is 30 feet wide. In specific locations, however, the Department may determine that a wider clear zone is required in the interest of public safety, and in such cases the Department will establish the width of the clear zone based on the roadway design speed, average daily traffic and embankment slopes, as provided in the American Association of State Highway and Transportation Officials, Roadside Design Guide.

(c) “Conduit” means a hollow tube or duct (of varying sizes) used to enclose innerducts for the underground installation of fiber optic cable.

(d) “Innerduct” means a hollow, flexible tube (of varying sizes) used to enclose fiber optic cables for underground installation, and which may be enclosed within conduit.

(e) “Longitudinal” means an installation that is parallel or nearly parallel to the alignment of the highway.

(f) “Rural” when used in reference to the use of state freeway rights-of-way under this Rule means the right-of-way along any segment of a freeway that is not otherwise defined as “urban” or “suburban” under this Rule.

(g) “State freeway” means all freeways within the State of Tennessee designated either as a state highway by the Department of Transportation or as a federal interstate highway.

(h) “Suburban” when used in reference to the use of state freeway rights-of-way under this Rule means any of the following, unless the segment of freeway right-of-way is otherwise defined as “urban” under this Rule:

1. The right-of-way along any segment of state freeway within 10 miles outside the urban area boundary of a city having a population of 100,000 or more according to the most recent federal census; and/or 2. The right-of-way along any segment of state freeway within the urban area boundary of any city having a population of 20,000 or more according to the most recent federal census; provided, that where one side of the freeway is within the urban area boundary of such a city, the right-of-way along both sides of the freeway shall be considered suburban; and/or 3. The right-of-way along any state freeway that serves as a beltway around any part of a city having a population of 100,000 or more according to the most recent federal census where any part of such freeway is within 10 miles outside the urban area boundary of such city, including without limitation State Route 385 in Shelby County.

(i) “Telecommunications company” means any public agency (not including any agency of the State of Tennessee), or any cooperative, corporation, partnership or individual named in the Use and Occupancy Agreement that may locate, install or maintain fiber optic cable facilities within the rights-of-way of state freeways.

(j) “Term” means the duration of the Use and Occupancy Agreement under which a telecommunications company locates, installs and maintains fiber optic cable facilities within the rights-of-way of state freeways.

(k) “Urban” when used in reference to the use of state freeway rights-of-way under this Rule means the right-of-way along any segment of a freeway within the urban area boundary of a city having a population of 100,000 or more according to the most recent federal census; provided, that where one side of the freeway is within the urban area of such a city, the right-of-way along both sides of the freeway shall be considered urban.

(l) “Urban area boundary” for the purposes of this Rule means the boundary of the urbanized area of a city having a population of 20,000 or more according to the most recent federal census.

These urban area boundaries are established by the Department of Transportation and the city in cooperation with one another, and subject to the approval of the United States Secretary of Transportation, in accordance with 23 U.S.C. § 101.

(4) Use and Occupancy Agreement Requirements.

(a) No telecommunications company shall be permitted to install underground fiber optic cable lines or related facilities within state freeway rights-of-way without first executing a Use and Occupancy Agreement.

(b) Upon making application to the Department of Transportation for a Use and Occupancy Agreement under this Rule, the telecommunications company shall pay an application fee to the Department of Transportation for processing the application, reviewing plans, and other administrative services, but not including inspection services, which shall be separately charged as provided in Rule 1680-6-1-.04(10). The total amount of the required application fee shall include a base fee of $200 plus $10 for each mile of the proposed installation within state freeway rights-of-way.

(c) Each Use and Occupancy Agreement for the longitudinal installation of fiber optic cable facilities within state freeway rights-of-way shall be subject to this Rule and specifically, but without limitation, to the following terms and conditions:

1. Right to Cross.

The Department of Transportation reserves a perpetual right at any time to cross the underground fiber optic cable lines and related facilities for any purpose related to the construction, reconstruction, operation or maintenance of the highway as determined by the Department.

2. Assignment.

The telecommunications company may not assign or transfer its rights or obligations under the Use and Occupancy Agreement to another telecommunications company or other entity or person without first giving written notice to, and obtaining the consent of, the Department of Transportation, which consent shall not be unreasonably withheld.

3. Indemnification and Hold Harmless.

(i) The telecommunications company shall indemnify the State of Tennessee and the Department of Transportation, and their officers, employees and agents, and hold them harmless to the maximum extent allowed under Tennessee law for any and all claims arising from the telecommunications company’s use of the freeway right-of-way to install, operate and/or maintain fiber optic cable facilities, including claims by third parties, and including attorneys’ fees and all other costs of preparing for and defending against such claims, regardless of any negligence or fault of the State of Tennessee or Department of Transportation.

(ii) Without limiting the foregoing, the telecommunications company shall hold the State of Tennessee and Department of Transportation, and their officers, employees and agents, harmless, to the maximum extent allowed under Tennessee law, for any personal injury or property damage, including interruption of service or loss of business, incurred by the telecommunications company, or its officers, employees or agents, arising from the Department of Transportation’s construction, reconstruction, operation or maintenance of the freeway or freeway right-of-way, regardless of any negligence or fault of the State of Tennessee or Department of Transportation.

4. Insurance.

The telecommunications company shall at all times have and maintain, and upon the request of the Department of Transportation shall provide written proof of, liability insurance policies containing, at a minimum, the following insurance coverage:

(i) Commercial general liability insurance, in form and substance acceptable to the Department of Transportation.

(ii) Commercial automobile liability insurance, in form and substance acceptable to the Department of Transportation, for all vehicles owned or used by the telecommunications company in any phase of the construction, installation, operation, maintenance or repair of its fiber optic cable facilities within the freeway right-of-way.

(iii) All such liability insurance policies shall provide liability coverage sufficient, at a minimum, to match the State’s limits of liability under Section 9-8-307 of the Tennessee Code. These limits are currently set at $300,000 per claimant and $1,000,000 per occurrence, but they are subject to change without amendment of this Rule.

(iv) All such liability insurance policies shall name the State of Tennessee and Department of Transportation each as an additional insured for the purposes of fulfilling the telecommunications company’s obligations under the Use and Occupancy Agreement, including without limitation any and all obligations to indemnify and hold harmless the State of Tennessee and Department of Transportation, and their officers, employees and agents.

5. Surety Bond.

The telecommunications company shall furnish a surety bond, issued by a company licensed to do business in the State of Tennessee, and in such form and amount acceptable to the Department of Transportation, guaranteeing full and faithful performance of the terms and conditions of the Use and Occupancy Agreement, including without limitation the repair and restoration of the right-of-way premises, the payment of any monetary compensation remaining due to the Department for use of the freeway right-of-way, and the completion of any installation of fiber optic facilities to be provided to the Department as compensation under the Use and Occupancy Agreement.

6. Relocation or Removal.

(i) If, at any time, the Department of Transportation determines that any fiber optic cable facilities need to be relocated within, or removed from, the state freeway right-of-way for any reason related to the use, operation, maintenance, construction or reconstruction of the freeway, the telecommunications company shall relocate or remove the facilities as directed by written notice from the Department of Transportation.

(ii) All such costs of relocation or removal, including the cost of relocating any part of the fiber optic cable facilities reserved to the Department of Transportation under the Use and Occupancy Agreement, shall be borne by the telecommunications company and not by the Department, except as the Department may otherwise agree in accordance with a special condition of the Use and Occupancy Agreement executed prior to the installation, or as the Department may subsequently agree in writing under a utility relocation contract.

(iii) The telecommunications company shall complete the relocation or removal within such time as the Department of Transportation shall specify by written notice, or within such additional time as the Department of Transportation may authorize in writing. Upon the failure of the telecommunications company to relocate or remove the fiber optic cable facilities within the specified time, or such additional time as the Department may authorize in writing, the fiber optic cable facilities shall be deemed to be abandoned by the telecommunications company, and the Department of Transportation shall be deemed the owner thereof; provided, however, that the Department of Transportation, in its sole discretion, may refuse ownership of the abandoned fiber optic cable facilities at any time within one year after the abandonment and thereupon hold the telecommunications company liable for the costs of removing such facilities from the state freeway right-of-way.

(iv) To the extent that the telecommunications company is required to remove fiber optic cable facilities from the state freeway right-of-way, the telecommunications company shall to that extent be relieved of any further obligation under the Use and Occupancy Agreement to compensate the Department for the use of the state freeway right-of-way. To the extent that the telecommunications company is allowed to relocate fiber optic cable facilities to another location within the freeway right-of-way, the telecommunications company may elect either to remain under the terms of compensation specified in the Use and Occupancy Agreement, or the telecommunications company may choose to enter into a new Use and Occupancy Agreement for the new location.

(5) Duration and Renewal of Use and Occupancy Agreements.

(a) Term Options.

The Use and Occupancy Agreement for the longitudinal installation of fiber optic facilities within state freeway rights-of-way shall have an initial term of 10 years, 20 years, 30 years, or 40 years, at the option of the telecommunications company.

(b) Renewal Options.

Upon the expiration of the initial term of the Use and Occupancy Agreement, the telecommunications company shall have an option to renew the Use and Occupancy Agreement for a term of 10 years, 20 years, or 30 years, subject to the applicable rate of compensation established by the Advisory Board as of the date of renewal; provided that the initial term and any successive renewal terms shall not exceed a combined total of 40 years.

(6) Compensation.

(a) Compensation Requirement.

1. No telecommunications company shall be permitted to install underground fiber optic cable lines or related facilities longitudinally within state freeway rights-of-way except upon the payment of compensation for the use of such rights-of-way, as provided in

Section 54-16-112 of the Tennessee Code.

2. The Department of Transportation, at its option, may receive the compensation for use of state freeway rights-of-way in the form of money or as in-kind compensation in the form of telecommunications facilities or services, or both.

(b) Rate and Method of Compensation.

1. The rate of compensation and the method of valuation for in-kind compensation shall be as established by the Advisory Board. As established by the Advisory Board, the rate of compensation varies according to the type of state freeway right-of-way (urban, suburban or rural) in which the fiber optic cable facilities are located, and a surcharge shall be added to the applicable rate of compensation where the fiber optic cable facilities are located within the clear zone.

2. The current rate structure and method of valuation for in-kind compensation are set forth in the Rate Sheet reproduced in the Appendix to this Rule at Paragraph (12). This Rate Sheet may be amended by the Advisory Board, as provided in Section 54-16-112 of the Tennessee Code, without amendment of this Rule.

(c) Total Amount of Compensation.

The total amount of compensation due for use of the right-of-way shall be fixed as of the date of execution of the Use and Occupancy Agreement, in accordance with the rate and method of valuation of in-kind compensation established by the Advisory Board at that time, and in accordance with the type of right-of-way, the method of remittance and the term of the Use and Occupancy Agreement selected by the telecommunications company.

(d) Unit Measure of Compensation.

1. There shall be a separate charge for each innerduct containing fiber optic cable that a telecommunications company installs in the right-of-way or for each fiber optic cable buried in the right-of-way without an innerduct, except that there shall be no charge for any innerduct or fiber optic cable provided to the Department of Transportation as inkind compensation.

2. The minimum charge for each such innerduct or cable shall be based on the rate of compensation established by the Advisory Board for a one and one-quarter inch (1¼”) innerduct.

3. The charge for larger innerduct or cable shall be calculated on a pro rata basis. For example, the charge for a two and one-half inch (2½”) innerduct shall be twice the charge for a one and one-quarter inch (1¼”) innerduct.

(e) Empty Innerduct.

1. There shall be no charge for empty innerduct or conduit installed vertically within the same trench line along the state freeway right-of-way in accordance with a Use and Occupancy Agreement; provided, however, that each separate trench line shall require a Use and Occupancy Agreement and shall be subject to a minimum charge based on the rate of compensation for a one and one-quarter inch (1¼”) innerduct.

2. The installation of fiber optic cable in an empty innerduct or conduit shall not be permitted except upon the execution of a new Use and Occupancy Agreement.

Compensation for the installation of fiber optic cable in such empty innerduct or conduit shall be fixed on the date of execution of the new Use and Occupancy Agreement, in accordance with the applicable rate and method of valuation for in-kind compensation established by the Advisory Board at that time.

(f) In-Kind Compensation.

If the Department of Transportation chooses to receive in-kind compensation under a Use and Occupancy Agreement, it shall provide the telecommunications company with a list of the specific telecommunications facilities and/or services that it wishes to obtain. The value of such in-kind compensation, as determined in accordance with the method of valuation established by the Advisory Board, shall be subtracted from the total amount of monetary compensation due for use of the right-of-way and the remaining balance, if any, shall be remitted as monetary compensation.

(7) General Installation Policies.

(a) Timing of Installations.

To minimize interference with the safe use, operation and maintenance of the freeway, and as reasonably necessary to manage the right-of-way, the Department of Transportation may limit the timing of access so that, to the extent possible, there is no more than one fiber optic cable installation project underway at any given time on any particular segment of a state freeway.

(b) Minimum Installation.

In order to preserve the availability and efficient use of freeway rights-of-way, and as reasonably necessary to manage such rights-of-way, the Department of Transportation, as a general rule, will not permit fiber optic cable installations of less than a total length of twentyfive (25) miles along any state freeway or combination of state freeways. Exceptions may be considered on a case-by-case basis.

(8) Location and Alignment Criteria.

(a) General Location Policy.

To minimize interference with the safe use, operation and maintenance of the freeway, longitudinal installations of fiber optic cable facilities shall be located outside the clear zone and as near to the outer edge of the right-of-way line as is reasonably practical; provided, however, that alternative locations within the right-of-way, including the clear zone, may be permitted where the Department of Transportation determines that it is not reasonably practical to locate the fiber optic cable facility along the outer edge of the right-of-way and that the use of the alternative location is consistent with the Department’s goal to minimize interference with the safe use, operation and maintenance of the freeway.

(b) Horizontal Clearance.

As a general rule, subsequent installations of underground fiber optic cable facilities outside the clear zone shall be located not less than five feet (5’) from any previously installed underground fiber optic cable line or other utility installation, if any, within the freeway right-of-way.

Exceptions may be considered on a case-by-case basis and as may be reasonably necessary to manage the state freeway right-of-way.

(c) Depth.

All underground fiber optic cable lines shall be located and installed in accordance with the minimum depths established in Paragraph 1680-6-1-.06(2) of this Chapter, as amended, or at such greater depths as the Department of Transportation may require as a special condition of the Use and Occupancy Agreement.

(d) Access Points.

Devices for accessing underground fiber optic cable facilities for routine service or site visits shall not be allowed within the clear zone of the freeway, except as the Department of Transportation may otherwise expressly permit or require.

(e) Support Facilities.

All above-ground support facilities for underground fiber optic cable lines shall be located outside the clear zone and as near to the outer edge of the right-of-way line as is reasonably practical. No above-ground facility may be located on the freeway right-of-way without the express written approval of the Department of Transportation, and preference will be given to locations at interchanges, rest areas and welcome centers, weigh stations, and highway crossings.

(f) Attachment to Freeway Structures.

The attachment of fiber optic cable facilities to freeway structures ─ including without limitation bridges, overpasses, underpasses, culverts and tunnels ─ shall be permitted only with the prior written approval of the Director of the Structures Division, in accordance with Rule

Tenn. Comp. R. & Regs. 1680-06-01-.10 APPENDIXES

APPENDIX I

The Applicant in applying for this agreement agrees to the following:

1. Applicant shall design, install and maintain its facilities in accordance with Rules and Regulations for Accommodating Utilities Within Highway Rights-of-Way heretofore issued by the Department of Transportation.

2. Applicant, before commencing any work or installing any facilities shall submit to the Department of Transportation’s regional office plans showing the location, type and scope of all work to be done or appliances to be installed in order that the Regional Utilities Engineer may recommend approval of the proposed work.

3. Applicant agrees that it will be responsible for any damages caused by any negligence on its part, including but not limited to the improper placing of or failure to display construction signs, danger signs, and other required signing and will bear any expense proximately caused by its operation on the right-of-way.

4. Applicant shall pay the salary and expenses of any Inspector(s) that the Department of Transportation may see fit to place upon the work while such Inspector(s) is/are assigned to this work. The Department of Transportation before incurring any expenses expected to be charged to the Applicant shall advise the Applicant in writing of this fact.

5. Applicant shall replace or repair any portion of the pavement, shoulders, bridges, private driveways or any part of said highway which may be disturbed or damaged. Replacements and repairs shall be made in accordance with the Department of Transportation’s Standard Specifications For Road and Bridge Construction and any additional instructions which may be issued. Applicant agrees that the Department of Transportation may accomplish further replacements or repairs in the event those made by the applicant are not satisfactory, in which event the Applicant will reimburse Department of Transportation for the cost of such other replacements or repairs. Except in cases of emergency the Department of Transportation shall notify the Applicant of the nature and extent of such further replacements or repairs to be accomplished prior to undertaking the work.

6. If, at any future time, it should become necessary in the maintenance, construction or reconstruction of said highway to have Applicant’s appliances and facilities removed in order that said highway may be properly maintained, constructed or reconstructed or in the event said appliances and facilities should, at any time, interfere with the use of said highway, the Applicant agrees upon being requested so to do by Department of Transportation to remove said appliances and facilities as promptly as the magnitude of the work to be accomplished will permit, at its own expense and without cost to the Department of Transportation, unless any requested removal should be contrary to any law of the State.

7. Applicant shall be responsible for any conflicts with other utilities or appurtenances that are on the highway right-of-way and shall notify the respective owner(s) of any conflicts and secure the owners permission for any alternations.

8. The Department of Transportation does not grant the Applicant any right, title or claim on any highway rightof-way and in granting this permission to go upon the right-of-way does not, in any way, assume the maintenance of the Applicant’s facility. 9, This agreement shall become void if work is not commenced within a year from date of execution of this Agreement.

Mail to appropriate Region Office c/o Transportation Supervisor - R.O.W.

REGION IV REGION III REGION 11 REGION I

P.O. Box 429 2200 Charlotte Ave. P.O. Box 22368 P.O. Box 58 Jackson, TN 38302 Nashville, TN 37203 Chattanooga, TN 37422-2368 Knoxville, TN 37901 Tel. 424-4110 Tel. 320-8285 Tel. 892-3430 Tel. 594-6262

APPENDIX 2

A POLICY ON THE ACCOMMODATION OF

UTILITIES WITHIN FREEWAY RIGHT-OF-WAY

Prepared by the Standing Committee On Highways Published by the AMERICAN ASSOCIATION OF STATE HIGHWAY AND TRANSPORTATION OFFICIALS 444 North Capitol St., N.W.

Suite 225 Washington, D.C. 20001 Copyright, 1982, by the American Association of State Highway and Transportation Officials Printed in the United States of America _________________________________________________________________________________________ A Policy on the Accommodation of Utilities within Freeway Right-of-Way INTRODUCTION The Geometric Design Standards for the National System of Interstate and Defense Highways adopted by the American Association of State Highway Officials on July 12, 1956, and accepted by the Bureau of Public Roads on July 17, 1956, provide, in accordance with Section 109 of Title 23, U.S. Code, Highways, 1958, for control of access on all sections of the Interstate System. These provisions were established to provide for the maximum degree of safety and to preserve the traffic-carrying capacity, both of which are warranted by the large public fund investment in the facility. There are also other freeways with similar control of access features which are not part of the Interstate System.

Control of access can be materially affected by the extent and manner in which public utilities cross or otherwise occupy the highway right-of-way. The highway agencies have various degrees of authority to develop and maintain control of access and to regulate utilities, generally through their authority to designate and to control the use made of right-of-way acquired for public highways, including those of all freeways. Their authorities depend upon State laws or regulations. These laws and regulations differ in the several States and may be different in a State for highways utilizing existing right-of-way and for highways on new location for which right-of-way is to be acquired.

A State may also have separate laws and regulations different from those applicable statewide, for highways on right-of-way subject to jurisdiction of a local government such as that of a large city.

In order to carry out the intent of Title 23, U.S. Code, a uniform policy is needed to establish the conditions under which public and private utilities may be accommodated on the freeway right-of-way. The following statements constitute such a policy. While the policy has as its primary purpose increasing and maintaining highway safety and function to the maximum and insuring uniformity of utility treatment among the States, it recognizes the public interest in avoiding unnecessary and costly operation of public utility organizations. The policy applies to all highways with full control of access, regardless of system. Also, it has value as a guide for all highways with partial control of access. The policy can be applied in most States by existing authority. Those States in which laws will not permit the application of this policy in its entirety should strive for uniformity through the enactment of appropriate legislation.

It is not the intent of this policy to impose restrictions on the future installations of utility crossings to the extent that would obstruct the development of expanding areas adjacent to the freeways.

This policy makes no reference to reimbursement to utility owners for the cost of adjusting or installing utilities on free. ways. Reimbursement is subject to State laws.

It is the intent of this policy to establish procedures whereby the individual State highway authorities may uniformly administer the same.

STATEMENT OF POLICY

1. Utilities to Which Policy Applies The principles set forth in this policy apply to all public and Private utilities including power transmission, telephone, telegraph, water, gas, oil, petroleum products, steam, sewer, drainage, irrigation, and similar lines.

Such utilities may involve construction and maintenance of underground, surface or overhead facilities, either singly or in combination.

This policy shall apply to utilities located on right-of-way owned or leased by the utility owners and to utilities on public highway rights-of-way.

This policy does not apply to utility lines for servicing facilities required for operating the freeway, 2. New Utility Installations Along Freeways New utilities will not be permitted to be installed longitudinally within the control of access lines of any freeway, except that in special cases such installations may be permitted under strictly controlled conditions.

However, in each such case the utility owner must show that:

A. The accommodation will not adversely affect the safety, design, construction, operation, maintenance or stability of the freeway;

B. The accommodation will not be constructed and/or serviced by direct access from the thru traffic C. The accommodation will not interfere with or impair the present use or future expansion of the freeway; and, D. Any alternative location would be contrary to the public interest. This determination would include an evaluation of the direct and indirect environmental and economic effects which would result from the disapproval of the use of such right-of-way for the accommodation of such utility.

3. Existing Utilities Along Proposed Freeways.

Where an utility already exists within the proposed right-of-way of a freeway and it can be serviced, maintained and operated without access from the through traffic roadways or ramps, it may remain as long as it does not adversely affect the safety, design, construction, operation, maintenance or stability of the freeway. Otherwise, it must be relocated.

4. Major Valley Crossings Where a freeway crosses a major valley or river on an existing structure, any utility carried by said structure at the time the highway route is improved may continue to be so carried when relocation of the utility would be very costly and provided the utility can be serviced without interference with road users.

Expansion of a utility carried by an existing structure across a major valley or river may be permitted provided the utility can be installed and serviced without interference with road users.

A new utility will not be permitted to be installed on a structure across a major valley or river at and after the time the highway route is improved, except for special cases as covered by Item 2, 5. Utilities Crossing Freeways New utility installations and adjustments or relocations of existing utilities may be permitted to cross a freeway.

To the extent feasible and practicable they should cross on a line generally normal to the freeway alignment and preferably under the freeway. 5(A) Utilities Along Roads or Streets Crossing Freeways Where a utility follows a crossroad or street which is carried over or under a freeway, provision should be made for the utility to cross the freeway on the locations of the crossroad or street in such manner that the utility can be serviced without access from the through-traffic roadways or ramps. Generally the utilities are to be located within the right-of-way of the crossroad or street, existing or relocated, and may cross over or under the freeway or be carried on or through the highway grade separation structure, provided installation and servicing thereof can be accomplished without access from the through-traffic roadways or ramps. Where distinct advantage and appreciable cost saving is effected by locating the utilities outside the right-of-way of the crossroad or street they may be so located, in which case they shall be located and treated in the same manner as utility lines crossing the freeway at points removed from grade separation structures as in (B) and (C) which follow. 5(B) Overhead Utility Crossings Overhead utility lines crossing a freeway at points removed from grade separation structures, or those crossing near a grade separation but not within the right-of-way of a crossroad or street, in general, should be adjusted so that supporting structures are located outside the outer edges of through-traffic roadway side slopes and preferably outside the control access lines. In any case supporting poles shall not be placed within the appropriate clear zone as designated in the current edition of the AASHTO publication “Guide for Selecting, Locating and Designing Traffic Barriers.” Supporting poles may be placed in medians of sufficient width to provide the above referenced clear zone from the edges of both roadways. If additional lanes are planned, the clear zone shall be determined from the ultimate edges of the roadway. Where right-of-way lines and control of access lines are not one and the same, as where frontage roads are provided, supporting poles may be located in the area between them. In extraordinary cases where such spanning of the roadways is not feasible, consideration may be given to conversion to underground facilities to cross the freeway.

At interchange areas, in general, support for overhead utilities should be permitted only where all of the following conditions are met: (a) the above indicated clear zone is provided with respect to the freeway through-traffic lanes, (b) the appropriate clear zone from edge of ramp is provided as designated in the above referenced AASHTO “Guide for Selecting, Locating and Designing Traffic Barriers,” (c) essential sight distance is not impaired, and (d) the conditions of Item 7, “Access for Servicing Utilities,” are satisfied.

The vertical clearance to overhead utility lines crossing freeways shall be determined by the State but in no case shall be less than the clearance required by the National Electrical Safety Code, ANSI C2, Institute of Electrical and Electronics Engineers, Inc. 5(C) Underground Utility Crossings Utilities crossing underground below the freeways shall be of durable materials and so installed as to virtually preclude any necessity for disturbing the roadways to perform maintenance or expansion operations. The design and types of materials shall conform with appropriate governmental codes and specifications.

Manholes and other points of access to underground utilities may be permitted within the right-of-way of a freeway only when they are located beyond the shoulders of the through-traffic roadways or ramps as planned for later widening, if any, and only where they can be serviced or maintained without access from the throughtraffic roadways or ramps. 5(D) Irrigation Ditches and Water Canals Except for necessary crossings, water canals and irrigation ditches should be excluded from the right-of-way of freeways, except for special cases as covered by Item 2. Crossings may be made by underground siphon, or through culverts, or bridges as appropriate to the size of canal, topographic conditions, and highway safety aspects. In general, locations and structures are to be designed in the same manner as are facilities for natural transverse drainage.

All access and egress for servicing or patrolling such facilities shall be from outside the control of access’ lines.

Ditch-walkers or ditch-riders shall not be permitted to indiscriminately cross the freeway at grade. Under appropriate traffic control arrangements, special ditch cleaning equipment may be permitted to cross in those cases where considerable extra travel distance would otherwise be required to utilize grade separation structures. 5(E) Provisions for Expansion of Utilities When existing utilities are relocated or adjusted in conjunction with construction of a freeway, provision may be made for known and planned expansion of the utility facilities, particularly those underground. They should be planned to avoid interference with traffic at some future date when additional or new overhead or underground lines are installed.

6. Utilities in Vehicular Tunnels As a general rule utilities will not be permitted to occupy vehicular tunnels on freeways on new location, except in special cases as covered by Item 2.

Utilities which transport a hazardous material shall not be allowed in a vehicular tunnel under any circumstances.

Where a utility occupies space in an existing vehicular tunnel that is converted to a freeway, relocation of the utility may not be required. Utilities which have not previously occupied an existing vehicular tunnel that is incorporated in a freeway will not be permitted therein, except in special cases as covered by Item 2.

7. Access for Servicing Utilities Access for Servicing a utility along or across a freeway should be limited to access via (a) frontage roads where provided, (b) nearby or adjacent public roads and streets, or (c) trails along or near the highway right-of-way lines, connecting only to an intersecting road, from any one or all of which entry may be made to the outer portion of the freeway right-of-way.

In those special cases, where utility supports, manholes, or other appurtenances are located in medians or interchange areas, access to them from through-traffic roadways or ramps may be permitted but only by permits issued by the highway agency to the utility owner setting forth the conditions for policing and other controls to protect highway users.

Where utilities are located outside the control of access line and where such utilities may require maintenance from within the freeway right-of-way, a permit must be obtained from the highway agency.

Advance arrangements should also be made between the utility and the highway agency for emergency maintenance procedures.

8. Construction and Location Details The highway agency which constructs or maintains freeways has the right to review and approve the location and design of all utility installations and adjustments affecting the highway and issue permits for the contemplated work.

9. Manner of Making Utility Installations and Adjustments In general, utility installation and adjustments are to be made with due consideration to highway and utility costs and in a manner that will provide maximum safety to the highway users, will cause the least possible interference with the highway facility and its operation, and will not increase the difficulty of or cost of maintenance of the highway.

APPENDIX 3 [Deleted]

APPENDIX 3A [Deleted]

APPENDIX 4.A

1. Geometrics of the Roadway 2. Longitudinal location of Luminaire along the Roadway.

2. Cross-section of the Roadway showing the location of the Luminaire with respect to the edge of the pavement (both horizontally and vertically).

3. Photometric data used in the design.

4. Luminaire size. ASA type and initial lumen rating, associated with the luminaire when operating in the position for which the equipment was designed.

5. Mounting height and type of poles to be used.

6. Average spacing of luminaires.

7. Average horizontal footcandle level used in the design.

8. Maximum horizontal footcandle level.

9. Minimum horizontal footcandle level.

10. Maintenance factor used in the design.

11. Character of the existing street lighting at each end of the proposed new system and on the intersecting roadways.

Upon request and when available the Department will provide prints of the highway construction plans for use as a base for the proposed lighting plan.

APPENDIX 4B

Required Information to Accompany Plans For Pipeline Encroachments:

Carrier Pipe Casing Pipe 1. Contents to be handled ______________ _______________ 2. Outside diameter ______________ _______________ 3. Pipe material ______________ _______________ 4. Pipe specifications and grade ______________ _______________ 5. Wall thickness ______________ _______________ 6. Design pressure ______________ _______________ 7. Actual working pressure ______________ _______________ 8. Type of joint ______________ _______________ 9. Coating ______________ _______________ 10. Method of installation ______________ _______________ 11. Protection at end of casing ______________ _______________ Both Ends ____________ One End ____________ Type ___________________ 12. Cover: Finished grade to tope of casing or carrier ________________________ Bottom of ditch or toe of slope to top of Carrier to casing _____________________________________________ 13. Cathodic protection _________________________________________________ 14. Size and height of casting vent ________________________________________ 15. Distance from casing vent to edge of Nearest traffic lane _________________________________________________

APPENDIX 4C

Required Information to Accompany Plans Overhead Power or Communication Encroachments:

1. Type of facility ________________________________________________________________________ 2. Type of conductor or cable _______________________________________________________________ 3, Size of conductor or cable ________________________________________________________________ 4. Height, type and class of poles ____________________________________________________________ 5. Type and size of guys ___________________________________________________________________ 6. Minimum vertical clearance @ points of crossing _____________________________________________ 7. Type and size of crossarms _______________________________________________________________ This information may be shown on the plan or by attachment thereto.

APPENDIX 4D

Required Information to Accompany Plans for Underground Electric or Communication Encroachments:

1. Type of facility ________________________________________________________________________ 2. Type of conductor or cable _______________________________________________________________ 3. Size of conductor or cable ________________________________________________________________ 4. Type of duct or encasement ______________________________________________________________ 5. Minimum longitudinal cover _____________________________________________________________ 6. Minimum cover at crossing of travel way ___________________________________________________ This information may be shown on the plan or by attachment thereto.

APPENDIX 6

LICENSE FOR PRIVATE UTILITY OCCUPANCY OF STATE HIGHWAY RIGHT-OF-WAY

BY INDIVIDUALS OR BUSINESSES

This license agreement is made and entered into on this __________ day of ________________, 19 ____, by and between the State of Tennessee, acting through its Department of Transportation, hereinafter referred to as “licensor” and __________________________________________________________________________ hereinafter referred to as “licensee”;

WITNESSETH:

That licensor, in consideration of a showing of necessity by the licensee to install private ____________________________ utility facilities in state highway right-of-way hereby grants licensee the privilege to make and maintain a utility installation to serve the property described in Exhibit A in accordance with the provisions of this agreement and in conformity with the plans and specifications contained in Exhibit B, which exhibits are attached and constitute a part hereof, It is understood by the parties that this license shall not be construed as a grant of any interest in and to said right-of-way, but as a privilege of occupancy by permission of licensor to be used exclusively to provide ____________________________ utility service to said property for an indefinite future time when installed in accordance with said plans and specifications, provided licensee maintains the facilities in good operating condition, until licensor has a need to use the occupied area for maintenance or construction within the right-of-way or until public utility facilities offering the same service become available.

On failure of the licensee to comply with any condition or occurrence of any limitation on continuance of this license, licensee agrees to remove its facilities or discontinue their use, as the licensor directs.

IN WITNESS WHEREOF, the parties have executed this license on the day and date first above written.

LICENSEE STATE OF TENNESSEE

TENNESSEE DEPARTMENT OF TRANSPORTATION

BY: ____________________________ BY: ___________________________

Name Jimmy M. Evans Commissioner ____________________________ BY: ___________________________ Title Lewis Evans State Transportation Engineer APPROVED BY: ___________________________ Henry K. Buckner, Jr.

Department Attorney PROPERTY Book ______________________ Page _______________________ County _____________________

APPENDIX 7A

Form U-5 1-83 SURETY BOND (For Utility Permits)

KNOW ALL MEN BY THESE PRESENTS:

That we _________________________________________________________________ , PRINCIPAL, and _______________________________________________________________________ as SURETY, are held and firmly bound unto the DEPARTMENT OF TRANSPORTATION of the State of Tennessee to perform the work described in the Application and Utility Use and Occupancy Agreement attached hereto and requested this the _____________day of ________________________, 19 ________, in the manner prescribed in said Application and Agreement and to replace or repair any portion of pavement, shoulders, bridges or any other part of the highway described in said Agreement which may be damaged as a result of the work hereinbefore referred to. We do hereby agree to repair or replace any damaged portion of said highway in accordance with Standard Specifications for Road and Bridge Construction of the Department of Transportation of the State of Tennessee. In the event such repairs or replacements are not made in a manner satisfactory to the Department of Transportation of the State of Tennessee, we hereby agree to reimburse said Department for the cost of such repairs.

We do bind ourselves in the sum of $ ______________________ for a term beginning the ______ day of _________________________, 19 , until proper release is received front the Department of Transportation of the State of Tennessee.

NOW THEREFORE, the PRINCIPAL AND SURETY assume all obligations and liabilities as set forth above, SIGNED, SEALE’D and dated this the __________ day of __________________________, 19 ________. ________________________________ Principal BY: ____________________________ ________________________________ Title ________________________________ Surety Surety Company Bond No: ____________________________ BY: ____________________________ Mailing Address of Surety Company __________________________________________________ __________________________________________________ Name and Address of Agency Writing Bond __________________________________________________ __________________________________________________ (A copy of the Power of Attorney properly executed by the company authorizing the Agent signing above to bind the company as Surety on this Bond must be attached hereto.)

APPENDIX 7B

Form U-4 1-83 RUNNING SURETY BOND (For Utility Permits)

WHEREAS, it will be necessary from time to time for _______________________________to locate utilities on and to perform work on State highway right-of-ways within the City/County (strike one) of ____________________________. Tennessee, after applying for and being granted an Application and Use and Occupancy Agreement with the Department of Transportation of the State of Tennessee for each such installation and, WHEREAS, in consideration of the entering into Applications and Utility Use and Occupancy Agreement by the Department of Transportation of the State of Tennessee, __________________________ agrees to insure to the said Department that it will repair or replace any portion of pavement, shoulders, bridges or nay other part of any highway which may be damaged as a result of the work hereinbefore referred to.

NOW THEREFORE KNOW ALL MEN BY THESE PRESENT:

That we _______________________________________________________________, PRINCIPLE, and ______________________________________________________________________ as SURETY, are held and firmly bound into the DEPARTMENT OF TRANSPORTATION of the State of Tennessee to perform any work within City/County (strike one) of _____________________, Tennessee, permitted in any Application and Utility Use and Occupancy Agreement between _________________________ arid the Department of Transportation of the State of Tennessee applied for and granted after the ___________ day of __________________, 19 _______, in the manner prescribed in each of said respective agreements and to replace or repair any portion of pavement, shoulders, bridges or nay other part of the highway described in said respective agreements which may be damaged as a result of the work hereinbefore referred to. We do hereby agree to repair or replace any damaged portions of said highways in accordance with Standard Specifications for Road and Bridge Construction of the Department of Transportation of the State of Tennessee. In the event such repairs or replacements are not made in a manner satisfactory to the Department of Transportation of the State of Tennessee, we hereby agree to reimburse said Department of Transportation for the cost of such repairs.

We do bind ourselves in the sum of $ _______________________ until proper release is received from the Department of Transportation of the State of Tennessee for each installation for which an Application and Utility Use and Occupancy Agreement was entered into between __________________________________ and said Department from the date last above written until the termination of the Bond as provided for hereinafter. It is expressly understood and agreed that the above sum represents the total aggregate liability under this Bond on all work performed under Agreements issued as aforesaid but not properly released by said Department.

This Bond may be terminated by the SURETY following the giving of written notice of intention to terminate by certified mail to the State Utilities Engineer, Department of Transportation of the State of Tennessee, 100 James K. Polk Building, Nashville, TN. 37219, and said terminator will become effective thirty (30) days after receipt of said notice. Proper termination notice notwithstanding, PRINCIPLE and SURETY will remain bound to the State of Tennessee under the terms hereabove set out for the performance of any projects, with City/County (strike one) of _________________________, Tennessee, for which Application and Utility Use and Occupancy Agreements were entered into between the date last above written and said date of termination, until proper release is received from the Department of Transportation of the State of Tennessee for each of said projects.

NOW THEREFORE, the PRINCIPLE AND SURETY assume all obligations and liabilities as set forth above.

Signed, sealed and dated this the __________ day of _______________, 19.

Surety Company Bond No. ___________________________ ________________________________ Principle Mailing Address of Surely Company BY: ____________________________ _________________________________________________ ________________________________ Title _________________________________________________ ________________________________ Surety Name and Address of Agency Writing Bond BY: ____________________________ _________________________________________________ _________________________________________________ _________________________________________________ (A copy of the Power of Attorney properly executed by the company authorizing the Agent signing above to bind the company as Surety on this Bond must be attached hereto.) _________________________________________________________________________________________

APPENDIX 8

REQUIREMENTS FOR, OPEN CUT TRENCHING, BACKFILLING AND REPLACEMENT PAVING

1. One-half of the traveled portion of the pavement must remain open to traffic at all times.

2. Existing pavements, buses, curbs and gutters and sidewalks shall be cut and brought to a neat line by mechanically sawing or by use of an air hammer. Expansion joints removed shall be replace.

3. If permanent pavement repairs cannot be made within two (2) days, then temporary replacement shall be made with 2 inches cold mix or hot bituminous seal coat over compacted crush stone.

4. Backfill for trenches within roadway areas shall be placed in 6 inch layers and each layer shall be thoroughly compacted by means of mechanical tamp. All concrete shall be Class “A”.

5. Materials and workmanship shall comply with “Standard Specifications for Road and Bridge Construction” issued by the Tennessee Department of Transportation, March 1, 1981. All work is subject to inspection and approval by the Department of Transportation.

6. Trenches under roadways shall be backfilled to the base of the pavement or a minimum of 9 inches below finished grade, whichever is greater, with crush stone. Pavement will be removed for a minimum of one-foot on each side of the trench. The depth of the patch shall be the depth of the existing pavement or 9 inches, whichever is greater. The patch shall be finished so as not to leave a bump or dip in the finish grade.

Pavement shall be replaced in kind as shown hence or as directed by the Regional Utilities Engineer.

APPENDIX 9

SPECIAL PROVISIONS FOR BLASTING ON HIGHWAY RIGHTS-OF-WAY

General Provisions 1. Each side of the trench shall be line drilled at 6” C.C. Maximum.

2. Blast holes shall be drilled 6” minimum from plane of line drill.

3. Blast holes shall be loaded with a maximum of 0.5 pounds of water resistant gelatin at no greater than 60% strength. 4 Blasting shall be sequenced so as each shot will kick to an open face.

4. Steel blasting mats shall be used to cover each shot.

5. A maximum of 10 holes or 20 linear feet, whichever is less, shall be loaded and shot at any one time.

Provisions for Blasting Near Structures 1. When blasting around or under highway structures, the State will have an inspector inspect the structure before and after the blasting operation is complete, recording the time and findings in diary form. In the event any damage to the structure is observed. all work within the area shall be immediately suspended and shall remain suspended pending investigation by the State as to the extent of damages.

2. A responsible representative of the explosive supplier shall be present on the site at all times the utility or its contractor is performing any blasting operations within the State’s right-of-way.

History

• Authority: T.C.A. §4-2-2303(2).
• Administrative History: Original rule filed August 8, 1983; effective September 7, 1983. Amendment filed February 1, 1989; effective March 18, 1989. Amendment filed September 24, 2002; effective December 8, 2002 (Formerly 1680-6-1-.09).

Chapter 1680-06-02 Relocation Assistance Program

Tenn. Comp. R. & Regs. 1680-06-02-.01 PURPOSE

(1) The purpose of these Rules is to implement the Uniform Relocation Assistance Act of 1972, as amended, T.C.A. § 13-11-101 et seq., by establishing regulations and procedures for the fair and equitable treatment of persons displaced as a direct result of programs or projects undertaken by the Department with or without federal financial assistance, programs or projects undertaken by local agencies with federal or state financial assistance, and programs or projects undertaken by persons with federal financial assistance, in order that such displaced persons shall not suffer disproportionate injuries as a result of federal or state programs or projects for the benefit of the public as a whole, and to minimize the hardship of displacement on such persons.

(2) It is also the purpose of these Rules to assure compliance with the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, 42 U.S.C. § 4601 et seq., and the implementing regulations at 49 C.F.R., Part 24, where applicable to programs or projects undertaken with federal financial assistance.

History

• Authority: T.C.A. §§ 13-11-102, 13-11-113, and 13-11-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.02 APPLICABILITY

These Rules apply to:

(1) Programs or projects undertaken by the Department with or without federal financial assistance;

(2) Programs or projects undertaken by local agencies with federal or state financial assistance administered by or through the Department; and (3) Programs or projects undertaken by persons with federal financial assistance administered by or through the Department.

History

• Authority: T.C.A. §§ 13-11-102, 13-11-113, and 13-11-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.02 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.03 DEFINITIONS

(1) “Act” means the Uniform Relocation Assistance Act of 1972, as amended and codified in T.C.A. § 13-11-101 et seq.

(2) “Alien not lawfully present in the United States” means an alien who is not “lawfully present” in the United States as defined in 8 C.F.R. § 103.12, or as amended, and includes the following:

(a) An alien present in the United States who has not been admitted or paroled into the United States pursuant to the Immigration and Nationality Act and whose stay in the United States has not been authorized by the United States Attorney General; and (b) An alien who is present in the United States after the expiration of the period of stay authorized by the United States Attorney General or who otherwise violates the terms and conditions of admission, parole or authorization to stay in the United States.

(3) “Business” means any lawful activity, excepting a farm operation, conducted primarily:

(a) For the purchase, sale, lease and rental of personal and real property, and for the manufacture, processing, or marketing of products, commodities, or any other personal property;

(b) For the sale of services to the public;

(c) By a nonprofit organization; or (d) For assisting in the purchase, sale, resale, manufacture, processing, or marketing of products, commodities, personal property, or services by the erection and maintenance of an outdoor advertising display or displays, whether or not such display or displays are located on the premises on which any of the above activities are conducted; provided, however, that such outdoor advertising shall be considered a business solely for the

purpose of obtaining moving and related expenses as provided in T.C.A. § 13-11-105 and these Rules.

(4) “Comparable replacement dwelling” means any dwelling that is:

(a) Decent, safe, and sanitary, as further defined in this Rule;

(b) Adequate in size to accommodate the occupants;

(c) Within the financial means of the displaced person, which means that:

1. A replacement dwelling for a homeowner in occupancy at the displacement dwelling for at least 90 days prior to the initiation of negotiations (90-day homeowner) is considered to be within the homeowner’s financial means if the homeowner will receive the full replacement housing payment as described in

Rule 1680-06-02-.13, Subparagraph (1)(b), all increased mortgage interest costs as described in Rule 1680-06-02-.13, Subparagraph (1)(d), and all incidental expenses as described in Rule 1680-06-02-.13, Subparagraph (1)(e), plus any additional amount required to be paid under Rule 1680-06-02-.15, Last Resort Housing; or 2. A replacement rental dwelling is considered to be within an eligible displaced person’s financial means if, after receiving rental assistance under Rule 1680-06- 02-.13, Paragraph (2), the displaced person’s monthly rent and estimated monthly utility costs for the replacement dwelling do not exceed the person’s base monthly rental for the displacement dwelling as described in Rule 1680-06- 02-.13, Subparagraph (2)(b); or 3. For a displaced person who is not eligible to receive a replacement housing payment because of the person’s failure to meet length-of-occupancy requirements, comparable replacement rental housing is considered to be within the person’s financial means if the displacing agency pays that portion of the monthly housing costs of a replacement dwelling which exceeds 30 percent of such person’s gross monthly household income or, if receiving a welfare assistance payment from a program that designates amounts for shelter and utilities, the total of the amounts designated for shelter and utilities; provided, however, that such rental assistance must be paid under Rule 1680-06-02-.15, Last Resort Housing;

(d) Functionally equivalent to the dwelling from which the occupant was displaced, which means that:

1. The replacement dwelling performs the same function and provides the same utility; and 2. While a comparable replacement dwelling need not possess every feature of the displacement dwelling, the principle features must be present; and 3. Generally, functional equivalency is an objective standard, reflecting the range of purposes for which the various physical features of a dwelling may be used; provided, however, that in determining whether a replacement dwelling is functionally equivalent to the displacement dwelling, the displacing agency may consider reasonable trade-offs for specific features when the replacement unit is equal to or better than the displacement dwelling;

(e) In an area not subject to unreasonable adverse environmental conditions;

(f) In a location generally not less desirable than the location of the displaced person’s dwelling with respect to public utilities, facilities, services, and the displaced person’s place of employment;

(g) On a site that is typical in size for residential development with normal site improvements, including customary landscaping; provided, however, that the site need not include special improvements such as outbuildings, swimming pools, or greenhouses; and (h) Currently available to the displaced person on the private market; provided, however, that a comparable replacement dwelling for a person receiving government housing assistance before displacement may reflect similar government housing assistance.

(5) “Contributing materially” means that during the two taxable years prior to the taxable year in which displacement occurs, or during such other period of time as the displacing agency determines to be more equitable, a business or farm operation:

(a) Had average annual gross receipts of at least $5,000; or (b) Had average annual net earnings of at least $1,000; or (c) Contributed at least 33 1/3% of the owner’s or operator’s average annual gross income from all sources; or (d) If the application of the above criteria creates an inequity or hardship in any given case, the displacing agency may approve the use of other criteria determined to be appropriate.

(6) “Decent, safe and sanitary dwelling” means a dwelling that meets applicable housing and occupancy codes. Even if not required by applicable housing and occupancy codes, however, the following standards shall apply unless waived for good cause by the agency funding the project. The dwelling shall:

(a) Be structurally sound, weather-tight, and in good repair;

(b) Contain a safe electrical wiring system adequate for lighting and other electrical devices;

(c) Contain a heating system capable of sustaining a healthful temperature (of approximately 70 degrees) for a displaced person;

(d) Be adequate in size with respect to the number of rooms and area of living space needed to accommodate the displaced person(s), and should contain a sufficient number of bedrooms to ensure that either no two unmarried blood relatives of the opposite sex over the age of six are required to share a bedroom, or local occupancy codes are met, whichever is greater;

(e) Contain a separate, well-lighted and ventilated bathroom that provides privacy to the user and contains a sink, bathtub or shower stall and a toilet, all in good working order and properly connected to an appropriate water source and a sewage drainage system;

(f) Contain, in the case of a housekeeping dwelling, a kitchen area that contains a fully usable sink, properly connected to potable hot and cold water and a sewage drainage system, and adequate space and utility service connections for a stove and refrigerator;

(g) Contain unobstructed egress to safe, open space at ground level; and (h) For a displaced person who is handicapped, be free of any barriers that would preclude reasonable ingress, egress or use of the dwelling by such displaced person.

(7) “Department” means the Tennessee Department of Transportation.

(8) “Displaced person” means, except as provided below in Subparagraph (b):

(a) Any person who moves from real property, or moves such person’s personal property from real property, including a person who occupies the real property prior to its acquisition but does not meet the length of occupancy requirements described in Rule

Tenn. Comp. R. & Regs. 1680-06-02-.04 ADMINISTRATION - GENERAL

(1) Contracting for Relocation Assistance Services.

To prevent unnecessary expense and duplication of functions, and to promote uniform and effective administration of the Act, the Department or other displacing agency may enter into contracts with any individual, firm or corporation for services in connection with a program or project, or may carry out all functions provided for under the Act through any federal agency, or any state agency, or any local agency, or any person having an established organization for conducting the provisions of the Act.

(2) State Share of Costs.

The cost to a local agency of providing payments and assistance under T.C.A. §§ 13-11-109 and 13-11-110 shall be included as part of the cost of a program or project for which state financial assistance is available to such local agency, and such local agency shall be eligible for state financial assistance with respect to such payments and assistance in the same manner and to the same extent as other program or project costs.

(3) Assurances, Monitoring and Corrective Action.

(a) The Department shall not approve any grant to, or contract or agreement with, a local agency or other displacing agency under which state or federal financial assistance will be available to pay all or part of the cost of any program or project which will result in the displacement of any person unless the Department receives satisfactory assurances from the local agency or other displacing agency that:

1. Fair and reasonable relocation payments and assistance shall be provided to or for displaced persons in accordance with T.C.A. §§ 13-11-105 through 13-11- 107;

2. Relocation assistance programs offering the services described in T.C.A. § 13- 11-108 shall be provided to such displaced persons; and 3. There is compliance with the provisions of T.C.A. §§ 13-11-108(c)(3) and 13-11- 109.

(b) The Department may monitor compliance with the Act and these Rules and take such corrective action as may be necessary to bring the local agency or other displacing agency into compliance with the Act and these Rules. The Department may also apply sanctions in accordance with any applicable program regulations.

(4) Prevention of Fraud, Waste and Mismanagement.

The displacing agency shall take appropriate measures to carry out the requirements of these Rules in a manner that minimizes fraud, waste and mismanagement.

(5) Civil Rights.

(a) In accordance with federal and state law, it is Department policy that only open housing available to all without regard to race, color, creed, religion, sex, age, handicap, familial status or national origin will be used as replacement housing resources.

(b) It is further Department policy to ensure that no person be excluded from participation in, be denied any benefits of, or be subjected to discrimination under any program or activity of the State because of race, creed, color, religion, sex, age, handicap, familial status or national origin, and to take affirmative action to promote the full implementation of this policy throughout the State.

(c) Upon receipt of a fair housing discrimination complaint, the Department or other displacing agency will instruct the displaced person to write to one of the following:

U.S. Department of Housing and Urban Development Fair Housing and Equal Opportunity Compliance Division Agency of Housing and Urban Development Richard D. Russell, Federal Building 75 Spring Street, S.W.

Atlanta, Georgia 30303 or Tennessee Human Rights Commission 312 Rosa L. Parks Ave., 23 rd Floor Nashville, Tennessee 37243 (d) The letter should contain a statement that the person believes he has been the victim of housing discrimination and a request for appropriate complaint forms. The displacing agency should assist in completing the forms and in having the complaint notarized.

(6) Recordkeeping and Reports.

(a) The displacing agency shall maintain adequate records of its displacement and relocation activities in sufficient detail to demonstrate compliance with the Act and these Rules. These records shall be maintained for at least 3 years after each displaced person receives the final payment to which such person is entitled under the Act and these Rules.

(b) Records maintained by the displacing agency in accordance with these Rules are confidential regarding their use as public information, unless applicable law provides otherwise.

(c) The displacing agency shall submit a report of its displacement activities under these Rules if requested by the Department or the federal agency funding the project, if applicable. The report shall be submitted in a form acceptable to the Department or the applicable federal agency.

(7) Notices.

Any notice that a displacing agency is required to provide to a displaced person under the Act or these Rules shall be personally served or sent by certified or registered first-class mail, return receipt requested, and documented in the displacing agency’s files. Each notice shall indicate the name and telephone number of a person who may be contacted for answers to questions or additional assistance.

History

• Authority: T.C.A. §§ 13-11-112, 13-11-113, 13-11-114, and 13-11-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.04 filed and effective February 1, 2003. Amendments filed January 12, 2017; effective April 12, 2017.

Tenn. Comp. R. & Regs. 1680-06-02-.05 RELOCATION PLAN

(1) During the early stages of development, programs or projects subject to these Rules shall be planned in such a manner that the problems associated with the displacement of individuals, families, businesses, farm operations, and nonprofit organizations are recognized and solutions are developed to minimize the adverse impacts of displacement. Such planning shall precede any action by the displacing agency that will cause displacement. The scope of planning should be commensurate with the complexity and nature of the anticipated displacing activity, and it should include an evaluation of program resources available to carry out timely and orderly relocations.

(2) Planning may involve a relocation survey or study, which may include:

(a) An estimate of the number of households to be displaced including information such as owner/tenant status, estimated value and rental rates of properties to be acquired, family characteristics, and special consideration of the impacts on minorities, the elderly, large families, and the handicapped when applicable;

(b) An estimate of the number of comparable replacement dwellings in the area (including price ranges and rental charges) that are expected to be available to fulfill the needs of those households displaced; provided that when an adequate supply of comparable replacement housing is not expected to be available, consideration of housing of last resort actions should be instituted;

(c) An estimate of the number, type and size of the businesses, farm operations and nonprofit organizations to be displaced and the approximate number of employees that may be affected;

(d) Consideration of any special relocation advisory services that may be necessary from the displacing agency and other cooperating agencies; and (e) An estimate of the project lead time needed to accomplish relocation activities.

History

• Authority: T.C.A. § 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.05 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.06 RELOCATION NOTICES

(1) Relocation Information Notice.

As soon as feasible, the displacing agency shall send to each person scheduled to be displaced a written notice generally describing the displacing agency’s relocation program and, at a minimum, this notice shall:

(a) Inform the person that he or she may be displaced because of the displacing agency’s project and describe generally the relocation benefits for which the person may be eligible, the basic conditions of eligibility and the procedures for obtaining the benefits;

(b) Inform the person that he or she will be given reasonable relocation advisory services, including referrals to replacement properties, help in filing claims and other necessary assistance to help them successfully relocate;

(c) Inform the person that he or she cannot be required to move permanently unless at least one comparable replacement dwelling has been made available, as provided in

Rule 1680-06-02-.07, Paragraph (5) below, and that he or she will not be required to move without at least 90 days’ advance written notice, except in the case of a major disaster or an emergency as provided in Rule 1680-06-02-.07, Subparagraph (5)(c) below;

(d) Inform the person that any person who is an alien not lawfully present in the United States is ineligible for relocation advisory services and relocation payments, unless such ineligibility would result in exceptional and extremely unusual hardship to a qualifying spouse, parent, or child, as defined in Rule 1680-06-02-.08, Paragraph (4) below; and (e) Describe the person’s right to appeal the displacing agency’s determination as to eligibility for, or the amount of, any relocation payment for which the person may be eligible.

(2) Notice of Eligibility for Relocation Assistance.

(a) A displaced person’s eligibility for relocation assistance shall begin on the date of the initiation of negotiations (as defined in Rule 1680-06-02-.03 above) for the occupied property.

(b) Upon the initiation of negotiations, the displacing agency shall provide the displaced person(s) with written notice of eligibility for relocation assistance. This notice shall be hand-delivered to the owner occupants on the date of the initiation of negotiations, and it shall either be hand-delivered to all tenant occupants on that date or hand-delivered or sent by certified mail no later than ten (10) days after the initiation of negotiations.

(c) The Notice of Eligibility for Relocation Assistance may be combined with the Notice of Earliest Vacation Date (Ninety-Day Notice), described below.

(3) Notice of Earliest Vacation Date (Ninety-Day Notice).

(a) No lawful occupant shall be required to move unless he or she has received at least 90 days’ advance written notice of the earliest date by which he or she may be required to vacate the property, except in the case of a major disaster or emergency as provided in

Rule 1680-06-02-.07, Subparagraph (5)(c) below.

(b) This Notice of Earliest Vacation Date (Ninety-Day Notice) shall either state a specific date, not less than 90 days after the notice, by which the occupant may be required to move, or it shall state that the occupant will receive a subsequent Notice to Vacate, at least 90 days in advance, stating the specific date by which the person will be required to vacate the property. If the Ninety-Day Notice is delivered before a comparable replacement dwelling is made available, the notice shall state that the occupant will not have to move earlier than 90 days after such dwelling is made available, except in the case of a major disaster or emergency as provided in Rule 1680-06-02-.07, Subparagraph (5)(c) below.

(c) The displacing agency may deliver the Ninety-Day Notice 90 days before it expects the person to be displaced or earlier, and this notice may be combined with the Notice of Eligibility for Relocation Assistance, described above.

(4) Notice to Vacate.

(a) The displacing agency shall give a displaced person at least 90 days’ advance written notice of the specific date by which the person will be required to vacate the property, except in the case of a major disaster or emergency as provided in Rule 1680-06-02- .07, Subparagraph (5)(c), below or under the circumstances described in Subparagraph (f) below.

(b) This Notice to Vacate shall state the specific date, not less than 90 days after the date on which the notice is received, by which the occupant will be required to vacate the property. The date given to vacate the property shall be at least 90 days after the date on which the displaced person received the Notice of Earliest Vacation Date (Ninety- Day Notice) or, on residential displacements, at least 90 days after the date on which the displaced person received the Notice of Eligibility for Relocation Assistance, whichever is later.

(c) The Notice to Vacate may not be given until after the displacing agency has obtained legal possession of the property.

(d) Before issuing the Notice to Vacate, the displacing agency must verify that comparable replacement housing is available for the displaced person within the amount of the original offer for replacement housing. Also, if requested by the displaced person, the address of at least one comparable dwelling must be provided.

(e) The Notice to Vacate shall either be hand-delivered or sent by certified mail. If sent by certified mail, the specified date to vacate the property must be at least 95 days after the date on which the notice is mailed, to ensure that the displaced person is provided the full 90 days to which he or she is entitled.

(f) The Notice to Vacate need not be issued if the displaced person has already relocated to replacement housing.

(5) Subsequent Notice of Non-Displacement.

(a) A displaced person who moves after receiving a Notice of Eligibility for Relocation Assistance is eligible for all applicable relocation assistance benefits regardless of whether the real property is ultimately acquired, unless prior to the move the displacing agency sends written notice that the person will not be displaced by the project.

(b) If, after sending a Notice of Eligibility for Relocation Assistance, the displacing agency determines that the person will not need to be displaced, the displacing agency shall promptly notify the person in writing that there is no need to relocate.

(c) Such person shall be reimbursed for any reasonable relocation costs incurred prior to receipt of the Subsequent Notice of Non-Displacement, including any payments due under a binding written contract for relocation services entered into after the date of the initiation of negotiations.

History

• Authority: T.C.A. § 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.06 filed and effective February 1, 2003. Amendments filed January 12, 2017; effective April 12, 2017.

Tenn. Comp. R. & Regs. 1680-06-02-.07 RELOCATION ASSISTANCE ADVISORY SERVICES

(1) General.

The displacing agency shall provide relocation assistance advisory services in accordance with the Act and these Rules, and in accordance with applicable federal statutes and regulations where the program or project is conducted with federal financial assistance. The

purpose of these services is to minimize the impact of displacement by providing information and other assistance to help displaced persons, businesses and farm operations to relocate.

(2) Coordination of Relocation Activities.

Relocation activities shall be coordinated with project work and other displacement causing activities to ensure that, to the extent feasible, displaced persons receive consistent treatment and duplication of functions is minimized.

(3) Eligibility for Relocation Assistance Advisory Services.

(a) The displacing agency shall provide relocation assistance advisory services, as described below, to all displaced persons.

(b) If the displacing agency determines that any person occupying real property immediately adjacent to real property where the displacing activity occurs will be caused substantial economic injury as a result of the displacing activity, the displacing agency may make relocation assistance advisory services available to such person.

(c) Any person who occupies property acquired by the displacing agency, when such occupancy began subsequent to the acquisition of the property, and the occupancy is permitted by a short term rental agreement or an agreement subject to termination when the property is needed for the project, shall be eligible for relocation assistance advisory services to the extent determined by the displacing agency.

(d) Aliens not lawfully present in the United States shall not be eligible for relocation assistance advisory services or relocation payments, except as may be provided in accordance with Rule 1680-06-02-.08 below.

(4) Relocation Assistance Advisory Services To Be Provided.

(a) The displacing agency shall personally interview each displaced person to determine, and make timely recommendations on, the person’s relocation assistance needs and preferences, if any. The displacing agency shall also explain the relocation payments and other assistance for which the person may be eligible, the related eligibility requirements and the procedures for obtaining such assistance.

(b) The displacing agency shall assure the displaced person that he or she cannot be required to move permanently from his or her displacement dwelling unless at least one comparable replacement dwelling is made available, as set forth in Rule 1680-06-02- .07, Paragraph (5) below.

(c) Where applicable, the displacing agency shall provide current and continuing information on the availability, purchase prices and rental costs of comparable replacement dwellings.

1. As soon as feasible, the displacing agency shall provide the displaced person with a written notice of the specific comparable replacement dwelling and the price or rent used to determine the maximum replacement housing payment or rental assistance payment for which the displaced person may qualify, with the

basis for that determination.

2. Where feasible, housing should be inspected before being made available to assure that it meets applicable standards for a decent, safe and sanitary dwelling.

If such an inspection is not made, the displacing agency shall notify the displaced person that a replacement housing payment or rental assistance payment may not be made unless the replacement dwelling is subsequently inspected and determined to be decent, safe and sanitary.

3. Whenever possible, minority persons shall be given reasonable opportunities to relocate to decent, safe and sanitary replacement dwellings, not located in an area of minority concentration, that are within their financial means. This policy, however, does not require the displacing agency to provide a person a larger payment than is necessary to enable the person to relocate to a comparable replacement dwelling.

(d) Where applicable, the displacing agency shall assist any person displaced from a business or farm operation to obtain and become established, if possible, in a suitable replacement location. Accordingly, the displacing agency shall provide current and continuing information on the availability, purchase prices and rental costs of suitable commercial and farm properties and locations.

(e) The displacing agency shall offer to assist in providing transportation to inspect comparable replacement dwellings to which displaced persons are referred.

(f) The displacing agency shall minimize hardships to persons in adjusting to relocation by providing counseling, advice as to other sources of assistance that may be available and such other help as may be appropriate.

(g) The displacing agency shall supply persons to be displaced with appropriate information concerning federal and state housing programs, loan and other management programs administered by the Small Business Administration, and other federal and state programs offering assistance to persons to be displaced.

(5) Availability of Comparable Replacement Dwelling Before Displacement.

(a) No displaced person shall be required to move from his or her dwelling unless at least one comparable replacement dwelling has been made available to the person. Where possible, three or more comparable replacement dwellings shall be made available.

(b) A comparable replacement dwelling shall be considered to have been made available to a person, if:

1. The person is informed of its location; and 2. The person has sufficient time to negotiate and enter into a purchase agreement or lease for the property; and 3. Subject to reasonable safeguards, the person is assured of receiving the relocation assistance and acquisition payment to which the person may be entitled in sufficient time to complete the purchase or lease of the property.

(c) The Department or, where applicable, the federal agency funding the project, may waive the requirement to make at least one comparable replacement dwelling available prior to displacement, as provided in Subparagraph (a) above, where it is demonstrated that a person must move because of:

1. A major disaster as defined in the Disaster Relief Act of 1974, 42 U.S.C. § 5121 et seq.; or 2. A national emergency as declared by the President of the United States; or 3. Any other emergency that requires the person to move immediately from the displacement dwelling because continued occupancy of that dwelling would create a substantial danger to the health of the occupants or the public.

(d) In any case where a person is required to move for a temporary period because of an emergency, as described in Subparagraph (c) above, the displacing agency shall:

1. Take whatever steps are necessary to assure that the person is temporarily relocated to a decent, safe and sanitary dwelling; and 2. Pay the actual reasonable out-of-pocket moving expenses and any reasonable increase in rent and utility costs incurred in connection with the temporary relocation; and 3. As soon as feasible, make available to the displaced person at least one comparable replacement dwelling; and 4. For the purposes of filing a claim and meeting the eligibility requirements for a relocation payment, consider the date of displacement as the date the person moves from the temporarily occupied dwelling.

History

• Authority: T.C.A. §§ 13-11-108 and 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.07 filed and effective February 1, 2003. Amendments filed January 12, 2017; effective April 12, 2017.

Tenn. Comp. R. & Regs. 1680-06-02-.08 ALIENS NOT LAWFULLY PRESENT IN THE UNITED STATES

(1) Certification Requirement.

Each person seeking relocation payments or relocation assistance advisory services shall, as a condition of eligibility, certify:

(a) In the case of an individual, that he or she is either a citizen or national of the United States, or an alien who is lawfully present in the United States.

(b) In the case of a family, that each family member is either a citizen or national of the United States, or an alien who is lawfully present in the United States. This certification may be made by the head of the household on behalf of other family members.

(c) In the case of an unincorporated business, farm operation or nonprofit organization, that each owner is either a citizen or national of the United States, or an alien who is lawfully present in the United States. This certification may be made by the principal owner, manager or operating officer on behalf of other persons with an ownership interest.

(d) In the case of an incorporated business, farm operation or nonprofit organization, that the corporation is authorized to conduct business within the United States.

(2) Content of Certification.

The certification required under Subparagraphs (1)(a), (1)(b) and (1)(c) of this Rule shall indicate whether such person is a citizen or national of the United States, or an alien who is lawfully present in the United States. Requirements concerning the content of the certification in addition to those contained in this Paragraph shall be within the discretion of the federal funding agency, where applicable, or the displacing agency.

(3) Review of Validity of Certification.

(a) The displacing agency shall consider the certification provided under Paragraph (1) of this Rule to be valid, unless the displacing agency determines in accordance with Subparagraph (c) below that it is invalid based on a review of an alien’s documentation or other information that the displacing agency considers reliable and appropriate.

(b) Any review of a certification shall be conducted by the displacing agency in a nondiscriminatory manner. The displacing agency shall apply the same standard of review to all such certifications, except that the standard may be revised periodically.

(c) If, based on a review of an alien’s documentation or other credible evidence, a displacing agency has reason to believe that a person’s certification is invalid and, therefore, that such person may be an alien not lawfully present in the United States, the displacing agency shall obtain the following information before making a final determination:

1. If the displacing agency has reason to believe that the certification of a person who has certified that he or she is an alien lawfully present in the United States is invalid, the displacing agency shall obtain verification of the alien’s status from the local Immigration and Naturalization Service (INS) Office. Any request for INS verification shall include the alien’s full name, date of birth and alien number, and a copy of the alien’s documentation.

2. If the displacing agency has reason to believe that the certification of a person who has certified that he or she is a citizen or national is invalid, the displacing agency shall request evidence of United States citizenship or nationality from such person and, if considered necessary, verify the accuracy of such evidence with the issuer.

(4) Eligibility for Relocation Assistance or Relocation Payments.

(a) No relocation assistance advisory services or relocation payments shall be provided to a person who has not provided the certification required in Paragraph (1) of this Rule or who has been determined to be an alien not lawfully present in the United States, unless such person can demonstrate to the displacing agency’s satisfaction that the denial of relocation benefits will result in an exceptional and extremely unusual hardship to such person’s spouse, parent or child who is an alien lawfully admitted for permanent residence in the United States, as provided in Subparagraph (c) below.

(b) In computing relocation payments under this Chapter, the displacing agency shall not include relocation payments for any member of a household or any owner of an unincorporated business, farm operation or nonprofit organization that is determined to be ineligible for such payments as an alien not lawfully present in the United States.

The amount of any such relocation payments for which such household or unincorporated business, farm operation or nonprofit organization would otherwise be eligible shall be computed for the household based on the number of eligible household members and for the unincorporated business, farm operation or nonprofit organization based on the ratio of ownership between eligible and ineligible owners.

(c) For the purposes of Subparagraph (a) of this Paragraph, “exceptional and extremely unusual hardship” to the spouse, parent or child of an alien not lawfully present in the United States means that denial of relocation payments and relocation assistance advisory services to such person will directly result in:

1. A significant and demonstrable adverse impact on the health or safety of such spouse, parent or child;

2. A significant and demonstrable adverse impact on the continued existence of the family unit of which such spouse, parent or child is a member; or 3. Any other impact that the displacing agency determines will have a significant and demonstrable adverse impact on such spouse, parent or child.

History

• Authority: T.C.A. § 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.08 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.09 RELOCATION PAYMENTS GENERALLY

(1) Time for Filing Claims.

(a) Claims for relocation payments shall be filed with the displacing agency within 18 months after:

1. For tenants, the date of displacement;

2. For owners, the date of displacement or the date of the final payment for the acquisition of the real property, whichever is later.

3. The date of displacement, as used in this Subparagraph, means the date the person actually moves or, if later, the date a comparable replacement dwelling is made available.

(b) The displacing agency shall extend the time for filing a claim upon good cause being shown.

(2) Documentation.

(a) Any claim for a relocation payment shall be supported by sufficient documentation to prove the expenses incurred, such as bills, certified prices, appraisals, or other evidence of such expenses. Specific documentation requirements are identified elsewhere in these Rules.

(b) The displacing agency shall provide the displaced person with reasonable assistance as needed to complete and file a claim for payment.

(3) Prompt Review and Payment.

(a) The displacing agency shall review claims for relocation payments in an expeditious manner. The claimant shall be promptly notified if additional documentation is required to support the claim.

(b) The displacing agency shall pay a claim as soon as feasible following receipt of sufficient documentation to support the claim.

(4) Advance Payments.

If a displaced person demonstrates a need for an advance relocation payment to avoid a hardship, the displacing agency shall issue the payment, subject to such safeguards as the displacing agency may require to ensure that the objective of the payment is accomplished.

(5) Multiple Occupants of One Displacement Dwelling.

(a) If two or more occupants of the displacement dwelling move to separate replacement dwellings, each occupant is entitled to a reasonable prorated share, as determined by the displacing agency, of any relocation payments that would have been made if the occupants had moved together to a comparable replacement dwelling.

(b) However, if the displacing agency determines that two or more occupants maintained separate households within the same displacement dwelling, such occupants shall have separate entitlements to relocation payments.

(6) Notice of Denial of Claim.

If the displacing agency disapproves all or part of a claim for a relocation payment or refuses to consider the claim on its merits because of untimely filing or other grounds, the displacing agency shall promptly notify the claimant in writing of its decision, the basis for the decision, and the procedures for appealing the decision.

(7) Eviction for Cause.

(a) Any person who lawfully occupies the real property on the date of the initiation of negotiations is presumed to be entitled to any relocation payments or benefits available under the Act and these Rules unless the displacing agency determines that:

1. The person received an eviction notice prior to the initiation of negotiations and as a result of that notice is later evicted; or 2. The person is evicted after the initiation of negotiations for serious or repeated violations of material terms of a lease or occupancy agreement; and 3. In either case, the eviction was not undertaken for the purpose of evading the obligation to make available the payments and other assistance available under the Act or these Rules.

(b) Any eviction for cause must conform to applicable state and local law.

(c) This Paragraph applies only to persons who would otherwise have been displaced by the displacing agency’s program or project.

(8) Deductions from Relocation Payments.

(a) The displacing agency may deduct from relocation payments any rent that the displaced business, displaced person or farm operation owes to the displacing agency; provided that no deduction shall be made if it would prevent the displaced person from obtaining comparable replacement housing.

(b) The displacing agency shall not withhold any part of a relocation payment to a displaced person to satisfy any other creditor. No relocation payment made under the Act or these Rules shall be subject to attachment or execution at law or equity.

(9) No Duplication of Payments.

No person shall receive any payment under the Act or these Rules if that person receives a payment under Federal, State or local law that is determined by the displacing agency to have the same purpose and effect as a payment under the Act or these Rules.

(10) Relocation Payments Not Considered Income.

No relocation payment received by a displaced person under the Act or these Rules shall be considered as income for any tax purposes under Federal or State law, or for the purpose of determining eligibility or the extent of eligibility for public assistance under Federal or State law, except for any Federal law providing low-income housing assistance.

History

• Authority: T.C.A. §§ 13-11-113, 13-11-115, and 13-11-117.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.09 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.10 MOVING PAYMENTS - RESIDENTIAL

(1) Payment for Actual and Reasonable Moving Expenses.

A displaced owner-occupant or tenant of a dwelling who qualifies as a displaced person is entitled to reimbursement for actual moving and related expenses, as the displacing agency determines to be reasonable and necessary. Expenses eligible for reimbursement include the following:

(a) The costs of transporting the displaced person and the displaced person’s personal property to a replacement dwelling within a 50-mile radius of the displacement dwelling.

Transportation costs for any distance beyond 50 miles are not eligible for reimbursement, unless the displacing agency has made a prior determination that relocation beyond 50 miles is justified.

1. The displaced person may be reimbursed for the use of a personal vehicle at the standard mileage reimbursement rate provided in the displacing agency’s own travel regulations, if any, or the current Standard Mileage Rate established by the Tennessee Department of Finance and Administration in the Comprehensive Travel Regulations, General Reimbursement Rate Schedule, and/or for the actual, reasonable fees charged by a commercial moving service.

2. Upon prior approval of the displacing agency, a displaced person may be reimbursed for special transportation services, such as an ambulance, as may be required for medical reasons.

3. Upon a showing of need, the actual, reasonable costs of meals and lodging may be reimbursed if pre-approved by the displacing agency.

(b) The costs of packing, crating, unpacking and uncrating personal property.

(c) The costs of disconnecting, dismantling, removing, reassembling, and reinstalling relocated household appliances and other personal property. This includes fees or charges for reinstalling telephone or utility services.

(d) The costs of storage for personal property, if previously approved by the displacing agency, but not for any period greater than 12 months unless the displacing agency expressly determines that a longer period is necessary.

(e) The cost of insurance for the replacement value of personal property moved or stored in connection with the relocation, or the reasonable replacement value of property lost, stolen or damaged in the process of moving (not through the fault or negligence of the displaced person or his or her agent or employee), where insurance covering such loss, theft or damage is not reasonably available.

(f) Other moving-related costs, excluding ineligible moving expenses identified in Rule

Tenn. Comp. R. & Regs. 1680-06-02-.11 MOVING PAYMENTS - NON-RESIDENTIAL

(1) Payment for Actual and Reasonable Moving Expenses.

Any business or farm operation that qualifies as a displaced person is entitled to reimbursement for actual moving and related expenses, as the displacing agency determines to be reasonable and necessary. Expenses eligible for reimbursement include the following:

(a) The costs of transporting personal property within a 50-mile radius of the displaced dwelling or farm operation. Transportation costs for any distance beyond 50 miles are not eligible for reimbursement, unless, in exceptional cases, the displacing agency has made a prior determination that relocation beyond 50 miles is justified.

(b) The costs of packing, crating, unpacking and uncrating personal property.

(c) The costs of disconnecting, dismantling, removing, reassembling, and reinstalling relocated machinery, equipment and other personal property, including substitute personal property as described in Subparagraph (j) below. This includes fees or charges for reinstalling telephone or utility services. It also includes modifications necessary to adapt personal property to the replacement structure, the replacement site or the utilities at the replacement site, and modifications necessary to adapt the utilities at the replacement site to the personal property.

(d) The costs of storage for personal property, if previously approved by the displacing agency, but not for any period greater than 12 months unless the displacing agency expressly determines that a longer period is necessary.

(e) The cost of insurance for the replacement value of personal property moved or stored in connection with the relocation, or the reasonable replacement value of property lost, stolen or damaged in the process of moving (not through the fault or negligence of the displaced person or his or her agent or employee), where insurance covering such loss, theft or damage is not reasonably available.

(f) The cost of obtaining any license, permit or certification required of the displaced person at the replacement location; provided, however, that the reimbursement shall be limited to the remaining useful life of the existing license, permit or certification. Any costs associated with transferring existing licenses, permits or certifications are also eligible for reimbursement.

(g) The cost of professional services necessary for:

1. Planning the move of the personal property;

2. Moving the personal property; and 3. Installing the relocated personal property at the replacement location.

These services may include fees paid to architects, engineers and other consultants for such services as supervising the move, designing the plant layout for an existing replacement building and scheduling the move.

(h) The costs of relettering signs and replacing stationery on hand at the time of displacement to the extent that they are made obsolete as a result of the move. The displaced person must turn over to the displacing agency all such materials for which the displaced person is seeking reimbursement, and the amount of reimbursement shall be limited to the costs of replacing these materials.

(i) Actual direct loss of tangible personal property incurred as a result of moving or discontinuing the business or farm operation. Except for advertising signs as provided in Part 3 below, the amount of the payment shall include the reasonable cost incurred in attempting to sell the item(s) that are not to be relocated plus the lesser of:

1. The fair market value of the item(s) for continued use at the displacement site, less the proceeds from its sale; provided that:

(i) To be eligible for payment, the displaced person must make a good faith effort to sell the personal property, unless the displacing agency determines that such effort is not necessary, and (ii) When payment for property loss is claimed held for goods held for sale, the fair market value shall be based on the cost of the goods to the business, not the potential selling price; or 2. The estimated cost of moving the item(s), but with no allowance for storage; provided that, if the business or farm operation is discontinued, the estimated cost shall be based on a moving distance of 50 miles.

3. The amount of a payment for direct loss of an advertising sign, as personal property, shall be the lesser of:

(i) The depreciated reproduction cost of the sign, as determined by the displacing agency, less the proceeds from its sale; or (ii) The estimated cost of moving the sign, but with no allowance for storage.

(j) The costs of purchasing substitute personal property to replace an item at the displacement site that is not moved, provided that the substitute item performs a comparable function at the replacement site. The payment shall be for the lesser of:

1. The cost of the substitute item, including installation costs at the replacement site, minus any proceeds from the sale or trade-in of the replaced item; or 2. The estimated cost of moving and reinstalling the replaced item, but with no allowance for storage. At the displacing agency’s discretion, the estimated cost for a low cost or uncomplicated move may be based on a single bid or estimate.

(k) The actual costs incurred in searching for a replacement location as the displacing agency determines to be reasonable, but not to exceed $2,500, including the costs for:

1. Transportation, based on the standard mileage reimbursement rate provided in the displacing agency’s own travel regulations, if any, or on the current Standard Mileage Rate established by the Tennessee Department of Finance and Administration in the Comprehensive Travel Regulations, General Reimbursement Rate Schedule;

2. Meals and lodging away from home, based on the reimbursement rates provided in the displacing agency’s own travel regulations, if any, or on the currently applicable rates for lodging and meals established by the Tennessee Department of Finance and Administration in the Comprehensive Travel Regulations, General Reimbursement Rate Schedule;

3. Time spent searching, obtaining permits, attending zoning hearings, and negotiating the purchase of a replacement site, based on reasonable salary or earnings; and 4. Fees paid to a real estate agent or broker to locate a replacement site, exclusive of any fees or commissions related to the purchase of such site.

(l) If the agency determines that the personal property to be moved is of low value and high bulk (e.g. stockpiled sand, gravel, mulch, etc.), and the cost of moving the property would be disproportionate to its value, the allowable moving cost payment shall not exceed the lesser of: The amount which would be received if the property were sold at the site or the replacement cost of a comparable quantity delivered to the new business location.

(m) Connection to available nearby utilities from the right-of-way to improvements at the replacement site.

(n) Professional services performed prior to the purchase or lease of a replacement site to determine its suitability for the displaced person’s business operation including but not limited to, soil testing, feasibility and marketing studies (excluding any fees for the purchase or lease of such site).

(o) Other moving-related costs, excluding ineligible moving expenses identified in Rule

Tenn. Comp. R. & Regs. 1680-06-02-.12 INELIGIBLE MOVING EXPENSES

A displaced person is not entitled to payment for:

(1) The cost of moving any structure or other real property improvement in which the displaced person reserved ownership, except for the cost of moving a displacement dwelling as provided in Rule 1680-06-02-.13, Subpart (1)(c)1(ii);

(2) Interest on a loan to cover moving expenses;

(3) Loss of goodwill;

(4) Loss of profits;

(5) Loss of trained employees; or (6) Any additional operating expenses of a business or farm operation incurred because of operating in a new locations, except as provided in Rule 1680-06-02-.11, Paragraph (4), Reestablishment Expenses -- Non-Residential, at Subparagraph (c), Part 10;

(7) Personal injury;

(8) Any legal fee or other cost for preparing a claim for a relocation payment or for representing the claimant before the displacing agency;

(9) Expenses for searching for a replacement dwelling;

(10) Physical changes to the real property at the replacement location of a business, farm operation or nonprofit organization, except as provided in Rule 1680-06-02-.11, Moving Payments -- Non-Residential, at Paragraphs (1)(c) and (4); or (11) Costs for storage of personal property on real property already owned or leased by the displaced person.

History

• Authority: T.C.A. §§ 13-11-105 and 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.12 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.13 REPLACEMENT HOUSING PAYMENTS

(1) Payments for 90-Day Owner-Occupants.

(a) Eligibility.

A displaced person is eligible for replacement housing payments as an owner-occupant under this paragraph if:

1. The person has actually owned and occupied the displacement dwelling for not less than 90 days immediately prior to the initiation of negotiations; and 2. The person purchases and occupies a decent, safe and sanitary dwelling within one year after the later of the following dates:

(i) The date the person receives final payment for the displacement dwelling where the acquisition is by settlement or, in the case of condemnation, the date the full amount of the estimate of just compensation is deposited with the court; or (ii) The date on which the displacing agency meets its obligation to make a comparable replacement dwelling available to the person, as provided in

Rule 1680-06-02-07, Paragraph (5).

3. If the displaced person purchases a replacement dwelling before the one-year deadline but is unable to occupy the dwelling for reasons beyond the displaced person’s control, the requirement to occupy the replacement dwelling within the one-year period may be waived.

(b) Amount of Payment (Basic Computation).

The replacement housing payment made to an eligible 90-day owner-occupant shall be in an amount, not to exceed $31,000, necessary to relocate the owner-occupant to a comparable replacement dwelling within the one-year eligibility period, as defined in Subparagraph (a) above. Such payment shall be determined by calculating the sum of:

1. The amount, if any, by which the acquisition cost of the replacement dwelling exceeds the base compensation received for the displacement dwelling, with such cost differential to be determined in accordance with Subparagraph (c) below;

2. The amount of any increased interest costs and other debt service costs that are incurred in connection with the mortgage(s) on the replacement dwelling, as determined in accordance with Subparagraph (d) below; and 3. The reasonable expenses incidental to the purchase of the replacement dwelling, as determined in accordance with Subparagraph (e) below.

(c) Determining the Cost Differential Between the Replacement Dwelling and the Displacement Dwelling.

1. Acquisition Cost of the Replacement Dwelling.

(i) Replacement Dwelling. For the purposes of calculating the replacement housing payment for a 90-day owner-occupant under this Rule, the acquisition cost of the replacement dwelling shall be the lesser of:

(I) The reasonable cost of a comparable replacement dwelling, as determined in accordance with Subparagraph (3)(a) below; or (II) The purchase price of a decent, safe and sanitary replacement dwelling actually purchased and occupied by the displaced person.

(ii) Retention of Displacement Dwelling. In the alternative, if the owneroccupant retains ownership of his or her displacement dwelling and moves it from the displacement site to reoccupy it at the replacement site, the acquisition cost of the replacement dwelling shall be the sum of:

(I) The cost of moving and restoring the dwelling to a condition comparable to that prior to the move;

(II) Any additional cost necessary to make the unit a decent, safe and sanitary replacement dwelling;

(III) The current fair market value for residential use of the replacement site, as determined by appraisal or any other reasonable method, unless the claimant rented the displacement site and there is a reasonable opportunity for the claimant to rent a suitable replacement site; and (IV) The retention value of the dwelling, if such retention value is reflected in the “acquisition cost” used when computing the replacement housing payment.

2. Adjustments to Base Compensation for Displacement Dwelling.

(i) Mixed-Use and Multi-Family Properties. If the displacement dwelling was

part of a property that contained another dwelling unit and/or space used for non-residential purposes, and/or is located on a lot larger than typical for residential purposes, only that portion of the compensation payment actually attributable to the displacement dwelling shall be considered when computing the cost differential.

(ii) Insurance Proceeds. To the extent necessary to avoid duplicate compensation, the amount of any insurance proceeds received by a person in connection with a loss to the displacement dwelling due to a disaster (fire, flood, etc.) shall be included in the base compensation for the displacement dwelling when computing the cost differential.

(d) Increased Mortgage Interest Costs.

1. The payment for increased mortgage interest costs shall be the amount that will reduce the mortgage balance on a new mortgage, if any, to an amount that could be amortized with the same monthly payments for principal and interest as that for the mortgage(s) on the displacement dwelling. It shall also include other debt service costs, if not paid as incidental costs, and shall be based only on bona fide mortgages that were valid liens on the displacement dwelling for at least 180 days prior to the initiation of negotiations.

2. The computation of the increased mortgage interest costs payment shall be based on the following:

(i) The payment shall be based on the unpaid mortgage balance(s) on the displaced dwelling. In the event, however, that the person obtains a smaller mortgage than the mortgage balance computed in the buydown determination, the payment shall be prorated and reduced accordingly. In the case of a home equity loan, the unpaid balance shall be that balance which existed 180 days prior to the initiation of negotiations or the balance on the date of acquisition, whichever is less.

(ii) The payment shall be based on the remaining term of the mortgage(s) on the displacement dwelling or the term of the new mortgage, whichever is shorter.

(iii) The interest rate on the new mortgage used in determining the amount of the payment shall not exceed the prevailing fixed interest rate for conventional mortgages charged by mortgage lending institutions in the area in which the replacement dwelling is located.

(iv) Purchaser’s points and loan origination or assumption fees, but not seller’s points, shall be paid to the extent that:

(I) They are not paid as incidental expenses;

(II) They do not exceed rates normal to similar real estate transactions in the area;

(III) The displacing agency determines them to be necessary; and (IV) The computation of such points and fees shall be based on the unpaid mortgage balance(s) on the displacement dwelling, less the amount determined for the reduction of such mortgage balance(s) under this part.

(v) The displaced person shall be advised of the approximate amount of this payment and the conditions that must be met to receive the payment as soon as the facts relative to the person’s current mortgage(s) are known and the payment shall be made available at or near the time of closing on the replacement dwelling in order to reduce the new mortgage as intended.

(e) Incidental Expenses.

The incidental expenses to be paid are those necessary and reasonable costs actually incurred by the displaced person incident to the purchase of a replacement dwelling, and customarily paid by the buyer, including the following:

1. Legal, closing and related costs, including those for title search, title insurance, preparing conveyance instruments, notary fees, preparing surveys and plats, and recording fees;

2. Lender, FHA or VA application and appraisal fees;

3. Loan origination or assumption fees that do not represent prepaid interest;

4. Certification of structural soundness, and termite inspection when required;

5. Credit report;

6. Owner’s and mortgagee’s evidence or assurance of title, e.g., title insurance (not to exceed the costs for evidence or assurance of title for a comparable replacement dwelling);

7. Escrow agent’s fee;

8. State revenue or documentary stamps, sales or transfer taxes (not to exceed the costs for a comparable replacement dwelling);

9. Mortgage default insurance (based on the unpaid mortgage balance(s) on the displacement dwelling or the new mortgage amount, whichever is less); and 10. Such other costs as the displacing agency determines are normally incidental to the purchase of similar real estate in the area.

(f) Rental Assistance Payment for 90-Day Owner-Occupant.

A displaced 90-day owner-occupant eligible for a replacement housing payment under Paragraph (1) of this Rule may choose to rent a replacement dwelling. In such case, the displaced person is entitled to receive a rental assistance payment, not to exceed $7,200, in lieu of a replacement housing payment. The amount of the rental assistance payment shall be calculated and disbursed in accordance with Subparagraph (2)(b) of this Rule.

(2) Replacement Housing Payments for 90-Day Occupants.

(a) Eligibility.

A tenant or owner-occupant displaced from a dwelling is entitled to a payment, not to exceed $7,200, for rental assistance, as computed in accordance with Subparagraph (b) below, or down payment assistance, as computed in accordance with Subparagraph (c) below, if the displaced person:

1. Has actually and lawfully occupied the displacement dwelling for at least 90 days immediately prior to the initiation of negotiations; and 2. Has rented, or purchased, and occupied a decent, safe and sanitary replacement dwelling within one year (unless the displacing agency extends this period for good cause based on occurrences beyond the displaced person’s control) after:

(i) In the case of a tenant, the date the person moves from the displacement dwelling, or (ii) In the case of an owner-occupant, the later of:

(I) The date the person receives final payment for the displacement dwelling, or in the case of condemnation, the date the full amount of the estimate of just compensation is deposited with the court, or (II) The date the person moves from the displacement dwelling.

(b) Rental Assistance Payment.

1. Amount of Payment. An eligible displaced person who rents a replacement dwelling is entitled to a payment, not to exceed $7,200, for rental assistance.

Such payment shall be 42 times the amount obtained by subtracting the base monthly rent for the displacement dwelling, as calculated in accordance with Part 2 below, from the lesser of:

(i) The monthly rent and estimated average monthly cost of utilities for a comparable replacement dwelling; or (ii) The monthly rent and estimated average monthly costs of utilities for the decent, safe and sanitary dwelling actually occupied by the displaced person.

2. Base Monthly Rent For Displacement Dwelling. The base monthly rent for the displacement dwelling is the lesser of:

(i) The average monthly cost for rent and utilities at the displacement dwelling for a reasonable period prior to displacement, as determined by the displacing agency, except that:

(I) For an owner-occupant, the monthly rent shall be the fair market rent for the displacement dwelling, or (II) For a tenant who paid little or no rent, the monthly rent shall be the fair market rent, unless its use would create a hardship because of the person’s income or other circumstances;

(ii) Thirty (30) percent of the persons average gross household income if their income is classified as “low income” by the U.S Department of Housing and Urban Development’s Annual Survey of Income Limits for Public Housing and Section 8 Programs (http://www.fhwa.dot.gov/realestate/ua/ualic.htm).

If the person refuses to provide appropriate evidence of income or is a dependent (a full time student or resident of an institution may be assumed to be a dependent unless the person demonstrates otherwise), the base monthly rent shall be established solely on the criteria in Subpart 2(i) above; or (iii) The total of the amounts designated for shelter and utilities if the person is receiving a welfare assistance payment from a program that designates the amounts for shelter and utilities.

3. Manner of Disbursement. A rental assistance payment may, at the displacing agency’s discretion, be disbursed either in a lump sum or in installments.

However, except as limited by Subparagraph (3)(h) below, the full amount vests immediately, whether or not there is any later change in the person’s income or rent, or in the condition or location of the person’s housing.

(c) Down Payment Assistance Payment.

1. Eligibility. A displaced person eligible for a rental assistance payment under Paragraph (2) of this Rule is also eligible to receive a down payment assistance payment if the person chooses to purchase a replacement dwelling. Any displaced person eligible to receive a replacement housing payment as a 90-day owner-occupant is not eligible for this payment.

2. Amount of Payment. The amount of the down payment assistance payment shall be equal to the amount the person would receive under Subparagraph (2)(b) of this Rule if the person rented a comparable replacement dwelling. At the discretion of the displacing agency, the down payment assistance payment may be increased to any amount not to exceed $7,200, or the amount the person would receive as a replacement housing payment if the person met the 90-day occupancy requirement, whichever is less. The displacing agency’s discretion to provide the maximum shall be exercised in a uniform and consistent manner, so that eligible displaced persons in like circumstances are treated equally.

3. Application of Payment. The full amount of the down payment assistance must be applied to the purchase price of the replacement dwelling and related incidental expenses.

(3) Additional Rules Governing Replacement Housing Payments.

(a) Determining the Acquisition Cost of Comparable Replacement Dwelling.

The upper limit of a replacement housing payment shall be based on the cost (asking price) of a comparable replacement dwelling identified for the displaced person.

1. If available, at least three comparable replacement dwellings shall be examined and the payment computed on the basis of the dwelling most nearly representative of, and equal to or better than, the displacement dwelling. An obviously overpriced dwelling may be ignored.

If an adjustment is made in the replacement housing payment computation and the displaced person purchases the selected comparable dwelling but at a price higher than the adjusted price, the replacement housing payment will be adjusted upward to reflect the actual purchase price of the replacement dwelling.

2. If the site of the comparable replacement dwelling lacks a major exterior attribute of the displacement dwelling site, e.g., the site is significantly smaller or does not contain a swimming pool, the value of such attribute shall be subtracted from the acquisition cost of the displacement dwelling for purposes of computing the payment.

3. If the acquisition of a portion of a typical residential property causes the displacement of the owner from the dwelling and the remainder is a buildable residential lot, the displacing agency may offer to purchase the entire property. If the owner refuses to sell the remainder to the displacing agency, the fair market value of the remainder may be added to the acquisition cost of the displacement dwelling for purposes of computing the replacement housing payment.

4. To the extent feasible, comparable replacement dwellings shall be selected from the neighborhood in which the displacement dwelling was located or, if that is not possible, in nearby or similar neighborhoods where housing costs are generally the same or higher.

(b) Inspection of Replacement Dwelling.

Before making a replacement housing payment or releasing a payment from escrow, the displacing agency or its designated agent shall inspect the replacement dwelling and determine whether it is a decent, safe and sanitary dwelling.

(c) Statement of Eligibility to Lending Agency.

If the displaced person qualifies for a replacement housing payment but has not yet purchased or occupied a replacement dwelling, the displacing agency shall, upon the request of the displaced person, provide a written statement to any interested party, financial institution or lending agency, that the displaced person is eligible for the payment of a specific sum subject to the displacing agency’s requirements.

(d) Revisions to the Replacement Housing Payment.

When replacement housing, similar in price and comparability to the dwelling used in the original replacement housing computation, is no longer available, the displacing agency shall make any necessary referrals to comparable housing currently available, and the displacing agency shall revise the replacement housing payment subject to the following requirements:

1. The revised offer may not be less than the original offer merely because a less expensive comparable becomes available.

2. A replacement housing payment offer shall be revised and may be less than the original offer if:

(i) The appraisal is updated and the offer for the displacement dwelling and site is increased;

(ii) In condemnation cases, the final award is greater than the acquisition offer for the displacement dwelling and site; or (iii) In the case of an administrative settlement, the initial acquisition offer for the displacement dwelling and site is increased.

3. Except in those cases where the acquisition offer is increased, the primary

purpose of a revised replacement housing payment offer is to provide the displaced person with information regarding currently available replacement housing. Therefore, if replacement dwellings similar in price and comparability to the dwelling used in the original replacement housing payment computation are available, a revised offer is not necessary. However, current listings must be provided to the displaced person if requested.

(e) Purchase of Replacement Dwelling.

A displaced person shall be considered to have met the requirement to purchase a replacement dwelling under any one of the following conditions:

1. The displaced person purchases an existing decent, safe and sanitary dwelling.

2. The displaced person purchases and rehabilitates a substandard dwelling; provided, that in such a case the displacing agency shall pay the person an amount, not to exceed the amount offered as a replacement housing payment, to the extent that the sum of the following exceeds the acquisition price for the displacement dwelling:

(i) The purchase price of the substandard dwelling; plus (ii) The costs of undertaking any actions pre-approved by the displacing agency as being necessary to make the dwelling decent, safe, and sanitary, but not to make the dwelling comparable.

3. The displaced person relocates a dwelling that the displaced person owns or purchases; provided, that in such a case the displacing agency shall pay the person an amount, not to exceed the amount offered as a replacement housing payment, to the extent that the sum of the following exceeds the acquisition price for the displacement dwelling:

(i) The retention value or current fair market value of the relocated dwelling; plus (ii) The cost of moving the relocated dwelling; plus (iii) The cost of undertaking any actions pre-approved by the displacing agency as being necessary to restore the relocated dwelling to a condition comparable to that prior to the move; plus (iv) The cost of undertaking any actions pre-approved by the displacing agency as being necessary to make the relocated dwelling a decent, safe and sanitary dwelling; plus (v) The cost of purchasing the replacement site, up to an amount not to exceed the cost of an available suitable replacement site, or the current fair market value of the replacement site, in any case where the relocated dwelling is moved to remainder land adjacent to the site of the displacement dwelling or on other land previously owned by the displaced person.

4. The displaced person constructs a decent, safe, and sanitary dwelling on a site which the displaced person owns or purchases; provided, that in such a case the displacing agency shall pay the person an amount, not to exceed the amount offered as a replacement housing payment, to the extent that the sum of the following exceeds the acquisition price for the displacement dwelling:

(i) The cost of constructing a decent, safe and sanitary dwelling; plus (ii) The cost of purchasing the replacement site, up to an amount not to exceed the cost of an available suitable replacement site, or the current fair market value of the replacement site, in any case where the relocated dwelling is constructed on remainder land adjacent to the site of the displacement dwelling or on other land previously owned by the displaced person.

5. The displaced person contracts for the purchase or construction of a dwelling on a site provided by a builder or on a site the person owns or purchases.

6. The displaced person occupies a decent, safe, and sanitary dwelling that the displaced person previously owned, in which case the acquisition cost for the replacement dwelling shall be the current fair market value of that dwelling.

(f) Occupancy Requirements for Displacement or Replacement Dwelling.

No person shall be denied eligibility for a replacement housing payment solely because the person is unable to meet the occupancy requirements for a displacement or replacement dwelling set forth in these Rules for a reason beyond the displaced person’s control, including:

1. A disaster, an emergency, or an imminent threat to the public health or welfare, as determined by the President, the agency funding the project, or the displacing agency; or 2. Another reason, such as delay in the construction of the replacement dwelling, military reserve duty, or hospital stay, as determined by the displacing agency.

(g) Conversion of Payment.

A displaced person who initially rents a replacement dwelling and receives a rental assistance payment under Rule 1680-06-02-.13, Subparagraph (2)(b), is eligible to receive a replacement housing payment under Rule 1680-06-02-.13, Paragraph (1), or a down payment assistance payment under Rule 1680-06-02-.13, Subparagraph (2)(c), if the displaced person meets the applicable eligibility requirements for such payments, including purchase and occupancy within the prescribed one-year period. Any portion of the rental assistance payment that has been disbursed shall be deducted from the replacement housing payment or down payment assistance payment.

(h) Payment After Death.

A replacement housing payment is personal to the displaced person and upon his or her death the undisbursed portion of any such payment shall not be paid to the heirs or assigns, except that:

1. The amount attributable to the displaced person’s period of actual occupancy of the replacement housing shall be paid;

2. The full payment shall be disbursed in any case in which a member of the displaced family dies and the other family members continue to occupy a decent, safe, and sanitary replacement dwelling; and 3. Any portion of a replacement housing payment necessary to satisfy the legal obligation of an estate in connection with the selection of a replacement dwelling by or on behalf of a deceased person shall be disbursed to the estate.

History

• Authority: T.C.A. §§ 13-11-106, 13-11-107, and 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.13 filed and effective February 1, 2003. Amendments filed January 12, 2017; effective April 12, 2017.

Tenn. Comp. R. & Regs. 1680-06-02-.14 MOBILE HOMES

(1) Applicability.

This Rule describes the requirements governing relocation payments to any person displaced from a mobile home or mobile home site who meets the basic eligibility requirements of the Act and these Rules. Except as modified by this Rule, such a displaced person is entitled to a moving expense payment in accordance with Rule 1680-06-02-.10 and a replacement housing payment in accordance with Rule 1680-06-02-.13 to the same extent and subject to the same requirements as persons displaced from other dwellings.

(2) Moving and Related Expenses.

(a) General.

A homeowner-occupant displaced from a mobile home or mobile home site is entitled to a payment for the cost of moving his or her mobile home on an actual cost basis in accordance with Rule 1680-06-02-.10 (Moving Payments -- Residential Moves).

However, if the mobile home is not acquired by the displacing agency, but the homeowner-occupant obtains a replacement housing payment under one of the circumstances described in Paragraph (3) of this Rule, the owner is not eligible for any payment for moving the mobile home, but may be eligible for a payment for moving personal property from the mobile home. A non-occupant owner of a mobile home rented to other persons is eligible for actual cost reimbursement under Rule 1680-06- 02-.11 (Moving Payments -- Non-Residential Moves).

(b) Actual Moving Expenses.

For mobile homes, the following provisions apply to payments for actual moving expenses under Rule 1680-06-02-.10:

1. A displaced mobile homeowner who moves the mobile home to a replacement site is eligible for the reasonable costs of disassembling, moving and reassembling any attached appurtenances, such as porches, decks, skirting and awnings, that were not acquired by the displacing agency. In addition, the mobile homeowner is eligible for the reasonable costs of anchoring the unit and utility “hook up” charges.

2. If a mobile home requires repairs and/or modifications so that it can be moved and/or made decent, safe and sanitary, and the displacing agency determines that it would be economically feasible to incur the additional expense, the reasonable cost of such repairs and/or modifications is reimbursable.

3. If a mobile homeowner is displaced from a mobile home park and the displacing agency determines that there are no comparable mobile home parks available that do not require a mobile home park entrance fee, such entrance fee is reimbursable to the extent it does not exceed the fee at a comparable mobile home park. To the extent that any part of an entrance fee (such as a security deposit) is refundable, it shall not be reimbursable. In order to be reimbursed for an entrance fee as provided in this Part, the displaced mobile homeowner must provide the displacing agency with both a lease agreement for the replacement site and a receipt for payment of the entrance fee.

(3) Replacement Housing Payment for 90-Day Mobile Homeowner- Occupants.

(a) Eligibility.

A displaced owner-occupant of a mobile home is entitled to a replacement housing payment, not to exceed $31,000, under Rule 1680-06-02-.13 if:

1. The person both owned the displacement mobile home and occupied it on the displacement site for at least 90 days immediately prior to the initiation of negotiations;

2. The person meets the other basic eligibility requirements under Rule 1680-06-02- .13, Subparagraph (1)(a); and 3. The displacing agency either:

(i) Acquires the mobile home and/or mobile home site as real property; or (ii) If not acquired, the displacing agency determines that the mobile home:

(I) Is not and cannot economically be made decent, safe and sanitary, (II) Cannot be relocated without substantial damage or unreasonable cost, (III) Cannot be relocated because there is no available comparable replacement site, or (IV) Cannot be relocated because it does not meet mobile home park entrance requirements.

(b) Computation of Payment.

If the mobile home is not acquired, the base compensation for the displacement dwelling used for the purpose of computing the cost differential amount, described in

Rule 1680-06-02-.13, Subparagraph (1)(c), shall include either the salvage value or the trade-in value of the mobile home, whichever is higher.

(4) Replacement Housing Payments for 90-Day Mobile Home Occupants.

(a) Tenants.

A displaced tenant of a mobile home is eligible for a replacement housing payment, not to exceed $7,200, under Rule 1680-06-02-.13, Paragraph (2), if:

1. The person actually occupied the displacement mobile home on the displacement site for at least 90 days immediately prior to the initiation of negotiations; and 2. The person meets the other basic eligibility requirements under Rule 1680-06-02- .13, Subparagraph (2)(a).

(b) Owner-Occupants.

A displaced owner-occupant of a mobile home is eligible for a replacement housing payment, not to exceed $7,200, under Rule 1680-06-02-.13, Paragraph (2), if:

1. The person actually occupied the displacement mobile home on the displacement site for at least 90 days immediately prior to the initiation of negotiations;

2. The person meets the other basic eligibility requirements under Rule 1680-06-02- .13, Subparagraph (2)(a); and 3. The displacing agency either:

(i) Acquires the mobile home and/or mobile home site as real property; or (ii) If not acquired, the displacing agency determines that the mobile home:

(I) Is not and cannot economically be made decent, safe and sanitary, (II) Cannot be relocated without substantial damage or unreasonable cost, (III) Cannot be relocated because there is no available comparable replacement site, or (IV) Cannot be relocated because it does not meet mobile home park entrance requirements.

(5) Additional Rules Governing Relocation Payments to Mobile Home Occupants.

(a) Replacement Housing Payment Based On Dwelling and Site.

Both the mobile home and mobile home site must be considered when computing a replacement housing payment. For example, a displaced mobile home occupant may have owned the displacement mobile home and rented the site or may have rented the displacement mobile home and owned the site. Also, a person may choose to purchase a replacement mobile home and rent a replacement site, or the person may choose to rent a replacement mobile home and purchase a site. In such cases, the total replacement housing payment shall consist of a payment for a dwelling and a payment for a site, each computed under the applicable paragraph of Rule 1680-06-02-.13 (Replacement Housing Payments). However, the total replacement housing payment under Rule 1680-06-02-.13 shall not exceed the maximum payment (either $31,000 or $7,200) permitted under the paragraph that governs the computation for the dwelling.

(b) Cost of Comparable Replacement Dwelling.

1. In general, when computing the amount of a replacement housing payment for a person displaced from a mobile home, the acquisition cost of a replacement dwelling shall be the reasonable cost of a comparable replacement mobile home.

This applies whether the displaced person’s actual replacement dwelling is another mobile home or some other dwelling. However, if a comparable mobile home is not available, the replacement housing payment shall be computed on the basis of the reasonable cost of a conventional comparable replacement dwelling.

2. If the displacing agency determines that it would be practical to relocate the mobile home but the owner-occupant chooses not to do so, the displacing agency may determine that, for purposes of computing the cost differential under

Rule 1680-06-02-.13, Subparagraph (1)(c), the acquisition cost of a comparable replacement dwelling is the sum of:

(i) The value of the mobile home, (ii) The cost of any necessary repairs or modifications, and (iii) The estimated cost of moving the mobile home to a replacement site.

(c) Initiation of Negotiations.

If the mobile home is not actually acquired, but the occupant is considered displaced under this Rule, the initiation of negotiations shall be the date of initiation of negotiations to acquire the land, or, if the land is not acquired, the date that the occupant is provided with written notification that he or she is a displaced person.

(d) Person Moves Mobile Home.

If the owner is reimbursed for the cost of moving the mobile home under this Rule, he or she is not eligible to receive a replacement housing payment to assist in purchasing or renting a replacement mobile home. The person may, however, be eligible for assistance in purchasing or renting a replacement site.

(e) Partial Acquisition of Mobile Home Park.

The acquisition of a portion of a mobile home park property may leave a remaining part of the property that is not adequate to continue the operation of the park. If the displacing agency determines that a mobile home located on the remaining part of the property must be moved as a direct result of the project, the owner and tenant shall be considered a displaced person who is entitled to relocation payments and other assistance under this Rule.

History

• Authority: T.C.A. § 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.14 filed and effective February 1, 2003. Amendments filed January 12, 2017; effective April 12, 2017.

Tenn. Comp. R. & Regs. 1680-06-02-.15 LAST RESORT HOUSING

(1) Determination to Provide Last Resort Housing.

If the displacing agency determines that a project cannot proceed on a timely basis because comparable replacement dwellings are not available within the maximum payments specified under Rule 1680-06-02-.13, Paragraphs (1) or (2), as applicable, the displacing agency may provide additional assistance as necessary under this Rule. Before deciding to provide last resort housing assistance under this Rule, the displacing agency must determine either:

(a) That there is good cause to provide such assistance to a displaced person in a particular case based on:

1. The lack of availability of comparable replacement housing within the project area;

2. The resources available to provide comparable replacement housing; and 3. The individual circumstances of the displaced person; or (b) That there is good cause to provide such assistance to displaced persons within an entire project area based on:

3. The lack of availability of comparable replacement housing for any displaced persons within the project area;

4. The inability to complete the project in a timely manner without last resort housing assistance; and 3. The selection of a method for providing last resort housing assistance that is cost effective when compared to the costs of delaying the project until less expensive comparable replacement housing may become available.

(2) Basic Rights of Persons to Be Displaced.

(a) No person shall be required to move from a displacement dwelling under this Rule until after comparable replacement housing has been made available to such person, except temporarily in the case of a major disaster or emergency as described in Rule 1680-06- 02-.07, Subparagraph (5)(c).

(b) The displacing agency shall not require any displaced person to accept a dwelling provided by the displacing agency under this Rule (unless the displacing agency and the displaced person have entered into a written contract to do so) in lieu of any acquisition payment or any relocation payment for which the person may otherwise be eligible.

(c) Nothing in this Rule shall deprive a person of any rights such person may otherwise have under the Act or these Rules.

(3) Methods of Providing Last Resort Housing.

(a) Generally.

The displacing agency shall have wide latitude in determining the method for providing last resort housing assistance on a case-by-case basis, or on a project-wide basis, where justified under Paragraph (1) of this Rule, but the implementation shall not exceed a reasonable cost. The methods of providing last resort housing may include, but are not limited to:

1. A replacement housing payment in excess of the limits set forth in the Act and

Rule 1680-06-02-.13, Paragraphs (1) and (2). A rental assistance payment under this Rule may be provided in installments or in a lump sum at the displacing agency’s discretion.

2. Rehabilitation of and/or additions to an existing replacement dwelling.

3. The construction of new replacement housing.

4. The relocation and, if necessary, rehabilitation of a dwelling.

5. The purchase of land and/or a replacement dwelling by the displacing agency and subsequent sale or lease to, or exchange with, a displaced person.

6. The removal of barriers to the handicapped.

7. The change in status of the displaced person, with his or her concurrence, from tenant to homeowner when it is more cost effective to do so, as in cases where a down payment may be less expensive than a last resort rental assistance payment.

(b) Special Circumstances.

Under special circumstances, consistent with the definition of a comparable replacement dwelling, modified methods of providing replacement housing of last resort permit consideration of replacement housing based on space and physical characteristics different from those in the displacement dwelling, provided that the replacement dwelling is functionally equivalent to the displacement dwelling (as described in the definition of “comparable replacement dwelling” set forth in Rule 1680- 06-02-.03). Examples include:

1. Providing smaller, but superior, replacement housing that is decent, safe and sanitary and adequate to accommodate individuals or families displaced from marginal or substandard housing, only a portion of which is being used as living quarters, and where no comparable large dwellings are available in the area.

2. Providing a new mobile home to replace a very substandard conventional dwelling in an area where comparable conventional dwellings are not available.

(c) Otherwise Ineligible Displaced Persons.

The displacing agency shall provide assistance under this Rule to a displaced person who is not eligible to receive a replacement housing payment under Rule 1680-06-02- .13, Paragraph (1) or (2), because of failure to meet the length of occupancy requirements when comparable replacement housing is not available at rental rates within the person’s financial means, which is 30% of the person’s gross monthly household income. Such assistance shall cover a period of 42 months.

History

• Authority: T.C.A. §§ 13-11-109 and 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.15 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.16 APPEALS

(1) Actions That May Be Appealed.

A displaced person may appeal to the head of the displacing agency if the person believes that the displacing agency has:

(a) Improperly determined the person’s eligibility for relocation benefits; or (b) Improperly determined the amount of a relocation payment.

(2) Form and Time for Initiating an Appeal.

(a) The appeal shall be in writing in any form sufficient to identify the displacing agency action that is being appealed.

(b) The appeal must be submitted to head of the displacing agency within 60 days after the displaced person receives written notice of the displacing agency action being appealed, unless the displacing agency has expressly identified another person to receive the appeal or allowed a longer period of time for filing the appeal.

(3) Displacing Agency Official to Review Appeal.

The appeal shall be reviewed by the head of the displacing agency, or such other agency official(s) as the head of the displacing agency may designate, with authority to affirm, reverse or modify the displacing agency action under review; provided, however, that the official(s) reviewing the appeal shall not have been directly involved in the action being appealed.

(4) Scope of Review of Appeal.

In deciding an appeal, the head of the displacing agency, or other designated official(s), shall consider any relevant information submitted by the displaced person and the displacing agency, and such additional information as the official(s) may request or require as needed to conduct a fair and full review of the appeal.

(5) Representation.

The displaced person may be assisted in the appeal by legal counsel or other representative, but solely at the displaced person’s own expense.

(6) Notification of Decision on Appeal.

Within 30 days after hearing the displaced person’s appeal, or after the receipt of all relevant information submitted by or requested from the displaced person, the head of the displacing agency, or designee(s), shall send the displaced person a written notice of the decision on the appeal, including an explanation of the basis on which the decision was made. The time for making the decision may be extended for good cause upon written notice to the displaced person.

(7) Review of Decision on Appeal.

The decision of the head of the displacing agency, or authorized designee(s), shall be final and is not subject to judicial review except as the law may allow under a common law writ of certiorari.

History

• Authority: T.C.A. § 13-11-113.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal and new rule filed October 31, 2002; effective January 14, 2003. Rule has been assigned a new control number from 1680-02-04-.16 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-06-02-.17 THROUGH 1680-06-02-.37 REPEALED

History

• Authority: T.C.A. §§ 13-11-102, 13-11-113, and 13-11-119.
• Administrative History: Original rule filed August 12, 1974; effective September 11, 1974. Repeal filed October 31, 2002; effective January 14, 2003. Rules have been assigned a new control number from 1680-02-04-.17 through 1680-02-04-.37 filed and effective February 1, 2003.

Chapter 1680-06-03 Control of Outdoor Advertising (Transferred from 1680-02-03)

Tenn. Comp. R. & Regs. 1680-06-03-.01 PREFACE

The purpose of these regulations is to implement and enforce the Outdoor Advertising Control Act of 2020 (effective June 22, 2020) to provide for effective control of outdoor advertising devices within the adjacent area of highways on the interstate and primary highway systems within the State of Tennessee in accordance with and as required by 23 U.S.C. § 131 and 23 CFR Part 750, subject to any limitations imposed by the United States Constitution as determined in the final judgment of a tribunal having jurisdiction over the matter. The Outdoor Advertising Control Act of 2020 and these regulations are subject to any applicable requirements of the Tennessee Constitution.

History

• Authority: T.C.A. § 54-21-111.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.02 DEFINITIONS

(1) “Abandoned outdoor advertising device” means any regulated outdoor advertising device that for a twelve-month period falls into one or more of the following classifications:

(a) A device in substantial need of repair, which means that, in the case of wooden sign structures, sixty percent (60%) or more of the upright poles or supports of a sign structure are physically damaged such that normal repair practices would call for replacement of the broken supports or, in the case of metal sign structures, replacement of at least thirty percent (30%) of the length above ground of each broken, bent, or twisted support; provided, however, that a nonconforming device in a condition meeting these criteria will immediately be considered destroyed rather than abandoned;

(b) A device whose sign face remains damaged fifty percent (50%) or more, or in the case of a device with multiple sign faces, each sign face that remains damaged fifty percent (50%) or more;

(c) A device with a blank sign face (i.e., no advertising message), or in the case of a device with multiple sign faces, each sign face that remains blank; or (d) A device that has been removed and has not been reconstructed in its permitted location ; provided, however, that a nonconforming device that has been removed will immediately be considered destroyed rather than abandoned.

(e) The twelve-month period for establishing abandonment under subparagraphs (a)–(d) may be waived or suspended during a period of involuntary discontinuance, such as the closing of a highway for repair in front of the sign; provided, however, that the termination May, 2024 2 of the permit holder’s lease, easement, or other right or permission for access from the landowner shall not be grounds for waiver of the twelve-month period for establishing abandonment.

(See illustrations in Rule 1680-06-03-.0 9, Appendix.)

(2) “Adjacent area” means that area within six hundred sixty feet (660’) along the nearest edge of the right-of-way of interstate and primary highways and visible from the main traveled way of the interstate or primary highways. (See Rule 1680-06-03-.03(1) for additional explanation regarding standards for measurement of the adjacent area.)

(3) “Agreement” means the agreement entered into, pursuant to T.C.A. § 54-21-113, between the Department and the United States Department of Transportation, Federal Highway Administration, regarding the definition of unzoned commercial and industrial areas, and size, lig hting, and spacing of certain outdoor advertising devices. (Copies of the original agreement, dated November 11, 1971, and the supplemental agreement, dated October 16, 1984, are included in Rule 1680-06-03-.09, Appendix.)

(4) “Changeable message sign” means an outdoor advertising device that displays a series of messages at intervals by means of digital display or mechanical rotating panels.

(5) “Commissioner” means the Commissioner of the Tennessee Department of Transportation or the Commissioner’s designee.

(6) “Compensation” means the exchange of anything of value, including money, securities, real property interests, personal property interests, goods or services, promise of future payment, or forbearance of debt.

(7) “Comprehensive zoning” means a complete approach to land use within an entire political subdivision. For example, the mere placing of the label “Zoned Commercial or Industrial” as a land use classification for taxation purposes does not constitute comprehensive zoning.

Comprehensive zoning requires the establishment of a complete set of regulations to govern the land use within the entire political subdivision.

(8) “Conforming” means an outdoor advertising device that was permitted under and conforms to the zoning, size, lighting, and spacing criteria established in accordance with either the current supplemental agreement entered into between the Department and Federal Highway Administration on October 16, 1984, or the original agreement entered into on November 11, 1971, as authorized in § 54-21-113. Any permitted outdoor advertising device that continues to conform to either the current supplemental agreement or the original agreement and conditions provided in § 54-21-113 is considered conforming.

(9) “Controlled access highway” means a divided highway with full control of access, including grade-separated interchanges rather than at-grade intersections, and with no permitted driveway entrances or exits from the main traveled way.

(10) “Customary maintenance” means maintenance of a nonconforming outdoor advertising device, which may include, but shall not exceed, the replacement of the sign face and stringers in like materials, and the replacement in like materials of up to fifty percent (50%) of the device’s poles, posts, or other support structures; provided, that the replacement of any poles, posts, or other support structures is limited to one (1) time within a twenty-four-month period. (See illustrations in Rule 1680-06-03-.0 9, Appendix.)

(11) “Department” means the Tennessee Department of Transportation.

May, 2024 3 (12) “Destroyed” means, with respect to a nonconforming outdoor advertising device, that, in the case of wooden sign structures, sixty percent (60%) or more of the upright poles or supports of a sign structure are physically damaged such that normal repair practices would call for replacement of the broken supports or, in the case of metal sign structures, replacement of at least thirty percent (30%) of the length above ground of each broken, bent, or twisted support.

(See illustrations in Rule 1680-06-03-.09, Appendix.)

(13) “Digital display” means a type of changeable message sign that displays a series of messages at intervals through the electronic coding of lights or light emitting diodes or any other means that does not use or require mechanical rotating panels.

(14) “Directional sign” means a type of official sign that identifies a site, attraction, or activity and directional information useful to a traveler in locating the site, attraction, or activity, including mileage, route numbers, or exit numbers.

(15) “Double-faced, back-to -back, or V-type sign” means those configurations or multiple outdoor advertising device structures, as those terms are commonly understood. In no instance shall these terms include two or more devices that are not physically contiguous or connected by the same structure or cross-bracing or, in the case of back-to -back or V-type signs, located more than fifteen feet (15’) apart at their nearest points. (See illustrations in Rule 1680-06-03- .0 9, Appendix.)

(16) “Erect” means to construct, build, raise, assemble, place, affix, attain, create, paint, draw, or in any other way bring into being or establish, but does not apply to changes of copy treatment on an existing outdoor advertising device.

(17) “Facility” means a commercial or industrial facility, or other facility open to public, that operates with regular business hours on a year-round basis within a building or defined physical space, which may include a structure other than a building, together with any immediately adjacent parking areas; provided, that activity conducted in a temporary structure or a structure operated only on a seasonal basis may be considered a facility for the purpose of allowing an onpremises device to be located on the same property, but the device is only allowed on a temporary basis during the period the facility is actually conducting activity.

(18) “Information center” means an area or site established and maintained at a safety rest area for the purpose of informing the public of places of interest within this State and providing other information the Commissioner may consider desirable.

(19) “Interstate system” means that portion of the National System of Interstate and Defense Highways located within this State, as officially designated, or as may hereafter be so designated, by the Commissioner, and approved by the Secretary of Transportation of the United States, pursuant to Title 23 of the United States Code.

(20) “Main traveled way” means the traveled way of a highway on which through traffic is carried.

In the case of a divided highway, the traveled way of each of the separated roadways for traffic in opposite directions is a main traveled way. “Main traveled way” does not include such facilities as frontage roads, turning roadways, or parking areas.

(21) “Nonconforming” means an outdoor advertising device that was lawfully erected but does not conform to the zoning, size, lighting, or spacing criteria established by and in accordance with either the current supplemental agreement entered into between the Department and the Federal Highway Administration on October 16, 1984, or in accordance with the original agreement entered into on November 11, 1971, as authorized in T.C.A. § 54-21-113. Any outdoor advertising device that continues to conform to either the terms of the current supplemental agreement or the original agreement as provided in T.C.A. § 54-21-113 shall not be considered nonconforming.

May, 2024 4 (22) “Official signs and notices” means signs and notices erected and maintained by public officers or public agencies within their territorial or zoning jurisdiction and pursuant to and in accordance with direction or authorization contained in federal, state, or local law for the purposes of carrying out an official duty or responsibility. Historical markers authorized by state law and erected by state or local government agencies or non-profit historical societies may be considered official signs.

(23) “On-premises device” means a sign:

(a) That is located within fifty feet (50’) of, and on the same parcel of property and on the same side of the highway as, the facility (as defined above) that owns or operates the sign or within fifty feet (50’) of, and on the same parcel of property and on the same side of the highway as, the entrance to the parcel of property upon which two (2) or more facilities are located; and (b) For which compensation is not being received and not intended to be received from a third party or parties for the placement of a message on the sign.

(24) “Original conforming device” means a device that was legally permitted on or after April 4, 1972, in accordance with the original agreement entered into between the Department and the Federal Highway Administration on November 11, 1971, as authorized in T.C.A. § 54-21- 113(a), and which remains in compliance with the zoning, size, lighting and spacing criteria established in the original agreement.

(25) “Outdoor advertising device”:

(a) Means a sign that is operated or owned by a person or entity that is earning compensation directly or indirectly from a third party or parties for the placement of a message on the sign; and (b) Does not include a sign that is an on-premises device or other type of sign exempt from

regulation under Title 54, Chapter 21, of the Tennessee Code; and (c) Does include any other sign the Department is required to regulate to provide for the effective control of outdoor advertising in accordance with 23 U.S.C. § 131 and as further provided in Title 54, Chapter 21, of the Tennessee Code.

(26) “Person” means and includes an individual, a partnership, an association, a corporation, or other entity.

(27) “Primary system” means that portion of connected main highways, located within this State, as officially designated, or as may be hereafter be so designated by the Commissioner, and approved by the Secretary of Transportation of the United States, pursuant to Title 23 of the United States Code, including highways designated as part of the national highway system and highways formerly designated as part of the federal-aid primary system.

(28) “Public park” means any publicly owned land which is designated or used as a park, recreation area, wildlife or waterfowl refuge, or historic site.

(29) “Safety rest area” means an area or site established and maintained within or adjacent to the right-of-way by or under public supervision or control, for the convenience of the traveling public.

(30) “Scenic area” or “historic scenic area” means any area of particular scenic beauty or historical significance as determined by the federal, state, or local officials having jurisdiction thereof and May, 2024 5 includes interests in lands which have been acquired for the restoration, preservation, and enhancement of scenic beauty or historical resources.

(31) “Sign” means an outdoor sign, light, display, device, figure, painting, drawing, message, placard, poster, billboard, or other thing which is designed, intended, or used to advertise or inform and any part of the advertising or informative contents of which is visible from any place on the main traveled way of an interstate system or primary system; provided, however, that a building, structure, or object having a primary function at its location other than to advertise or inform will not be considered a “sign” solely because words or figures, etc., are displayed on its exterior surface, unless the owner or operator is earning compensation directly or indirectly from a third party or parties for the placement of any message on the exterior of the building, structure, or object, and provided that this exception shall not apply to any separate sign structure or sign face that is attached to the building, structure, or object.

(32) “Sign face” means the entire area of a sign used for the display of outdoor advertising. This includes the area normally intended for the display of advertising messages, within and including the border and trim, measured by the smallest square, rectangle, triangle, or circle, or combination thereof, and it also includes any additional area or areas extending outside the normal sign face, within which any advertising embellishment or informative content is actually displayed. (See illustration in Rule 1680-06-03-.09, Appendix.)

(33) “Stacked device” means an outdoor advertising device in which two (2) or more displays facing in the same direction of travel along the highway are stacked one (1) above the other in multiple sign faces separated by airspace and regulated together under one permit, as provided in T.C.A. § 54-21-118. (See illustration in Rule 1680-06-03-.09, Appendix.)

(34) “State system” means that portion of highways located within this State, as officially designated, or as may hereafter be designated, as state highways by the Commissioner.

(35) “Traveled way” means the portion of a roadway for the movement of vehicles, exclusive of shoulders.

(36) “Unzoned commercial or industrial area”:

(a) Means an area on which there is located one (1) or more permanent structures within which a commercial or industrial business is actively conducted, and which is equipped with all customary utilities facilities and open to the public regularly or regularly used by the employees of the business as their principle work station, or which, due to the nature of the business, is equipped, staffed, and accessible to the public as necessary, and includes the area along the highway extending outward six hundred feet (600’) from and beyond the edge of such activity in each direction and a corresponding zone directly across a primary highway that is not also a controlled access highway when the area is not primarily residential in character or a:

1. Public park;

2. Public playground;

3. Public recreational area;

4. Public forest, wildlife, or waterfowl refuge;

5. Historic scenic area; or 6. Cemetery;

May, 2024 6 (b) Does not include land across the highway from a commercial or industrial activity when the highway is an interstate or controlled access primary highway;

(c) Must be measured from the outer edges of the regularly used buildings, parking lots, storage, processing, or landscaped areas of the commercial or industrial activity, not from the property lines of the activity; and (d) Does not include the following activities conducted within the area, when considered for purposes of outdoor advertising:

1. Outdoor advertising structures;

2. Agricultural, forestry, ranching, grazing, farming, and related activities, including wayside fresh produce stands;

3. Transient or temporary activities (i.e., activities that are not conducted, at least in

part, within one or more permanent structures, or activities that are not conducted on a regular schedule for at least five (5) days per week over a continuous period of not less than ten (10) months within a calendar year);

4. Activities not visible from the main traveled way;

5. Activities more than six hundred and sixty feet (660’) from the nearest edge of the right-of-way;

6. Activities conducted in a building primarily used as a residence; and 7. Railroad tracks and minor sidings.

(e) The six hundred feet (600’) shall be measured along the edge of the pavement nearest the commercial activity and from points that are perpendicular to the edge of pavement of the traveled way. (See illustration in Rule 1680-06-03-.0 9, Appendix.)

(37) “Utility signs” means warning signs, notices, or markers that are customarily erected and maintained for operational and public safety purposes by publicly or privately owned utilities, railroads, ferries, airports, or other entities that provide utility or transportation services.

(38) “Visible” means capable of being seen, whether or not readable, without visual aid by a person of normal visual acuity.

(39) “Voidable” means a status in which a permit is in violation of at least one requirement of these rules or governing statutes and eligible to be rendered void and the outdoor advertising device removed by a final administrative action.

(40) “Zoned commercial or zoned industrial” means those areas in a comprehensively zoned political subdivision set aside for commercial or industrial use pursuant to the state or local zoning regulations, but shall not include strip zoning, spot zoning, or variances granted by the local political subdivision strictly for outdoor advertising.

History

• Authority: T.C.A. §§ 54-21-102, 54-21-103, 54-21-111, and 54-21-118.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024. May, 2024 7

Tenn. Comp. R. & Regs. 1680-06-03-.03 CRITERIA FOR THE ERECTION AND CONTROL OF OUTDOOR ADVERTISING

DEVICES.

(1) Restrictions on outdoor advertising devices within the adjacent area of highways on the interstate and primary systems.

Outdoor advertising devices erected or maintained within the adjacent area of a highway on the interstate or primary systems and visible from the main traveled way of the highway are subject to the restrictions established in T.C.A. § 54-21-103 and as further provided in this rule.

(a) Measurement of the adjacent area.

1. In general, the measurement of the adjacent area shall begin at the nearest edge of the highway right-of-way property line and continue outward six hundred and sixty feet (660’); provided, however, that:

2. Where the highway right-of-way width extends outward more than one hundred feet (100’) from the main traveled way of an interstate or other controlled access highway at an interchange with another highway that is not a controlled access highway, the measurement of the adjacent area beyond the interchange will begin at a line that is one hundred feet (100’) outward from, and parallel to, the outside edge line of the through lanes on the main traveled way, excluding shoulders, exit ramps, entrance ramps, and acceleration or deceleration lanes. (See illustration in

Rule 1680-06-03-.09, Appendix.)

(b) Criteria for applying regulations based on visibility from the main traveled way.

The following criteria will be used to determine whether an outdoor advertising device located within the adjacent area of a highway on the interstate or primary system (regulated highway) should be subject to the restrictions established in this rule because the device has the purpose or effect of directing advertising messages to the main traveled way of the regulated highway:

1. In general, an outdoor advertising device within the adjacent area of a regulated highway is subject to the restrictions established in this rule if fifty percent (50%) or more of the sign face is visible from the main traveled way of the regulated highway.

2. Notwithstanding that fifty percent (50%) or more of the sign face is visible from the main traveled way of a regulated highway, the outdoor advertising device will not be subject to the restrictions applicable to the regulated highway, or it may be subject to restrictions applicable to a different regulated highway, if any of the following factors, or combination of factors, indicate that the device does not have the purpose or effect of directing advertising messages to the main traveled way of the regulated highway:

(i) The proximate location of the device to another intersecting or parallel highway within the adjacent area of the regulated highway;

(ii) The size of the sign face in relation to the distance of the device from the regulated highway or other highway;

(iii) The orientation of the sign face by height or angle in relation to the regulated highway or other highway;

May, 2024 8 (iv) The duration of time the sign face is visible from the main traveled way to the driver or passenger of a vehicle traveling at the maximum speed on the regulated highway;

(v) The use of illumination or a digital display to attract attention to the sign face from the main traveled way of the regulated highway or other highway;

(vi) The presence of obstructions or seasonal vegetation that blocks visibility of the sign face for at least six (6) months of the year; or (vi i) Other potentially relevant factors.

3. If application of the factors in part 2. above indicates that the device does not have the purpose or effect of directing advertising messages to the main traveled way of the regulated highway, the device will not be subject to the restrictions applicable to that regulated highway, but will be subject to the restrictions applicable to another regulated highway on the interstate or primary system if the device has the purpose or effect of directing advertising messages to the other regulated highway.

4. If the outdoor advertising device has the purpose or effect of directing advertising messages to two or more regulated highways, the more stringent restrictions applicable to either regulated highway will apply.

(c) Zoning restrictions.

1. Outdoor advertising devices must be located in areas zoned commercial or zoned industrial or in areas which qualify as unzoned commercial or industrial areas. (See definitions of “unzoned commercial or industrial area” and “zoned commercial or zoned industrial” in Rule 1680-06-03-.02.)

2. The following types of signs are not restricted by the zoning criteria:

(i) Official signs and notices, including directional signs, authorized or required by law;

(ii) On-premises devices (see Rule 1680-06-03-.06 for detailed description of on-premises devices);

(iii) Signs other than outdoor advertising devices that:

(I) Have a sign face that does not exceed twenty square feet (20 sq. ft.) in total area; and (II) Do not contain any flashing, intermittent, or moving lights;

(iv) Landmark signs lawfully in existence on October 22, 1965, as authorized under 23 U.S.C. § 131 and 23 CFR 750.710; and (v) Utility signs.

(d) Size restrictions.

1. The maximum total gross area for a sign face on an outdoor advertising device, or the total area of the sign faces per horizontal facing on a stacked device or doublefaced sign, shall be seven hundred seventy-five square feet (775 sq. ft.), with a May, 2024 9 maximum height of thirty feet (30’) or maximum length of sixty feet (60’); provided, however, that a 60’x30’ sign face is not allowed. All measurements of the sign face shall be inclusive of any border and trim, and any advertising embellishments as provided in part 3. below, but exclusive of ornamental base or apron supports and other structural members.

2. In counties having a population greater than 250,000 the Department will accept the particular county’s standard size, but in no instance shall this standard size, determined by the local governing body, exceed 1,200 square feet, inclusive of any border and trim and any advertising embellishments but exclusive of ornamental base or apron supports and other standard members.

3. The area of each sign face shall be measured by the smallest square, rectangle, triangle, or circle, or combination thereof, that will encompass the entire area of the sign used for the display of outdoor advertising. This includes the area normally intended for the display of advertising messages, within and including the border and trim, measured by the smallest square, rectangle, triangle, or circle, or combination thereof, and it also includes any additional area or areas extending outside the normal sign face within which any advertising embellishment or informative content is actually displayed. In the case of stacked devices or doublefaced signs, the total area of the sign faces per horizontal facing will be determined by combining the area of each sign face, measured by the smallest square, rectangle, triangle, or circle, or combination thereof, including the border and trim and the area of any advertising embellishment outside the border and trim but excluding any airspace between the sign faces. (See illustrations in Rule 1680-06- 03-.09, Appendix.)

4. An outdoor advertising device may contain one sign face per horizontal facing and may be back-to -back or V-type, or in the case of a stacked device or double-faced sign the device may contain two (2) or more sign faces per horizontal facing, but the total area of any sign face, or combination of sign faces, may not exceed seven hundred seventy-five square feet (775 sq. ft.) except as outlined above for counties with a population of 250,000 or greater. In accordance with T.C.A. § 54-21-118, no permits shall be issued for any new stacked devices after July 1, 2001.

However, a stacked device legally permitted and erected on or before July 1, 2001, may remain in its location, subject to the annual renewal of the permit, or the holder of the permit may move a lawfully permitted stacked device to a new location if the lo cation is otherwise eligible for a permit.

5. See illustrations in Rule 1680-06-03-.0 9, Appendix, to further describe the size requirements.

6. The following types of signs are not subject to size restrictions:

(i) Official signs and notices, including directional signs;

(ii) On-premises devices;

(iii) Landmark signs lawfully in existence on October 22, 1965, as authorized under 23 U.S.C. § 131 and 23 CFR 750.710; and (iv) Utility signs.

7. Signs located along a designated scenic highway or parkway are subject to additional size restrictions as provided in T.C.A. §§ 54-17-108 – 54-17-109 and §§ 54-17-205 – 54-17-206.

May, 2024 10 (e) Lighting restrictions.

1. Outdoor advertising devices that contain, include, have attached, or are illuminated by any flashing, intermittent or moving light, or lights which involve moving parts are prohibited, except changeable message signs with a digital display, as authorized in T.C.A. § 54-21-119 and subparagraph (h) below, or a small digital display, not to exceed one hundred square feet (100 sq. ft.), within a larger nondigital sign face.

2. Outdoor advertising devices that are not effectively shielded so as to prevent beams or rays of light from being directed at any portion of the traveled way of any interstate or primary highway and are of such intensity or brilliance as to cause glare or to impair vision of the driver of any motor vehicle, or which otherwise interferes with any driver’s operation of a motor vehicle, are prohibited.

3. No outdoor advertising device shall be so illuminated that it interferes with the effectiveness of, or obscures an official traffic sign, device, or signal.

(f) Spacing restrictions.

1. Interstate Highway Systems and Controlled Access Primary Highways.

(i) No two outdoor advertising devices shall be spaced less than one thousand feet (1,000’) apart on the same side of a highway on the interstate system or a controlled access highway on the primary system; provided, however, that outdoor advertising devices may be spaced closer together where they are separated by buildings or other obstructions, so that only one (1) outdoor advertising device is visible from the main traveled way of the highway at any one (1) time. The obstruction must be continuous in character; an obstruction caused by a temporary structure or seasonal vegetation will not qualify. (See illustration in Rule 1680-06-03-.09, Appendix.).

(ii) Outside the corporate limits of a municipality, or in a county having the metropolitan form of government, outside the urban services district, no outdoor advertising device may be located adjacent to or within one thousand feet (1,000’) of an interchange or intersection at-grade, measured along the interstate or controlled access highway on the primary system from the nearest point of the beginning or ending of pavement widening at the exit or entrance to the main traveled way. Provided, however, that if the boundaries of the urban services district in a county having the metropolitan form of government, overlap the corporate limits of a municipality, located within any such county, then the corporate limits shall be the prevailing factor for determining spacing of structures, rather than the urban services district boundaries. (See illustrations in Rule 1680-06-03-.0 9, Appendix.)

2. Primary Highway System (Non-Controlled Access).

(i) Outside the corporate limits of a municipality, or in the case of a county having the metropolitan form of government, outside the urban services district, no two outdoor advertising devices shall be spaced less than five hundred feet (500’) apart on the same side of a highway on the primary system that is not a controlled access highway. Provided, however, that if the boundaries of the urban services district in a county having the metropolitan form of government, overlap the corporate limits of a municipality located within any such county, then the corporate limits shall May, 2024 11 be the prevailing factor for determining spacing of structures, rather than the urban services district boundaries.

(ii) Within the corporate limits of a municipality, or in the case of a county having the metropolitan form of government, within the urban services district boundaries, no two outdoor advertising devices shall be spaced less than one hundred feet (100’) apart on the same side of a highway on the primary system that is not a controlled access highway.

3. Explanatory Notes.

With respect to spacing requirements on both the interstate and primary systems:

(i) The following types of signs are not subject to spacing requirements, nor shall measurements be made from them for purposes of determining compliance with spacing requirements:

(I) Official signs and notices, including directional signs;

(II) On-premises devices;

(III) Signs other than outdoor advertising devices that:

I. Have a sign face that does not exceed twenty square feet (20 sq. ft.) in total area; and II. Do not contain any flashing, intermittent, or moving lights;

(IV) Landmark signs lawfully in existence on October 22, 1965, as authorized under 23 U.S.C. § 131 and 23 CFR 750.710; and (V) Utility signs.

(ii) The minimum distance between outdoor advertising devices shall be measured along the nearest edge of pavement to the outdoor advertising device between points determined by a right angle from the edge of pavement directly opposite and transecting the leading pole of the device along each side of the highway. (See illustrations in Rule 1680-06-03-.0 9,

Appendix.)

4. Signs Located Along Scenic Highways or Parkways.

Signs located along a designated scenic highway or parkway are subject to additional spacing restrictions as provided in T.C.A. §§ 54-17-108 – 54-17-109 and §§ 54-17-205 – 54-17-206.

(g) Control of Original Conforming Devices.

1. An original conforming device, as defined in Rule 1680-06-03-.02, may remain in place or may be rebuilt, reconstructed, or upgraded, subject to the following restrictions:

(i) A valid permit must be maintained for the device;

May, 2024 12 (ii) The permit holder must notify and obtain authorization from the Department’s Outdoor Advertising Office before rebuilding, reconstructing, or upgrading the device; and (iii) The device must remain in place or be rebuilt in the exact previous location.

2. A violation of one or more of the restrictions established in part 1. above will render the permit voidable.

3. The Department shall use its best efforts to review and respond to a request to rebuild, reconstruct, or upgrade an original conforming device within no greater than thirty (30) days after the request is received. If a response cannot be provided within thirty ( 30) days after receipt of the request, the Department shall contact the requester prior to the expiration of the thirty (30) days to provide an explanation of the reasons why additional time is needed to review the request.

4. If an original conforming device is removed without prior approval from the Department to rebuild, reconstruct, or upgrade the device, the permit as an original conforming device is voidable and no new permit shall be issued for another outdoor advertising device as an original conforming device at that location.

(h) Changeable Message Signs with a Digital Display.

1. Changeable message signs with a digital display that meet all other requirements pursuant to Title 54, Chapter 21, of the Tennessee Code and these rules are permissible subject to the following restrictions:

(i) The message display time must remain static for a minimum of eight (8) seconds with a maximum change time of two (2) seconds;

(ii) Video, continuous scrolling messages, and animation are prohibited; and (iii) The minimum spacing of the changeable message signs with a digital display facing the same direction of travel on the same side of the interstate system or controlled access highways on the primary system is two thousand feet (2,000’); provided, however, that an outdoor advertising device that uses only a small digital display, not to exceed one hundred square feet (100 sq. ft.) in total area, within a larger non-digital sign face is not subject to the minimum spacing requirement established in this subpart (iii), or to any application for a specific digital display permit or permit addendum, or to any fee for a permit addendum as established in § 54-21- 104(b).

2. Brightness standards.

(i) All changeable message signs installed on or after July 1, 2014, must come equipped with a light-sensing device that automatically adjusts the brightness in direct correlation with ambient light conditions.

(ii) The brightness standards and methods for measuring the brightness of a digital display are set forth in T.C.A. § 54-21-119(h), which is incorporated herein by reference, and as described in Rule 1680-06-03-.09, Appendix.

(2) Restrictions on outdoor advertising devices adjacent to interstate and primary highways beyond six hundred sixty feet (660’) of the nearest edge of the right-of-way outside of urban areas.

May, 2024 13 (a) Control of outdoor advertising devices extends to outdoor advertising devices located beyond six hundred sixty feet (660’) of the nearest edge of the right-of-way of highways on the interstate and primary systems outside of urban areas erected with the purpose of their message being read from the main traveled way of such systems. Such outdoor advertising devices are prohibited, regardless of whether located in commercial or industrial areas, unless they are of a class or type allowed within six hundred sixty feet (660’) of the nearest edge of the right-of-way of such systems outside of commercial or industrial areas. To determine whether an outdoor advertising device has been erected for the purpose of having its message read from the main traveled way of a highway on the interstate or primary system, the Department will apply the factors identified in Rule 1680-06-03-.03(1)(b).

(b) Explanatory Note.

1. As defined in Title 23, United States Code, Section 101, the term “urban area” means an urbanized area, or in the case of an urbanized area encompassing more than one State, that part of the urbanized area in each such State, or an urban place as designated by the Bureau of the Census having a population of five thousand (5,000) or more and not within any urbanized area, within boundaries to be fixed by responsible State and local officials in cooperation with each other, subject to approval by the Secretary of the United States Department of Transportation. Such boundaries shall encompass, at a minimum, the entire urban place designated by the Bureau of the Census.

2. The term “urbanized area” means an area with a population of fifty thousand (50,000) or more designated by the Bureau of the Census, within boundaries to be fixed by responsible State and local officials in cooperation with each other, subject to approval by the Secretary. Such boundaries shall encompass, at a minimum, the entire urbanized area within a State as designated by the Bureau of the Census.

(3) Landmark Signs.

(a) Signs lawfully in existence on October 22, 1965, determined by the Commissioner, subject to the concurrence of the Secretary of Transportation of the United States, to be landmark signs, including signs on farm structures, or natural surfaces, of historic or artistic significance, the preservation of which would be consistent with the purposes of this section, are not required to be removed. Landmark signs are exempt from permit and fee requirements.

(b) Explanatory Note.

Reasonable maintenance, repair, and restoration of a landmark sign is permitted.

Substantial change in the size, lighting, or message content will terminate its exempt status.

History

• Authority: T.C.A. §§ 54-21-102, 54-21-103, 54-21-108, 54-21-111, 54-21-113, 54-21-118, and 54-21-119.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.04 . However, on-premises devices located along a designated scenic highway or parkway are subject to additional size and spacing restrictions as provided in T.C.A. §§ 54-17-108 – 109 and §§ 54-17-205 – 54-17-206.

(b) To qualify as an on-premises device, a sign must meet the following requirements, as provided in the definitions set out in Rule 1680-06-03-.02, and as further detailed in paragraphs (2) and (3), below:

1. The sign must be located:

(i) Within fifty feet (50’) of, and on the same parcel of property and on the same side of the highway as, the facility that owns or operates the sign; or (ii) Within fifty feet (50’) of, and on the same parcel of property and on the same side of the highway as, the entrance to the parcel of property upon which two (2) or more facilities are located; and, provided that:

(iii) For the purpose of applying this rule, the facility on or next to which an onpremises device is located must be:

(I) A commercial or industrial facility, or other facility open to the public, that operates with regular business hours on a year-round basis within a building or defined physical space, which may include a structure other than a building, together with any immediately adjacent parking areas, except that May, 2024 27 (II) An activity conducted in a temporary structure or a structure operated only on a seasonal basis may be considered a facility for the purpose of allowing an on-premises device to be located on the same property, but the device is only allowed on a temporary basis during the period the facility is actually conducting activity; and 2. The owner or operator of the sign or the facility must not be receiving or intend to receive compensation from a third party or parties for the placement of a message or messages on the sign.

(2) Premises Test.

To qualify as an on-premises device, a sign must be on, or within fifty feet (50’) of, the premises of the facility (i.e., the building or defined physical space, which may include a structure other than a building, together with any adjacent parking area), where the activities of the facility are conducted. The following criteria shall be used in determining whether a device is located on the premises of the facility:

(a) The premises on which an activity is conducted is determined by physical facts rather than property lines. Generally, it is defined as the land occupied by the buildings or other physical uses essential to the activity, including such areas as are arranged and designed to be used in connection with such buildings or uses.

(b) The following will not be considered a part of the premises on which the activity is conducted, and any signs located on such land will be considered “off -premises” signs:

1. Any land that is not used as an integral part of the principal activity. This includes, but is not limited to, land that is separated from the activity by a roadway, highway, or other obstructions and not used to conduct the activity or land consisting of extensive undeveloped highway frontage not actually used by the facility to conduct the activity even though the land might be under the same ownership;

2. Any land that is used for, or devoted to, a separate purpose unrelated to the principal activity. For example, land adjacent to or adjoining a service station, but devoted to raising of crops, a residence, or farmstead uses or other than commercial or industrial uses having no relationship to the service station activity would not be part of the premises of the service station, even though under the same ownership; or 3. Any land that is:

(i) At some distance from the principal activity, and (ii) In closer proximity to the highway than the principal activity, and (iii) Developed or used only in the area of the sign site or between the sign site and the principal activity, and (iv) Occupied solely by structures or uses which are only incidental to the principal activity, and which serve no reasonable or integrated purpose related to the activity other than to attempt to qualify the land for on-premises signing purposes. Generally, these will be facilities such as picnic, playground, or camping areas, dog kennels, golf driving ranges, skeet ranges, common or private roadways or easements, walking paths, fences, and sign maintenance sheds.

May, 2024 28 (c) Narrow Strips.

Where the sign site is located at or near the end of a narrow strip contiguous to the activity, the sign site shall not be considered part of the premises of the facility. A narrow strip shall include any configurations of land that cannot be put to any reasonable use related to the activity other than for signing purposes. In no event shall a sign site be considered part of the premises on which the activity is conducted if it is located upon a narrow strip of land:

1. Which is non-building land, such as swamp land, marsh land, or other wet land, or 2. Which is a common or private roadway, or 3. Held by easement or other lesser interest than the premises where the activity is located.

Note: On-premises devices may extend up to fifty feet (50’) feet from the principal activity as set forth above unless the area extends across a roadway.

(d) See illustration in Rule 1680-06-03-.0 9, Appendix, for further description of the location requirements for an on-premises device.

(3) Business of Outdoor Advertising.

(a) A sign shall not be considered an on-premises device, notwithstanding the location of the sign, and shall be considered an outdoor advertising device, if it is operated to earn compensation directly or indirectly from a third party or parties for the placement of a message on the sign.

(b) In the case of a property on which two (2) or more facilities are located, a sign located at the entrance of the property, as provided in subpart (1)(b)1.(ii) of this rule, will not be considered an outdoor advertising device operated to earn compensation directly or indirectly from a third party for the placement of a message on the sign so long as:

1. The owner or operator of the sign does not receive compensation for the display of a message from any person other than a facility that is located on the same property; and 2. The facility located on the property does not receive compensation from any other person for the display of a message on the sign located on the same property.

History

• Authority: T.C.A. §§ 54-21-102, 54-21-103, and 54-21-111.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.05 CONTROL OF NONCONFORMING OUTDOOR ADVERTISING DEVICES

(1) Those outdoor advertising devices legally in existence on April 4, 1972, shall be entitled to remain in place and in use until compensation for removal has been made.

(2) Nonconforming devices as defined in Rule 1680-06-03-.02 may remain in place, subject to restrictions set forth herein, until such time as they may be purchased.

(3) Restrictions on nonconforming devices are as follows:

(a) Maintenance beyond customary maintenance will not be allowed. Customary maintenance is defined in Rule 1680-06-03-.02. Customary maintenance may include, but shall not exceed, the replacement of the sign face and stringers in like materials, and the replacement in like materials of up to fifty percent (50%) of the device’s poles, May, 2024 25 posts, or other support structures; provided, that the replacement of any poles, posts, or other support structures is limited to one (1) time within a twenty-four-month period.

(b) Under no circumstances may the location be changed.

(c) Extension or changing height above ground level or enlargement of the sign face will not be allowed.

(d) Lighting cannot be added to an unilluminated sign.

(e) Reflective material cannot be added to a non-reflective sign.

(4) A lawfully permitted nonconforming device that has been destroyed or damaged beyond what may be repaired through customary maintenance may be rebuilt or repaired beyond customary maintenance only if all of the following conditions are satisfied:

(a) The destruction of or damage to the device must have been caused by vandalism or some other criminal or tortious acts, excluding any negligent or intentional acts of the permit holder or any party acting by permission of, with the knowledge of, or in concert with the permit holder and/or sign owner.

(b) No device may be rebuilt and/or repaired without the prior written approval of the Department.

(c) The current holder of the permit or sign owner, if different, must submit a written request for approval to the Department’s Outdoor Advertising Office, which written request must provide, at a minimum:

1. Proof of the date and cause of the destruction of and/or damage to the device, including a copy of the police report made with respect to the vandalism or other criminal or tortious act causing such destruction or damage; and 2. A general description of the manner in which it is proposed to rebuild and/or repair the device.

(d) No post, pole or other support structure, or any component of the device other than the sign face or stringers, will be approved for replacement or repair without proof that such post, pole, support structure, or other component of the device was destroyed or damaged by an act of vandalism or some other criminal or tortious act. The replacement or repair of destroyed components of the device under this subparagraph is separate and distinct from, and does not operate as limitation of, the provision for customary maintenance of such devices.

(e) The device must be rebuilt and/or repaired in such manner that it replicates the original device, including specifically as follows:

1. The rebuilt and/or repaired device must remain or be rebuilt in the exact same location as the original device; and 2. The rebuilt and/or repaired device must have the same height, size, and dimensions as the original device; and 3. Each post, pole, other support structure, or other component of the device, including the sign face and stringers, must be rebuilt and/or repaired with materials that replicate the materials used to construct that same component in the original device (e.g., wood for wood, steel for steel, etc.); and May, 2024 26 4. No component may be added to the rebuilt device that was not permitted under the original device, including no lighting if the original sign was not illuminated, no reflective material if the original sign was not reflectorized, and no changeable message technology on the sign face if not included on the original sign.

(f) The rebuilding and/or repair of the device must be completed within twelve (12) months after the date on which the original device was destroyed and/or damaged or the device will be treated as an abandoned outdoor advertising device. Permittee must contact the Department’s Outdoor Advertising Office for field inspection once rebuilding or repair has been completed.

(5) Except as provided in paragraph (4) of this rule above, any previously permitted nonconforming device that is destroyed by natural disaster, natural attrition, or any other cause whatsoever shall not continue to be permitted under this Chapter.

(6) See illustrations at Rule 1680-06-03-.0 9, Appendix, for further descriptions of damaged nonconforming devices that are qualified for customary maintenance and destroyed nonconforming devices that are subject to removal.

History

• Authority: T.C.A. §§ 54-21-102, 54-21-111, and 54-21-120.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.06 ON-PREMISES DEVICES

(1) General.

(a) On-premises devices are not subject to the zoning, size, lighting, or spacing regulations set out in Rule 1680-06-03.-03 or to the permitting requirements established in Rule

Tenn. Comp. R. & Regs. 1680-06-03-.07 REMOVAL OF ABANDONED DEVICES

(1) The permit for an abandoned outdoor advertising device shall be voidable after a twelve-month period of abandonment has elapsed, as follows:

(a) The permit for a device, or permits for a device with multiple sign faces, that for a period of twelve (12) months remains in substantial need of repair, which in the case of a wooden sign structure means that sixty percent (60%) or more of the upright supports of the sign structure are physically damaged such that normal repair practices would call for replacement of the broken supports or in the case of a metal sign structure that normal repair practices would call for replacement of at least thirty percent (30%) of the length above ground of each broken, bent, or twisted support, is voidable after the device has May, 2024 29 remained in that condition for a period of twelve (12) months; provided, however, that a nonconforming device in a condition meeting these criteria will immediately be considered destroyed rather than abandoned and the permit for the device will be void;

(b) The permit for a device whose sign face remains damaged fifty percent (50%) or more, or in the case of a device with multiple sign faces, the permit for each sign face that remains damaged fifty percent (50%) or more, is voidable after the sign face has remained in that condition for a period of twelve (12) months;

(c) The permit for a device that has a blank sign face (i.e., no advertising message) for a period of twelve (12) months, or in the case of a device with multiple sign faces, the permit for each sign face that remains blank, is voidable after the sign face has remained in that condition for a period of twelve (12) months; or (d) The permit for a device that has been removed from its permitted location is voidable if it has not been reconstructed in its permitted location within twelve (12) months after its removal; provided, however, that a nonconforming device that has been removed will immediately be considered destroyed rather than abandoned and the permit for the device will be void.

(2) The twelve-month period for establishing abandonment under subparagraphs (1)(a)–(d) may be waived or suspended during a period of involuntary discontinuance, such as the closing of a highway for repair in front of the sign; provided, however, that the termination of the permit holder’s lease, easement, or other right or permission for access from the landowner shall not be grounds for waiver of the twelve-month period for establishing abandonment.

(3) An abandoned outdoor advertising device or sign face that no longer has an outdoor advertising permit is subject to removal or other enforcement action as provided in T.C.A. § 54-21-105.

(4) Before initiating an enforcement action based on abandonment, the Department will first send a written notice to the permit holder identifying the condition of the device that would constitute abandonment and the date on which the twelve-month period for establishing abandonment will begin. If the permit holder believes that a defense to the condition of abandonment exists, the permit holder shall notify the Department in writing, and the Department shall respond in writing. If the Department does not accept the defense and the condition of abandonment remains for twelve (12) months, the Department will send a written notice to the permit holder, as provided in Rule 1680-06-03-.04(6)(b), stating that the permit is voidable based on abandonment. The permittee shall have forty-five (45) days within which to appeal the decision, as provided in Rule 1680-06-03-.04(6)(b).

(5) See illustration in Rule 1680-06-03-.0 9, Appendix, for examples of abandoned devices.

History

• Authority: T.C.A. §§ 54-21-102, 54-21-104, 54-21-105 and 54-21-111.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.08 VEGETATION CONTROL

(1) Definitions.

(a) For the purpose of T.C.A. § 54-21-116, “generally visible” or “general visibility” is defined as capable of being visible to occupants of vehicles using the main traveled way for some of the distance between the point where such capacity occurs and the location perpendicular to the outdoor advertising device.

(b) For the purpose of T.C.A. § 54-21-116, “clearly visible” or “clear visibility” is defined as capable of advising of the message.

May, 2024 30 (2) Administration.

(a) T.C.A. § 54-21-116 is construed as being in contemplation of an increase in the amount or size of vegetation within those adjacent portions of the right-of-way from which the face of an outdoor advertising device is capable of being visible to occupants of vehicles using the main traveled way existing on the date of erection of the outdoor advertising device, whereby such visibility becomes less than general visibility.

(b) When applications are made for vegetation control permits, the area of general visibility on the date of erection will be reviewed to determine whether such an increase in the amount and size thereof has occurred since the date of erection to warrant the issuance of a permit to attain clear visibility for an adjacent area of up to five hundred feet (500’) within the area of general visibility. Vegetation that, on the date of erection of the outdoor advertising device, blocked the view of the outdoor advertising device, in whole or in any

part, for a distance not to exceed five hundred yards (500 yds.), to occupants of vehicles using the main traveled ways, is not eligible for removal under a vegetation control permit.

(c) The vegetation control permit will authorize the permittee to remove, block cut, or trim vegetation located on the right-of-way adjacent to the outdoor advertising device, and replace the vegetation as directed, whenever the vegetation prevents clear visibility for a distance not to exceed five hundred yards (500 yds.) to occupants of vehicles using the main traveled ways of the controlled systems. The maximum area to be controlled shall not exceed five hundred feet (500’).

(d) Each vegetation control permit will be subject, at a minimum, to the following conditions:

1. Permittee shall obtain any permits or approvals required by any regulatory agency having jurisdiction under federal, state, or local law over any work to be performed on the highway right-of-way, including without limitation any permits required under water quality regulations.

2. Normally, the permittee will be authorized to remove or control vegetation only through the use of mechanical methods; provided, however, that beginning on March 1, 2024, the Department may authorize the use of herbicides in specific circumstances, subject to strict conditions, including but not limited to the requirements that the use of any herbicide may be allowed only between March 1 and October 15 of each year and must be performed by a person who has a valid current pesticide applicator certification in the applicable service category for rightof-way pest control and has, or works under the direct supervision of a person who has, a valid current pest control operator license from the Tennessee Department of Agriculture.

3. Permittee shall notify any utility company that may be affected by the work, as required by law, including without limitation compliance with the Underground Utility Damage Prevention Act, T.C.A. §§ 65-31-101, et seq, if applicable.

4. Permittee shall comply with the provisions of the Manual on Uniform Traffic Control Devices, as adopted in TDOT Rule Chapter 1680-03-01, applicable to work being performed adjacent to highways.

5. Parking on or working from the shoulder of the highway may be authorized only by special written permission from the Department. If authorization has been granted, a Shoulder Permit shall be attached to Vegetation Control Permit. Permittee’s work forces must be present at all times any equipment is located on the shoulder.

May, 2024 31 6. There shall be no overnight parking of equipment on highway right-of-way, and no equipment shall be parked on the shoulder of the highway when the permittee’s work forces are not present.

7. If the highway right-of-way is access-controlled, the permittee shall not obtain access to the right-of-way across the access control boundary, and the permittee shall not cut, remove, or damage any access control fence; provided, however, that the applicant may request the Department to permit a break in access control to obtain access to the right-of-way. If the applicant requests a break in access control, the applicant shall include as a part of the vegetation control permit application a written proposal, with photographs, showing why the break in access control is needed, how the applicant will obtain access to the property outside the access control fence, and the proposed extent and duration of the break in access control. The applicant will not be granted a break in access control for the purpose of obtaining access to the property outside the access control fence. The permittee will be required to provide a temporary barrier to protect access control when not on the job site and will be required to restore the access control fence to the Department’s specifications promptly upon completion of the vegetation control work. In the event that the permittee, or the permittee’s agent or representative, does unauthorized damage to a fence or any other public property in the work area, the permittee shall immediately repair or replace the same at the permittee’s expense.

8. Any drainage tiles, culverts, or other drainage infrastructure must remain free and clear of cut brush, pulverized debris, or disturbed soil.

9. If any work authorized under the permit results in the exposure of bare soil on the state highway right-of-way, the permittee shall install erosion prevention and sediment control measures, including at a minimum the spreading of grass seed and straw on the soil. A mixture of native grasses or native plant seeds is recommended to promote native habitat restoration. Sowing of noxious weed seeds is strictly prohibited.

10. Trash and litter shall be picked up and removed from the highway right-of-way before mowing or bush-hogging; provided, however, if the permittee discovers hazardous waste that cannot be taken to a landfill but instead requires specialized disposal (e.g., automobile batteries, tires, paint, medical waste, drug paraphernalia, etc.), the permittee shall promptly notify the Department and cease any mowing or bush-hogging in the area where such waste is present.

11. Upon completion of the work, all trimmed or cut vegetation, brush, limbs, or large debris must be removed from the highway right-of-way. Permittee may be allowed to use chippers and grinders to reduce trimmed and cut vegetation into pulverized material and left on the highway right-of-way. Large piles of pulverized material are to be spread across the ground in a thin layer. Any large limbs or debris remaining in whole or only partially ground up shall be removed from the highway right-of-way. All authorized vegetation removal shall be cut to ground level. Stumps above ground level must be removed by permittee.

12. The Department reserves the right to add special permit conditions based on the particular circumstances existing at the vegetation control site. However, the Department will not add general permit terms and conditions applicable to all permits beyond the items identified in this subsection (d) without first publishing the proposed permit condition on the Department’s Outdoor Advertising Office website and allowing at least thirty (30) days for public comment.

May, 2024 32 (e) Vegetation control permits issued pursuant to the Billboard Regulation and Control Act of 1972 shall be reinstated under the Outdoor Advertising Control Act of 2020.

Alternatively, the owner of the device may apply for a new vegetation control permit, and the Department shall issue the permit in accordance with T.C.A. § 54-21-116 and this

rule.

(3) Application for Vegetation Control Permit.

(a) No person shall begin to cut, trim, or remove vegetation located on the right-of-way adjacent to outdoor advertising device without first obtaining a vegetation control permit from the Department’s Outdoor Advertising Office. Vegetation control permits issued pursuant to the Billboard Regulation and Control Act of 1972 shall be reinstated under the Outdoor Advertising Control Act of 2020. Alternatively, the owner of the device may apply for a new vegetation control permit, and the Department shall issue the permit in accordance with T.C.A. § 54-21-116 and this rule.

(b) Before applying for a vegetation control permit, the applicant must verify that the issued tag for the permitted outdoor advertising device is posted on the device and visible from the main traveled way. Applications for devices without a visible tag will not be approved and the application fee will not be returned. A new replacement tag must be requested and posted on device before the applicant reapplies for a vegetation control permit.

(c) The following procedure will be followed in order to apply a permit for a vegetation control permit:

1. Request a vegetation control application form;

2. Return completed application to Outdoor Advertising Office, Department of Transportation, Right-of-Way Division, Suite 400, James K. Polk Building, 505 Deaderick Street, Nashville, TN 37243, and enclose a check or money order made payable to the Tennessee Department of Transportation in the amount of one hundred dollars ($100.00) for each sign face as a non-refundable application fee; and 3. Attach the following additional information:

(i) An 8”x10” or larger photograph showing the area in which vegetation control is proposed;

(ii) A scale drawing showing vegetation proposed to be cut, trimmed, or removed, and labeling such vegetation;

(iii) A written proposal;

(iv) A scale drawing showing the proposed replacement vegetation plan;

(v)

If applicable, a written proposal, with photographs, showing why a break in access control is needed, how the applicant will obtain access to the property outside the access control boundary, and the proposed extent and duration of the break in access control; and (vi) If applicable, a written proposal in support of a request to use a herbicide, with the reason for requesting the use, the proposed location for herbicide use, the herbicide application plan, the name and pesticide applicator certification number of the person who will apply the herbicide, and the name May, 2024 33 and pest control license number of the person having supervisory responsibility for the herbicide application.

(d) The Department shall use best efforts to process an application for a permit, in accordance with this rule, within no greater than thirty (30) days after a completed application is received, as follows:

1. If the application is incomplete or defective on its face, the Department shall notify the applicant in writing no later than fifteen (15) days after receipt of the filed application of its incomplete or defective status and indicate the information or documentation that is needed to complete or correct the application.

2. If a decision to approve or deny the application cannot be made within thirty (30) days after receipt of the completed or corrected application, the Department shall contact the applicant prior to the expiration of the thirty (30) days to provide an explanation of the reasons why additional time is needed to process the application.

(e) If the application for the vegetation control permit is approved, the Department will send the applicant a written notice of approval, which shall identify the conditions applicable to the permit. T he applicant shall notify the Department’s Outdoor Advertising Office of the date on which the applicant wishes the permit to be issued. In addition, the applicant must provide the following:

1. A check or money order in the amount of one hundred fifty dollars ($150.00) per sign face made payable to the Tennessee Department of Transportation for supervision of the work; provided, however, that:

(i) One (1) vegetation control permit fee must be waived for those owners who voluntarily remove a nonconforming outdoor advertising device. If the nonconforming outdoor advertising device to be removed is not at least one hundred fifty square feet (150 sq. ft.) in size, two (2) nonconforming outdoor advertising devices must be removed to authorize waiver. The latter applies only when the outdoor advertising device around which control is to occur is larger than three hundred square feet (300 sq. ft.);

(ii) This waiver shall not be used as evidence in any future eminent domain proceeding relating to nonconforming outdoor advertising devices;

2. A surety bond (on a form provided by the Department) in the amount of five thousand dollars ($5,000) for each separate vegetation control permit; or in the alternative, the applicant may provide a running surety bond to cover multiple active vegetation control permits or vegetation maintenance permits at the applicable amount for each permit up to the maximum capacity of the bond; and 3. A certificate of insurance in the amount of not less than three hundred thousand dollars ($300,000) for each person injured and one million dollars ($1,000,000) for each occurrence, with such insurance to remain in full force and effect until work has been completed and approved by the Department.

(f) The permittee shall complete the authorized vegetation control within the time period specified in the permit, and in any event, the permittee shall complete the vegetation control within one (1) year after the date on which the application was approved; otherwise, the application approval and permit is void . Furthermore, the applicant shall abide by all conditions imposed by the Department, as set forth on the face of the permit, May, 2024 34 or incur permit revocation and other consequences of law. (See illustrations in Rule

Tenn. Comp. R. & Regs. 1680-06-03-.09 APPENDIX

(1) Agreements between the Tennessee Department of Transportation and the United States Department of Transportation, Federal Highway Administration.

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May, 2024 38 (a) Original Agreement (November 11, 1971)

May, 2024 39 May, 2024 40 May, 2024 41 May, 2024 42 May, 2024 43 May, 2024 44 May, 2024 45 May, 2024 46 May, 2024 47 May, 2024 48 (b) Supplemental Agreement (October 16, 1984)

May, 2024 49 May, 2024 50 May, 2024 51 (2) Brightness Standards for Changeable Message Signs with a Digital Display T.C.A. § 54-21-119(h) establishes the brightness standards for changeable message signs with a digital display, as follows:

(a) All c hangeable message signs installed on or after July 1, 2014, must come equipped with a light-sensing device that automatically adjusts the brightness in direct correlation with ambient light conditions.

(b) The brightness of light emitted from a changeable message sign must not exceed 0.3 foot candles over ambient light levels measured at a distance of one hundred fifty feet (150’) for those sign faces less than or equal to three hundred square feet (300 sq. ft.), measured at a distance of two hundred feet (200’) for those sign faces greater than three hundred square feet (300 sq. ft.) but less than or equal to three hundred eighty-five square feet (385 sq. ft.), measured at a distance of two hundred fift y feet (250’) for those sign faces greater than three hundred eighty-five square feet (385 sq. ft.) and less than or equal to six hundred eighty square feet (680 sq. ft.), measured at a distance of three hundred fifty feet (350’) for those sign faces greater than six hundred eighty square feet (680 sq. ft.), or subject to the measuring criteria in the applicable table set forth in subdivision (h)(4).

(c) Any measurements required pursuant to this subsection (h) must be taken from a point within the highway right-of-way at a safe distance from the edge of the traveled way, at a height above the roadway that approximates a motorist’s line of sight, and as close to perpendicular to the face of the changeable message sign as practical. If perpendicular measurement is not practical, valid measurements may be taken at an angle up to fortyfive (45) degrees from the center point of the sign face. If measurement shows a level above that prescribed in subdivision (h)(4), the exact calculations must be provided to the sign permit holder.

(d) In the event it is found not to be practical to measure a changeable message sign at the distances prescribed in subdivision (h)(2), a measurer may opt to measure the sign at any of the alternative measuring distances described in the applicable table set forth in this subdivision (h)(4). In the event the sign measurer chooses to measure the sign using an alternative measuring distance, the prescribed foot candle level above ambient light must not exceed the prescribed level, to be determined based on the alternative measuring distances set forth in the tables in subdivisions (h)(4)(A), (B), (C), and (D), as applicable.

For any measuring distance between the alternative measuring distances set forth in the following tables, the prescribed foot candle level above ambient light must not exceed the interpolated level derived from the following formula: [12 = (D2<2>/01<2>) x 11]

Where l1 = the prescribed foot candle level above ambient light for the measuring distance listed in the tables, l2 = the derived foot candle level above ambient light for the desired measuring distance, D1 = the desired measuring distance in feet, and D2 = the alternative measuring distance in feet listed in the tables, as follows:

1. For changeable message signs less than or equal to three hundred square feet (300 sq. ft.):

Alternative Measuring Distance: Prescribed Foot Candle Level: 100 0.68 May, 2024 52 125 0.43 150 0.3 200 0.17 250 0.11 275 0.09 300 0.08 325 0.06 350 0.06 400 0.04 2. For changeable message signs greater than three hundred square feet (300 sq. ft.) but less than or equal to three hundred eighty-five square feet (385 sq. ft.):

Alternative Measuring Distance: Prescribed Foot Candle Level: 100 1.2 125 0.77 150 0.53 200 0.3 250 0.19 275 0.16 300 0.13 325 0.11 350 0.1 400 0.08 3. For changeable message signs greater than three hundred eighty-five square feet (385 sq. ft.) but less than or equal to six hundred eighty square feet (680 sq. ft.):

Alternative Measuring Distance: Prescribed Foot Candle Level: 100 1.88 125 1.2 150 0.83 200 0.47 250 0.3 275 0.25 300 0.21 325 0.18 350 0.15 400 0.12 4. For changeable message signs greater than six hundred eighty square feet (680 sq. ft.):

Alternative Measuring Distance: Prescribed Foot Candle Level: 100 3.675 125 2.35 150 1.63 200 0.92 250 0.59 275 0.49 300 0.41 325 0.35 350 0.3 400 0.23 May, 2024 53 425 0.2 450 0.18 500 0.15 (e) The brightness standards established in T.C.A. § 54-21-119(h) apply to all changeable message signs located in this state operated pursuant to a permit issued by the Commissioner.

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May, 2024 54 (3) Illustrations (a) Abandoned Devices May, 2024 55 (b) Measurement of Adjacent Area at Interchanges May, 2024 56 (c) Destroyed Non-Conforming Outdoor Advertising Device May, 2024 57 (d) Device Types: Double-Faced May, 2024 58 (e) Device Types: Back-To-Back May, 2024 59 (f) Device Types: V-Type May, 2024 60 (g) Device Types: Stacked Display May, 2024 61 (h) Unzoned Commercial or Industrial May, 2024 62 (i) Sign Face Size & Parts May, 2024 63 (j) Sign Face Size May, 2024 64 (k) Incorrect Sign Face Size May, 2024 65 (l) Sign Spacing: Measurement Methods May, 2024 66 (m) Sign Spacing: Measurement Methods May, 2024 67 (n) Sign Spacing: Measurement Methods May, 2024 68 (o) Sign Spacing: Measurement Along A Curve May, 2024 69 (p) Spacing Exception May, 2024 70 (q) Ramp Control: Outside the City Limits May, 2024 71 (r) Sign Spacing: Not Fully Controlled Access Control May, 2024 72 (s) On-Premises Device May, 2024 73 (t) Vegetation Control: Example Only May, 2024 74 (u) Vegetation Control Removal Guide May, 2024 75

History

• Authority: T.C.A. § 54-21-111.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Tenn. Comp. R. & Regs. 1680-06-03-.0 9, Appendix.)

(g) The Department will accept applications and issue vegetation control permits to allow vegetation control activities on a year-round basis; provided, however, if replacement vegetation is required, a vegetation control permit may be issued only between October 1 and April 15. If the Department authorizes the use of any herbicide as a method of vegetation control, the vegetation control permit may be issued only between March 1 and October 15.

(4) Application for Vegetation Maintenance Permit.

(a) If a vegetation control permit has been issued for an outdoor advertising device, the holder of the permit may apply each subsequent year for a vegetation maintenance permit to provide annual maintenance at any one (1) location that is consistent with the original vegetation control permit.

(b) Before applying for a vegetation maintenance permit, the applicant must verify that the issued tag for the permitted outdoor advertising device is posted on the device and visible from the main traveled way. Applications for devices without a visible tag will not be approved and the application fee will not be returned. A new replacement tag must be requested and posted on device before the applicant reapplies for a vegetation maintenance permit.

(c) The following procedure shall be followed to apply for a vegetation maintenance permit:

1. Request a vegetation maintenance application form;

2. Return completed application to Outdoor Advertising Office, Department of Transportation, Right-of-Way Division, Suite 400, James K. Polk Building, 505 Deaderick Street, Nashville, TN 37243, and enclose a check or money order made payable to the Tennessee Department of Transportation in the amount of fifty dollars ($50.00) as a non-refundable fee; and 3. Attach the following information:

(i) Copy of the original issued vegetation control permit or copy of last issued vegetation maintenance permit;

(ii) An 8”x10” or larger photograph showing the area in which vegetation control is proposed;

(iii) A scale drawing showing vegetation proposed to be cut, trimmed, or removed, and labeling such vegetation;

(iv) A written proposal;

(v) A scale drawing showing the proposed replacement vegetation plan;

(vi)

If applicable, a written proposal, with photographs, showing why a break in access control is needed, how the applicant will obtain access to the property outside the access control boundary, and the proposed extent and duration of the break in access control; and (vi i) If applicable, a written proposal in support of a request to use a herbicide, with the reason for requesting the use, the proposed location for herbicide May, 2024 35 use, the herbicide application plan, the name and pesticide applicator certification number of the person who will apply the herbicide, and the name and pest control license number of the person having supervisory responsibility for the herbicide application.

(d) If the application for a vegetation maintenance permit is approved, the Department will send the applicant a written notice of approval, which shall identify the conditions applicable to the permit. Prior to issuance of the permit, the applicant must provide the following:

1. A surety bond (on a form provided by the Department) in the amount of two thousand five hundred dollars ($2,500) for each separate vegetation maintenance permit; or in the alternative, the applicant may provide a running surety bond to cover multiple active vegetation control permits or vegetation maintenance permits at the applicable amount for each permit up to the maximum capacity of the bond; and 2. A certificate of insurance in the amount of not less than three hundred thousand dollars ($300,000) for each person injured and one million dollars ($1,000,000) for each occurrence, with such insurance to remain in full force and effect until work has been completed and approved by the Department.

(e) Furthermore, if a vegetation maintenance permit is issued, the applicant shall abide by all conditions imposed by the Department, as set forth on the face of the permit, or incur permit revocation and other consequences of law. The vegetation maintenance permit will be subject, at a minimum, to the following conditions:

1. Permittee shall obtain any permits or approvals required by any regulatory agency having jurisdiction under federal, state, or local law over any work to be performed on the highway right-of-way, including without limitation any permits required under water quality regulations.

2. Normally, the permittee will be authorized to remove or control vegetation only through the use of mechanical methods; provided, however, that beginning on March 1, 2024, the Department may authorize the use of herbicides in specific circumstances, subject to strict conditions, including but not limited to the requirements that the use of any herbicide may be allowed only between March 1 and October 15 of each year and must be performed by a person who has a valid current pesticide applicator certification in the applicable service category for rightof-way pest control and has, or works under the direct supervision of a person who has, a valid current pest control operator license from the Tennessee Department of Agriculture.

3. Permittee shall notify any utility company that may be affected by the work, as required by law, including without limitation compliance with the Underground Utility Damage Prevention Act, T.C.A. §§ 65-31-101, et seq, if applicable.

4. Permittee shall comply with the provisions of the Manual on Uniform Traffic Control Devices, as adopted in TDOT Rule Chapter 1680-03-01, applicable to work being performed adjacent to highways.

5. Parking on or working from the shoulder of the highway may be authorized only by special written permission from the Department. If authorization has been granted, a Shoulder Permit shall be attached to Vegetation Control Permit. Permittee’s work forces must be present at all times any equipment is located on the shoulder.

May, 2024 36 6. There shall be no overnight parking of equipment on highway right-of-way, and no equipment shall be parked on the shoulder of the highway when the permittee’s work forces are not present.

7. If the highway right-of-way is access-controlled, the permittee shall not obtain access to the right-of-way across the access control boundary, and the permittee shall not cut or remove any access control fence; provided, however, that the applicant may request the Department to permit a break in access control to obtain access to the right-of-way. If the applicant requests a break in access control, the applicant shall include as a part of the vegetation maintenance permit application a written proposal, with photographs, showing why the break in access control is needed, how the applicant will obtain access to the property outside the access control fence, and the proposed extent and duration of the break in access control.

The applicant wi ll not be granted a break in access control for the purpose of obtaining access to the property outside the access control fence. The permittee will be required to provide a temporary barrier to protect access control when not on the job site and will be required to restore the access control fence to the Department’s specifications promptly upon completion of the vegetation control work. In the event that the permittee, or the permittee’s agent or representative, does unauthorized damage to a fence or any other public property in the work area, the permittee shall repair or replace the same at the permittee’s expense.

8. Any drainage tiles, culverts, or other drainage infrastructure must remain free and clear of cut brush, pulverized debris, or disturbed soil.

9. If any work authorized under the permit results in the exposure of bare soil on the state highway right-of-way, the permittee shall install erosion prevention and sediment control measures, including at a minimum the spreading of grass seed and straw on the soil. A mixture of native grasses or native plant seeds is recommended to promote native habitat restoration. Sowing of noxious weed seeds is strictly prohibited.

10. Trash and litter shall be picked up and removed from the highway right-of-way before mowing or bush-hogging; provided, however, if the permittee discovers hazardous waste that requires specialized disposal (e.g., automobile batteries, tires, paint, medical waste, drug paraphernalia, etc.), the permittee shall promptly notify the Department and wait for further instructions before mowing or bushhogging in that area.

11. Upon completion of the work, all trimmed or cut vegetation, brush, limbs, or large debris must be removed from the highway right-of-way. Permittee may be allowed to use chippers and grinders to reduce trimmed and cut vegetation into pulverized material and left on the highway right-of-way. Large piles of pulverized material are to be spread across the ground in a thin layer. Any large limbs or debris remaining in whole or only partially ground up shall be removed from the highway right-of-way. All authorized vegetation removal shall be cut to ground level. Stumps above ground level must be removed by permittee.

12. The Department reserves the right to add special permit conditions based on the particular circumstances existing at the vegetation control site. However, the Department will not add general permit terms and conditions applicable to all permits beyond the items identified in this subsection (e) without first publishing the proposed permit condition on the Department’s Outdoor Advertising Office website and allowing at least thirty (30) days for public comment.

May, 2024 37 (f) The Department will accept applications and issue vegetation maintenance permits on a year-round basis. If the Department authorizes the use of any herbicide as a method of vegetation control, the vegetation maintenance permit will only be issued between March 1 and October 15.

(5) Enforcement of Vegetation Control (a) The Commissioner may revoke, suspend, or modify any vegetation control permit or vegetation maintenance permit for cause, including violation of any terms or conditions of the permit.

(b) If, before obtaining an outdoor advertising device permit and a vegetation control permit, vegetation located on state highway right-of-way is removed, cut, or trimmed, and application is subsequently made for an outdoor advertising permit, then the Commissioner may deny the permit.

(c) If, before applying for a vegetation control permit, vegetation located on state highway right-of-way is removed, cut, or trimmed in the vicinity of an outdoor advertising device, which action was reasonably calculated to afford greater visibility of the outdoor advertising device, then the Commissioner may revoke the outdoor advertising device permit or permits for the affected outdoor advertising devices.

(d) Prior to invoking this section, the Commissioner or the Commissioner’s designee shall advise the affected outdoor advertising device permit applicant or holder, whichever is appropriate, that a preliminary determination of illegality has been made. The party so advised must be given the opportunity to request a hearing to be conducted pursuant to contested case provisions of the Uniform Administrative Procedures Act, compiled in Tennessee Code Annotated, Title 4, Chapter 5, before the Commissioner may make a final determination of illegality.

History

• Authority: T.C.A. §§ 54-21-111, 54-21-116, and 54-21-117.
• Administrative History: Transfer from chapter 1680-02-03 and amendments filed February 14, 2024; effective May 14, 2024.

Chapter 1680-07-01 Overweight and Overdimensional Movements on Tennessee Highways

Tenn. Comp. R. & Regs. 1680-07-01-.01 PURPOSE AND APPLICATION OF THIS CHAPTER

(1) Purpose.

The purpose of this chapter is to prescribe rules in the interest of public safety and preservation of highways, for the issuance of special permits for the transportation of such overweight or overdimensional articles or commodities as cannot be reasonably dismantled or conveniently transported otherwise, and for the operation of such overweight or overdimensional vehicles, motor trucks, semi-trailers and trailers, whose gross weight, including load, or whose height, width, or length, may exceed statutory limits, or which in other respects fail to comply with requirements of T.C.A. §§ 55-7-201–203, as may be reasonably necessary for the transportation of such overweight or overdimensional articles or commodities as cannot be reasonably dismantled or conveniently transported otherwise.

(2) Application.

These rules apply to, and a special permit issued by the Tennessee Department of Transportation (hereinafter also referred to as “TDOT” or “Department”) shall be required for, the operation of any motor vehicle on the state highway system, including the interstate highway system, whenever the motor vehicle, including the load, exceeds any of the following size and weight limits established by law:

(a) General Size and Weight Limitations Established in T.C.A. §§ 55-7-201–203:

1. Gross weight: 80,000 pounds, except that freight motor vehicles operating on the interstate highway system shall not exceed the lesser of 80,000 pounds or the weight produced by application of the formula set forth in T.C.A. § 55-7-203(b)(3).

2. Single axle: 20,000 pounds, except as provided above.

3. Tandem axle: 34,000 pounds, except as provided above.

4. Width: 8 feet 6 inches.

5. Height: 13 feet 6 inches.

6. Length:

(i) Straight truck: 45 feet.

(ii) Straight truck with trailer attached: 65 feet.

(iii) Truck tractor and semi-trailer or trailer combination: The towed vehicle shall not exceed 50 feet in length from the point of attachment to the tractor; provided, however, if the towed vehicle exceeds 48 feet in length from the point of attachment to the tractor, the distance between the kingpin and the rearmost axle or a point midway between the two rear axles, if the two rear axles are a tandem axle, shall not exceed 41 feet; and (I) Except, if transporting livestock or automobiles and/or motor vehicles: 52 feet in length from the point of attachment to the tractor; or (II) If transporting poles, logs, or timber in single length pieces: 75 feet total length.

(iv) Truck tractor and twin trailer combination: 28 feet 6 inches either towed vehicle.

(b) Exceptions under State Law: Exceptions to the general size and weight limitations described in subparagraph (a) are authorized in T.C.A. § 55-7-115 and T.C.A. §§ 55-7- 201–205, including without limitation exceptions for vehicles used exclusively to transport cotton seed modules (see Rule 1680-07-01-.08) and an exception to length limitations for any vehicle disabled on a highway and being towed to a repair or terminal facility within one hundred (100) miles (see Rule 1680-07-01-.19). Movements made in compliance with these exceptions are not subject to the special permit requirements established in this chapter.

(c) Exceptions under Federal Law: Additional exceptions to the general size and weight limitations described in subparagraph (a) above are required under federal law, including 23 U.S.C. § 127 and 49 U.S.C. § 31111, and including without limitation exceptions from weight limits on the interstate highway system for heavy duty tow and recovery vehicles and emergency fire suppression vehicles, as incorporated into T.C.A. § 55-7-203. Movements made in compliance with these exceptions are not subject to the special permit requirements established in this chapter.

History

• Authority: T.C.A. §§ 55-7-115, 55-7-201 through 55-7-203, 55-7-205, 23 U.S.C. § 127, and 49 U.S.C. § 31111.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Amendment filed December 7, 1983; effective January 6, 1984. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.01 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.02 APPLICATION PROCESS FOR SPECIAL PERMITS

(1) Applications for special permits may be made in person, or by letter, email, or telephone, to the Tennessee Department of Transportation, Overweight and Overdimensional Permit Office (hereinafter “TDOT Permit Office”), Suite 800, James K. Polk State Office Building, 505 Deaderick Street, Nashville, TN 37243; email address: tdot.permitoffice@tn.gov ; telephone number: (615) 741-3821; or, subject to the terms and conditions of a contract between TDOT and the applicant or an authorized vendor, through TDOT’s online overweight/overdimensional permitting system.

(2) The applicant must provide the following information:

(a) Name of applicant;

(b) Address of applicant;

(c) Description of article and/or commodity to be moved;

(d) Method of moving (truck and trailer, towing by truck, under own power, etc.);

(e) Motor vehicle registration number of vehicle to be permitted;

(f) Overall dimensions and/or gross weight of load;

(g) Number and spacing of axles, including steering (if overweight);

(h) Address of the place of origin and/or place of destination of movement within Tennessee;

(i) Proposed highway routes over which movement will be made;

(j) Proposed effective date of permit; and (k) Address to which permit is to be transmitted and method of transmittal.

(3) The application for a special permit shall be submitted in advance of the requested starting date of the permit in accordance with the following schedule:

(a) Applications for overdimensional permits shall be submitted at least three (3) business days before the starting date of the permit; provided, however, that applications for loads defined as extra-overdimensional under Rule 1680-07-01-.12 shall be submitted at least ten (10) business days before the starting date of the permit.

(b) Applications for overweight permits shall be submitted at least the following minimum number of days before the starting date of the permit:

1. For gross vehicle weights of less than 165,000 pounds, at least three (3) business days;

2. For gross vehicle weights equal to or greater than 165,000 pounds but less than 250,000 pounds, at least five (5) business days;

3. For gross vehicle weights equal to or greater than 250,000 pounds but less than 500,000 pounds, at least fifteen (15) business days; and 4. For gross vehicle weights equal to or greater than 500,000 pounds, at least thirty (30) business days.

(c) The TDOT Permits Office may waive these application deadlines for good cause; and provided further, the TDOT Permits Office reserves the right, upon giving notice to the applicant, to take additional time as needed to review an application for a special permit.

(4) Failure to provide the required information may result in denial of the special permit request or a delay in issuance of the special permit.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 23, 1976; effective October 24, 1976. Amendment filed August 4, 1977; effective September 2, 1977. Amendment filed September 3, 1980; effective October 20, 1980. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendments filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02- 02-.02 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.03 GENERAL CONDITIONS FOR ISSUING SPECIAL PERMITS

(1) Subject to the rules established in this chapter, the TDOT Permit Office may issue special permits authorizing the movement of motor vehicles and loads that exceed the size or weight limits generally allowed by law, as set forth in Rule 1680-07-01-.01(2) above. In general, special permits may be issued only for non-divisible loads or vehicles.

(2) As used in this chapter, a “non-divisible load or vehicle” means any load or vehicle which, if separated into smaller loads or vehicles, would:

(a) Compromise the intended use of the vehicle, i.e., make it unable to perform the function for which it was intended;

(b) Destroy the value of the load or vehicle, i.e., make it unusable for its intended purpose; or (c) Require more than eight (8) workhours to dismantle using appropriate equipment, which the applicant for the special permit has the burden of proving; and (d) Apart from the criteria set forth in subparagraphs (a) through (c), the term “non-divisible load or vehicle” includes military vehicles transporting marked military equipment or materiel, and emergency response vehicles, including those loaded with salt, sand, chemicals or a combination thereof, with or without a plow or blade attached in front, and being used for the purpose of spreading the material on the highways that are or may become slick or icy.

(e) In accordance with 23 U.S.C. § 127 and T.C.A. § 55-7-205(e)(2), a vehicle carrying fluid milk products shall be considered a non-divisible load.

(3) In accordance with 23 U.S.C. § 127, special permits may be issued to overweight vehicles with loads that can be easily dismantled or divided if the vehicles are delivering relief supplies during an emergency or major disaster declared by the President of the United States under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (“Stafford Act”) (42 U.S.C. §§ 5121, et seq.) and the movement is authorized by the Governor of Tennessee as provided in paragraph (4) below.

(4) In accordance with T.C.A. § 58-2-107, but subject to any limitations established in Federal law, special permits may be issued in accordance with an Executive Order or Proclamation issued by the Governor of Tennessee during a state of emergency declared by the Governor under the authority granted in T.C.A. §§ 58-2-101, et seq.

(5) Special permits for a single trip are issued to allow one movement between two specific points. Annual permits do not limit the number or route of movements; provided, however, that no vehicle or load authorized to move under an annual permit shall violate any size or clearance restrictions, or any gross vehicle weight or axle weight limits, posted on any highway, bridge, overpass, or underpass.

(6) A single trip permit or annual permit shall be issued to a specific motor vehicle; provided, however, that if the movement of a single load requires, or may require, more than one motor vehicle to move the load, a single trip permit may be issued for the entire load, including the primary motor vehicle and any additional motor vehicle(s), as identified in the permit application, that may be used to move the load.

(7) For good cause shown, the TDOT Permit Office may approve the transfer of a single trip permit or annual permit to a different motor vehicle. The permittee requesting a transfer shall submit an application to the TDOT Permit Office, including documentation of the reason for the request. Good cause for a transfer may include the mechanical failure or sale of the permitted motor vehicle or any similar cause. Ordinarily, a permit transfer will not be allowed more than one time within the duration of the permit.

(8) Each category of size (height, width, or length) or weight in which the vehicle and load exceeds the size and weight limits established by law and set forth in Rule 1680-07-01-.01 shall be included in the permit and shall be subject to the applicable fee for each category.

(9) The permit shall be issued in the name of the motor carrier used to transport the load.

(10) The permittee is responsible for the accuracy of all information contained within the permit.

(11) The permit may be rendered invalid, and the permit holder may be subject to citation for violation of the law, if the permit is found to contain false information.

(12) After issuance, a permit may be amended one time only within one (1) business day after it has been issued, but not after the starting date of the permit, to correct information regarding load dimensions, weight, axle spacing or axle weight, trip origin or destination, or routing of movement. There will be no additional permit fee for an amendment; provided, however, that if any change in the permit requires an additional analysis of bridges or other structures, the applicable bridge/structure evaluation fee shall be charged in accordance with Rule 1680-07- 01-.24(4).

(13) An original permit, or an authentic copy of the permit with a scannable bar code, shall be in the possession of the driver of the permitted vehicle at all times during the authorized move.

An electronic permit is acceptable so long as the bar code is scannable. The permit shall be presented to TDOT, the Tennessee Department of Safety and Homeland Security, or other law enforcement whenever requested.

(14) Permits may be subject to route restrictions based on conditions of the roadway or bridges and the weight or dimensions of the load. Restricted routes of travel shall be strictly followed.

(15) Permits may be subject to restrictions on time of movement during inclement weather or weather-related emergencies when conditions prevail that could make movement unsafe.

(16) No permit fees will be refunded after issuance of the permit, and no refunds or credits will be granted for unused or expired permits.

(17) Every special permit will be issued on the condition that the permittee accepts and uses it at the permittee’s own risk, even though all instructions, directions, and requirements of the Department have been followed.

(18) All permit holders requiring travel off of the state highway system are responsible for coordination with the local government having jurisdiction of such other roads.

History

• Authority: T.C.A. § 55-7-205, 23 U.S.C. § 127, and 23 C.F.R. Part 658.
• Administrative History: Original rule certified June 10, 1974. Amendment filed September 23, 1976; effective October 24, 1976. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.03 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.04 TIME AND DATE RESTRICTIONS

Unless otherwise specifically provided in these rules, a special permit issued for the movement of an overweight or overdimensional motor vehicle and load shall allow for continuous movement twenty-four (24) hours per day, and seven (7) days per week, except as follows:

(1) The permit shall not allow movement of vehicles exceeding twelve feet six inches (12’6”) in width, fifteen feet (15’) in height, or ninety feet (90’) in length on the interstate highway system between the hours of 7:00 a.m. to 9:00 a.m. and between the hours of 4:00 p.m. and 6:00 p.m. from Monday through Friday in counties having a population exceeding 250,000 according to the 2010 federal census or any subsequent federal census.

(2) The permit may be subject to restrictions on movements during periods of heavy traffic volume associated with certain holidays, as follows:

(a) Easter: After 6:00 p.m. on the Thursday preceding Good Friday through and including Easter Sunday;

(b) Memorial Day: After 12:00 p.m. (noon) on the preceding Friday through Memorial Day;

(c) Independence Day: July 3 and July 4; provided, that if July 4 is a Friday, Saturday, Monday, or Tuesday, the weekend day or days immediately following or preceding July 4, as applicable, may also be restricted;

(d) Labor Day: After 12:00 p.m. (noon) on the preceding Friday through Labor Day;

(e) Thanksgiving: After 12:00 p.m. (noon) on the Wednesday before Thanksgiving through Sunday following Thanksgiving; and (f) Christmas/New Year’s Day: December 24 through January 1; provided, that if December 24 is a Sunday or Monday, the weekend day or days immediately preceding December 24 may also be restricted; provided further, that if January 1 is a Friday or Saturday, the weekend day or days immediately following January 1 may also be restricted.

(3) The permit may be subject to route restrictions based on conditions of the roadway or bridges and the weight or dimensions of the load.

(4) The permit may be subject to restrictions on time of movement during inclement weather or weather-related emergencies when conditions prevail that could make movement unsafe.

(5) For super heavy or extra-overdimensional loads exceeding one hundred sixty-five thousand pounds (165,000 lbs.), sixteen feet (16’) in width, or fifteen feet six inches (15’6”) in height, the time of movement may be restricted based on conditions of the road, traffic volumes, or other conditions affecting public safety and convenience as the Department may determine.

(6) The time and date restrictions described in this Rule above do not apply to towing vehicles engaged in emergency towing movements in accordance with Rule 1680-07-01-.19. Separate time and date restrictions apply when special permits are issued for the following categories of overweight or overdimensional movements:

(a) Mobile homes as defined in T.C.A. § 55-4-402 (see Rule 1680-07-01-.15);

(b) Site-built houses (see Rule 1680-07-01-.14); and (c) Houseboats (see Rule 1680-07-01-.16).

History

• Authority: T.C.A. § 55- 7-205.
• Administrative History: Original rule certified June 10, 1974. Amendment filed May 1, 1975; effective May 31, 1975. Amendment filed January 6, 1976; effective February 5, 1976. Amendment filed September 23, 1976; effective October 24, 1976. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.04 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.05 DURATION OF SPECIAL PERMITS

(1) Special permits for single trip movements of overweight or overdimensional loads shall be valid for a period of ten (10) calendar days, except as otherwise specifically provided in these rules. There shall be no time extensions for a single trip permit.

(2) Annual special permits may be obtained as set forth in T.C.A. §§ 55-7-205(b) and (h), and as further provided in Rule 1680-07-01-.24.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.05 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.06 CONDITIONS FOR PERMITTING OVERWIDTH MOVEMENTS

(1) Movements over eight feet six inches (8’6”) wide but not exceeding ten feet (10’) wide: No escorts, special signs, lights and/or markings will be required.

(2) Movements over ten feet (10’) wide but not exceeding twelve feet six inches (12’6”) wide:

(a) No escort will be required to accompany the movement on the interstate highway system, on highways with four or more lanes, or on two-lane highways with a minimum pavement width (excluding paved shoulders) of twenty-four feet (24’).

(b) One (1) escort vehicle is required to precede the movement where the minimum pavement width (excluding paved shoulders) is less than twenty-four feet (24’).

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be signed and marked as hereinafter set out in Rule 1680-07-01- .21.

(f) The time of movement may be restricted in accordance with Rule 1680-07-01-.04.

(3) Movements over twelve feet six inches (12’6”) wide but not exceeding thirteen feet six inches (13’6”) wide:

(a) One (1) escort vehicle is required to follow the movement on the interstate highway system or highways with four or more lanes.

(b) One (1) escort vehicle is required to precede the movement on two-lane highways.

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be signed and marked as hereinafter set out in Rule 1680-07-01- .21.

(f) The time of movement may be restricted in accordance with Rule 1680-07-01-.04.

(4) Movements over thirteen feet six inches (13’6”) wide but not exceeding sixteen feet (16’) wide:

(a) Front and rear escort vehicles are required on all highways.

(b) The towing vehicle and escort vehicles shall be so equipped as to be in radio communication at all times during the movement.

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(f) The time of movement may be restricted in accordance with Rule 1680-07-01-.04.

(5) Movements over sixteen feet (16’) wide:

(a) Movements in excess of sixteen feet (16’) may be permitted, as provided in Rule 1680- 07-01-.12, if the movement is not detrimental or unsafe to the traveling public and the highway can accommodate the movement. A route survey shall be required prior to the issuance of a permit.

(b) If movements over sixteen feet (16’) wide are permitted, the following conditions shall apply:

1. Front and rear escort vehicles are required on all highways.

2. The towing vehicle and escort vehicles shall be so equipped as to be in radio communication at all times during the movement.

3. A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

4. The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

5. Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

6. The time of movement may be restricted in accordance with Rule 1680-07-01- .04.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2.1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02- 02-.06 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.07 ADDITIONAL REQUIREMENT FOR EQUIPMENT WITH BLADES

(1) In the interest of safety, equipment such as, but not limited to, bulldozers with blades or other protruding sharp objects of any kind which create a width exceeding ten feet six inches (10’6”) but not exceeding thirteen feet six inches (13’6”), will be loaded in such a manner to place the blade or protruding sharp object to the rear of the hauling equipment. All other regulations for overwidth movements established in Rule 1680-07-01-.06 shall apply.

(2) No permit will be issued for blades or protruding sharp objects creating a width in excess of thirteen feet six inches (13’6”).

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed February 25, 2000; effective June 28, 2000. Amendment filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02-02-.07 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.08 VEHICLES USED EXCLUSIVELY TO TRANSPORT SEED COTTON MODULES

(1) In accordance with T.C.A. § 55-7-115, a single motor vehicle used exclusively to transport seed cotton modules is authorized to operate on the state highway system without obtaining a special permit under this chapter, except as provided in subparagraph (e) below, subject to the following limitations:

(a) The width of the vehicle shall not exceed nine feet (9’);

(b) The length of the vehicle shall not exceed a length of fifty-three feet (53’);

(c) The overall gross weight of the vehicle shall not exceed 59,400 pounds, and the axle weights shall be limited as follows:

1. The load on any one (1) axle shall not exceed 20,000 pounds; and 2. The tandem axle load shall not exceed 38,000 pounds without van-type cover, or 39,400 pounds with van-type cover;

(d) No such vehicle is authorized to operate on the interstate highway system if it exceeds the weight limitations established in 23 U.S.C. § 127, including the axle weight limitations of 20,000 pounds per single axle and 34,000 pounds per tandem axle; and (e) Except by special permit as authorized in Paragraph (2) below, no such vehicle is authorized to operate on the National Network of highways, including all interstate highways and the additional Federal-aid highways set forth in 23 C.F.R. Part 658,

Appendix A, if the maximum width of the vehicle exceeds eight feet six inches (8’6”).

(2) The Department may grant a special permit to allow a single motor vehicle used exclusively to transport seed cotton modules to travel on the National Network, subject to the following:

(a) The special permit may authorize the width of the vehicle to exceed eight feet six inches (8’6”), if:

1. The width of the vehicle does not exceed nine feet (9’);

2. The length of the vehicle does not exceed fifty-three feet (53’); and 3. The weight of the vehicle does not exceed the weight limitations set forth in § 55- 7-203(b)(3), including 20,000 pounds per single axle and 34,000 pounds per tandem axle, if operated on the interstate highway system.

(b) The duration of the special permit shall be for one (1) year at a cost of one hundred dollars ($100).

(c) Solely during the harvest season for cotton, the movement of any vehicle operating under a special annual permit shall be unrestricted with respect to day of the week, time or holiday observation, but at other times, the movement of the vehicle may be subject to the time and date restrictions in accordance with Rule 1680-07-01-.04.

History

• Authority: T.C.A. §§ 55-7-115 and 55-7-205, 23 U.S.C. § 127, and 23 C.F.R. Part 658.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendments filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02-02-.08 filed and effective February 1, 2003. Repeal and new rule filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.09 CONDITIONS FOR PERMITTING OVERWEIGHT MOVEMENTS

(1) In general, the maximum allowable axle weights by special permit are as follows:

(a) Single Axle: 20,000 pounds;

(b) Tandem Axle: 40,000 pounds; and (c) In no case shall a single axle in a tandem group exceed 20,000 pounds.

(2) However, a special permit for the movement of a non-divisible load may be issued for axle weights exceeding the maximum axle weights established in Paragraph (1), subject to the following conditions:

(a) The maximum width of the vehicle, including the truck and semi-trailer or trailer combination, shall not exceed ten feet (10’); provided, however, the load may exceed ten feet (10’) if properly permitted;

(b) No single axle shall carry a load in excess of 23,000 pounds;

(c) No tandem axle group shall carry a load in excess of 46,000 pounds; and (d) No axle group of three (3) axles (tridem) shall carry a load in excess of 60,000 pounds.

(3) Any movements with a gross weight exceeding 165,000 pounds may only be permitted, as provided in Rule 1680-07-01-.12 or Rule 1680-07-01-.19, if the movement is not detrimental or unsafe to the traveling public and the highway can accommodate the movement. In addition, such movements must be approved by the TDOT Structures Division before a special permit may be issued. Some movements with a gross weight of less than 165,000 pounds may also be subject to the prior approval of the TDOT Structures Division based on the axle spacing of the vehicle carrying the load.

History

• Authority: T.C.A. §§ 55-7-203 and 55-7-205.
• Administrative History: Original rule certified June 10, 1974. Repeal and new rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.09 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.10 CONDITIONS FOR PERMITTING OVERHEIGHT MOVEMENTS

(1) Height in excess of thirteen feet six inches (13’6”) but not exceeding fifteen feet six inches (15’6”):

(a) A special permit shall be required for all movements where the height of the motor vehicle and load exceeds thirteen feet six inches (13’6”).

(b) Special routing may be required as a condition of the special permit.

(c) If the height of the movement is fifteen feet (15’) or more the applicant shall provide a survey of the proposed route identifying the vertical clearance at each overpass located along the route. The application for the special permit will not be processed without this route survey.

(d) When the permitted vehicle and load exceeds fifteen feet (15’) in height, the permittee shall determine all vertical clearances by use of a front escort vehicle having protrusions equal to, at a minimum, the height of the permitted vehicle and load. The escort vehicle shall be capable of immediately communicating with the permitted vehicle at all times and shall do so whenever any actual vertical clearance is less than the height of the permitted vehicle and load. The permitted vehicle shall follow the escort vehicle at such a distance and at such a speed as will permit stopping on receipt of advice that any vertical clearance is less than the height of the permitted vehicle and load.

(2) Height in excess of fifteen feet six inches (15’6”):

(a) Movements in excess of fifteen feet six inches (15’6”) may be permitted, as provided in

Rule 1680-07-01-.12, if the movement is not detrimental or unsafe to the traveling public and the highway can accommodate the move.

(b) When such movements are authorized, the following conditions will apply:

1. Special routing shall be required. The applicant shall provide a survey of the proposed route identifying the vertical clearance at each overpass located along the route. The application for the special permit will not be processed without this route survey.

2. Front and rear of movement shall be signed and marked as set forth in Rule

Tenn. Comp. R. & Regs. 1680-07-01-.11 CONDITIONS FOR PERMITTING OVERLENGTH MOVEMENTS

(1) Length exceeding the limits established by law and set forth in Rule 1680-07-01-.01, but not exceeding ninety feet (90’):

(a) No escort vehicle will be required.

(b) For lengths over seventy-five feet (75’), the front and rear movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20. The rear sign shall be fitted with either a rotating amber light or a strobe type amber light which is visible from at least 500 feet and has a horizontal placement which shall be visible from all directions, three hundred sixty degrees (360°).

(2) Length over ninety feet (90’), but not exceeding one hundred twenty feet (120’):

(a) One (1) escort vehicle shall immediately follow the movement.

(b) Front and rear of movement shall be signed and marked as hereinafter set out in Rule

Tenn. Comp. R. & Regs. 1680-07-01-.12 ADDITIONAL REQUIREMENTS FOR SUPER HEAVY AND/OR EXTRA-

OVERDIMENSIONAL MOVEMENTS.

(1) Movement of super heavy and/or extra-overdimensional loads may be permitted provided the highway can accommodate the move and the move is not considered to be detrimental or unsafe for the other traveling public. For the purposes of this rule, “super heavy” means that the total gross weight of the vehicle and load exceeds 165,000 pounds, and “extraoverdimensional” means that the width of the vehicle and load exceeds sixteen feet (16’) or the height of the vehicle and load exceeds fifteen feet six inches (15’6”).

(a) Application must be submitted to the TDOT Permits Office and must contain, in addition to the information stated above in Rule 1680-07-01-.02, the following:

1. Complete and detailed proposal of movement, including a route survey;

2. Detailed sketch of vehicle and load;

3. Tire sizes and contact pressures;

4. Distance between axles;

5. Load distribution to axles;

6. Overall length, width and height of movement;

7. Detailed traffic control proposal; and 8. Any other information required.

(2) Application should be submitted with sufficient advance notice, in accordance with Rule 1680- 07-01-.02, paragraph (3), so that the TDOT Structures Division may conduct required engineering examinations.

(3) Special permits for super heavy and/or extra-overdimensional movements shall be issued or withheld at the sole discretion of the Department based on engineering judgment of the necessity for, importance of, and safety of movement; alternative methods of transportation; and possible damage to roadway and appurtenances.

(4) The TDOT Permit Office may require, as a condition for issuing a special permit, that the movement of a super heavy and/or extra-overdimensional load shall be accompanied by a law enforcement escort, as follows:

(a) In general, the TDOT Permit Office will evaluate the need for a law enforcement escort based on the width and height of the load, the complexity of the load or movement, the speed of the movement, and the conditions of the route to be traveled.

(b) This law enforcement escort shall be in addition to any other escort vehicles required under this chapter.

(c) The permit shall require the permittee to reimburse TDOT for the actual cost of providing the law enforcement escort.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02-02-.12 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.13 CONDITIONS FOR MOVEMENT OF FIXED LOAD VEHICLES

(1) For the purposes of this rule, “fixed load vehicle” means any vehicle not designed or used to carry, convey or move any freight, property, article or thing over the highways, except the weight of any equipment, appliance or apparatus constructed as a part of, or permanently attached to, the body of the vehicle itself. “Fixed load vehicle” includes, e.g., well-drilling apparatus, cranes, and portable feed mills, as well as other vehicles meeting the general definition in this subparagraph, but it does not include vehicles designed to deliver ready mixed concrete or tow trucks (see Rule 1680-07-01-.19).

(2) Special permits may be issued for the operation of fixed load vehicles on the state highway system, including that portion designated as the interstate system, provided that in addition to all other applicable provisions of these rules, the following conditions are met:

(a) The weight of the fixed load vehicle must travel on pneumatic or solid tires, as defined in T.C.A. § 55-1-110. No tracked vehicle shall be allowed to operate on the highway.

(b) Generally, no single load bearing axle, or single axle in a tandem group, shall exceed 24,000 pounds; provided, however, that an axle weight in excess of 24,000 pounds may be permitted if approved by the TDOT Structures Division after conducting a bridge analysis. Any applicant requesting to load more than 24,000 pounds on any single axle, or single axle in a tandem group, shall submit the design schematics of the vehicle to the TDOT Structures Division for review.

(c) In any event, no single axle, or single axle in a tandem group, shall exceed 30,000 pounds.

(d) The maximum gross weight of the vehicle shall not exceed 150,000 pounds.

(e) Routing shall not include any bridge with a posted gross vehicle weight restriction, or axle weight restriction, that is less than the gross vehicle weight, or axle weights, of the permitted vehicle.

(f) The permit may require that the vehicle shall not exceed crawl speed when crossing any bridge.

(g) The permit may require that no other traffic shall be permitted on the bridge while it is being crossed by the fixed load vehicle.

(h) The permit may require that the permittee shall provide necessary flagging.

(i) Each category of size (height, width, or length) or weight in which the vehicle exceeds the size and weight limits established by law and set forth in Rule 1680-07-01-.01 shall be included in the permit and shall be subject to the applicable fee for each category.

(j) The permit may require the front and rear of the movement to be signed and marked as set forth in Rule 1680-07-01-.20.

History

• Authority: T.C.A. §§ 55-1-117, 55-7-201, and 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Rule has been assigned a new control number from 1680-02-02-.13 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.14 CONDITIONS FOR PERMITTING MOVEMENT OF SITE-BUILT HOUSES

Notwithstanding any other provision in this chapter to the contrary, special permits may be issued for the movement of site-built houses or buildings subject to the following specific considerations and restrictions:

(1) The application for the special permit shall be submitted to the TDOT Permit Office at least fourteen (14) business days before the starting date of the permit; provided, however, the TDOT Permit Office may waive this deadline for good cause; and provided further, the TDOT Permit Office reserves the right, upon giving notice to the applicant, to take such additional time as may be needed to review an application for a special permit.

(2) The application shall identify the dimensions (width, length, and height) of the building as it is proposed to be moved. In addition, if any bridges are to be crossed during the movement, the application shall identify the weight and schematics of the building to be submitted to the TDOT Structures Office for the completion of a bridge analysis. The TDOT Permit Office may require verification of the weight prior to issuance of the permit.

(3) Each category of size (height, width, or length) or weight in which the vehicle and load exceeds the size and weight limits established by law and set forth in Rule 1680-07-01-.01 shall be included in the permit and shall be subject to the applicable fee for each category.

The movement shall comply with all other rules applicable to the movement of overweight, over-width, over-length, and over-height movements.

(4) The following considerations apply to the routes upon which a site-built house or building may be permitted to move:

(a) Generally, the movement of site-built houses or buildings along or across state highways will be restricted to low traffic volume routes that have sufficient vertical and horizontal clearances.

(b) Movements along or across high traffic volume routes may be considered on a case-bycase basis. These include major arterial routes.

(c) Movements on or across interstate highways or other multi-lane fully access-controlled highways shall not be approved.

(5) The size of a building that may be permitted to move is contingent upon the physical limitations of the highway upon which the building is to be moved and the effect of the move upon the flow of traffic. Generally, porches or protruding sections must be removed to reduce the dimensions of the building to acceptable proportions. Loose boards, bricks, or the like, must be removed for safety reasons.

(6) The applicant shall provide the TDOT Permit Office with a route survey of the proposed route of travel. The route survey shall identify any needed tree trimming and any proposed temporary removal and replacement of signs, signals, or guardrails based on the dimensions of the building. The performance of any such work shall require the prior written permission of the TDOT District Office where the movement is to occur.

(7) The permittee shall be responsible for the removal or adjustment of overhead wires and cables, and the permittee shall make all necessary arrangements with the owner of the overhead facilities.

(8) If it is anticipated that the movement of the building will be delayed by any utility line adjustments or tree trimming, the permit shall require this work to be performed prior to beginning the move. The permittee must verify with the applicable TDOT District Office that all required work has been completed prior to the movement.

(9) Any traffic signals or signs that are authorized to be removed for vertical or lateral clearance shall be removed immediately prior to and replaced immediately after the building passes the sign or signal installation.

(10) When a detour for other traffic is necessary, the permittee shall ascertain that an approved detour has been established, that detour signs and barricades are erected and removed, when required, and that all signs and barricades conform to standards contained in the current Tennessee Manual on Uniform Traffic Control Devices for Streets and Highways. In planning a detour route, consideration shall be given to the handling of emergency service vehicles.

(11) The permittee shall present a barricade plan for all affected streets. This plan must be approved before the movement starts. The permittee is also responsible for ensuring that movement of emergency vehicles can be accommodated at all times.

(12) Movement shall be authorized only when the shoulders are dry and firm, frozen, or have sufficient bearing capacity to support loads imposed by the weight of the site-built house or building passing traffic.

(13) All proposed site-built house movements over state highways shall be inspected by a representative of the Department within that region. The permit may be issued only after the representative of the Department is satisfied that such a move can be safely made over the proposed route.

(14) Movements shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(15) Two (2) escort vehicles (one in front and one in rear) shall be required. Such vehicles shall be signed and marked as hereinafter set out in Rule 1680-07-01-.21.

(16) Special Permits shall be valid for ten (10) days.

(17) All site-built houses shall be loaded and moved on trailers with steel beams on rubber (or other resilient material) dollies.

(18) At the discretion of the TDOT Permit Office, a police escort may be required to accompany the movement.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed August 29, 1996; effective December 27, 1996. Amendments filed January 25, 2001; effective May 31, 2001. Amendement filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-02-02-.14 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.15 CONDITIONS FOR PERMITTING MOVEMENT OF MOBILE HOMES,

MANUFACTURED HOMES, PORTABLE MODULAR UNITS OR HOUSE TRAILERS.

(1) Application and Scope of Rule.

(a) Notwithstanding any other provision of this Chapter to the contrary, no mobile home, manufactured home, portable modular unit or house trailer as herein defined shall be moved into or through the State of Tennessee or upon the public roads or highways of this State unless and until the owner, operator or transporter thereof has obtained a permit as required under T.C.A., Title 55, Chapter 4, Part 4, and in accordance with the provisions of this Rule.

(b) A mobile home, manufactured home, portable modular unit or house trailer (hereinafter referred to collectively as a “mobile home”) within the scope of this Rule shall include:

1. Any self-propelled or non-self-propelled vehicle, with a length exceeding thirty-five feet (35’), so designed, constructed, reconstructed or added to by means of accessories in such manner as will permit the use thereof for human habitation, and so constructed to permit its being used as a conveyance upon public streets or highways; or 2. Manufactured houses or portable modular units in excess of eight feet six inches (8’6”) in width or when towing vehicle and manufactured home are in excess of sixty feet (60’) in length.

(c) The other provisions of this Chapter shall apply to the movement of a mobile home; provided, however, that in the event of any conflict between the specific provisions of this Rule and any other provisions of this Chapter, the specific provisions of this Rule shall govern.

(2) General Permit Requirements.

(a) Any permit required under this Rule shall be issued only in the name of the owner of the mobile home or in the name of the owner of the motor carrier used to transport the mobile home.

(b) The permit shall be displayed in the vehicle used to transport the mobile home so as to be visible from outside the vehicle, and it shall be produced for inspection upon request by a representative of any law enforcement agency.

(c) A permit shall be required for each category of size (height, width, length and/or weight) in which the mobile home exceeds the normal size limits as provided in Paragraphs (5) through (8) of this Rule.

(3) Duration and Renewal of Permits.

(a) Short-term permits shall be valid for a period of six (6) days from the date of issuance, unless suspended in accordance with this Rule. The date of issuance and the expiration date shall be indicated on the permit.

(b) Annual permits, where allowed, shall be valid for a period of three hundred and sixtyfive (365) days from the date of issuance, unless suspended in accordance with this

Rule. The date of issuance and the expiration date shall be indicated on the permit.

(c) Upon a sufficient showing that an otherwise valid permit has been lost or destroyed prior to its expiration date, the Department of Transportation shall issue a renewal permit in place of the original permit. The renewal permit shall be valid from the date of its issuance up to the expiration date of the original permit, unless suspended in accordance with this Rule. If a lost permit is subsequently found, it shall be deemed void and ineffective when a renewal permit has been issued in accordance with this subparagraph.

(d) It shall be unlawful, and a violation of the terms of a permit issued under this Rule, to display an expired, invalid or suspended permit or to display more than one permit bearing the same permit number.

(4) Display of Placard.

(a) The Department of Transportation shall issue to all annual permit holders a placard bearing the same annual permit number and a telephone number to be used to report unsafe or erratic driving to the Department. There shall be only one placard issued for each annual permit.

(b) The transporter of any mobile home being moved under an annual permit shall prominently display the applicable placard on the rear of the mobile home. The annual permit number displayed on the placard must match the permit number on the annual permit displayed in the transporting vehicle as provided in Subparagraph (2)(b) of this

Rule; provided, however, that if an annual permit has been replaced by a renewal permit, as provided in Subparagraph (3)(c) of this Rule, the placard may continue to bear the original annual permit number.

(c) Upon a sufficient showing that an otherwise valid placard has been lost or destroyed, and upon the receipt of a fifty dollar ($50.00) replacement fee, the Department of Transportation shall issue a replacement placard bearing the same annual permit number as the original placard it replaces. If a lost placard is subsequently found, it shall be deemed void and ineffective when a replacement placard has been issued in accordance with this subparagraph. There shall be no reimbursement of the replacement fee.

(d) Upon the expiration of an annual permit, the placard bearing that annual permit number shall also expire.

(e) It shall be unlawful, and a violation of the terms of a permit issued under this Rule, to display an expired, invalid or suspended placard or to display more than one placard bearing the same annual permit number.

(f) Failure to properly display a placard as required in T.C.A. § 54-4-411, and in accordance with the provisions of this Paragraph, is a Class C misdemeanor punishable by a fine of fifty dollars ($50.00).

(5) Special Permit Requirements for Overlength Movements.

(a) A special permit shall be required for the movement of any mobile home exceeding sixty feet (60’) in length, including the towing vehicle; provided, however, that if the mobile home is being transported under a valid annual overwidth permit, as provided in Paragraph (6) of this Rule, an additional special overlength permit shall only be required if the mobile home exceeds ninety feet (90’) in length, including the towing vehicle.

(b) A special overlength permit authorized under this Paragraph shall be issued only on a single trip basis under a short-term permit valid for a period not to exceed six (6) days.

(c) The fee for each special overlength permit issued under this Paragraph shall be twentyfive dollars ($25.00).

(d) A special overlength permit issued under this Paragraph shall be subject to such additional conditions as are prescribed in applicable provisions of Rule 1680-07-01-.11 governing overlength movements in general.

(6) Special Permit Requirements for Overwidth Movements.

(a) A special permit shall be required for the movement of any mobile home exceeding eight feet six inches (8’6”) in width.

(b) The movement of mobile homes exceeding 16 feet (16’) in width shall not be permitted.

(c) Special overwidth permits authorized under this Paragraph may be issued on either a short-term basis for a period not to exceed six (6) days from the date of issuance or on an annual basis for a period not to exceed three hundred and sixty-five (365) days from the date of issuance.

(d) The fee schedule for each overwidth permit issued under this Paragraph shall be as follows:

1. For mobile home widths from eight feet six inches (8’6”) wide up to fourteen feet (14’) wide:

(i) Short-term (6-day) permits: $50.00 (ii) Annual (365-day) permits: $1,000.00 2. For mobile home widths from eight feet six inches (8’6”) wide up to sixteen feet (16’) feet wide:

(i) Short-term (6-day) permits: $100.00 (ii) Annual (365-day) permits: $2,000.00 (e) A special overwidth permit issued under this Paragraph shall be subject to such additional conditions as are prescribed in applicable provisions of Rule 1680-07-01-.06 governing overwidth movements in general.

(7) Special Permit Requirements for Overheight Movements.

(a) A special permit shall be required for the movement of any mobile home exceeding fourteen feet two inches (14’2”) in height.

(b) The movement of mobile homes exceeding 15 feet six inches (15’6”) in height shall not be permitted.

(c) A special overheight permit authorized under this Paragraph shall be issued only on a short-term basis for a period not to exceed six (6) days, and it shall be subject to special routing instructions approved by the Department of Transportation.

(d) Each permit authorized under this Paragraph shall also be subject to such additional conditions as are prescribed in applicable provisions of Rule 1680-07-01-.10 governing overheight movements in general.

(e) The fee for each overheight permit issued under this Paragraph shall be fifty dollars ($50.00).

(f) The Department of Transportation shall make available, both in printed form and on the Department’s official web site at www.tn.gov/tdot , a list of overpasses on public roads within the State of Tennessee that have been identified as having a minimum vertical clearance above the roadway of less than fourteen feet six inches (14’6”).

1. This list shall be updated at least monthly on the Department’s web site and at least annually in printed form. The Department shall charge a fee for the printed list sufficient to offset the administrative cost of compiling, updating, printing and shipping the list.

2. The Department of Transportation makes no representations, and expressly disclaims any warranty, that the information it provides in any list of overpasses on public roads is current or accurate. The information provided in these lists is generated from bridge inspections conducted on a biennial basis. Actual vertical clearances may be subject to change beyond the control or knowledge of the Department, and the posted vertical clearances may vary from the information provided in the Department’s list.

3. At all times, the affirmative duty to determine that the route traveled will allow the safe passage of the mobile home shall remain with the transporter and/or seller of the mobile home, as provided in Paragraph (11) below, and nothing in this Paragraph or this Rule shall be construed as shifting this duty to the Department of Transportation.

(8) Special Permit Requirements for Overweight Movements.

The movement of mobile homes shall be subject to other provisions of this Chapter pertaining to excess weight, including without limitation Rule 1680-07-01-.09.

(9) Timing of Movements.

(a) The movement of mobile homes subject to this Rule shall be permitted only from sunrise to sunset, Monday through Saturday; provided, however, that movements of mobile homes shall not be permitted on legal holidays as enumerated in T.C.A. § 15-1- 101, including New Year’s Day, Martin Luther King, Jr. Day, Washington Day, Good Friday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans’ Day, Thanksgiving Day and Christmas Day.

(b) Notwithstanding the provisions of Subparagraph (9)(a) of this Rule, the movement of mobile homes eighty-five feet (85’) or greater in length, or fourteen feet (14’) or greater in width, or fourteen feet two inches (14’2”) or greater in height, is prohibited in heavily traveled urban areas between the hours of seven o’clock a.m. (7:00 a.m.) to nine o’clock a.m. (9:00 a.m.) and between the hours of four o’clock p.m. (4:00 p.m.) to six o’clock p.m. (6:00 p.m.).

(10) Safety Precautions and Equipment.

(a) The transporter of any mobile home subject to this Rule shall at all times comply with applicable statutes, rules and ordinances governing the operation of motor vehicles on public roads and/or the maintenance of appropriate safety equipment on motor vehicles.

(b) The transporter of a mobile home, and the seller of the mobile home if the seller is someone other than the transporter, shall have the affirmative duty to assure that the undercarriage for the mobile home is equipped with adequate brakes that are operated from the towing vehicle. This affirmative duty shall be primarily the transporter’s duty; the seller shall be secondarily liable.

(c) Any violation of the provisions of this Paragraph shall be deemed a violation of the terms of a permit, if any, issued under this Rule.

(11) Duty to Determine Safe Route for Movement.

(a) Notwithstanding any other provision of this Rule, the transporter of a mobile home, and the seller of the mobile home if the seller is someone other than the transporter, shall have the affirmative duty to determine that the route over which the mobile home is to be transported allows for the safe passage of the mobile home, taking into account the size, including especially the height and width, of the mobile home. This affirmative duty shall be primarily the transporter’s duty; the seller shall be secondarily liable.

(b) The affirmative duty to determine that the route will allow safe passage of the mobile home, based on its height and width, may be met by the use of a front escort vehicle having protrusions equal to the height and width of the mobile home. It shall not be sufficient to meet this duty by relying on highway signs or other information regarding highway clearances that may be provided by the Department of Transportation or any local government.

(c) At all times, the affirmative duty to determine that the route traveled will allow the safe passage of the mobile home shall remain with the transporter and/or seller of the mobile home, and nothing in this Rule shall be construed as shifting this duty to the Department of Transportation.

(12) Enforcement.

(a) Section 55-4-412 of the Tennessee Code provides that any person who transports a mobile home, manufactured home, portable modular unit or house trailer, as defined in T.C.A. § 55-4-402, over any public street, road or highway within the State of Tennessee in violation of the provisions of Title 55, Chapter 4, Part 4, of the Tennessee Code commits a Class B misdemeanor punishable as follows:

1. By a fine of two hundred fifty dollars ($250.00) for the first offense within a twelve (12) month period;

2. By a fine of five hundred dollars ($500.00) for the second offense within a twelve (12) month period; and 3. By a fine of one thousand dollars ($1,000.00) and a ninety (90) day revocation of any driver’s license for the third or any subsequent offense within a twelve (12) month period.

(b) Within thirty (30) days of conviction for a violation of the provisions of Title 55, Chapter 4, Part 4, as provided in T.C.A. § 55-4-412, the clerk of the court of conviction shall give notice of such conviction to the Department of Transportation.

(c) Upon receipt of notice of that a person has been convicted of a third violation within a twelve (12) month period, the Department of Transportation shall:

1. Suspend the subject permit involved in the third violation; and 2. Suspend the permit holder’s privilege to obtain other permits under this Rule.

2. These suspensions shall be effective for a period of ninety (90) days from the date on which the Department receives notice of the third violation; provided, however, that nothing in this subparagraph shall be construed as:

(i) Prohibiting multiple permit holders from using other valid permits not subject to suspension;

(ii) Prohibiting multiple permit holders from obtaining a short-term overheight or overlength permit, as provided in Paragraphs (5) and (7) of this Rule, to supplement an otherwise valid annual overwidth permit not subject to suspension; or (iii) Prohibiting multiple permit holders from renewing an otherwise valid permit not subject to suspension, as provided in Subparagraph (3)(c) of this Rule.

(13) Liability.

(a) The transporter of any mobile home subject to the provisions of this Rule shall be liable for any and all damages resulting from the mobile home striking a guardrail, bridge, concrete barrier, overhead structure or other obstruction while traveling on the public roads or highways of this State.

(b) If during transport a mobile home subject to the provisions of this Rule blocks traffic on a controlled-access facility, as defined in T.C.A. § 54-16-101, because such mobile home cannot proceed due to height, width or length, the transporter thereof shall be subject to the following:

1. The transporter shall pay to the Department of Transportation a road user fee in the amount of one thousand dollars ($1,000.00); and 2. The Department of Transportation shall suspend the subject permit involved in the incident and the permit holder’s privilege to obtain other permits under this

Rule for a period of ninety (90) days from the date the Department receives notice that the roadway was blocked; provided, however, that nothing in this part shall be construed as:

(i) Prohibiting multiple permit holders from using other valid permits not subject to suspension;

(ii) Prohibiting multiple permit holders from obtaining a short-term overheight or overlength permit, as provided in Paragraphs (5) and (7) of this Rule, to supplement an otherwise valid annual overwidth permit not subject to suspension; or (iii) Prohibiting multiple permit holders from renewing an otherwise valid permit not subject to suspension, as provided in Subparagraph (3)(c) of this Rule.

(c) If the same permit holder blocks traffic on a controlled-access facility a second time within eighteen (18) months after the date of the first such occurrence, the transporter shall be subject to the following:

1. The transporter shall pay to the Department of Transportation a road user fee in an amount calculated by the Department using the same formula it uses to calculate incentive payments on road construction projects; and 2. The Department of Transportation shall suspend the subject permit involved in the incident and the permit holder’s privilege to obtain other permits under this

Rule for a period of ninety (90) days, as provided in Part (b)2. of this Paragraph.

(d) If the transporter fails to pay any road user fee required under this Paragraph within thirty (30) days of the date the road is blocked, the transporter’s privilege to obtain permits under this Rule shall be suspended in all respects whatsoever until full payment is made. The Department is authorized to take legal action to collect the fee.

(e) Any person or entity transporting a mobile home subject to the provisions of this Rule shall secure and maintain public liability insurance in an amount not less than one million dollars ($1,000,000) per occurrence. Such insurance shall cover the tractor, mobile home and any other attachments thereto. Proof of such insurance shall be carried in the vehicle used to transport the mobile home, and satisfactory proof of such insurance shall be provided to the Department of Transportation prior to the issuance of any permit under this Rule.

(f) Notwithstanding any other provision of law to the contrary, the State of Tennessee and any political subdivision thereof shall be absolutely immune from liability for all damages resulting from a mobile home striking a guardrail, bridge, concrete barrier, overhead structure or other obstruction while traveling on the public roads or highways of the State.

History

• Authority: T.C.A. §§ 55-4-401 through 55-4-413 and 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Amendment filed December 7, 1983; effective January 6, 1984. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Amendment filed December 8, 1987; effective January 23, 1988. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed July 8, 1991; effective August 22, 1991. Amendment filed August 29, 1996; effective December 27, 1996. Amendment filed September 30, 2002; effective January 28, 2003. Rule has been assigned a new control number from 1680-02-02-.15 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.16 CONDITIONS FOR PERMITTING MOVEMENT OF HOUSEBOATS

Houseboats not exceeding eighteen feet (18’) in width may be transported on the highways, but any such boat in excess of eight feet (8’) shall be subject to the fees provided in T.C.A. § 55-7-205 and to the following requirements:

(1) Movements over eight feet (8’) wide but not exceeding ten feet (10’) wide: No escorts, special signs, lights and/or markings will be required.

(2) Movements over ten feet (10’) wide but not exceeding twelve feet six inches (12’6”) wide:

(a) No escort will be required to accompany the movement on the interstate highway system, four-lane highways or two-lane highways with a minimum pavement width (excluding paved shoulders) of twenty four feet (24’).

(b) One (1) escort vehicle is required to precede the movement where the minimum pavement width (excluding paved shoulders) is less than twenty-four feet (24’).

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be signed and marked as hereinafter set out in Rule 1680-07-01- .21.

(f) At the discretion of the issuing authority, time of movement may be restricted due to:

1. Route to be traveled, 2. Weather conditions, 3. Traffic density, or 4. Length of daylight hours.

(3) Movements over twelve feet six inches (12’6”) wide but not exceeding thirteen feet six inches (13’6”) wide:

(a) One (1) escort vehicle is required to follow the movement on the interstate highway system or four-lane highways.

(b) One (1) escort vehicle is required to precede the movement on two-lane highways.

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(f) The towing vehicle and escort vehicles shall be so equipped as to be in radio communication at all times during movement.

(g) At the discretion of the issuing authority, time of movement may be restricted due to:

1. Route to be traveled, 2. Weather conditions, 3. Traffic density, or 4. Length of daylight hours.

(4) Movements over thirteen feet six inches (13’6”) wide but not exceeding sixteen feet (16’) wide:

(a) Front and rear escort vehicles are required on all highways.

(b) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(c) The front and rear of the movement shall be signed and marked as hereinafter set forth in Rule 1680-07-01-.20.

(d) Escort vehicles shall be marked as hereinafter set forth in Rule 1680-07-01-.21.

(e) The towing vehicle must be at least fourteen feet six inches (14’6”) in length.

(f) The towing vehicles and escort vehicles shall be so equipped as to be in radio communication at all times during movement.

(g) Movements shall only be made Monday through Friday between the hours of 9:00 a.m. to 4:00 p.m. (local time), or on Saturday or Sunday from sunrise to sunset. No annual permits shall be issued.

(h) At the discretion of the issuing authority, time of movement may be further restricted due to:

1. Route to be traveled, 2. Weather conditions, 3. Traffic density, or 4. Length of daylight hours.

(5) Movements over sixteen feet (16’) wide but not exceeding seventeen feet (17’) wide:

(a) The applicant for the permit shall provide the TDOT Permit Office with a route survey of the proposed route of travel.

(b) Front and rear escort vehicles are required on all highways.

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(f) The towing vehicle must be at least fourteen feet six inches (14’6”) in length.

(g) The towing vehicle and escort vehicles shall be so equipped as to be in radio communication at all times during movement.

(h) Special permits may be issued for movements Tuesday, Wednesday, and Thursday between the hours of 9:00 a.m. to 4:00 p.m. (local time), and shall only be valid for three (3) of any said week days. No annual permits shall be issued.

(i) At the discretion of the issuing authority, time of movement may be further restricted due to:

1. Route to be traveled, 2. Weather conditions, 3. Traffic density, or 4. Length of daylight hours.

(6) Movements over seventeen feet (17’) wide but not exceeding eighteen feet (18’) wide:

(a) The applicant for the permit shall provide the TDOT Permit Office with a route survey of the proposed route of travel.

(b) Three (3) escort vehicles are required on all highways. Two (2) escort vehicles are required to precede the movement. One (1) escort vehicle is required to follow the movement.

(c) A flagperson will be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(f) The towing vehicle must be at least fourteen feet six inches (14’6”) in length.

(g) The towing vehicle and escort vehicles shall be so equipped as to be in radio communication at all times during movement.

(h) Special permits may be issued for movements Tuesday, Wednesday, and Thursday between the hours of 9:00 a.m. to 4:00 p.m. (local time), and shall only be valid for three (3) of the said week days. No annual permits shall be issued.

(i) At the discretion of the issuing authority, time of movement may be further restricted due to:

1. Route to be traveled, 2. Weather conditions, 3. Traffic density, or 4. Length of daylight hours.

History

• Authority: T.C.A. §§ 55-7-202 and 55-7-205.
• Administrative History: Original rule filed June 19, 1991; effective August 3, 1991. Amendment filed August 29, 1996; effective December 27, 1996. Amendment filed February 25, 2000; effective June 28, 2000. Amendment filed January 25, 2001; effective May 31, 2001. Rule has been assigned a new control number from 1680-02-02-.16 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.17 CONDITIONS FOR PERMITTING MOVEMENT OF SEALED CONTAINERIZED

(OCEAN GOING) CARGO UNITS.

(1) Sealed containerized cargo units will be considered as nondivisible loads and overweight trip permits will be issued to operate vehicles hauling such units on the state highway systems, including the interstate highway system, subject to the following restrictions:

(a) Such containerized cargo units must be part of international trade and be moved on the highways due to importation from, or exportation to, another country.

(b) A copy of the international bill of lading signed by a customs official, or an international bill of lading with an equipment interchange and inspection report must be submitted to the TDOT Permit Office before a permit will be issued.

(c) The operators of such units shall at all times have in their possession a copy of the documents as described in (b) above.

(d) All vehicles operating under a sealed containerized cargo unit permit shall have a minimum of five (5) full-time load bearing axles and shall not exceed twenty thousand (20,000) lbs. per axle, or total gross vehicle weight of one hundred thousand (100,000) lbs.

(e) All vehicles operating under a sealed containerized cargo unit permit must be legal width, length, and height.

(f) All vehicles permitted for movement of overweight sealed containerized units are authorized twenty-four (24) hours continuous movement Monday through Sunday with normal travel conditions.

(g) All permits for a single trip will be issued for a duration of ten (10) days, and will only be valid for one (1) move.

(2) Annual Permits will be available for the movement of sealed containerized cargo units from the Department subject to the same restrictions and conditions as provided in Paragraphs (1)(a)-(c) upon payment of the annual permit fee required under Rule 1680-07-01-.24(5)

Annual permits will not be restricted to a specified route.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed December 29, 1995; effective April 29, 1996. Amendment filed May 22, 1997; effective September 28, 1997. Rule has been assigned a new control number from 1680-02-02-.17 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.18 CONDITIONS FOR PERMITTING MOVEMENT OF ROOF TRUSSES

(1) For movements not exceeding ten feet (10’) wide, no escort vehicle, special signs, lights, or markings shall be required.

(2) Movements over ten feet (10’) wide, but not exceeding twelve feet (12’) wide:

(a) No escort vehicle shall be required to accompany the movement on the Interstate highway system, four (4) lane highways, or two (2) lane highways with a minimum pavement (roadway surface) width of twenty-four feet (24’).

(b) One (1) escort vehicle shall be required to precede the movement where the minimum pavement (roadway surface) width is less than twenty-four feet (24’).

(c) A flagperson shall be required at all bridge structures where the roadway width is less than twenty feet (20’).

(d) The front and rear of the movement shall be signed and marked as hereinafter set out in Rule 1680-07-01-.20.

(e) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(3) Movements over twelve feet (12’) wide, but not exceeding fourteen feet (14’) wide:

(a) Front and rear escort vehicles shall be required on all two (2) lane highways. Front escort vehicles shall not be required on Interstate highways or four (4) lane highways.

Front and rear escort vehicles shall be required on Interstate highways where two (2) lanes are traveled.

(b) Towing vehicles and escort vehicles shall be so equipped as to be in radio communication at all times during movement.

(c) The front and rear of the movement shall be appropriately signed and marked. The front and rear of the movement shall be signed and marked as hereinafter set out in

Rule 1680-07-01-.20.

(d) Escort vehicles shall be marked as hereinafter set out in Rule 1680-07-01-.21.

(e) Towing vehicles for fourteen feet (14’) wide movements shall be at least fourteen feet six inches (14’6”) in length.

History

• Authority: T.C.A. §§ 55-7-205 and 55-7-209.
• Administrative History: Original rule filed December 29, 1995; effective April 29, 1996. Rule has been assigned a new control number from 1680-02-02-.18 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.19 CONDITIONS FOR PERMITTING MOVEMENT OF HEAVY DUTY TOWING

VEHICLES.

(1) Subject to the requirements of T.C.A. § 55-7-205 and this rule, the TDOT Permit Office is authorized to issue a special permit allowing a towing vehicle to transport wrecked, disabled, or abandoned vehicles on the state highway system, including the interstate highway system, when the towing vehicle, or the towing vehicle and towed vehicle in combination, exceeds the maximum vehicle or axle weights allowed under T.C.A. § 55-7-203(b), the maximum vehicle height or width allowed under T.C.A. § 55-7-202, or the maximum vehicle lengths allowed under T.C.A. § 55-7-201. Each special permit shall be issued to a specific towing vehicle.

(2) When transporting a wrecked, disabled, or abandoned vehicle, a towing vehicle and the towed vehicle in combination shall be considered a “non-divisible load or vehicle” that cannot be reasonably dismantled or conveniently transported otherwise.

(3) For the purposes of this rule:

(a) “Emergency towing movement” means the towing of a wrecked, disabled, or abandoned vehicle from a location within or adjacent to the traffic lanes or shoulders of a highway to the nearest exit or repair or terminal facility within one hundred (100) miles from the location of the wreck, disablement, or abandonment along the highway.

(b) “Secondary towing movement” means any towing movement other than an emergency towing movement.

(c) “Towing vehicle” means a vehicle used to tow wrecked, disabled, or abandoned vehicles. A truck tractor and trailer or semi-trailer vehicle combination used to haul loads shall not be considered a towing vehicle eligible to obtain a towing permit under this rule except on a limited basis as provided in Paragraphs (7), (8), and (10) of this

rule below.

(4) A towing vehicle shall require a special permit to operate on the state highway system, including the interstate highway system, if the towing vehicle by itself exceeds any of the following size and weight limitations:

(a) A total gross vehicle weight that exceeds 80,000 pounds; or, if operating on the interstate highway system, the lesser of 80,000 pounds or the weight produced by application of the formula set forth in T.C.A. § 55-7-203;

(b) Any single axle weight that exceeds 20,000 pounds, or any tandem axle weight that exceeds 34,000 pounds;

(c) A width that exceeds eight feet six inches (8’6”);

(d) A height that exceeds thirteen feet six inches (13’6”); or (e) A length that exceeds forty-five feet (45’).

(5) Except as provided in Federal law, including 23 U.S.C. § 127, a towing vehicle shall require a special permit to operate on the state highway system, including the interstate highway system, when towing a wrecked, disabled, or abandoned vehicle, if the towing vehicle and towed vehicle together exceed any of the following size and weight limitations:

(a) A total gross vehicle weight that exceeds 80,000 pounds; or, if operating on the interstate highway system, the lesser of 80,000 pounds or the weight produced by application of the formula set forth in T.C.A. § 55-7-203;

(b) Any single axle weight that exceeds 20,000 pounds, or any tandem axle weight that exceeds 34,000 pounds;

(c) A width that exceeds eight feet six inches (8’6”);

(d) A height that exceeds thirteen feet six inches (13’6”); or (e) A length of the towed vehicle that exceeds fifty-two feet (52’) from the point of attachment to the towing vehicle; provided, however, that this length limitation shall not apply if the towing vehicle is towing a wrecked, disabled, or abandoned vehicle from a location within or adjacent to the traffic lanes or shoulders of a highway to an exit or a repair or terminal facility within one hundred (100) miles of the point where the towed vehicle became wrecked, disabled, or abandoned, and the movement is authorized by the owner, terminal manager, owner’s agent, or law enforcement official.

(6) The TDOT Permit Office may issue a single trip permit or an annual permit for the movement of a towing vehicle that by itself exceeds one or more of the limits described in Paragraph (4) of this rule, subject to the following conditions:

(a) The height of the towing vehicle shall not exceed thirteen feet six inches (13’6”);

(b) The width of the towing vehicle shall not exceed nine feet (9’);

(c) The length of the towing vehicle shall not exceed forty-five feet (45’);

(d) The maximum gross vehicle weight of the towing vehicle shall not exceed 85,000 pounds; and (e) The total axle weight shall not exceed:

1. 23,000 pounds on any single axle;

2. 46,000 pounds on any tandem axle group; or 3. 60,000 pounds on any tridem axle group.

(7) The TDOT Permit Office may issue an annual permit for the movement of a towing vehicle and towed vehicle that in combination exceeds one or more of the limits described in Paragraph (5) of this rule, subject to the following conditions:

(a) The height of the towing vehicle and towed vehicle in combination shall not exceed thirteen feet ten inches (13’10”);

(b) The width of the towing vehicle and towed vehicle in combination shall not exceed twelve feet six inches (12’6”);

(c) The length of the towing vehicle and towed vehicle in combination shall not exceed ninety feet (90’) if the towing movement is a secondary towing movement;

(d) The maximum gross vehicle weight of the towing vehicle and towed vehicle in combination shall not exceed 165,000 pounds; and (e) The total axle weight shall not exceed:

1. 25,000 pounds on any single axle;

2. 50,000 pounds on any tandem axle group; or 3. 75,000 pounds on any tridem axle group.

(f) A person or entity holding a valid annual towing permit for a towing vehicle issued in accordance with this rule may also obtain an annual towing permit for a truck tractor and trailer or semi-trailer combination authorizing the permittee to haul wrecked, disabled, or abandoned vehicles, including emergency towing movements not subject to date and time restrictions under Rule 1680-07-01-.04; provided, however, that the towing permit for a truck tractor and trailer or semi-trailer combination shall remain subject to the general size and weight limits established in T.C.A. §§ 55-7-201, 55-7- 202, and 55-7-203(b), or to whatever size and weight limits are available to that motor vehicle under a separate special permit issued in accordance with some other provision of these rules.

(g) The TDOT Permit Office shall issue a decal with each annual towing permit identifying the month and year in which the annual permit will expire. The permittee shall display this decal on the driver’s side of the front windshield of the permitted vehicle.

(8) The TDOT Permit Office may issue a single trip permit for the movement of a towing vehicle and towed vehicle that in combination exceeds one or more of the limits described in Paragraph (5) of this rule, subject to the following conditions:

(a) The height of the towing vehicle and towed vehicle in combination shall not exceed fifteen feet (15’);

(b) The width of the towing vehicle and towed vehicle in combination shall not exceed sixteen feet (16’);

(c) The total axle weight shall not exceed:

1. 25,000 pounds on any single axle;

2. 50,000 pounds on any tandem axle group; or 3. 75,000 pounds on any tridem axle group;

(d) Any movement of a towing vehicle and towed vehicle that in combination exceeds a total gross vehicle weight of 165,000 pounds must be approved by the TDOT Structures Division, subject to the fees for evaluation of bridges and other structures as provided in

Rule 1680-07-01-.24, and special routing may be required before a special permit may be issued; and (e) Any towing movement exceeding the dimensions allowed under an annual permit, as described in Paragraph (7) of this rule, shall be accompanied by an escort vehicle or vehicles in accordance with Rule 1680-07-01-.06 for overwidth movements, Rule 1680- 07-01-.10 for overheight movements, and Rule 1680-07-01-.11 for overlength movements. For the purpose of complying with this escort vehicle requirement, the towing vehicle itself may substitute for a front escort vehicle so long as the towing vehicle is operating with flashing amber lights displayed to the front of the vehicle.

(f) A person or entity holding a valid annual towing permit for a towing vehicle issued in accordance with this rule may also obtain a single trip towing permit for a truck tractor and trailer or semi-trailer combination authorizing the permittee to haul wrecked, disabled, or abandoned vehicles, including emergency towing movements not subject to date and time restrictions under Rule 1680-07-01-.04; provided, however, that the towing permit for a truck tractor and trailer or semi-trailer combination shall remain subject to the general size and weight limits established in T.C.A. §§ 55-7-201, 55-7- 202, and 55-7-203(b), or to whatever size and weight limits are available to that motor vehicle under a separate special permit issued in accordance with some other provision of these rules.

(9) No towing vehicle or combination of towing vehicle and towed vehicle shall be authorized to exceed any total gross vehicle weight limits or axle weight limits posted on any bridge or highway by the public official having jurisdiction over the bridge or highway.

(10) (a) A towing vehicle with a current, valid single trip permit or annual permit issued under this rule may be authorized to undertake an emergency towing movement where the combination of the towing vehicle and towed vehicle exceeds the height, width, or weight limits under Paragraphs (7) or (8) of this rule if TDOT, the Department of Safety and Homeland Security, or a local traffic law enforcement agency requests the assistance of the towing vehicle to remove a wrecked, disabled, or abandoned vehicle from the highway. In such case, the wrecked, disabled, or abandoned vehicle shall be towed only to the nearest rest area, weigh station, truck parking area, or other safe location away from the highway traffic lanes and shoulders as designated by the agency requesting the assistance. TDOT may require a bridge evaluation pursuant to T.C.A. § 55-7-205(h)(4) and Rule 1680-07-01-.24, and TDOT may impose route restrictions based on the condition of the roadway and bridges.

(b) A truck tractor and trailer or semi-trailer combination having a valid towing permit issued under Paragraph (7) or (8) of this rule may also be authorized to haul a wrecked, disabled, or abandoned vehicle where the combined load exceeds the size and weight limits established in T.C.A. §§ 55-7-201, 55-7-202, and 55-7-203(b) or the size and weight limits available to that motor vehicle under a separate special permit if TDOT, the Department of Safety and Homeland Security, or local law enforcement requests the assistance of that permitted vehicle to remove a wrecked, disabled, or abandoned vehicle from the highway; provided, however, that the movement of the load to the identified safe location must be accompanied by a law enforcement escort. TDOT may require a bridge evaluation pursuant to T.C.A. § 55-7-205(h)(4) and Rule 1680-07-01- .24, and TDOT may impose route restrictions based on the condition of the roadway and bridges.

(11) The cost of a single trip permit for the movement of a towing vehicle, or for the movement of a towing vehicle and towed vehicle in combination, that exceeds any of the size or weight limits described in Paragraphs (4) and (5) of this rule shall be in accordance with Rule 1680-07-01- .24, Paragraphs (1) through (3) for each category of excess size or weight, except that the cost of the permit shall include an additional fee of twelve cents ($.12) per ton mile for all weight in excess of 165,000 pounds.

(12) The cost of an annual permit for the movement of a towing vehicle, or for the movement of a towing vehicle and towed vehicle in combination, that exceeds any of the size or weight limits described in Paragraphs (4) and (5) of this rule shall be $500.00. No annual permit shall be available for any towing movement exceeding any of the size or weight limits described in Paragraph (7) of this rule; provided, however, that a towing vehicle holding an annual permit may supplement that annual permit by obtaining a single trip permit allowing for the movement of additional excessive weight at the cost of $20.00 plus twelve cents ($.12) per ton mile for all weight in excess of 165,000 pounds together with the applicable charge for evaluating bridges and other structures as provided in Rule 1680-07-01-.24(4).

History

• Authority: T.C.A. §§ 55-7-201 and 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed August 29, 1996; effective December 27, 1996. Rule has been assigned a new control number from 1680-02-02-.19 filed and effective February 1, 2003. Repeal and new rule filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.20 SIGNS AND MARKINGS ON MOVEMENTS

(1) All movement exceeding ten feet (10’) in width and/or seventy-five feet (75’) in length shall bear information signs reading “OVERSIZE LOAD” as further provided below.

(2) Adequate markings shall be provided to outline the extremities of the load.

(a) Overwidth and/or overlength movements shall bear a sign reading “OVERSIZE LOAD” mounted on the front and rear of the movement.

1. Signs shall be at least seven feet (7’) long and eighteen inches (18”) high. The background shall be yellow and the lettering black. Letters shall be at least ten inches (10”) high with a one and one-half inch (1½”) stroke width. Each letter shall be solid. Gaps within the stroke of a letter are not permitted.

2. Signs shall be durable wood or metal construction. Heavy canvas or cloth signs, otherwise meeting same requirements, will be permitted if they can be securely fastened to the movement against a flat surface backing up the entire area of the sign.

3. Signs shall be in a good state of repair, clean and readable.

(b) Any motor vehicle having a load or vehicle component which extends more than four inches (4”) beyond the sides of the vehicle or more than four feet (4’) beyond the rear of the vehicle shall have the extremities of the load marked with a red or fluorescent orange flag, not less than eighteen inches (18”) square, at each point where a lamp is required by Federal Motor Carrier Safety Regulations under 49 C.F.R. § 393.11, Table 1.

(c) Additional Requirements for Overwidth Movements.

1. Red or fluorescent orange flags shall be fastened to the load (front and rear) at the top and bottom of each side which is widest. Flags shall extend from the load in such a manner as to be visible to traffic approaching from both the front and rear. If the widest part of the load is between the top and the bottom, flags shall be placed at this point both front and rear.

2. All warning flags shall be of solid red or fluorescent orange color and at least eighteen inches (18”) square.

(d) Additional Requirements for Overlength Movements.

In addition to required signs described in (2)(a) of this rule, red or fluorescent orange flags shall be conspicuously displayed at the extreme rear end of overlength loads.

(e) Additional Requirements for Nighttime Movements.

For any motor vehicle issued a special permit that has a truck-tractor and semitrailer combination carrying a load in excess of width or length limitations set forth in Rule 1680-07-01-.01(2), the load shall be marked as follows for movements between onehalf (1/2) hour after sunset to one-half (1/2) hour before sunrise:

1. On each side of the projecting load, one (1) red side marker lamp, visible from the side, located so as to indicate maximum overhang; and 2. On the rear of the projecting load:

(i) Two (2) red lamps, visible from the rear, one (1) at each side; and (ii) Two (2) red reflectors, visible from the rear, one (1) at each side, located so as to indicate maximum width.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rules filed June 19, 1991; effective August 3,1991. (Formerly numbered 1680-02-02-.18). Rule has been assigned a new control number from 1680-02-02-.20 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.21 ESCORT VEHICLE SIGNS, MARKINGS AND EQUIPMENT REQUIREMENTS

(1) Escort vehicles shall comply with the following requirements.

(a) The escort vehicle must be a vehicle weighing more than 2,000 pounds with a manufacturer’s gross vehicle weight rating less than 18,000 pounds and must be properly licensed. It is to be used to escort one or more other permitted vehicles, when required, due to the size or character of the permitted vehicle(s) or load, in accordance with the conditions set forth in a permit issued by the TDOT Permit Office.

(b) Signs or placards identifying the name and telephone number of the business operating the escort vehicle must be attached in a conspicuous place on both the right and left sides of the vehicle. The signs or placards shall be at least 8” x 12” in size.

(c) All escort vehicles must be equipped with either a rotating amber light or a strobe type amber light which is visible from at least 500 feet and has a horizontal placement which shall be visible from all directions, three hundred sixty degrees (360°).

(d) Escort vehicles shall display bumper mounted or roof mounted yellow sign(s) reading “OVERSIZE LOAD” with black letters a minimum of ten inches (10’) high and one and one-half inch (1 ½”) wide brush stroke, which must be visible from the front and rear.

(e) Signs shall be of durable wood or metal construction. Heavy canvas or cloth signs, otherwise meeting the same requirements, will be permitted if they can be securely fastened to the escort vehicle against a flat surface backing up the entire area of the sign.

(f) Signs shall be in a good state of repair, clean and readable at all times.

(g) Two flags, either red or fluorescent orange in color and at least eighteen inches (18”) square in size, shall be mounted at approximately a forty degree (40°) to seventy degree (70°) angle on the escort vehicle’s roof rack.

(h) During escort operations, all escort vehicles shall have the following equipment on board, and such equipment shall be in working order:

1. Operable two-way electronic communication devices, 2. Two 5-pound fire extinguishers, 3. Stop and go paddle that is round or octagonal in shape and at least eighteen inches (18”) in diameter, or eighteen inches (18”) square, with six inch (6”) letters.

2. Safety orange vest, shirt, or jacket, 5. Red hand-held flag (18” square in size), 6. Two oversized load banners (yellow with black lettering), 7. Hard hat (no color specified), and 8. Reflecting triangles or eighteen inch (18”) high traffic cones.

3. Additional equipment recommended, but not mandated, unless otherwise specifically required in these rules:

(i) Hand-held two-way electronic communications, (ii) Flares, (iii) Map(s), and (iv) Height indicator.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed December 28, 1995; effective April 29, 1996. Rule has been assigned a new control number from 1680-02-02-.21 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.22 FINANCIAL RESPONSIBILITY

(1) Any person, firm, company, corporation or other who undertakes the movement of any overweight and/or overdimensional article and/or commodity on the highways of the State of Tennessee shall hold the State of Tennessee, its officers and employees, harmless from any claims for damages resulting from the exercise of any of the privileges granted under the special permit so issued for such overweight and/or overdimensional movement, and to this end, shall carry liability insurance with an insurer, acceptable to the TDOT Permit Office, and shall furnish a certificate of insurance to the TDOT Permit Office, in the amount of not less than three hundred thousand dollars ($300,000) for each claimant injured and one million dollars ($1,000,000) per occurrence.

(2) The certificate of insurance shall provide that the insurer shall give, to the TDOT Permit Office, written notice of intention to terminate said required insurance by certified mail, said termination to become effective thirty (30) days after receipt of said notice from the insurer by the TDOT Permits Office.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed February 25, 2000; effective June 28, 2000. Rule has been assigned a new control number from 1680-02-02-.22 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.23 BOND OR PROOF OF SOLVENCY REQUIREMENTS

(1) The TDOT Permit Office may require, as a condition of the issuance of a permit under these rules, that an applicant shall agree to and give bond with surety (unless an applicant shall by sworn statement furnish satisfactory proof of the applicant’s own solvency to the TDOT Permit Office) to indemnify the state and/or counties thereof, against damages to roads, or bridges, resulting from the use thereof by the applicant. The bond, if the TDOT Permit Office so authorizes, may cover more than one permitted vehicle operated by the same applicant.

(2) The bond required shall be in a form acceptable to the TDOT Permit Office and in an amount, as determined by the TDOT Permit Office, sufficient to indemnify the state and/or counties for the potential damages to roads and bridges resulting from the applicant’s use.

(3) A sworn statement furnishing satisfactory proof of the applicant’s solvency shall mean an audited financial statement, certified by a certified public accountant, showing net assets of the applicant in an amount, as determined by the TDOT Permit Office, sufficient to indemnify the state and/or counties for the potential damages to roads and bridges resulting from the applicant’s use.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed January11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-02-02-.23 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.24 FEES

The TDOT Permit Office shall charge fees for granting special permits in accordance with the following schedules; provided, however, that the fees for permits to move mobile homes, manufactured homes, portable modular units or house trailers are separately identified in Rule 1680-07-01-.15.

(1) Excessive Width:

(a) Not more than fourteen feet (14’): $20.00;

(b) Over fourteen feet (14’) but not more than sixteen feet (16’): $30.00;

(c) Over sixteen feet (16’): $30.00 plus $5.00 for each additional foot or fraction thereof greater than sixteen feet (16’), except as otherwise provided in subparagraph (d);

(d) For houseboats over seventeen feet (17’): $2,500 plus $100 for each additional inch or fraction thereof greater than seventeen feet (17’).

(2) Excessive Height or Length: $20.00.

(3) Excessive Weight:

(a) General: $20.00 plus six cents ($.06) per ton mile.

(b) Towing vehicles (in accordance with Rule 1680-07-01-.19):

1. Excess weight up to 165,000 pounds: $20.00 plus six cents ($.06) per ton mile.

2. Excess weight over 165,000 pounds: Twelve cents ($.12) per ton mile.

(4) Evaluation of Bridges and Similar Structures:

The TDOT Structures Division shall, as it deems necessary, evaluate the capacity of bridges or similar structures to carry the proposed movement of an overweight or overdimensional load along a particular route. The Department shall charge the requestor for this evaluation each time a different route is proposed, as follows:

(a) Movements weighing over 165,000 pounds but not more than 250,000 pounds: $100.

(b) Movements weighing over 250,000 pounds but not more than 500,000 pounds: $300.

(c) Movements weighing over 500,000 pounds: Actual cost.

(5) Annual Permits:

(a) Except as otherwise provided in these rules, a permit shall be available on an annual

basis for each specific vehicle to be used for transporting overdimensional or overweight loads, or both, as follows:

1. For vehicles transporting loads up to but not exceeding thirteen feet ten inches (13’10”) in height, ninety feet (90’) in length, or twelve feet six inches (12’6”) in width: $100.

Provided, however, that vehicles transporting loads up to but not exceeding thirteen feet six inches (13’6”) in width may obtain an annual permit upon the condition that such overwidth movements shall be accompanied by an escort vehicle as required in Rule 1680-07-01-.06.

2. For vehicles transporting loads with excess weights up to but not exceeding 100,000 pounds: $750.

3. For vehicles transporting loads with excess weights over 100,000 pounds but not exceeding 120,000 pounds: $1,500.

4. For vehicles transporting loads with excess weights over 120,000 pounds but not exceeding 140,000 pounds: $2,250.

5. For vehicles transporting loads with excess weights over 140,000 pounds but not exceeding 155,000 pounds: $3,000.

6. For vehicles transporting loads with excess weights over 155,000 pounds but not exceeding 165,000 pounds: $3,500.

7. Vehicles transporting loads that are both overdimensional and overweight shall be charged a separate annual fee for both the overdimensional loads, as provided in Part 1. of this subparagraph, and the overweight loads, as provided in Parts 2.-6. of this subparagraph.

8. Individual owners of overdimensional boats used strictly for non-commercial pleasure may obtain annual permits for double the amount of the regular fee for a single trip permit for the particular movement, as described in Paragraphs (1) and (2) of this rule.

9. Annual permits are available for manufactured roof trusses exceeding twelve feet six inches (12’6”), but not to exceed fourteen feet (14’) wide, for a fee of $500.

10. Annual permits are available for sealed containerized cargo units (not to exceed 100,000 pounds) for a fee of $750.

11. Subject to the conditions set forth in Rule 1680-07-01-.08, annual permits are available for the movement of a single motor vehicle that is used exclusively to transport seed cotton modules for a fee of $100. 12, Subject to the conditions set forth in Rule 1680-07-01-.19, annual permits are available for the movement of a towing vehicle, and the movement of a towing vehicle and towed vehicle in combination, that exceeds any of the size and weight limits described in Paragraphs (4) and (5) of Rule 1680-07-01-.19 for a fee of $500.

(b) Except as otherwise authorized in these rules, no annual permit shall be available for any vehicle transporting loads with weights exceeding one hundred sixty-five thousand pounds (165,000 lbs.) or dimensions exceeding thirteen feet ten inches (13’10”) in height, ninety feet (90’) in length, or thirteen feet six inches (13’6”) in width, and any such vehicle shall be required to obtain a single trip special permit subject to the fee or fees for excessive width, height, length, or weight as set forth in Paragraphs (1) through (3) of this rule and the fees for evaluation of bridges and similar structures as set forth in Paragraph (4) of this rule; provided, however, that a vehicle holding an annual permit for excessive weight under Parts 2.-6. of Subparagraph (5)(a) may supplement that annual permit by obtaining a single trip permit allowing for the movement of a load with excessive width, height, or length not previously covered by an annual permit under

Part 1. of Subparagraph (5)(a).

(c) Notwithstanding any vehicle movement authorized under an annual permit as provided in this Paragraph (5), no such vehicle shall be authorized to exceed any vehicle weight limit or limits posted on any bridge or highway by the public official having jurisdiction over such bridge or highway.

(6) Multi-State Permitting A permit for movement through more than one state may be obtained by application submitted by phone or facsimile through a qualified Multi-State Permit Agent. All requests must be ordered with a twenty-four hour (24-hr.) lead time to coordinate all states’ effective dates and times, and conform to the guidelines as represented in the Southeastern Association of State Highway and Transportation Officials (SASHTO) Agreement in the Multi State Permitting Manual.

(7) Authorized Vendor Stations Permits may be received and paid for through the various authorized vendor stations listed on the TDOT Permit Office’s web site at http://www.tn.gov/tdot/article/central-services-oversizeoverweight-permit-agencies.

(8) Payment and Refunding of Permit Fees An applicant for a special permit, including single-trip permits and annual permits, may make payment to the TDOT Permits Office by any of the following means, if acceptable to the TDOT Permits Office:

(a) Personal, business, or cashier’s check;

(b) Credit card (subject to a transaction surcharge); or (c) From an escrow account established with TDOT as follows:

1. The holder of the escrow account shall enter into a contract with TDOT in a form acceptable to TDOT;

2. The escrow account may be funded by means of a personal, business, or cashier’s check;

3. In accordance with the contract, a minimum balance shall be maintained in the escrow account in an amount sufficient to support ongoing operations for one month; and 4. Any funds needed to cover the cost of a special permit shall be submitted to the TDOT Finance Division at least five (5) business days prior to the issuance of the permit.

(d) No single trip or annual permit fee will be refunded after issuance of the permit; provided, however, if a single trip permit for excessive weight is cancelled by the permittee prior to the beginning date of the permit and before the permitted movement actually occurs, the ton mile portion of the fee shall be refunded or credited to the permittee if another permit is issued in place of the cancelled permit for the same movement.

(9) Notwithstanding any other provision of this rule, no fee shall be charged for the issuance or renewal of a special permit to any retail electric service owned by a municipality or electric cooperative corporation, or to any telephone company or any of its contractors when they are moving utility poles doing work for such utilities. Upon compliance with the appropriate rules and regulations, such electric services, telephone companies, and their contractors, when they are moving utility poles, may be issued special permits for stated periods not exceeding one (1) year.

(10) Notwithstanding any other provision of this rule, no fee shall be charged for the issuance of a special permit for movements conducted by a branch of the United States armed services or by any Federal agency exempt from the payment of fees under Federal law.

History

• Authority: T.C.A. §§ 55-7-115, 55-7-205, and 55-7-209.
• Administrative History: Original rule filed July 1, 1982; effective August 2, 1982. Repeal and new rule filed October 31, 1985; effective November 30, 1985. Repeal and new rule filed June 19, 1991; effective August 3, 1991. Amendment filed December 28, 1995; effective April 29, 1996. Amendment filed May 22, 1997; effective September 28, 1997. Amendment filed February 25, 2000; effective June 28, 2000. Amendment filed January 25, 2001; effective May 31, 2001. Amendment filed January 11, 2002; effective May 31, 2002. Rule has been assigned a new control number from 1680-02-02-.24 filed and effective February 1, 2003. Amendments filed February 14, 2018; effective May 15, 2018.

Tenn. Comp. R. & Regs. 1680-07-01-.25 REVOCATION, SUSPENSION AND WITHHOLDING OF PERMITS

(1) Except as otherwise specifically provided elsewhere in this chapter, if a permittee undertakes the movement of an overweight or overdimensional vehicle or load in violation of the law, these regulations, or the terms and conditions of any permit issued under these regulations, the TDOT Permit Office may revoke the permit or permits, suspend the use of the permit or permits, or withhold the issuance of any new permits in accordance with this rule.

(2) Revocation of Permits.

(a) The TDOT Permit Office may revoke a permittee’s single trip or annual permit or permits upon finding that the permittee has:

1. Submitted a false, deceptive, or fraudulent permit application;

2. Used a fraudulent, invalid, or expired permit to transport a vehicle and load other than the specific vehicle and load actually covered by the permit; or 3. Repeatedly violated the terms and conditions of a permit as described in paragraph (3) below.

(b) Before taking any action to revoke a permit under subparagraph (a), the TDOT Permit Office shall give written notice to the permittee and provide an opportunity for the permittee to respond, as follows:

1. The written notice shall describe the grounds for the proposed revocation action.

Before sending the written notice, the TDOT Permit Office shall attempt to contact the permittee by telephone to provide notice of the proposed revocation.

2. The permittee shall be provided not less than two (2) business days from receipt of the written notice within which to submit a written response to the proposed revocation. At the discretion of the TDOT Permit Office, the permittee may be granted the opportunity to present additional information during a pre-decision meeting in person or by telephone.

3. After considering the response, if any, the TDOT Permit Office shall send the permittee a written notice of its decision, including a statement of the reasons for the decision, within ten (10) business days after the deadline for submitting a written response. If the decision is to revoke the permit, the notice shall advise the permittee of the right to appeal the decision in accordance with paragraph (5) below.

(3) Suspension and Withholding of Permits.

(a) The TDOT Permit Office may immediately suspend the use of a permittee’s single trip or annual permit or permits, withhold the issuance of new permits to the permittee, and/or withhold the automatic issuance of new permits to the permittee through TDOT’s online permitting system upon finding that the permittee has violated any of the terms and conditions of a permit, including without limitation as follows:

1. The permittee has transported or is transporting overweight or overdimensional loads on routes other than those authorized under a permit;

2. The permittee has transported or is transporting loads that exceed the weights or dimensions authorized under a permit;

3. The permittee has failed to comply with any other terms or conditions of a permit; or 4. The permittee has failed to pay any permit fees or penalties for overweight or overdimensional movements that are owed to TDOT or to the Tennessee Department of Safety and Homeland Security.

(b) In taking any action to suspend or withhold the issuance of permits under subparagraph (a), the TDOT Permit Office shall give written notice to the permittee and provide an opportunity for the permittee to respond, as follows:

1. The written notice shall describe the grounds for suspending or withholding a permit or permits, and it shall identify the action the permittee must take to remedy the violation of the permit. Before sending the written notice, the TDOT Permit Office shall attempt to contact the permittee by telephone to provide notice of the action and required remedy.

2. The permittee shall be provided not less than two (2) business days from receipt of the written notice within which to submit a written response to the action. At the discretion of the TDOT Permit Office, the permittee may be granted the opportunity to present additional information during a meeting in person or by telephone.

3. After considering the response, if any, the TDOT Permit Office shall send the permittee a written notice of its decision, including a statement of the reasons for the decision, within three (3) business days after receiving the permittee’s written response, or after the deadline for submitting a written response, whichever is earlier. If the decision is to suspend a permit or permits or to withhold the issuance of new permits, the notice shall advise the permittee of the right to appeal the decision in accordance with paragraph (5) below. A decision merely to withhold the automatic issuance of permits through TDOT’s online permitting system shall not be appealable under paragraph (5).

(c) The TDOT Permit Office may continue the suspension of the permit or permits and/or the withholding of new permits, until such time as the permittee remedies the violation by coming into compliance with the permit or by obtaining a new permit to authorize the movement. A decision to withhold the automatic issuance of permits through TDOT’s online permitting system may continue for such time period as the TDOT Permit Office determines is appropriate.

(4) Any written notice or response required or authorized under paragraphs (2) or (3) may be delivered by electronic mail or facsimile transmission, and if so delivered, it shall be deemed to have been received on the date of delivery.

(5) The person or entity affected by a decision to revoke, suspend, or withhold the issuance of any permit shall be provided the opportunity to appeal the decision of the TDOT Permit Office, as follows:

(a) The appeal shall be submitted in writing to the Commissioner of TDOT, with a copy to the TDOT Permit Office, within ten (10) business days after receipt of the notice of decision.

(b) Upon receiving the appeal, TDOT shall initiate a contested case hearing, and the proceeding shall be conducted, in accordance with the Uniform Administrative Procedures Act, as provided in T.C.A. §§ 4-5-301, et seq.

History

• Authority: T.C.A. § 55-7-205.
• Administrative History: Original rule filed February 14, 2018; effective May 15, 2018.

Chapter 1680-08-01 Certification of Disadvantaged Business Enterprises and Women Business Enterprises

Tenn. Comp. R. & Regs. 1680-08-01-.01 GENERAL STATEMENT

The Tennessee Department of Transportation has adopted the following rules and regulations with regard to the certification of Disadvantaged Business Enterprises.

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-1-124; 49 CFR Part23; Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed January 23, 1987; effective March 9, 1987. Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.02 DEFINITION OF TERMS

(1) Disadvantaged Business Enterprise (DBE) - A small business concern:

(a) which is at least fifty-one percent (51%) owned by one or more socially and economically disadvantaged individuals, or, in case of any publicly owned business, at least fifty-one percent (51 %) of the stock of which is owned by one or more socially and economically disadvantaged individuals; and (b) whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it.

(2) Small Business Concern - The definition contained in Section 3 of the Small Business Act (15 U.S.C.

632. shall apply to these regulations, except such term shall not include any concern or group of concerns controlled by the same socially and economically disadvantaged individual or individuals which have average annual gross receipts over the preceding three fiscal years in excess of Fourteen Million Dollars ($14,000,000) as adjusted by the United States Secretary of Transportation for inflation.

(3) Socially and Economically Disadvantaged Individuals - Those individuals who are citizens of the United States (or lawfully admitted permanent residents) and who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, or Asian-Indian Americans and any other minorities or individuals found to be disadvantaged by the Small Business Administration pursuant to Section 8 (a) of the Federal Small Business Act.

(a) The Tennessee Department of Transportation (TDOT) shall make a rebuttable presumption that members of the above listed groups are socially and economically disadvantaged. TDOT may determine on a case-by-case basis, that individuals who are not members of one of the groups listed herein are socially and economically disadvantaged.

(4) The Contract Compliance Office - The division of the Tennessee Department of Transportation that has been delegated the responsibility of monitoring and enforcing the department’s DBE Program.

(5) The Tennessee Department of Transportation DBE Review Committee -The committee within the Tennessee Department of Transportation which renders final decisions of the department on DBE certification.

(6) For the purpose of addressing third party challenges, the following definitions shall apply:

(a) Social Disadvantage.

1. Elements of Social Disadvantage.

(i) The individual’s social disadvantage must stem from her gender; his or her color; national origin; gender; physical handicap; long-term residence in an environment isolated from the mainstream of American society; or other similar cause beyond the individual’s control. The individual cannot establish social disadvantage on the basis of factors which are common to small business persons who are not socially disadvantaged. For example, because of their marginal financial status, many small businesses have difficulty obtaining credit through normal banking channels. An individual predicating a social disadvantage claim on denial of bank credit to his or her firm would have to establish that the denial based on one or more of the listed causes, or similar causes rather than based simply on the individuals or the firm’s marginal financial status.

(ii) The individual must demonstrate that he or she has personally suffered social disadvantage, not merely claim membership in a non-designated group which could be considered socially disadvantaged. This can be achieved, for example, by describing specific instances of discrimination which the individual has experienced, or by recounting in some detail how his or her development in the business world has been thwarted by one or more of the listed causes or similar causes. As a general rule, the more specific an explanation of how one has personally suffered social disadvantage, the more persuasive it will be.

Substantial weight shall be given to prior administrative or judicial findings of discrimination experienced by the individual. Such findings, however, are not necessarily conclusive evidence of an individual’s social disadvantage; nor are they a prerequisite for establishing social disadvantage.

(iii) The individual’s social disadvantage must be rooted in treatment which he or she has experienced in American society, not in other countries.

(iv) the individual’s social disadvantage must be chronic, longstanding, and substantial, not fleeting or insignificant. Typically, a number of incidents illustrating a person’s social disadvantage, occurring over a substantial period of time, would be necessary to make a successful claim, Usually, only by demonstrating a series of obstacles which have impeded one’s progress in the business world can an individual demonstrate chronic, longstanding, and substantial social disadvantage.

(v) The individual’s social disadvantage must have negatively affected his or her entry into, and/or advancement in, the business world. The closer the individual can link social disadvantage to impairment of business opportunities, the stronger the case. For example, the recipient should place little weight on annoying incidents experienced by an individual which have had little or no impact on the person’s career or business development. On the other hand, greater weight should be placed on concrete occurrences which have tangibly disadvantaged an individual in the business world.

2. Evidence of Social Disadvantage.

(i) In addition to a personal statement from the individual claiming to be socially disadvantaged, such evidence may include, but is not limited to: Third party statements; copies of administrative or judicial findings of discrimination; and other documentation in support of matters discussed in the personal statement.

Particular consideration and emphasis should be placed on the following experiences of the individual, where relevant: education, employment, and business history. However, the individual may present evidence relating to other matters as well. Moreover, the attainment of a quality education or job should not absolutely disqualify the individual from being found socially disadvantaged if sufficient other evidence of social disadvantage is presented.

(ii) One should consider, as evidence of an individual’s social disadvantage: denial of equal access to business or professional schools; denial of equal access to curricula; exclusion from social and professional association with students and teachers; denial of educational honors; social patterns or pressures which have discouraged the individual from pursuing a professional or business education; and other similar factors.

(iii) One should consider, as evidence of an individual’s social disadvantage: discrimination in hiring; discrimination in promotions and other aspects of professional advancement; discrimination in pay and fringe benefits; discrimination in other terms and conditions of employment; retaliatory behavior by an employer; social patterns or pressures which have channeled the individual into nonprofessional or non-business fields; and other similar factors.

(iv) One should consider, as evidence of an individual’s social disadvantage: unequal access to credit or capital; acquisition of credit under unfavorable circumstances; discrimination in receipt (award and/or bid) of government contracts; discrimination by potential clients; exclusion from business or professional organizations; and other similar factors which have retarded the individual’s business development.

(b) Economic Disadvantage.

1. As a general rule, economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities, as compared to others in the same or similar line of business and competitive market area who are not socially disadvantaged.

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-1-124; 49 CFR Part 23; Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. New rule filed January 23, 1987; effective March 9, 1987. Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.03 CERTIFICATION PROCEDURES

(1) A business applying for certification as a DBE must submit a disclosure affidavit (See Rule 1680-8-1- .09 herein) to the Contract Compliance Office. The division may request additional information, if needed, from the applicant.

(2) The Contract Compliance Office shall make a preliminary finding as to the eligibility of each applicant.

(3) Preliminary findings shall be subject to approval of the Tennessee Department of Transportation DBE Review Committee which shall render the final departmental decision in each case, (4) The Contract Compliance Office shall advise each applicant who, in its opinion, is ineligible for certification of its preliminary finding by certified mail, return receipt requested. Reasons shall be given as to why certification cannot be granted.

(5) The applicant shall then have 15 days after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation DBE Review Committee which may reverse or uphold the Contract Compliance Office preliminary finding in its final decision.

(6) Should the applicant not appeal within the 15 day period, then the preliminary finding of the Contract Compliance Office shall become the final decision of the Review Committee.

(7) Final decisions of the Tennessee Department of Transportation DBE Review Committee may be appealed to the U.S. Department of Transportation, Office of the Secretary.

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-7-124; 49 CFR Part 23; Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed January 23, 1987; effective March 9, 1987. Amendments filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.04 CERTIFICATION REQUIREMENTS

When reviewing DBE applications, the Contract Compliance Office determines first if the applicant qualifies as a DBE by deciding if the owners of the company are members of a group, who are presumed to be socially and economically disadvantaged. In addition, the socially and economically disadvantaged owners must own and control the company. The ownership and control of the disadvantaged person must be real, substantial, and continuing and shall go beyond the pro forma ownership of the firm as reflected in its ownership documents. The applicant company must show that the disadvantaged owners enjoy the customary incidents of ownership and that they share in the risks and profits commensurate with their ownership interests as demonstrated by an examination of the substance rather than form of arrangements.

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-1-124; 49 CFR Part 23; Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed January 23, 1987; effective March 9, 1987. Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.05 CERTIFICATION DURATION

If an applicant company qualifies as a DBE for a period of one year, or until the certification is removed for cause.

History

• Authority: T.C.A. §4-3-2303 (2); Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.06 DECERTIFICATION

(1) The Tennessee Department of Transportation may remove the DBE Certification of any contractor at any time when it is found that the contractor does not qualify as a DBE.

(2) Written notice shall be sent from the Contract Compliance Office explaining why the contractor no longer meets the requirements of a DBE. The contractor shall have fifteen days (15) to respond to the deficiencies. If the contractor does not respond or if the contractor’s explanation is not sufficient, then the contractor shall be advised by certified mail, return receipt requested, of the preliminary finding of ineligibility for retention of certification. Reasons shall be given for the preliminary finding.

(3) The contractor shall then have fifteen days (15) after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation DBE Review Committee which may reverse or uphold the Contract Compliance Office preliminary finding in its final decision.

(4) Should the contractor not appeal within the fifteen day (15) period, then the preliminary finding of the Contract Compliance Office shall become the final decision of the Review Committee.

(5) Final decisions of the Tennessee Department of Transportation D13E Review Committee may be appealed to the U.S. Department of Transportation, Office of the Secretary.

History

• Authority: 49 CFR Part 23; T.C.A. §§4-3-2303 (2) and 54-1-124; Public Acts of 1984, Chapter737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed January 23, 1987; effective March 9, 1987, Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.07 THIRD PARTY CHALLENGES

(1) Any third party may challenge the socially and economically disadvantaged status of any individual (except an individual who has a current 8 (a) certification from the Small Business Administration) presumed to be socially and economically disadvantaged if that individual is an owner of a firm certified by or seeking certification as a disadvantaged business.

(2) The challenge shall be made in writing to the Contract Compliance Office of the Tennessee Department of Transportation in Nashville, Tennessee. It shall include all information available to the challenging party relevant to a determination of whether the challenged party is in fact socially and economically disadvantaged.

(3) The Contract Compliance Office shall make a proposed determination on the basis of the information provided by the challenging party, whether there is reason to believe that the challenged party is in fact not socially and economically disadvantaged. The Contract Compliance Office shall notify both parties of this proposed determination in writing, setting forth the reasons for its proposal.

(4) The challenging party shall then have fifteen (15) days after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation DBE Review Committee which may reverse or uphold the proposed determination of the Contract Compliance Office in its final decision. Should there be no appeal within the fifteen (15) day period, then the proposed determination of the Contract Compliance Office shall become the final decision of the Review Committee. During the pendancy of a challenge, the presumption that the challenged party is a socially and economically disadvantaged individual shall remain in effect.

(5) If the Contract Compliance Office determines that there is reason to believe that the challenged party is not socially and economically disadvantaged, the Contract Compliance Office shall require the challenged party to provide within a reasonable time, information sufficient to permit the Contract Compliance Office to evaluate his or her status as a socially and economically disadvantaged individual.

(6) The Contract Compliance Office shall evaluate the information available to it and make a proposed determination of the social and economic disadvantage of the challenged party. The Contract Compliance Office shall notify both parties of this proposed determination in writing, setting forth the reasons for its proposal.

(7) Both the challenging party and the challenged party shall then have fifteen (15) days after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation DBE Review Committee which may reverse or uphold the Contract Compliance Office proposed determination in its final decision, Should there be no appeal within the fifteen (15) day period, then the proposed determination of the contract Compliance Office shall become the final decision of the Review Committee. During the pendancy of a challenge, economically disadvantaged individual shall remain in effect.

(8) Final decisions of the Tennessee Department of Transportation DBE Review Committee may be appealed to the U.S. Department of Transportation, Office of the Secretary, pursuant to 49 CFR Part 23.

History

• Authority: 49 CFR Part 23; T.C.A. §4-3-2303 (2) and T.C.A. 54-1-124.
• Administrative History: New rule filed January 23, 1987; effective March 9, 1987. (For history prior to March, 1987 see history for T.C.A. §1680-8-1- .08), Amendment filed November 30, 1988; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.08 DISCIPLINARY ACTION FOR FAILURE TO PERFORM

(1) The Tennessee Department of Transportation may discipline any certified DBE contractor who is found to be acting as a broker, conduit or in any other similar type of arrangement. The first time a DBE contractor is discovered taking part in such an arrangement he shall be suspended from participation as a DBE on future contracts for Tennessee Department of Transportation projects for one letting and given a warning letter. For the second violation, the DBE contractor shall be decertified for six months. For the third and each additional violation the contractor shall be decertified for twelve months.

(2) Written notice shall be sent from the Contract Compliance Office concerning the activities of the contractor. The contractor shall have fifteen (15) days to respond to the deficiencies. If the contractor does not respond or if the contractor’s explanation is insufficient, then the contractor shall be advised by certified mail, return receipt requested, of the preliminary finding of the Contract Compliance Office. Reasons shall be given for the preliminary finding.

(3) The contractor shall have fifteen (15) days after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation DBE Review Committee which may reverse or uphold the Contract Compliance Office’s preliminary finding in its final decision.

(4) Should the contractor not appeal within the fifteen (15) day period, then the preliminary finding of the Contract Compliance Office shall become the final decision of the Review Committee.

(5) Final decisions of the Tennessee Department of Transportation DBE Review Committee may be appealed to the U.S. Department of Transportation, Office of the Secretary.

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-1-124; 49 CFR Part 23.
• Administrative History: New rule filed November 30, 198; effective January 14, 1989.

Tenn. Comp. R. & Regs. 1680-08-01-.09 DISCLOSURE AFFIDAVIT

In order to evaluate the legitimacy of each DDE applicant, it is required that certain relevant information be provided initially, prior to award, and be continually updated throughout contract performance. This information must include statements clearly identifying and explaining the extent of the DBE ownership and control including, but not limited to, the information items on this form. All information items must be furnished or properly addressed before the business entity can be evaluated.

Definitions:

Disadvantaged Business means a small business concern: (a) which is at least fifty-one (51%) percent owned by one or more socially and economically disadvantaged individuals, or, in the case of any publicly owned business, at least fifty-one (51%) percent of the stock of which is owned by one or more socially and economically disadvantaged individuals; and (b) whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it.

Socially and Economically Disadvantaged Individuals means those individuals who are citizens of the United States (or lawfully admitted permanent residents) and who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, or Asian-Indian Americans and any other minorities or individuals found to be disadvantaged by the small business administration pursuant to Section 8 (a) of the Small Business Act.

1. Name of business (applicant firm) __________________________________________________________ Address ______________________________________________________________________________ City State Zip Phone Number (including area code) _______________________________________________________ 2. Type of ownership (check one)

( ) Sole Proprietorship ( ) Partnership ( ) Corporation ( ) Joint Venture 3. Name and Address of Attorney ___________________________________________________________ ( )_______________________________________________________________________________ Telephone Number 4. Name and Address of CPA or Accountant __________________________________________________ Telephone Number 5. Nature of business ____________________________________________________________________ 6. Years of business _____________________________________________________________________ 7. Percent of DBE ownership _____________________________________________________________ 8. Is any DBE not a citizen of the U.S.? If yes, provide name(s) of owner(s). If none, so state. __________ 9. Identification of 0 ownership in terms of name of individuals or corporations and their percent of ownership:

Years of Ownership Voting Owners Race Sex Ownership Percentage Percentage _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ 10. If any owner of the applicant firm also has an ownership interest in another firm, indicate:

Nature of Relationship to Name of Owner Other Ownership Interest Applicant Firm ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ 11. Please Complete: The names of the Officers of the Company are:

Date Elected __________________________________________ __________________________ President __________________________________________ __________________________ Vice President __________________________________________ __________________________ Secretary __________________________________________ __________________________ Treasurer __________________________________________ __________________________ Other 12. Current Board of Directors Minority Home Address Name or Female Date Elected Number, Street, City, State, Zip ________________________ __________________ ___________ _________________________ ________________________ __________________ ___________ _________________________ ________________________ __________________ ___________ _________________________ 13. Prior Board of Directors Minority Home Address Name or Female Date Elected Number, Street, City, State, Zip ________________________ __________________ ___________ _________________________ ________________________ __________________ ___________ _________________________ ________________________ __________________ ___________ _________________________ 14. Shareholders Minority Amount Indicate Loans Class Common Total Date of Name or Female Paid or Notes or Preferred Cost Ownership _________ ___________ ___________ ___________ ___________ __________ ________ _________ ___________ ___________ ___________ ___________ __________ ________ _________ ___________ ___________ ___________ ___________ __________ ________ 15. In the instance of each share of stock secured through a purchase agreement, a loan, or a note, provide copy of agreement, loan or note. Copy must indicate source of loan, date of loan, conditions relating to distribution of profits and management of business, and collateral or guarantees given as security.

16. If your firm is owned in full or in part by a company listed in item 14, list on a separate sheet that company’s shareholders to include percentage of ownership interest and the names and address of directors and officers.

17. List all sources and amounts of money loaned to the corporation.

Source Amount _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ 18. Identify your current bonding company and bank. Do you have letter(s) of credit? If so, identify.

Bonding Company Bank Letters of Credit _________________________ ___________________________ ____________________________ _________________________ ___________________________ ____________________________ _________________________ ___________________________ ____________________________ 19. What is your bonding limit? $ ____________________________________________________________________________________ 20. Who determines what jobs/contracts the company will undertake? (Name and Title) _____________________________________________________________________________________ 21. Who will be responsible for on-site project supervision? (Name and Title) _____________________________________________________________________________________ 22. Who negotiates and signs for surety bonds and who signs for insurance and payroll?

Surety and/or Performance Bonds Insurance Payroll ____________________________ _______________________ _____________________________ ____________________________ _______________________ _____________________________ 23. Detail any limitations on authority of any official to sign checks, including amount of check and multiple signature requirement. _________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 24. Prior and current company clients (Company Name, Street Address, City, State, Zip) (Attach list if necessary). _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 25. List current and past subcontractors (Attach list if necessary)

Current Past _____________________________________________ _____________________________________ _____________________________________________ _____________________________________ _____________________________________________ _____________________________________ 26. Does your company own major equipment?

If no, write no ___________ If yes, write yes ___________ And list the major equipment owned. Do not list rental or leased equipment.

Type Quantity __________________________________________________ _________________________________ __________________________________________________ _________________________________ __________________________________________________ _________________________________ 27. List all products and/or services rendered.

28. Has your firm been approved by the Federal Small Business Administration 8 (a) program? __________ Yes __________ No If yes, supply copy of approval letter.

29. Identification of any owner OF management official of the business entity who is or has been an employee of another firm that has an ownership interest in or a present business relationship with the business entity.

Present business relationship include shared space, equipment, financing, or employees as well as both firms having some of the same owners.

30. Previous certifications or denials of certification as a minority business enterprise:

( ) Enclosed ( ) Not Enclosed ( ) Non Previously Issued 31. Will another contractor (prime contractor, subcontractor, and/or supplier) provide any assistance to the applicant firm? (If no, so indicate; if yes, provide details).

Assistance Details Supervision at job site Hiring and/or firing Purchase of supplies/materials Provide office space, telephone, bookkeeping, payroll, tax withholding on other services Personnel manpower Payroll and worker’s compensation 32. Identification of any stock options or other ownership options that are any outstanding loans between owners or between owners and third parties relevant to the business entity. Describe below or enclose statement. If none, please affirm the following statement by handwriting it: “There are no stock options or other ownership options currently outstanding, nor any loans between owners or between owners and third parties relevant to the firm which I represent and for which I make this DBE application.” _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________ 33. Identification of control of business entity; list those individuals who are responsible for day-to-day management and policy decision making including, but not limited to those with prime responsibility for:

Name Race Sex Title Financial Decision Management Decision* Supervision of Field Operations *Including, but not limited to, estimating. marketing and sales, hiring and firing of management personnel, and purchasing of major items or supplies.

Brief summary of information listed above:

Name Experience and Qualifications in relationship to Responsibilities Number of Years With Firm 34. All oral and tacit agreements shall be reduced to writing and submitted with this affidavit. Such agreements may include, but not be limited to the ownership of voting securities, buy-out rights, agreements affecting voting rights of shareholders, loan agreements, equipment rental, management services agreements, etc. If there are no written, oral or tacit agreements concerning the operation of the company between any person associated with company, please affirm the following statement by handwriting it “There are no written oral or tacit agreements concerning the operation of the company between any persons associated with the company.” _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________ 35. Submit the following documents (and any amendments thereto) with this affidavit.

For A Corporation FOR A PARTNERSHIP a. Last two year’s financial statement prepared by an independent CPA or accountant a. Last two year’s financial statement prepared by an independent CPA or accountant b. Prior two years federal corporate tax returns including all schedules b. Prior two years federal corporate tax returns including all schedules c. Resumes of principals of your company showing education, training and employment with dates c. Resumes of all partners showing education, training and employment with dates d. License to do business in Tennessee and any other necessary licenses d. License to do business in Tennessee e. Articles of Incorporation, including date approved by State, and any subsequent amendments e. Partnership agreement f. Minutes of first corporate organizational meeting f. Buy out rights agreement g. Corporation By-Laws g. Profit sharing agreement h. Copy of stock certificate(s) issued (not a specimen copy)

h. Proof of capital invested i. Stock ledger i. If other than Female or Black, proof of minority status j. Proof of stock purchase k. Copies of third party agreements such as rental or management service agreements, etc.

l. If other than Female or Black, proof of minority status In addition, for both corporation and partnership, submit all agreements relating to:

a. Stock options e. Stockholders voting rights b. Ownership options f. Restrictions on the disposal of stock loan agreements c. Stockholders agreements g. Facts pertaining to the value of shares d. Buy-out fights h. Ownership of voting securities I HEREBY DECLARE AND AFFIRM THAT I am the ________________________________________ duly (Title) authorized representative of (the firm of) _________________________________________________Name of Firm I hereby declare and affirm that I am a disadvantaged business enterprise (DBE) as defined by 49 CFR, Part 23, and 23.62 (amended) and that I will provide information requested by the Tennessee Department of Transportation to document this fact.

The undersigned does hereby swear that the foregoing statements are true and correct and include all materials and information necessary to identify and explain the operations of ___________________________________ Name of Firm as well as the ownership thereof.

Further, the undersigned does covenant and agree to provide to the Tennessee Department of Transportation complete and accurate information regarding actual work performed on projects, the payment therefor and any proposed changes in any of the arrangements hereinabove stated and to permit the audit and examination of the books, records and files of _________________________________________________________________ by Name of Firm authorized representatives of the Tennessee Department of Transportation or the Federal Government. It is recognized and acknowledged that the statements herein are being given under oath and any material misrepresentation will be grounds for terminating any contract which may be awarded in reliance hereon and for initiating action under federal and state laws concerning false statements.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE

CONTENTS OF THE FOREGOING DOCUMENT ARE TRUE AND CORRECT, AND THAT I AM

AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT. _____________________________________________________

Signature-Company’s Authorized Representative STATE OF _________________________________ COUNTY OF _______________________________ On this __________day of ____________________, 19 __________, before me, _______________________ personally appeared ________________________ , known to me to be the person described in the foregoing Affidavit and acknowledge that he (she) executed the same in the capacity herein stated and for the purposes therein contained.

In witness thereof, I hereunto set my hand and official seal. ___________________________________________ (Notary Public)

My Commission Expires _________________________________ (Seal)

History

• Authority: T.C.A. §§4-3-2303 (2) and 54-1-124; 49 CFR Part 23; Public Acts of 1984, Chapter 737.
• Administrative History: Original rule filed September 19, 1984; effective October 19, 1984. Amendment filed January 23, 1987; effective March 9, 1987. (Formerly numbered 1680-8-1-.07). Amendment filed November 30, 1988; effective January 14, 1989.

Chapter 1680-08-02 Definition of "Disadvantaged Business Enterprises" and "Women Business Enterprises" for the Purpose of Implementing T.C.A. § 67-3-123

Tenn. Comp. R. & Regs. 1680-08-02-.01 PREFACE

The purpose of this chapter is to define the terms “Disadvantaged Business Enterprises” and “Women Business Enterprises” for the purpose of implementing the provisions of TCA. §67-3- 123.

T.C.A. §67-3-123 provides that the Tennessee Department of Transportation shall make good faith efforts to obtain participation of either disadvantaged business enterprises or women business enterprises as such enterprises may be defined by the Commissioner of Transportation, in the amount approximating ten percent (10%) of revenues which are distributed to the State highway fund from the petroleum products tax increases authorized by Acts 1989, Chapter 46, and which are let to contract.

The section further provides that with respect to projects funded wholly or in part with state funds, the Department of Transportation shall make good faith efforts to obtain participation of either Disadvantaged Business Enterprises or Women Business Enterprises as such enterprises may be defined by the Commissioner of Transportation, in the amount approximating seven percent (7%) of the revenues which are distributed to the State highway fund from the petroleum products tax increases effective 1986, Chapter 931, and which are let to contract.

This section also provides that as a condition of disbursement of the funds raised by Acts 1989, Chapter 241, relative to petroleum products tax increases, any local government receiving such funds shall agree to make good faith efforts to obtain participation of either disadvantaged business enterprises or women business enterprises as such enterprises may be defined by the Commissioner of Transportation, in the amount approximating ten percent (10%) of the revenues which are distributed to such governments from the petroleum products tax increases authorized by Acts 1989, Chapter 241, and which are let to contract.

History

• Authority: T.C.A. §67-3-123.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Rule has been assigned a new control number from 1680-10-1-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-08-02-.02 DEFINITIONS

For the purpose of implementing the provisions of TCA. §67-3-123, the terms “Disadvantaged Business Enterprises” and “Women Business Enterprises” shall mean an enterprise that has been certified by the Tennessee Department of Transportation as a Disadvantaged Business Enterprise pursuant to

Chapter 1680-8-1, Certification of Disadvantaged Business Enterprises, Rules of the Tennessee Department of Transportation, Contract Compliance Office.

History

• Authority: T.C.A. §67-3-123.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Rule has been assigned a new control number from 1680-10-1-.02 filed and effective February 1, 2003.

Chapter 1680-08-03 Construction Management Development Program

Tenn. Comp. R. & Regs. 1680-08-03-.01 PURPOSE

This rule implements a voluntary comprehensive Construction Management Development Program (CMDP) for Certified Small Businesses.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.03 CONSTRUCTION MANAGEMENT DEVELOPMENT PROGRAM APPLICATION

(1) All businesses seeking admission to the Construction Management Development Program shall complete and submit an Application for Construction Management Development Program (CMDP) and an Application for Small Business Certification to the Tennessee Department of Transportation/Civil Rights Office, Small Business Development Program, Suite 1800, James K. Polk Building, 505 Deaderick Street, Nashville, Tennessee 37243-0347 (See Rule 1680-8-3-.12 herein).

The Department may request additional information, if needed, from the applicant.

(2) The CMDP applicant may also request exemption from the classroom and on-the-job instruction (See

Rule 1680-8-3-.09 herein).

(3) Only those businesses that have been certified (as a Certified Small Business) by the Department as meeting the statutory criteria may be eligible to participate in the CMDP. A business meets the statutory criteria if the business is a certified disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26. Also, a business meets the statutory criteria if the business satisfies all the requirements of a disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26 other than the requirement that the business is owned by socially and economically disadvantaged individuals as defined in 49 CFR Part 26.5.

(4) The Small Business Development Program Office shall make a preliminary finding as to the eligibility of each applicant.

(5) Preliminary findings shall be subject to approval of the Tennessee Department of Transportation Small Business Development Review Committee, which shall render the final Department decision in each case.

(6) The Small Business Development Program Office shall advise each applicant whom, in its opinion, is ineligible for certification of its preliminary finding by certified mail, return receipt requested.

Reasons shall be given as to why admission cannot be granted.

(7) The applicant shall then have fifteen (15) days after receipt of notice to request in writing an appeal to the Tennessee Department of Transportation Small Business Development Review Committee, which may reverse or uphold the Small Business Development Program Office’s preliminary finding in its final decision.

(8) Should the applicant not appeal within the fifteen (15)-day period, then the preliminary finding of the Small Business Development Program Office shall become the final decision of the Tennessee Department of Transportation Small Business Development Review Committee.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.04 NEEDS ASSESSMENT

(1) After determination of eligibility, the Department may conduct a needs assessment of the Certified Small Business. The purpose of the assessment is to:

(a) Determine the areas of strengths and weaknesses of the applicant in terms of proficiency and capability in performing on highway construction and transportation support related projects.

(b) Identify those applicants who should receive exemption from the CMDP because of demonstrated satisfactory project performance. This determination may be based on evaluation of the applicant on the scoring system in this Rule (See Rule 1680-8-3-.09 herein) using the following sources:

1. Needs assessment report;

2. Application;

3. Document(s) accompanying application;

4. Interviews with applicant;

5. Interviews with Department staff familiar with the applicant’s work;

6. Review of applicant’s past performance record from Department records and references; and 7. Any other reports or information that inform about the applicant’s performance and capacity.

(c) Determine the specific courses for which the applicant should register to improve skills and correct weaknesses or deficiencies.

(d) Identify areas of need for technical assistance through on-the-job training.

(2) After completion of the needs assessment, each applicant will be notified in writing of the findings and recommendations.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.05 ELIGIBILITY FOR THE CONSTRUCTION MANAGEMENT DEVELOPMENT

PROGRAM.

(1) Participants in the CMDP will consist of those Certified Small Businesses that have obtained a needs assessment by the Department (if the Department chooses to conduct such assessment) and have been admitted to the program. This program may consist of two primary components: classroom instruction and on-the-job instruction.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.06 ENROLLMENT PROCEDURES FOR THE CONSTRUCTION MANAGEMENT

DEVELOPMENT PROGRAM.

(1) To enroll in the CMDP, each applicant shall submit a completed application form (See Rule 1680-8-3- .03 (1) herein) to the Department along with the appropriate application fee as may be set by the Department.

(a) The Department shall forward written notification to the educational institution conducting the classroom instruction to advise of the applicant’s approval to register. It will be the applicant’s responsibility to complete registration and pay registration fees as may be required by the institution.

(b) Each institution conducting classroom instruction will submit completed registration information to the Department.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-03-02-.02 DEFINITION OF TERMS

(1) “Average Annual Gross Receipts” - means “total income” (or in the case of a sole proprietorship, “gross income”) plus “cost of goods sold” as these terms are defined and reported on Internal Revenue Service (IRS) tax return forms (such as Form 1120 for corporations; Form 1120S and Schedule K for S corporations; Form 1120, Form 1065 or Form 1040 for LLCs; Form 1065 and Schedule K for partnerships; Form 1040, Schedule F for farms; Form 1040, Schedule C for other sole proprietorships). Receipts do not include net capital gains or losses; taxes collected for and remitted to a taxing authority if included in gross or total income, such as sales or other taxes collected from customers and excluding taxes levied on the concern or its employees; proceeds from transactions between a concern and its domestic or foreign affiliates; and amounts collected for another by a travel agent, real estate agent, advertising agent, conference management service provider, freight forwarder or customs broker. For size determination purposes, the only exclusions from receipts are those specifically provided for in this paragraph. All other items, such as subcontractor costs, reimbursements for purchases a contractor makes at a customer’s request, and employee-based costs such as payroll taxes, may not be excluded from receipts.

(2) “Bond Guarantee Program” or “BGP” - means a program in which the Tennessee Department of Transportation may act as a secondary surety for select Certified Small Businesses.

(3) “Certification of Proficiency” - means a certificate awarded to Certified Small Businesses meeting the Minimum Curriculum Standards of Proficiency (See Rule 1680-8-3-.02(7) herein).

(4) “Certified Small Business” - means a small business that has been approved by the Department as meeting the statutory criteria to participate (if selected by the Department) in the Construction Management Development Program (CMDP) and/or Bond Guarantee Program (BGP). A business meets the statutory criteria if the business (including its affiliates) is a certified disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26. Also, a business meets the statutory criteria if the business satisfies all the requirements of a disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26 other than the requirement that the business is owned by socially and economically disadvantaged individuals as defined in 49 CFR Part 26.5.

(5) “Construction Management Development Program” or “CMDP” - means an original program of instruction taught to owners of Certified Small Businesses to enhance, improve or develop skills needed to successfully perform construction projects. This program may consist of classroom instruction and on-the-job instruction.

(6) “Department” - means the Tennessee Department of Transportation.

(7) “Minimum Curriculum Standards of Proficiency” - means established minimum requirements that a Certified Small Business owner must attain to demonstrate proficiency and capability regarding the instruction received through the classroom instruction portion of the CMDP.

(8) “Small Business Development Program Office” - means the office of the Tennessee Department of Transportation that has the responsibility of monitoring and enforcing the Department’s CMDP and BGP.

(9) “Tennessee Department of Transportation Small Business Development Review Committee” - means the committee within the Tennessee Department of Transportation which renders final decisions of the Department on the CMDP and BGP.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.07 CLASSROOM INSTRUCTION

(1) Classroom instruction may include instruction in project planning methods for identifying manpower, equipment, and financial resource needs; bookkeeping; project scheduling; state bidding and bonding requirements; state and federal tax requirements; strategies for obtaining loans and surety bonding; and techniques for negotiating and drafting joint venture agreements.

(2) The Department may establish a classroom curriculum.

(3) The Department may establish classes, course requirements, and class testing requirements.

(4) Conduct of Classroom Instruction.

(a) The Department shall approve the number of courses and types of courses that shall compose a complete program of instruction by trade or profession for Certified Small Businesses desiring admission to the BGP. Satisfactory completion of the classroom curriculum shall be required of all applicants for the BGP that have not received exemption from the CMDP.

(b) Curriculum Standards. The Department shall approve the program of courses established by the educational institutions and/or private sector firms for specific trade and professional groups that must be successfully completed (to meet Minimum Curriculum Standards of Proficiency) in order to receive a Certification of Proficiency for each definitive group. Those groups may include:

1. General contractors, highway construction; and 2. Special trade/professional contractors including asphalt paving, building, construction/modification, concrete, miscellaneous, drainage, earthwork, erosion control, fencing, guardrail, landscaping, painting, steel, traffic control, trucking, architecture, business and financial management, consultants, and materials supply.

(5) Follow-up of Classroom Instruction. Participants who desire to take additional classroom instruction may be permitted to do so without paying an additional application fee, but all course registration fees shall have to be paid.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.08 ON-THE-JOB INSTRUCTION

(1) On-the-job instruction shall also be known as technical assistance. The instruction may include the following areas: setting up the job site; cash flow method; project scheduling; making quantity takeoffs and cost estimating; reading plans and specifications; Department procedures on payments; quality assessment and control methods; and bid preparation methods.

(2) Initiating Procedure. As a result of the needs assessments or classroom instruction, areas of deficiency may be identified for which technical assistance may be appropriate. Any participant in the CMDP may also request technical assistance in any area of training provided as part of the program.

(3) Technical Assistance Plans.

(a) Upon receipt of a technical assistance request from a participant, the Department may review the request and develop a technical assistance plan. That plan may contain the following information:

1. Approach to resolving the problem;

2. The type of training required to resolve the problem;

3. The number of technical assistance days estimated to resolve the problem; and 4. Cost of assistance.

(b) The Department may submit a plan to the participant after receiving the request for technical assistance. Upon payment of the required fee, the Department may assign a contractor who has volunteered to participate, a consultant, or a Department employee to provide the technical assistance at the participant’s place of business or job-site.

(c) Upon completion of a needs assessment (if the Department chooses to conduct one) that identifies areas of needed technical assistance -- the Department may review the information and develop a technical assistance plan to address the identified needs. That plan may contain the following information:

1. Approach to resolving the problem;

2. The type of training required to resolve the problem;

3. The number of technical assistance days estimated to resolve the problem; and 4. Cost of assistance.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.09 EXEMPTION FROM THE CONSTRUCTION MANAGEMENT DEVELOPMENT

PROGRAM.

(1) The Small Business Development Program Office may determine exemption from the classroom and on-the-job training based on evaluation of the applicant’s project performance through comparison with the Minimum Curriculum Standards of Proficiency. It shall be the responsibility of the applicant to provide evidence of the following criteria. Evaluation shall be based on the following scoring system:

(a) Administration and Management of Business – Maximum 15 Points.

The applicant shall provide adequate evidence that it:

1. Holds all relevant licenses and meets all other legal requirements regarding the Certified Small Business;

2. Shows capability to develop an overall business plan;

3. Maintains an adequate credit history;

4. Maintains adequate staff and employees required to carry out the work associated with the Certified Small Business;

5. Maintains a payroll system set up to feed accurate and complete information into the job costing system;

6. Is able to generate accurate financial statements in accordance with generally accepted accounting principles; and 7. Has policies and procedures regarding timely billing and collection from customers.

(b) Bidding/Estimates – Maximum 20 Points.

The applicant shall provide adequate evidence that it:

1. Has an understanding to implement all requisite steps in the preparation of Department bids; and 2. Has competence in accurately estimating project costs.

(c) Contract Negotiating and Knowledge – Maximum 15 Points.

The applicant shall provide adequate evidence that it:

1. Has an understanding of contract terms concerning the rights, obligations, and liabilities for Small Businesses;

2. Has an understanding of the basic elements of Department contracts; and 3. Has an ability to adequately negotiate, draft, and interpret subcontracts.

(d) Project Planning – Maximum 20 Points.

The applicant shall provide adequate evidence that it:

1. Has capability in scheduling and phasing the work of a project and in allocating labor to timely complete the project;

2. Has skill in developing schedules for ordering and assuring delivery of materials and equipment and hiring of work force; and 3. Has knowledge of the reports and other paperwork required by the Department and/or the prime contractor.

(e) Project Performance – Maximum 30 Points.

The applicant shall provide adequate evidence that it:

1. Maintains a system of project monitoring that includes job-site inspections by management as well as periodic reporting from its project superintendent;

2. Maintains a field monitoring and reporting system to warn of any deviations from project schedule or cost overruns;

3. Has capability to maintain an updated and accurate job costing system;

4. Maintains a system for dealing with change orders; including requiring written change order and method for calculating prices to cover the changes; and 5. Has knowledge of project closeout procedures.

(f) TOTAL MAXIMUM POINTS: 100.

(2) The Small Business Development Program Office shall assign the score that is most representative of the Certified Small Business’s proficiency.

(a) For scores 85 and above, the Certified Small Business may be exempt from the CMDP.

However, the exempted Certified Small Business may enroll in the CMDP if so desired by that applicant.

(b) For scores under 85, the Certified Small Business may be enrolled in the CMDP if obtaining a Certification of Proficiency is desired.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.10 CERTIFICATION OF PROFICIENCY

(1) Each Certified Small Business participant must satisfactorily complete each component of the classroom training in order to meet the minimum standard of proficiency or receive exemption to apply and potentially gain admission to the BGP. The Certified Small Business may be awarded a Certification of Proficiency upon successful completion of the classroom component and completion of all required technical assistance training or upon receipt of exemption.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.11 REVOCATION

(1) The Department’s acceptance of a Certified Small Business in the CMDP may be revoked if the Department finds the business no longer meets the requirements of a Certified Small Business.

(2) A Certified Small Business’s participation in the CMDP may be revoked if the Department finds the business willfully made a false, deceptive, or fraudulent statement in any document submitted to the Department.

(3) Prior to revoking a Certified Small Business’s participation in the CMDP, written notice shall be sent from the Small Business Development Program Office explaining why the Department’s acceptance of the Certified Small Business in the CMDP shall be revoked. The Certified Small Business shall have fifteen (15) days to respond to the deficiencies. If the Certified Small Business does not respond or if the Certified Small Business’s explanation is not sufficient, then the Certified Small Business shall be advised by certified mail, return receipt requested, of the preliminary finding of ineligibility for retention of participation in the CMDP. Reasons shall be given for the preliminary finding.

(4) The Certified Small Business shall then have fifteen (15) days after receipt of notice to submit a written appeal to the Tennessee Department of Transportation Small Business Development Review Committee, which may reverse or uphold the Small Business Development Program Office’s preliminary finding in its final decision.

(5) Should the Certified Small Business not appeal within the fifteen (15)-day period, then the preliminary finding of the Small Business Development Program Office shall become the final decision of the Tennessee Department of Transportation Small Business Development Review Committee.

(6) No application fee or registration fee shall be refunded upon revocation.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.12 FORMS

(1) The Department may create, revise, and amend all forms necessary for the administration of all matters relating to the CMDP and BGP. The Department may specify the information to be included therein and the supporting materials to be provided.

(2) The applicant and/or participating surety shall execute the appropriate form(s) and provide in detail all information required by the Department.

(3) Copies of forms are to be obtained from the Tennessee Department of Transportation/Civil Rights Office, Small Business Development Program, Suite 1800, James K. Polk Building, 505 Deaderick Street, Nashville, Tennessee 37243-0347.

History

• Authority: T.C.A. § 4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Chapter 1680-08-04 Bond Guarantee Program

Tenn. Comp. R. & Regs. 1680-08-04-.01 PURPOSE

This rule establishes a program for providing financial assistance to select Certified Small Businesses through a Bond Guarantee Program (BGP).

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-04-.02 DEFINITION OF TERMS

(1) “Average Annual Gross Receipts” - means “total income” (or in the case of a sole proprietorship, “gross income”) plus “cost of goods sold” as these terms are defined and reported on Internal Revenue Service (IRS) tax return forms (such as Form 1120 for corporations; Form 1120S and Schedule K for S corporations; Form 1120, Form 1065 or Form 1040 for LLCs; Form 1065 and Schedule K for partnerships; Form 1040, Schedule F for farms; Form 1040, Schedule C for other sole proprietorships). Receipts do not include net capital gains or losses; taxes collected for and remitted to a taxing authority if included in gross or total income, such as sales or other taxes collected from customers and excluding taxes levied on the concern or its employees; proceeds from transactions between a concern and its domestic or foreign affiliates; and amounts collected for another by a travel agent, real estate agent, advertising agent, conference management service provider, freight forwarder or customs broker. For size determination purposes, the only exclusions from receipts are those specifically provided for in this paragraph. All other items, such as subcontractor costs, reimbursements for purchases a contractor makes at a customer's request, and employee-based costs such as payroll taxes, may not be excluded from receipts.

(2) “Bond Guarantee Program” or “BGP” - means a program in which the Tennessee Department of Transportation may act as a secondary surety for select Certified Small Businesses.

(3) “Certification of Proficiency” - means a certificate awarded to Certified Small Businesses meeting the Minimum Curriculum Standards of Proficiency (See Rule 1680-8-4-.02(7) herein).

(4) “Certified Small Business” - means a small business that has been approved by the Department as meeting the statutory criteria to participate (if selected by the Department) in the Construction Management Development Program (CMDP) and/or Bond Guarantee Program (BGP). A business meets the statutory criteria if the business (including its affiliates) is a certified disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26. Also, a business meets the statutory criteria if the business satisfies all the requirements of a disadvantaged business enterprise (DBE) as defined by 49 CFR Part 26 other than the requirement that the business is owned by socially and economically disadvantaged individuals as defined in 49 CFR Part 26.5.

(5) “Construction Management Development Program” or “CMDP” - means an original program of instruction taught to owners of Certified Small Businesses to enhance, improve or develop skills needed to successfully perform construction projects. This program may consist of classroom instruction and on-the-job instruction.

(6) “Department” - means the Tennessee Department of Transportation.

(7) “Minimum Curriculum Standards of Proficiency” - means established minimum requirements that a Certified Small Business owner must attain to demonstrate proficiency and capability regarding the instruction received through the classroom instruction portion of the CMDP.

(8) “Small Business Development Program Office” - means the office of the Tennessee Department of Transportation that has the responsibility of monitoring and enforcing the Department’s CMDP and BGP.

(9) “Tennessee Department of Transportation Small Business Development Review Committee” - means the committee within the Tennessee Department of Transportation which renders final decisions of the Department on the CMDP and BGP.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-03-.03 BOND GUARANTEE PROGRAM

(1) Department Requirements and Limitations.

(a) The Department may guarantee sureties participating in the BGP against a portion of their losses incurred and paid as a result of a Certified Small Business’s breach of the terms of a bid bond and/or contract bond on any eligible contract. The Department may guarantee up to ninety percent (90%) of a surety bond amount of two hundred fifty thousand dollars ($250,000) or less and up to eighty percent (80%) of a surety bond amount greater than two hundred fifty thousand dollars ($250,000) if such surety bond is provided by an approved surety. The surety must obtain the Department’s approval before a guaranteed bond can be issued. The Department may determine the bond guarantee amount based on the criteria outlined in Rule 1680-8-4-.03(4) herein and the availability of funds. Participation in the BGP is limited due to the statutory mandate that in no event shall the total BGP amount guaranteed under this program at any given time exceed five million dollars ($5,000,000).

(2) A surety who desires to participate in the BGP shall submit an Application for Surety Participation Form to the Tennessee Department of Transportation Small Business Development Program Office.

(3) Certified Small Business Eligibility Requirements/Limitations.

(a) Eligibility to participate in the BGP shall be specifically limited to Certified Small Businesses that have attained a Certificate of Proficiency by meeting the Minimum Curriculum Standards of Proficiency in the CMDP or that have received an exemption from the CMDP (See Rule

Tenn. Comp. R. & Regs. 1680-08-03-.09 ).

(4) The Department is authorized to expend funds from the State highway fund to fund administrative expenses and fund any losses that may arise under the BGP. In no event shall the total BGP amount guaranteed under this program at any given time exceed five million dollars ($5,000,000). Therefore, the number, size, and availability of the bond guarantees shall be limited. Obtaining a Certification of Proficiency does not ensure that a Certified Small Business will receive a bond guarantee. The Department may use the following criteria to determine which Certified Small Businesses may participate in the BGP and receive a bond guarantee (it shall be the responsibility of the applicant to provide evidence of the following criteria):

(a) Administration and Management of Business.

The applicant shall provide adequate evidence that it:

1. Holds all current and relevant licenses and meets all other legal requirements regarding the Certified Small Business;

2. Shows capability to develop an overall business plan;

3. Maintains an adequate credit history;

4. Maintains adequate staff and employees required to carry out the work associated with the Certified Small Business;

5. Maintains a payroll system set up to feed accurate and complete information into the job costing system;

6. Is able to generate accurate financial statements in accordance with generally accepted accounting principles; and 7. Has policies and procedures regarding timely billing and collection from customers.

(b) Bidding/Estimates.

The applicant shall provide adequate evidence that it:

1. Has an understanding how to implement all requisite steps in the preparation of Department bids; and 2. Has competence in accurately estimating project costs.

(c) Contract Negotiating and Knowledge.

The applicant shall provide adequate evidence that it:

1. Has an understanding of contract terms concerning the rights, obligations, and liabilities for Small Businesses;

2. Has an understanding of the basic elements of Department contracts; and 3. Has an ability to adequately negotiate, draft, and interpret subcontracts.

(d) Project Planning.

The applicant shall provide adequate evidence that it:

1. Has capability in scheduling and phasing the work of a project and in allocating labor to timely complete the project;

2. Has skill in developing schedules for ordering and assuring delivery of materials and equipment and hiring of work force; and 3. Has knowledge of the reports and other paperwork required by the Department and/or the prime contractor.

(e) Project Performance.

The applicant shall provide adequate evidence that it:

1. Maintains a system of project monitoring that includes job-site inspections by management as well as periodic reporting from its project superintendent;

2. Maintains a field monitoring and reporting system to warn of any deviations from project schedule or cost overruns;

3. Maintains a reporting system that will keep detailed records of the time expended and materials used on a project;

4. Has capability to maintain an updated and accurate job costing system;

5. Maintains a system for dealing with change orders; including requiring written change order and method for calculating prices to cover the changes; and 6. Demonstrates knowledge of project closeout procedures.

(f) Inability to obtain surety bond.

The applicant shall provide adequate evidence that it:

1. Has made at least one (1) unsuccessful attempt to obtain a surety bond.

(5) Guaranteed Bond Limit. No Certified Small Business may have more than two (2) Department guaranteed bonds at any one time, and the total amount of such guaranteed bonds shall not exceed five hundred thousand dollars ($500,000).

(6) Bond Applications.

(a) When requested by the Certified Small Business, the Department may provide assistance in preparing bond applications that are to be presented to surety companies to obtain a bonding capacity.

(b) When the Certified Small Business has developed a complete package that is deemed acceptable by the Department, then the Department may forward the prepared bond applications to a surety company that has agreed to participate in this program. The Certified Small Business shall indicate to the Department what surety company, that has agreed to participate in this program, shall receive the prepared bond application.

(7) The Department may assist a Certified Small Business, which has been accepted into the BGP, in obtaining a surety bond.

(a) Once the surety company decides to execute the bond on the basis of the BGP, a Justification for Bond Guarantee form will be submitted by the surety company to the Department.

(b) Upon receipt of the Justification for Bond Guarantee form, the Department may execute and return the Bond Guarantee Agreement form to the surety company.

(8) Project monitoring and technical assistance may be provided to all Certified Small Businesses receiving a bond guarantee.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-04-.04 REVOCATION

(1) The Department’s acceptance of a Certified Small Business in the BGP may be revoked if the Department finds the business no longer meets the requirements of a Certified Small Business.

(2) A Certified Small Business’s participation in the BGP may be revoked if the Department finds the business no longer meets the requirements set forth in Rule 1680-8-4-.03(4)(a)(1) herein.

(3) A business’s participation in the BGP may be revoked if the Department finds the business willfully made a false, deceptive, or fraudulent statement in any document submitted to the Department.

(4) Prior to revoking a Certified Small Business’s participation in the BGP, written notice shall be sent from the Small Business Development Program Office explaining why the Department’s acceptance of the Certified Small Business in the BGP shall be revoked. The Certified Small Business shall have fifteen (15) days to respond to the deficiencies. If the Certified Small Business does not respond or if the Certified Small Business’s explanation is not sufficient, then the Certified Small Business shall be advised by certified mail, return receipt requested, of the preliminary finding of ineligibility for retention of participation in the BGP. Reasons shall be given for the preliminary finding.

(5) The Certified Small Business shall then have fifteen (15) days after receipt of notice to submit a written appeal to the Tennessee Department of Transportation Small Business Development Review Committee, which may reverse or uphold the Small Business Development Program Office’s preliminary finding in its final decision.

(6) Should the Certified Small Business not appeal within the fifteen (15)-day period, then the preliminary finding of the Small Business Development Program Office shall become the final decision of the Tennessee Department of Transportation Small Business Development Review Committee.

(7) No application fee or registration fee shall be refunded upon revocation.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Tenn. Comp. R. & Regs. 1680-08-04-.05 FORMS

(1) The Department may create, revise, and amend all forms necessary for the administration of all matters relating to the CMDP and BGP. The Department may specify the information to be included therein and the supporting materials to be provided.

(2) The applicant and/or participating surety shall execute the appropriate form(s) and provide in detail all information required by the Department.

(3) Copies of forms are to be obtained from the Tennessee Department of Transportation/Civil Rights Office, Small Business Development Program, Suite 1800, James K. Polk Building, 505 Deaderick Street, Nashville, Tennessee 37243-0347.

History

• Authority: T.C.A. §4-3-2305.
• Administrative History: Original rule filed June 15, 2005; effective August 29, 2005.

Chapter 1680-09-01 Railroad Grade Crossing Standards

Tenn. Comp. R. & Regs. 1680-09-01-.01 PURPOSE

The purpose of these Rules is to implement Chapter 315 of the Tennessee Public Acts of 2001, Tenn. Code Ann. § 65-11-101(c), by establishing standards for the construction of railroad grade crossings on public roads, and for the conversion of private crossings to public crossings, within the State of Tennessee. These Rules also establish procedures for the approval of plans for the construction or conversion of grade crossings and for the inspection of these crossings by the Department before they are opened to vehicular traffic.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.02 APPLICABILITY

(1) Construction or Conversion of Crossings After July 1, 2001.

After July 1, 2001, there shall be no construction of any public crossing, and no conversion of a private crossing to a public crossing, anywhere within the State of Tennessee without the prior review and approval of the Department as provided in these Rules. In addition, no such crossing shall be opened to vehicular traffic until it has been inspected by the Department to assure that it has been constructed or converted in accordance with the plans previously approved by the Department. In those cases where the construction or conversion of a crossing occurs at or on an existing public or private roadway, the crossing shall not be opened to vehicular traffic prior to the Department’s final inspection of the construction or conversion, except in accordance with a temporary traffic control plan approved by the Department under these Rules.

(2) Scope of Review and Approval.

The Department’s approval authority under these Rules is limited to the review and approval of plans for the construction of public crossings, or the conversion of private crossings, and the inspection of such crossings before they are opened to traffic. Apart from its responsibility under these Rules to approve the plans and to inspect the completed construction or conversion, the Department does not have any other authority to permit or require the construction or conversion of grade crossings on roads not designated as being on the state highway system. The decision to construct a public crossing, or to convert a private crossing to a public crossing, on any road not included in the state highway system shall remain with the governmental entity, person and/or railroad having jurisdiction over the road or crossing.

(3) No Retroactive Effect.

These Rules shall not apply to any grade crossing constructed prior to July 1, 2001, except insofar as the standards established in these Rules may provide the pertinent governmental authority, person or railroad with guidance in evaluating such grade crossings for possible closure.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.02 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.03 DEFINITIONS

(1) “AASHTO” means the American Association of State Highway and Transportation Officials.

(2) “AASHTO Design Manual” means the most current edition and revisions of the AASHTO publication “A Policy on Geometric Design of Highways and Streets.”

(3) “Active warning device” means a traffic control device at a grade crossing activated by the approach or presence of a train, such as flashing light signals, bells, automatic gates, or similar devices, that warn motorists and pedestrians of the approach or presence of a train at the crossing.

(4) “ADT” means average daily traffic.

(5) “Commissioner” means the Commissioner of the State of Tennessee Department of Transportation.

(6) “Construction” when used in reference to the construction of a public crossing means any of the following:

(a) The actual physical construction of a new public crossing in a location where no grade crossing currently exists; or (b) The addition of a lane or lanes to a public road at an existing grade crossing; or (c) The addition of a railroad track or tracks at an existing public crossing.

(7) “Conversion” when used in reference to a private crossing means a change in the use or legal status of the roadway at a grade crossing from a private road to a public road.

(8) “Department” means the State of Tennessee Department of Transportation.

(9) “Exposure” when used in reference to the standards for installing active warning devices at a grade crossing means the product of the average daily traffic on the roadway and the number of train crossings per day on the railroad track.

(10) “FHWA” means the Federal Highway Administration, an agency of the United States Department of Transportation.

(11) “FRA” means the Federal Railroad Administration, an agency of the United States Department of Transportation.

(12) “FRA Highway-Rail Crossing Inventory Manual” means the most current edition and revisions of the FRA publication “Highway-Rail Crossing Inventory Instructions and Procedures Manual.”

(13) “Grade crossing” means the at-grade intersection of one or more railroad tracks with a public or private road.

(14) “Grade separation” means a bridge, trestle, tunnel, culvert or other structure enabling one or more railroad tracks to cross over or under a public road or private road.

(15) “Interconnection” means the communication connection between an active warning device and the roadway traffic controller assembly for the purpose of preemption.

(16) “MUTCD” means the most current edition and revisions of the “Manual on Uniform Traffic Control Devices,” which is published by the Federal Highway Administration.

(17) “Passive warning device” means a traffic control device, such as a highway sign or marking, located at or in advance of a grade crossing to indicate the presence of a grade crossing but which does not activate or change upon the approach or presence of a train.

(18) “Preemption” means the transfer of the normal operation of roadway traffic signals to a special control mode as a result of a signal received from a railroad active warning device system.

(19) “Private crossing” means the at-grade intersection of one or more railroad tracks with a private road, where the roadway is a private road, as defined in this Rule, on both sides of the grade crossing. The

purpose of this definition of “private crossing” is to identify the scope of the Department’s authority to review plans for the proposed construction or conversion of a grade crossing under this Chapter, and it should not be construed to change or affect the legal status of a grade crossing as “public” or “private” for any other purpose.

(20) “Private road” means a roadway owned by a private person or entity, or by a governmental entity in its proprietary capacity, that is not freely open to use by the public without permission but is available for use only by the owner or the owner’s invitees (as may be evidenced by the presence of gates or no trespassing signs, maintenance by a private person or entity, or other relevant evidence indicative of private ownership and/or restricted use of the roadway) or any roadway determined to be a private road by a court of competent jurisdiction. The entrance of a private driveway onto a public road shall be considered a private road even though the entrance may be located on the public road right-of-way and may be maintained by a governmental entity, unless the private driveway is freely open to use by the public without permission.

(21) “Public crossing” means the at-grade intersection of one or more railroad tracks with a public road, including any intersection where the roadway on either side of the grade crossing is a public road as defined in this Rule. The purpose of this definition of “public crossing” is to identify the scope of the Department’s authority to review plans for the proposed construction or conversion of a grade crossing under this Chapter, and it should not be construed to change or affect the legal status of a grade crossing as “public” or “private” for any other purpose.

(22) “Public road” means a roadway owned and/or maintained by a governmental entity or a private entity that is freely open to use by the public without permission, or any roadway determined to be a public road by a court of competent jurisdiction.

(23) “Rail Safety Office” means the Rail Safety Office in the Public Transportation, Waterways and Rail Division of the State of Tennessee Department of Transportation, or any successor thereof as determined by the Department.

(24) “Roadway” means that portion of a highway improved, designed, or ordinarily used for vehicular travel, including the shoulder.

(25) “TDOT Standard Roadway Drawings” means the most current edition and revisions of the Department’s “English Standard Roadway Drawings,” or the most current edition and revisions of the Department’s “Metric Standard Roadway Drawings,” if applicable.

(26) “TDOT Standard Specifications for Road and Bridge Construction” means the Department’s publication “Standard Specifications for Road and Bridge Construction,” 1995 edition, together with the “Supplemental Specifications” as revised and published by the Department.

(27) “USDOT” means the United States Department of Transportation.

(28) “USDOT-AAR crossing inventory” means the national inventory of all grade crossings, public and private, which is maintained by the Federal Railroad Administration.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.03 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.04 STANDARDS

(1) Railroad Track and Crossing Pad Standards.

(a) The crossing pad shall be constructed of any paved or panelized crossing surface material compatible with the current practices of the involved railroad, or of such material as the Department may require.

(b) Specifications and plans concerning the crossing surface material and use shall comply with the manufacturer’s recommendations and the involved railroad’s current standards and specifications.

(c) The width of the crossing pad at the grade crossing shall correspond to the width of the approach roadway cross section, including but not limited to the traffic lanes and any shoulders, pedestrian walkways and bicycle paths; provided, however, that the crossing pad shall have a minimum width of 32 feet.

(d) The crossing pad shall have the same number and width of traffic lanes and shoulders as the approach roadway.

(e) Roadway markings shall be provided on the crossing pad in accordance with the MUTCD.

(f) Flangeways of not less than 2½ inches nor more than 3 inches in width shall be provided between the rail and the crossing pad, except where track geometry or other track appliances may require otherwise. Flangeways shall be at least 2 inches in depth, except as the involved railroad may otherwise approve.

(g) Materials and specifications shall comply, at a minimum, with the following:

1. Materials.

All track materials used - including but not limited to ties, crossing pads, fasteners, geotextile fabric, drainage tile and other track material - shall be new, except that rail may be No. 1 relay or new.

2. Drainage.

Adequate engineered drainage shall be provided. The drainage design for crossdrainage and trackside shall be based on a 50-year design frequency, checked for 100year, or on the current design frequency standards of the involved railroad.

3. Ballast.

The ballast and sub-ballast shall be dug out and replaced to a minimum of 10 inches below the bottoms of the ties, a minimum of 2 feet beyond the ends of the ties, and a minimum of 20 feet beyond the end of the crossing pad.

4. Ties.

(i) Where a crossing system requires the use of track ties, the ties shall be made of preservative-treated No. 5 air-dried hardwood of not less than 9 inches wide and not less than 7 inches deep, or the ties shall be made of concrete, steel, plastic or other materials of suitable strength and dimensions, consistent with the standards of the involved railroad. The ties shall be installed through the limits of the crossing and beyond the crossing pad a minimum of 20 feet. The length and spacing of the ties shall conform to the type of grade crossing surface materials being used.

(ii) Where the crossing system design does not require track ties, the crossing system shall be adequate to maintain track gage, surface and alignment as defined by applicable FRA regulations.

5. Rail.

(i) Rail size of 112 pounds per yard, or the current size of rail used on the line, whichever is larger, shall be used through the limits of the crossing and beyond the crossing pad a minimum of 20 feet.

(ii) The rails throughout the crossing shall be installed to eliminate joints within the crossing. The nearest joint shall be not less than 20 feet from the end of the crossing pad. Where necessary, long rails shall be used or the rail ends shall be welded to form continuous rail through the crossing; provided, however, that no welded rail of greater than 400 feet in length shall be used without the approval of the involved railroad.

(iii) Any compromise joints (joints involving two different rail sizes) created by this crossing installation shall be welded or use transition rails or compromise rail joint bars of the proper size.

(iv) Torch cutting of rail ends or boltholes is prohibited.

6. Rail fasteners, plates and anchors.

Each tie system shall use the appropriate fastener and anchor systems to maintain gage and limit longitudinal rail movement. Where ties with spikes are used, they shall be fully tie-plated with a minimum of four spikes per tie plate, and they shall be fully box anchored, as allowed by the crossing surface material, through the crossing area and at least 20 feet beyond each end of the crossing pad. Where other systems are used, each tie must be fully attached to both rails in accordance with the system being used.

(h) Railroad alignment design.

Where grade crossings have two or more tracks, the tops of the rails for all tracks shall be brought to the same plane, where practical. All surface geometry design shall be in full compliance with applicable FRA regulations and railroad standards.

(i) Lining and surfacing track.

Rails shall be spiked or fastened to line and the track machined or mechanically tamped and surfaced to the grade and alignment of the existing track and roadway. In order to achieve the optimum ballast compaction through the crossing area, lining and surfacing shall involve two passes at a minimum, allowing as many train movements as time will permit, across the grade crossing before final surface and alignment.

(2) Roadway Standards.

(a) Roadway alignment design.

1. Vertical alignment.

(i) The surface of the roadway shall be in the same plane as the tops of the rails for a distance of at least 2 feet beyond the rails for either single or multiple-track crossings.

(ii) The top of the rail plane shall be connected with the grade line of the roadway each way by vertical curves of such length as is required to provide riding conditions and sight distances normally applied to the roadway involved.

(iii) Unless track superelevation dictates otherwise, the vertical alignment of the roadway shall comply with the current recommended practices stated in the AASHTO Design Manual.

2. Roadway surface cross slope.

(i) Roadway surface cross slope should be eliminated within 10 feet of the rail at the grade crossing to ensure a proper meet between the roadway and crossing pad surfaces.

(ii) Pavement transition lengths should be in accordance with TDOT Standard Roadway Drawings and the AASHTO Design Manual.

(iii) The engineer shall ensure that elimination of the roadway surface cross slope does not cause ponding.

(iv) Any proposed exceptions based on roadway curvature, superelevation, or other design considerations must be approved by the Department.

3. Horizontal alignment.

The roadway shall be designed to provide no less than a 75-degree approach at the grade crossing, and, if practical, the roadway should be designed to intersect with the railroad track or tracks at a right angle or as near to a right angle as possible. Any proposed exception must be based on an engineering study and approved by the Department.

Railroad curves should be avoided when practical.

(b) Roadway surface.

1. Materials and placement.

The roadway shall be paved, at a minimum, within 150 feet of the nearest rail at the grade crossing. The depth and type of the pavement material used, and the placement of the base and pavement, shall comply with all requirements for base and pavement stated in the TDOT Standard Specifications for Road and Bridge Construction.

2. Roadway and lane width.

The width of the roadway at the grade crossing shall correspond to the width of the approach roadway, including traffic lanes and shoulders. The roadway at the grade crossing shall have the same number and width of traffic lanes and shoulders as the approach roadway. In the event that the approach roadway is less than 32 feet wide, a minimum paved approach of 32 feet shall be provided within 25 feet of the nearest rail at the grade crossing, with lane widths remaining the same as on the approach roadway.

3. Roadway markings.

At all paved approaches to the grade crossing, the roadway shall be marked in accordance with the MUTCD.

(c) Drainage.

1. Adequate engineered drainage shall be provided.

2. The following design frequencies based on roadway classification shall be used for drainage design:

(i) Culvert design frequency:

Multi-lane divided roadway: 50-yr.; check 100-yr.

Arterial and collector: 50-yr.; check 100-yr.

Local road: 50-yr.; check 100-yr.

(ii) Ditch design frequency:

Multi-lane divided roadway: 50-yr.

Arterial and collector: 10-yr.; 50 yr. in sags Local roads: 10-yr.

(iii) Roadway freeboard:

All roadways: 50-yr.

(iv) Inlet and sewer design frequency:

Multi-lane divided roadway: 50-yr.

Arterial and collector: 10-yr.; 50-yr. in sags Local roads: 10-yr.

3. The design frequency selected for cross drainage structures:

(i) Shall not significantly increase the flood hazard for adjacent property; and (ii) Shall permit maintenance of vehicular traffic on roads and streets under design flood conditions.

4. The design frequency for roadway storm drainage structure design:

(i) Shall not significantly increase the flood hazard for adjacent property; and (ii) Shall limit the encroachment onto the traveled lanes that could cause a hazard to vehicular traffic.

5. In situations where the grade of the approach roadway descends toward the grade crossing, provisions shall be made to intercept surface and subsurface drainage and discharge it laterally so that it will not be discharged onto the track area.

(3) Signage Standards.

(a) Railroad signs.

1. The railroad shall erect and maintain a whistling post or whistle board in each direction from the grade crossing along its track(s). The sign will serve to alert operating train crews to the upcoming crossing so that a whistle warning may be sounded. The location of the post or board shall comply with any applicable FRA regulations and railroad company standards or policies.

2. The railroad shall install and maintain an emergency notification sign at each grade crossing in accordance with the MUTCD. At a minimum, this sign shall show the USDOT-AAR crossing inventory number, the milepost (if available), the roadway name, and the telephone number to call to report an emergency.

(b) Roadway signing and marking.

1. Passive warning devices shall be installed and maintained on the roadway at grade crossings in accordance with the MUTCD.

2. When a grade crossing is located at or near a roadway-roadway intersection, signage shall be installed at the intersection in compliance with the MUTCD.

(4) Standards for Active Warning Devices.

(a) The Department may require the installation of active warning devices at a grade crossing in accordance with the following minimum criteria, or as the Department may determine after conducting a diagnostic team field review:

Type of Active Warning Device Minimum Criteria 1. Flashing-Light Signals (Post-3,000 or more exposures, Mounted) with Automatic Gates: or Inadequate sight distances, as determined in accordance with the AASHTO Design Manual, Or The roadway at the grade crossing is a designated school bus route, commercial passenger vehicle route, or hazardous material route, Or Two or more railroad tracks at the grade crossing that may allow concurrent rail operations, Or The presence of a signalized highway intersection within 200 feet of the grade crossing.

2. Flashing-Light Signals (Overhead) with Automatic Gates:

Three or more lanes (including turning lanes) on the roadway at the grade crossing, Or 3,000 or more exposures and inadequate sight distances, as determined in accordance with the AASHTO Design Manual.

3. Flashing-Light Signals (Post- Mounted or Overhead as indicated above) with Automatic Four- Quadrant Gates and/or other safety devices as required by the Department: 20,000 or more exposures and the presence of any passenger train traffic on the railroad.

(b) All active warning devices required under this Rule shall be installed and maintained in accordance with the MUTCD.

(c) Whenever a signalized grade crossing is to be located near a signalized highway intersection, preemption shall be provided for in compliance with the MUTCD.

(d) Railroad Circuitry.

In connection with the installation of active warning devices at a grade crossing, the following types of circuitry shall be installed and maintained on the railroad tracks in accordance with the criteria specified below:

Type of Circuitry Criteria 1. Style C or AC/DC: Infrequently used tracks.

2. Motion Sensors: On regularly or frequently used tracks, where there is considerable switching, trains stopped or parked near the grade crossing, or consistent train speed.

3. Constant Warning Time: On regularly or frequently used tracks with variable train speeds.

(5) Grade Separation.

(a) Grade separation shall be required, and no grade crossing will be approved, on any roadway/railroad crossing where there is full control of access on the roadway.

(b) The department may also decline to approve the proposed construction or conversion of a grade crossing where:

1. A grade separation is feasible (based on topographic conditions, cost, and other relevant factors), and 2. Special hazardous conditions exist, including but not limited to the presence of highspeed (75 mph or more) passenger train traffic on the railroad or where trains block the crossing for long periods of time.

(6) Pedestrian Walkways and Bicycle Paths.

(a) Where federal funds are to be used in paying for all or any part of the costs of installing the grade crossing, provisions for pedestrian walkways and bicycle paths should be considered.

(b) Any pedestrian walkway or bicycle path included in the grade crossing shall comply with FRA track safety standards, 49 C.F.R., Part 213, or as amended, and the Americans’ With Disabilities Act accessibility guidelines contained in 28 C.F.R., Part 36, Appendix A, or as amended.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.04 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.05 PROCEDURES FOR APPROVALS AND INSPECTIONS

(1) Application Requirement.

(a) Whenever any person, railroad company, or governmental entity other than the Department proposes the construction of a public crossing, as defined in these Rules, or the conversion of a private crossing to a public crossing, as defined in these Rules, the person, railroad company or governmental entity proposing the construction or conversion must submit a written application for approval of the plans to the Rail Safety Office, or to such other office of the Department as the Commissioner may designate.

(b) The current address of the Rail Safety Office is Suite 1800, James K. Polk Building, 505 Deaderick Street, Nashville, Tennessee 37243, and the current telephone number is (615) 741- 1341; however, the address and telephone number of the Rail Safety Office may be subject to change without amendment of these Rules.

(2) Information Required in Application.

The applicant shall provide all relevant information regarding the proposed construction or conversion of the grade crossing, as determined by the Department. At a minimum, unless the Department expressly waives any item of information, the application shall contain:

(a) The name, address, and telephone number of the applicant, and the identity of the contact person;

(b) The name and address of the railroad company that owns and/or operates trains on the track(s) at the grade crossing, and the identity of the contact person, if known;

(c) The name and address of the governmental entity having jurisdiction, or which will have jurisdiction, over the roadway at the grade crossing, and the identity of the contact person;

(d) Maps or other documentation showing:

1. The general and specific location of the proposed construction or conversion of the grade crossing;

2. The USDOT-AAR crossing inventory number, if assigned, and the railroad milepost number for the crossing;

3. The geodetic coordinates of the grade crossing;

4. Existing patterns of traffic for:

(i) emergency vehicles;

(ii) school buses;

(iii) vehicles carrying hazardous materials; and (iv) trucks;

5. The distance in each direction along the roadway to any public road intersection within 2,500 feet of the grade crossing, the type of public roads, and the type of roadway signs and markings and/or traffic control devices, if any, at each such intersection; and 6. The distance in each direction along the railroad track(s) to any public road intersection within one mile of the grade crossing, the type of public roads, the type of crossing (grade crossing or grade separation), and the type of passive warning devices and/or active warning devices, if any, at each such crossing;

6. The distance in each direction along the railroad track(s) to any intersection or junction with another railroad track within two miles of the grade crossing;

7. Sight distance calculations, consistent with the AASHTO Design Manual, for the presence of any objects or features that obstruct the view from a vehicle on the roadway to the grade crossing or the approaching train;

(e) Plans for the construction or conversion showing:

1. The present and proposed grade and alignment of the roadway within 500 feet of the grade crossing, or within 100 feet beyond the limit of work, whichever is less;

2. The present and proposed grade and alignment of the railroad track(s) within 200 feet of the grade crossing;

3. The present and proposed right-of-way limits of the roadway and railroad at the grade crossing; and (f) Construction details, including but not limited to the typical roadway cross-section;

(g) The temporary traffic control plan, or plan for the detour of vehicular traffic, during construction;

(h) The proposed schedule of construction or conversion;

(i) The existing ADT and the projected 5-year and 20-year ADT on the roadway at the grade crossing;

(j) The percentage of trucks at the grade crossing;

(k) The design speed of the roadway and the posted speed limits of vehicles using the roadway at the grade crossing;

(l) The existing frequency of trains, types of trains (passenger, freight or switching), and the maximum and average speeds of trains using the railroad track(s) at the grade crossing;

(m) The existing and proposed roadway signs, markings, or other traffic control devices, and any existing and/or proposed passive warning devices, active warning devices and interconnections, at the grade crossing; and (n) A list of any alternatives to the proposed construction or conversion that have been considered by the applicant, including but not limited to the feasibility of a grade separation rather than at-grade crossing.

(3) Preparation of Plans by Registered Engineer.

All engineering plans, specifications and calculations required by the Department, as in subparagraphs (2)(d) through (2)(n) above, shall be prepared by a registered engineer licensed in the State of Tennessee.

(4) Review of Applications.

(a) Upon receipt of an application, together with the required application fee as described in Rule

Tenn. Comp. R. & Regs. 1680-09-01-.07 FEES

(1) General.

The Department shall charge a fee for the review and approval of plans for the construction or conversion of grade crossings and for the inspection of the completed crossings. Such fees shall be sufficient to offset the cost to the Department of performing these services, and any such fee shall be paid by the applicant seeking approval of the plans for the crossing.

(2) Application Fee.

Each application to the Department requesting review and approval of plans for the construction of a public crossing or conversion of a private crossing in accordance with these Rules shall be accompanied by the payment of an application fee in the amount of $3,000. This fee shall be made payable to the Department.

(3) Inspection Fee.

Each notice of request to the Department to perform a final inspection of the completed construction or conversion shall be accompanied by the payment of an inspection fee in the amount of $1,000.

This fee shall be made payable to the Department.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.07 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.06 COSTS OF CONSTRUCTION OR CONVERSION

Any entity proposing the construction or conversion of a grade crossing shall be responsible for all costs associated with the construction or conversion of such crossing in compliance with the plans approved by the Department.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.06 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-01-.08 ENFORCEMENT

(1) If a grade crossing is constructed or converted in violation of Section 65-11-101(c) of the Tennessee Code or this Chapter, the affected railroad may remove the grade crossing and recover the cost of such removal from the party that constructed or converted the grade crossing.

(2) If the affected railroad, or any other interested party, has reason to believe that a grade crossing has been constructed or converted in violation of this Chapter, the affected railroad or other interested party may request, in writing, that the Department perform a search of its records to determine if the grade crossing was constructed or converted in compliance with this Chapter. As soon as reasonably possible after receiving such a written request, the Department shall perform the records search and advise the affected railroad or other interested party whether the grade crossing was constructed or converted in compliance with this Chapter.

History

• Authority: T.C.A. §65-11-101.
• Administrative History: Original rule filed April 5, 2002; effective June 19, 2002. Rule has been assigned a new control number from 1680-12-1-.08 filed and effective February 1, 2003.

Chapter 1680-09-02 Rules and Regulations Governing Railroads

Tenn. Comp. R. & Regs. 1680-09-02-.01 APPLICATION FOR EXCEPTIONS TO MINIMUM CLEARANCE STATUTE

All applications for exceptions to or variance from the minimum clearance provisions of Title 65, §§65-6-201 through 65-6-208 of the Tennessee Code Annotated, shall be filed either solely by the railroad, or railroads, involved or jointly by the railroad, or railroads, and such other persons, firms or corporations as may be interested in obtaining the exception or variance. No such application will be entertained, heard or granted unless the railroad, or railroads, operating over the track in question expressly join in such application.

History

• Authority: T.C.A. §65-2-102.
• Administrative History: Original rule certified May 9, 1974. Rule has been assigned a new control number, removed, and renumbered from rule 1220-3-1-.01 filed and effective January 16, 2002. Rule has been assigned a new control number from 1680-12-2-.01 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-02-.02 RAILROADS’ MINIMUM INJURY AND PROPERTY DAMAGE REPORT

(1) Monthly Reporting All rail carriers which operate in and through Tennessee shall submit to the Commission a copy of all monthly reports of railroad accidents and incidents occurring in Tennessee which must be reported to the Federal Railroad Administration under Part 225 of Title 49 of the Code of Federal Regulations.

Such reports must be on forms prescribed by the Federal Railroad Administration and must be submitted within thirty (30) days after expiration of the month during which reportable accidents or incidents occur.

(2) Immediate Reporting Requirements (a) All rail carriers operating in and through Tennessee shall report immediately by telephone the occurrence of accidents or incidents arising from the operation of the railroad which results in the death of a rail passenger, rail employee, or member of the public, or which occurs at a railhighway grade crossing.

All telephone reporting required by this sub-section shall be made to the Tennessee Public Service Commission at 800-342-8359 within Tennessee and at 615-741-2754 outside Tennessee or to any other telephone number designated for this purpose by the Commission.

(b) All rail carriers which operate in and through Tennessee shall report immediately by telephone the occurrence of accidents or incidents arising from the operation of the railroad which involves hazardous materials where 1. any person is injured due to fire, explosion, or exposure to hazardous materials.

2. a continuing danger to life, health or property at the place of the accident or incident exists or 3. the estimated property damage exceeds ten thousand dollars ($10,000).

All telephone reporting under this subsection shall be made to the Tennessee Emergency Management Agency at 800-362-3300 within Tennessee or to any other telephone number designated for this purpose by this agency. The Tennessee Emergency Management Agency shall immediately contact the Tennessee Public Service Commission upon the receipt of such report as to the details of such accidents or incidents.

(c) Each telephone report required by this rule shall state the following:

1. Name of the railroad;

2. Name, title, and telephone number of the individual making the report;

3. Time, date, and location of accident or incident;

4. Circumstances of the accident or incidents;

5. Number of persons killed or injured;

6. Classification, name, and quantity of hazardous materials involved in accident or incident, if known.

History

• Authority: T.C.A. §§65-3-104 and 65-3-107.
• Administrative History: New rule filed August 26, 1988; effective November 29, 1988. Rule has been assigned a new control number, removed, and renumbered from rule 1220-3- 1-.03 filed and effective January 16, 2002. Rule has been assigned a new control number from 1680-12-2-.02 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-02-.03 MAINTENANCE AND CONDITION OF RIGHTS-OF-WAY, YARDS, TERMINALS, AND

CONTROL OF VEGETATION. Every commercial railroad, interurban railroad and street railroad subject to the jurisdiction of the Tennessee Public Service Commission shall hereafter from the date of this rule eliminate all dangerous or unhealthy conditions along its rights of way, yards and terminals and keep said rights of way, yards and terminals clear of debris and other foreign matter inasmuch as said debris and other foreign matter shall constitute a dangerous or unhealthy condition to the employees or the public and shall provide that all rights of way, yards and terminals shall be maintained and kept free from vegetation as may be appropriate to prevailing conditions and shall provide for abatement of weeds, grass and bushes adjacent to rights of way, yards and terminals as necessary to prevent the growth of objectionable vegetation encroaching on said rights of way, yards and terminals; provided that rights of way referred to in this rule shall mean such rights of way inside incorporated towns and/or switching limits.

History

• Authority: T.C.A. §65-2-102.
• Administrative History: Original rule certified May 9, 1974. Rule has been assigned a new control number, removed, and renumbered from rule 1220-3-1-.10 filed and effective January 16, 2002. Rule has been assigned a new control number from 1680-12-2-.03 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-02-.04 SPECIFICATION OF SAFETY STANDARDS IN TERMINALS, YARDS, AND ALONG

RIGHTS-OF-WAY OF RAILWAYS-WALKWAYS.

(1) In order to meet the requirements of T.C.A. § 65-3-123, every commercial railroad shall maintain working areas in a safe condition in yards, terminals, within Switching Limits, and at other points where switching may be expected to be performed in the ordinary course of business.

(2) Any walkway in the area specified in sub-section (a) above shall be deemed to be safe if it:

(a) Is approximately level with the top of the crossties for a distance of approximately 6 inches and thereafter slopes at no greater that 8 to 1 or approximately 7°;

(b) Extends for a distance of approximately ten feet from the center line of track on both sides except where a lesser distance is otherwise provided for clearance under T.C.A. §§65-6-201 through 65-6-208.

(c) Has a reasonably smooth surface. Stone or gravel surfacing next to main lines shall be such that one hundred percent will pass a 21/2 inch screen, ninety-five to one-hundred percent will pass a 2 inch screen, thirty-five to seventy percent will pass a 11/2 inch screen, fifteen percent or less will pass 1 inch screen and zero to five percent will pass a 1/2 inch screen. Stone or gravel surfaces next to walkways adjacent to yard tracks, industrial tracks, team or piggy-back tracks shall be on the mixture commonly called 3/4 inch, or may be such that one hundred percent is expected to pass a 1 inch screen, ninety-five to one hundred percent will pass the 3/4 inch screen, fifteen to twenty-five percent will pass the 1/2 inch screen and less than ten percent will be smaller than 3/8 inch.

(d) Is kept reasonably free of debris or other objects which pose a hazard to normal walking in the area.

(3) The safety or unsafety of any walkways in such areas which does not meet the standards specified in sub-section (2) above shall be determined by the Commission on a case by case basis under the procedures prescribed by law and the rules of the Commission.

(4) “The purpose of this role is to establish standards of safety, which are to be construed not as a blanket order requiring all railroads in all circumstances to constructor reconstruct all walkways exactly in accordance with those standards, but rather as a statement of recommended practice, It is not intended to imply that other practices may not be considered safe under the circumstances of particular situations.” (Effective February 1, 1970.)

History

• Authority: T.C.A. §63-202.
• Administrative History: Original rule certified May 9, 1974. Rule has been assigned a new control number, removed, and renumbered from rule 1220-3-1-.11 filed and effective January 16, 2002. Rule has been assigned a new control number from 1680-12-2-.04 filed and effective February 1, 2003.

Tenn. Comp. R. & Regs. 1680-09-02-.05 SPECIFICATIONS OF SAFETY STANDARDS IN TERMINALS, YARDS AND ALONG

RIGHTS-OF-WAY OF RAILWAYS NOTICE OF NEW TRACKAGE.

(1) In order to meet the requirements of §65-331, T.C.A., every railroad subject to that Section shall maintain working areas in yards, terminals, within Switching Limits, and at other points where switching is performed in a safe condition.

(2) Any railroad, subject to the provisions of §65-331, T.C.A., constructing new trackage sidings or spur tracks shall notify the Commission prior to the commencement of any such construction, in order that the Commission may ascertain whether the same complies with the provisions of §65 -331, T.C.A., and to enable the Commission to inspect and approve said construction prior to the institution of service thereon.

(3) Any railroad, subject to the provisions of §65-331, T.C.A., after having knowledge of an industry locating, relocating or expanding its present facilities and requiring new trackage or rail service by that railroad. shall notify the Commission within ten (10) days after such knowledge becomes a matter of public knowledge.

(4) Any railroad subject to the provisions of §65-331, T.C.A., having knowledge of a private contractor installing new trackage or making repairs to present trackage to be served by that railroad shall notify the Commission within ten (10) days of such knowledge. (Effective February 1, 1970.)

History

• Authority: T.C.A. §63-202.
• Administrative History: Original rule certified May 9, 1974. Rule has been assigned a new control number, removed, and renumbered from rule 1220-3-1-.12 filed and effective January 16, 2002. Rule has been assigned a new control number from 1680-12-2-.05 filed and effective February 1, 2003.

Chapter 1680-10-01 Constructing Driveway Entrances on State Highway Rights-of-Way

Tenn. Comp. R. & Regs. 1680-10-01-.01 PURPOSE

(1) Section 54-5-301 of the Tennessee Code authorizes the Commissioner of the Tennessee Department of Transportation to adopt reasonable and proper rules governing the construction of driveway entrances into highways on the State Highway System in order to maintain proper drainage, preserve the roadway from damage, and prevent interference with or the creation of hazards to public travel.

(2) The primary function of a state highway is to provide system continuity and efficiency of state highway system operation and maintenance activities. The Department of Transportation recognizes that property owners have the right of reasonable access to their property, and the Department will work with property owners and local government authorities to provide reasonable access to the state highway system that is safe and enhances the movement of traffic through a permitting process that assesses the number, location, width, and design of driveways.

(3) These rules establish procedures to apply for a driveway permit on a state highway, standards or guidelines for granting a driveway permit, and provisions for requesting a variance from the standards established in these rules.

History

• Authority: T.C.A. § 54-5-301.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Previous rule has been assigned a new control number moving it to 1680-08-02; effective February 1, 2003. New rules filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-10-01-.02 APPLICABILITY

(1) These rules shall govern the construction of all driveway entrances within the rights-of-way of highways designated as part of the state highway system.

(2) No driveway entrance shall be constructed on any state highway right-of-way without a permit issued by the Department of Transportation. These rules provide a description of information to be contained in the driveway permit application, the standards against which the application shall be measured, and the administrative remedies offered by the Department to review the balance of private property rights of reasonable access versus the public need to preserve the smooth flow of traffic on the State Highway System.

(3) The Department may issue driveway permits only when the application is found by the Department to be in compliance with these rules. The Department is authorized to impose terms, conditions, and limitations as necessary and convenient to meet the requirements of these rules.

(4) The standards, procedures, and requirements of these rules are in addition to any county or municipal land use regulations that may also govern the construction of driveways within their respective jurisdictions.

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History

• Authority: T.C.A. §§ 54-5-301 and 54-5-302.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Previous rule has been assigned a new control number moving it to 1680-08-02; effective February 1, 2003. New rules filed December 28, 2015; effective March 27, 2016.

Tenn. Comp. R. & Regs. 1680-10-01-.03 ADOPTION OF MANUAL FOR CONSTRUCTING DRIVEWAY ENTRANCES ON

STATE HIGHWAYS.

(1) The Tennessee Department of Transportation, Manual for Constructing Driveway Entrances on State Highways, 2015 Edition, set forth in Rule 1680-10-01, Appendix, is hereby adopted in its entirety and incorporated herein by reference.

(2) It is the intent of the Department to amend these rules as necessary to adopt future revisions of the Manual for Constructing Driveway Entrances on State Highways as may hereafter be approved.

History

• Authority: T.C.A. § 54-5-301.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Previous rule has been assigned a new control number moving it to 1680-08-02; effective February 1, 2003. New rules filed December 28, 2015; effective March 27, 2016. March, 2016 3

Tenn. Comp. R. & Regs. 1680-10-01-.04 APPENDIX – MANUAL FOR CONSTRUCTING DRIVEWAY ENTRANCES ON STATE

HIGHWAYS.

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History

• Authority: T.C.A. § 54-5-301.
• Administrative History: Original rule filed December 20, 1990; effective February 3, 1991. Previous rule has been assigned a new control number moving it to 1680-08-02; effective February 1, 2003. New rules filed December 28, 2015; effective March 27, 2016.

Chapter 1680-10-02 Truck Lane Restrictions along Interstates and Multi-Lane Access Controlled Highways (Transferred from 1680-02-05)

Tenn. Comp. R. & Regs. 1680-10-02-.01 PURPOSE AND SCOPE

(1) The purpose of these rules is to implement Tennessee Code Annotated § 55-8-195 by establishing criteria for the designation and enforcement of lane restrictions for truck tractors and semi trailers as defined in Tennessee Code Annotated § 55-8-101 and in these rules.

(2) The truck lane restrictions established under these rules shall apply only in designated areas where appropriate signage has been posted on eligible highways as defined in these rules.

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered from 1680-02-05 effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-10-02-.02 DEFINITIONS

(1) “Access controlled highway” means a highway or street especially designed for through traffic, with grade-separated interchanges rather than at-grade intersections, and to which owners or occupants of abutting land or other persons have no legal right or easement of access from abutting land.

(2) “Bus” means every motor vehicle designed for carrying more than ten (10) passengers and used for the transportation of persons, and every motor vehicle, other than a taxicab, designed and used for the transportation of persons for compensation.

(3) “Eligible highways” means highways on the Interstate Highway System and access controlled, multilane divided highways on the state highway system that have three (3) or more lanes in each direction of travel.

(4) “Semi trailer” means every vehicle with or without motive power, other than a pole trailer, designed for carrying persons or property and for being drawn by a motor vehicle and so constructed that some part of its weight and that of its load rests upon or is carried by another vehicle.

(5) “Truck tractor” means every motor vehicle designed and used primarily for drawing other vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and load so drawn.

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered from 1680-02-05 effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-10-02-.03 TRUCK LANE RESTRICTIONS

(1) Except as otherwise provided in these rules, truck tractors and semi trailers shall be restricted to the right two (2) lanes of travel, or as otherwise determined by the Department of Transportation, in designated areas of eligible highways where appropriate signage has been posted.

(2) Truck lane restrictions shall not apply when truck tractors and semi trailers are passing other motor vehicles. The passing maneuver shall be safely completed in as short a time period as feasible. The passing maneuver shall consist of passing one motor vehicle at a time.

(3) Buses are not subject to the restrictions established in these rules.

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered from 1680-02-05 effective March 1, 2018. Amendment filed December 1, 2017; effective March 1, 2018.

Tenn. Comp. R. & Regs. 1680-10-02-.04 GUIDELINES FOR ESTABLISHING TRUCK LANE RESTRICTIONS ON ELIGIBLE

HIGHWAYS.

(1) Interstate highways and other access controlled, multilane divided highways that have three (3) or more through lanes in each direction of travel are eligible for truck lane restrictions.

(2) Only those portions of eligible highways approved by the Department of Transportation and where appropriate signage has been installed shall be considered as having truck lane restrictions.

(3) Truck lane restrictions shall terminate within two (2) miles of a left lane exit to allow ample time for lane transitions.

(4) Existing truck lane restrictions may be temporarily terminated or modified during highway construction and other special events at the discretion of the Department of Transportation.

(5) Truck lane restrictions should be avoided in areas where the average truck spacing is less than 500 feet per lane.

(6) Signs shall be placed in accordance with the Manual on Uniform Traffic Control Devices (MUTCD) to provide motorists with notification of the restricted zone. Examples of the signs may be found in the current edition of the Tennessee Supplement to Standard Highway Signs and the MUTCD.

(7) These rules do not apply to those portions of highways where “truck climbing lanes” have been established due to excessive grades or where special truck lane restrictions have been established in construction zones.

(8) The Commissioner of the Department of Transportation reserves the authority to remove or modify truck lane restriction zones established under these rules.

History

• Authority: T.C.A. § 55-8-195.
• Administrative History: Original rule filed June 23, 2005; effective October 28, 2005. Chapter renumbered from 1680-02-05 effective March 1, 2018.