EXCAVATION A Guide for Underground Safety & Damage Protection - www.al811.com - Alabama 811
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EXCAVATION
M A N U A L
A Guide for Underground
Safety & Damage Protection
www.al811.com
Because no one knows your worksite like you do!
Register For Our Free
Web Ticket Entry Portal
Alabama 811’s WebPortal gives you 811
access 24 hours a day / 7 days a week. The
users WebPortal log in will allow access to
features on the Mobile App as well. To learn
more about how to take advantage of this
great service, simply go to www.al8l l .com
and click on Web Portal Locate Entry and
register to get started today!T A B L E O F
C O N T E N T S
SECTION PAGE
Disclaimer of Liability 2
Alabama 811 - Who We Are 3
Objectives 4
1. Determining When To Call Alabama 811 6
2. The Benefits of Digging Safely 7
3. Proper Notification Procedures 8
4. Responsibilities of the Underground
Facility Owner 17
5. Responsibilities of the Excavator 18
6. Safe Digging Tips For Excavators 21
7. Emergency Excavation 26
8. Design And Survey Requests 27
9. Enforcement and Civil Penalties 28
10. Alabama Code 31
1D I S C L A I M E R O F
L I A B I L I T Y
This manual is an educational and information
document for anyone who plans to excavate or
undertake any project that requires breaking the earth’s
surface or demolition activities. It is to be used as a
reference tool for excavation in Alabama and as a guide
to contact Alabama 811. It does not have the force and
effect of law; the governing law is the Alabama Code
Title §37 Chapter 15 Section 1-11. Other laws may also
affect excavations such as the Alabama and Federal
Pipeline Safety Act, OSHA standard 1926.651, and CFR
Title 49-Part 192.614.
This manual, which includes a reproduction of Alabama
Code Title §37 Chapter 15 Section 1-11 Underground
Damage Prevention Legislation, is provided solely as a
convenience and is not to be used as a legal reference
document. Every effort has been made to accurately
reproduce Alabama Code Title §37 Chapter 15 Section
1-11 Underground Damage Prevention Legislation.
Alabama 811, nor any officer, employee or agent of
Alabama 811, makes any representations or warranties
as to the accuracy of the law. Persons seeking a
legal reference document should contact their legal
representative.
The information in the first sections of this manual
are designed to assist excavators when contacting
Alabama 811 and safe digging practices. It is also
intended to help member underground facility owners
who must respond to information provided to them
by Alabama 811. The reproduction of the Alabama
Code Title §37-15 in the back section of the manual
describes the responsibilities of the excavators and
member operators. While familiarity with the manual
2is recommended for all excavators and Alabama
811 member underground facility owners, their
responsibilities are as provided by law.
This manual does not have a copyright. The contents of
this manual are subject to change without notice.
Additional copies of this manual may be obtained by calling
Alabama 811’s administrative office at 205-731-3200
or by request using the Promotional Educational link
at www.al811.com.
A L A B A M A 8 1 1
W H O W E A R E
Alabama 811 is a 501(c)(6) non-profit organization
established to provide a statewide notification service
for the purpose of receiving statewide telephonic toll-
free or electronic notification of any planned excavation
or demolition activities by excavators as set forth in
Section 37-15-4 and distributing the required excavation
or demolition information to its affected member
operators as set forth in Section 37-15-5.
Alabama 811, is the statewide notification system
established as a means to safeguard against injury and
loss of life, to protect public services and to prevent
damage to underground facilities by providing for prior
notification of excavation and demolition activities to its
members.
Major Functions:
1. To receive notification from excavators, contractors,
utilities, homeowners, and other parties of all
proposed excavation or demolition activity. These
parties are required to comply with the Alabama
3Code Title §37-15 Underground Damage Prevention
Law. Contact Alabama 811 at least two working
days, not counting the day of notification, before
all planned excavation activities. The notifications
or calls received for this purpose are referred to as
locate requests.
2. To transmit, via communications network, any
information pertinent to the excavation location and
the nature of the excavation to all Alabama 811
members who have underground facilities at or near
that location.
3. To promote the use of Alabama 811 by all
excavators.
4. To promote membership in Alabama 811 and
its benefits to all facility operators who have
underground facilities in the state.
Alabama 811 does not perform locates, it is the
communication network between excavators and
member underground facility owners.
O B J E C T I V E S
In support of the overall purpose of Alabama 811,
this notification system was designed to encourage
acceptance and active participation by all excavators
and underground facility owners to:
1. Promote public safety
2. Eliminate costly damages
3. Reduce lost production time caused by damages
4. Promote utility coordination
45. Promote compliance with existing regulations:
such as, Alabama Code Title §37-15 Underground
Damage Prevention Legislation, OSHA 1926.651,
and CFR Title 49-Part 192.614
6. Help protect the environment
7. Promote the use Alabama 811 by excavators
8. Promote membership in Alabama 811.
Any person who engages in excavation or demolition
activities is required to give notification to Alabama 811
on behalf of all underground facility operators as written
in Alabama Code Title §37-15 Underground Damage
Prevention Law.
Alabama 811 records all telephone call notifications
and maintains all electronic notifications which have
been assigned a locate request ticket number. These
records are kept for up to 4 years to document the
notification. It is important to record the assigned locate
request number provided to you by Alabama 811 for
each location site. It is proof of the notification by the
excavator to the facility owner.
There is no charge to the excavator for the service
provided by Alabama 811 or by any member
underground facility owner when locating their
facilities for the excavator.
5S E C T I O N 1
DETERMINING WHEN TO CONTACT ALABAMA 811
If you plan digging, excavation, demolition activities
or moving the earth that could damage underground
utility facilities, the law requires you contact Alabama
811 at least two working days, not counting the day of
notification, before excavation activities.
You can contact Alabama 811 by calling 811 in the
state of Alabama, 800-292-8525, or enter your locate
request notification through the Alabama 811 Web
Portal, or through our mobile application. Visit our
website www.al811.com for further information.
Alabama 811 will contact member underground
facility owners with facilities in the area, or their
representatives, of your planned excavation site.
Member utility owners will then mark or stake the
approximate location of their underground facilities
at the excavation site within two working days not
counting the day of notification, before the proposed
date of excavation in the area.
When making a call for notification or placing an
online locate request to Alabama 811, please have
the information available shown in Proper Notification
Procedures, Section 3 pages 8-12. Be prepared to give
this information to the Call Center Agent if you have
called in your locate request or the notification you have
entered through the Alabama 811 Web Portal.
Alabama 811 processes locate requests 24/7.
Administrative office hours are 7:00 AM - 5:00 PM
Monday through Friday. Alabama 811 will observe
the following holidays: New Year’s Day, Memorial
Day, Independence Day, Labor Day, Veterans Day,
Thanksgiving Day, the Friday following Thanksgiving
Day, Christmas Eve and Christmas Day. If any of these
6holidays occur on a Saturday, it will be observed on the
preceding Friday and if any of these holidays occur on
a Sunday, it will be observed on the following Monday.
These holidays are not included in the calculation of the
two working day notice.
S E C T I O N 2
THE BENEFITS OF DIGGING SAFELY
Digging, trenching, boring, augering, and blasting are all
inherently dangerous to life and property. Even under
ideal conditions with a minimum of underground utilities
or other obstructions, the risk of potential damage is
high.
Unintentional damage to underground facilities during
excavation is a significant cause of disruption in
telecommunications, water supply, electric power and
other vital public services, such as hospitals and air
traffic control operations, and is a leading cause of
natural gas and hazardous liquid pipeline accidents.
Coordination, communication and cooperation between
excavators, contractors, homeowners, and utility
owners can reduce the risk of damage to utility facilities.
When a contractor, excavator or homeowner plans their
work, works their plan and always notifies Alabama 811
for underground utility locates in a timely manner, there
are many benefits that can be positive on any digging
project:
• Safeguard against personal injury and loss of life to
employees and the general public.
• Maintain uninterrupted utility service to the citizens
of Alabama.
• Reduce the possibility of civil penalties for not
complying with Alabama Code Title §37-15.
7• Reduce or eliminate the payment of property
damage claims.
• Reduce damages to expensive excavating
equipment.
• Reduce insurance premium payments.
• Reduce Workers’ Compensation payments.
• Reduce non-productive down time.
• Optimize job scheduling activities.
• Reduce overtime payments.
National studies show that when utilizing the 811
service prior to excavation, the chance of causing a
damage is reduced to 1%.
By contacting Alabama 811 two (2) working days before
you dig, you begin the process to safe digging.
The first step to safe digging begins during the planning
stages. By planning your work, understanding your
work area, and deciding when you plan to start your
excavation, you are on your way to digging safely.
Plan before you contact 811:
✓ Assess your route or excavation site
✓ Gather all your information
✓ Premark the location with white paint
S E C T I O N 3
PROPER NOTIFICATION PROCEDURES
1. Contact Alabama 811 by calling 811, 800-292-8525,
or 252-4444 (Birmingham Area). You may also enter
locate requests on our Web Portal online or on our
mobile application. Visit our website www.al811.com
for further information.
82. Whether you are calling Alabama 811 or using the
Alabama 811 online program to place a locate
request notification, you will be asked a series of
questions. Please review page 16 for the list of
information you will need to be prepared to provide.
Notification can be easy and efficient when you are
prepared to give the information explained below:
• Caller’s Telephone Number and Email: used to
access caller information quickly and efficiently.
Also used as a contact for the underground facility
operators. This number should be one that a
company representative can be reached in case of
any questions or problems. A field contact can be
provided if available.
• Caller Name, Company Name and Mailing
Address: helps maintain records and contacts of all
locate requests.
• Name of the County and City or Community
where the work will take place: The place/
community name must be correct for the county
provided.
• Type of Work: This is the type of work or
excavation to be done. Member utility operators
need to know the specific type of excavation to
be done. They need more than just “digging”,
“landscaping”, or “excavating” as a work type.
Be specific for example and say whether you are
“installing”, “repairing”, “planting trees”, “planting
flowers”, “putting up a fence”, “setting poles”,
“installing a telephone drop”, “installing a gas line”
and other excavation activities.
• Who the work is being done for: The identification
of who the work is being done for is another source
where additional information about the project can
be obtained. This can be the company making the
9notification, the general contractor, the property
owner, utility and etc.
• Location of Excavation/Job site: To ensure that
all underground facility owners can find the job site
of the locate request, the following information is
required:
• Address or street name of the location site: The
best information that can be given to identify the
work location is a complete street address. If a
complete street address is not available, then give
a street name, road name, US, state or county road
number or GPS coordinates. Be prepared to provide
driving directions.
• Name of the nearest intersecting streets within
one mile of job site and if the work is being
done at the intersection: This will help to narrow
down the notification area and determine the proper
underground facility to notify. It can also help
determine the correct street if more than one street
in the general area has the same name. The member
utility operators who have noted their service
area to be in the area of the jobsite are provided
notification to mark their underground facilities.
• Name of the subdivision and lot number
if applicable: Also the name of the road the
subdivision is off of and how far down that road is
from the nearest intersecting road or street.
• Identify the specific portion of the job site that
needs to be marked: Utility operators who receive
the notification need to know what area of the job
site needs to be marked for the work to be done.
Here are some good examples that are very
specific to identify a job site:
- Mark from lot line to lot line in road right of way.
10- Locate entire width of lot along back property line.
- Locate along right side of driveway from curb to
house.
- Locate the entire intersection of University Blvd.
and 22nd St.
- Locate 500 ft. in all directions, will be boring
under all roadways.
- 203 Thomas Drive just off Graham Road in Twin
Pines Subdivision.
- Locate entire lot and both sides of the road.
• Indicate any additional remarks or information
the facility owners need to be aware of.
• Indicate Field Contact and cellphone number, if
different from caller.
• Indicate if the notification is an emergency.
Alabama Code Title §37-15 defines an “emergency”
as “an excavation or demolition that is required
to eliminate an imminent danger to life, health,
property, or the environment or required for the
repair or restoration of operator service that is
required to be performed before the notification and
response procedures required in Sections 37-15-4
and 37-15-6 may be fully utilized”.
• Indicate if any boring or blasting will be used
in the excavation. Some member utility operators
want to know if directional boring will be used
during the excavation so they can plan for extra
precautions. If you are boring under a street, road,
driveway or parking area you need to request that
both the entering and exiting sides of the bore be
located plus the area in between the entrance of the
bore and the exit.
• White lining excavation area. Per Section 37-15-
114 (c) In the event the location requirements for a
Notice of Intent to Excavate cannot be met, the
excavator shall premark the route or boundaries
of the site of proposed excavation or demolition
by means of white paint as the identifying color on
stakes, flags, paint or buoys or identifiable materials
before a notification is made to Alabama 811. White
lining is using white paint to identify the proposed
excavation area. It is always proactive to mark
the proposed excavation area in white to better
communicate area of excavation.
• Indicate Date and Time you plan to start the
work. It is very important not to begin work prior
to the legal start date and time. The legal start
date and time is two working days, not counting
the day of notification, after the notification was
made based on proposed date of excavation.
“Working Day” is a 24-hour period commencing
the beginning of the start of the next working day
from the time of receipt of the notification, excluding
Saturday, Sunday and the nine holidays outlined
in the Alabama Code Title §37 Chapter 15 Section
1-11 Underground Damage Prevention Legislation.
Notification of excavation can be up to 10 working
days prior to the start of excavation and up to 30
working days prior to demolition.
3. You will then be given the following information:
• Legal date and time to proceed with excavation
or demolition.
• Expiration date and renewal date if work will not
be completed.
• A list of the underground facility owners who will
be notified.
• A Locate Request Ticket Number.
124. What happens after the excavation notification
to Alabama 811 is made?
The information is dispatched to the member under-
ground facility operators. The member underground
facility owners, or their representatives, will mark their
buried facility by the legal due date and time.
Additional Factors To Be Mindful Of When Placing
Your Notification
• Alabama 811 normally processes locate requests
as one address per locate request ticket. However,
if the work being done is a continuous trench, then
the street name can be given with the designated
multiple street addresses or lot numbers, or
beginning and ending addresses or lot numbers.
• In the case of an apartment complex, or specific
lot numbers, individual building or lot numbers
should go on different tickets. Since these building
numbers or lot numbers cannot be related to a
specific address, they require different notifications.
• When excavation involves more than one street,
each street must go on an individual notification.
• When working at an intersection, the intersection
can go on one notification. If the excavation is at an
intersection and continues down one street, then
that information can go on one notification. If the
excavation is at an intersection and continues down
two streets, the second street requires another
notification.
• For larger projects, the area noted on the request
should be no more than what can be worked during
the 20 working day period.
13Locate Request Notification Period
Alabama 811 member facility operators have two full
working days, not counting the day of notification, prior
to the proposed date of excavation in which to mark
the underground facilities. The Notice Calendar below
shows examples of when an excavator should be able
to begin excavation activities depending on the day of
the week that notice is given as well as any holidays
that may fall within the two working day period. This
does not apply to survey/design requests that have a 5
working day notice.
Notice Calendar
Day of Notification Proposed Start Date
@ 7am
WAIT TWO WORKING DAYS
Day of Notification
Weekends &
holidays are
WAIT TWO WORKING DAYS excluded
Proposed Start Date
@7am
Weekends &
holidays are
excluded
Day of Notification
Weekends &
WAIT TWO holidays are
WORKING DAYS excluded
Proposed Start Date
Weekends & @7am
holidays are 7am
WAIT TWO
excluded WORKING DAYS
14Locate requests are good for 20 working days, not
counting the day of notification. If the excavation work
will continue past the 20 day working period, the locate
request should be updated by the 17th working day
to allow for the new 2 full day working day notice. If
the project requires working longer than the validity
period, you must provide the two full working days, not
counting the day of the notification, to allow the facility
owners to refresh any marks prior to the expiration of
the original request. This will keep a valid locate request
active during excavation activities. The Ticket Life
Calendar below shows an example of when a locate
request should be updated and when it would expire
based on this example.
Ticket Life Calendar
Day of Notification Proposed Start Date Day 1
Day 2 Day 3 Day 4 Day 5 Day 6
Day 7 Day 8 Day 9 Day 10 Day 11
Day 12 Day 13 Day 14 Day 15 Day 16
Day 17 Day 18 Day 19 Day 20
Update if Work Continues
15LOCATE REQUEST FORM - BASIC INFORMATION
Company Phone
Company Name
Company Address
Caller Name
Work Type
Work Done For
State
County
Place (City/Town)
Address
Street
Nearest Intersecting Street Within 1 Mile
Subdivision
Area Where Excavation will be Conducted
Blasting Y/N
Boring Y/N
********************************************************************
KEEP THESE FOR YOUR REFERENCE:
Utilities Alabama 811 Will Notify:_______________________________
Locate Ticket Reference Number:
16S E C T I O N 4
UNDERGROUND FACILITY OPERATOR
RESPONSIBILITIES
As of January 2022, all underground facility owners will
be required to be members of Alabama 811.
If a facility operator has facilities in the excavation
area of a locate request notification, they, or their
representatives, will mark the approximate location of
their underground facilities within two full working days,
not counting the day of the notification prior to the
proposed date of excavation.
Each utility operator will mark or flag their facilities in
accordance with the APWA Uniform color code as
outlined in Alabama Code Title §37-15. These colors
include:
WHITE - Proposed Excavation
PINK - Temporary Survey Markings
RED - Electric Power Lines, Cables,
Conduit and Lighting Cables
YELLOW - Gas, Oil, Steam,
Petroleum or Gaseous Materials
ORANGE - Communication, Alarm
or Signal Lines, Cables or Conduit
BLUE- Potable Water
PURPLE - Reclaimed Water,
Irrigation and Slurry Lines
GREEN - Sewers and Drain Lines
17If an operator of an underground facility fails to become
a member of Alabama 811, as required, and that
failure causes damage to that underground facility by
an entity who has complied with legal requirements
and has exercised reasonable care in the performance
of the excavations that has caused damage to the
underground facility, the operator has no right of
recovery against the person for the damage to that
underground facility.
S E C T I O N 5
RESPONSIBILITIES OF THE EXCAVATOR
1. Notify Alabama 811 by dialing 811, 800-292-8525,
or (205) 252-4444 to place a locate request or enter
the locate request on our Web Portal or mobile
application prior to excavating or blasting at
least 2 working days, not counting the day your
notification is made, and excluding weekends and
holidays.
Alabama 811 is the one call notification center
for Alabama. We do not locate the lines. We
communicate the information we receive from the
excavator and relay it to the underground utility
operators who may be affected at the site of your
project. Members are responsible for ensuring that
their facilities are properly marked.
2. Excavators should not begin any excavation until all
underground facilities have been marked.
If the start date and time issued by Alabama 811
has arrived and a utility operator has failed to mark
the facilities or has marked the facilities incorrectly,
the excavator should contact Alabama 811 again to
send a second transmittal. That second transmittal
18is sent to the member utility operators and noted
that the two working day notice has expired. Note:
The underground facility owners only mark the lines
that they own and operate.
For those members who utilize the positive response
system, you can check the marking status by using
the locate request search option at www.al811.com
and entering the locate request number.
3. When an excavator encounters an unmarked facility
at the excavation site and initiates a second notice
relative to revising the original notice to Alabama
811, the underground facility owners must attempt
to contact the excavator within four hours to
provide a response relative to any of their know
underground facilities, active or abandoned, at the
site of the excavation.
4. As the excavation approaches the location of the
underground facilities, the excavator is required to
follow precautions to avoid damage as noted in
Section 6 to determine the precise location of the
marked facility by safe and acceptable means.
The excavator must maintain a tolerance zone
between the marked location of the underground
facility and the cutting edge or point of any
mechanized or earth moving equipment and the
unexposed underground facility. The established
tolerance zone is a minimum of 18 inches on either
side of the outside edge of the operators facility, or
a strip of land 18 inches either side of the operators
field mark, or the marked width of the facility plus
eighteen inches on each side of the facility. Safe
and acceptable means is usually accomplished
by using hand tools, potholing or non-invasive
equipment such as vacuum excavation techniques.
See pages 24 and 25 for examples.
195. If damage of any kind is done, discovered or any
suspicions of damage exist, it is the excavator’s
responsibility to immediately notify Alabama 811
and the facility owner directly and cease excavation
that may cause further damage. The facility owner
shall have reasonable time to make necessary
repairs before completing any excavation.
6. If a damage to an underground facility results in
escaping flammable, corrosive, explosive, or toxic
liquids or gas, the excavator should contact the
facility owner and the local 911 operations.
• NOTE: It is a good idea to look for the following as
indicators of existing underground facilities near the
area of the excavation site; Power Transformers, Utility
Pole Drops (Cables attached to the side of the utility
pole and entering the ground. Galvanized “U” Guards
sometimes protect these cables.), Telephone or Cable
Television Pedestals, Water Valves or Hydrants, Gas
Meters, Valves or Test Stations, Warning Signs or
Markers, Manhole Rings and Covers.
20S E C T I O N 6
SAFE DIGGING TIPS FOR EXCAVATORS
When crossing underground utilities within the tolerance
zone, the excavation should be performed with hand
tools or non-invasive equipment until the marked facil-
ity is exposed. See Figures 1 through 4 pages 22 and
23, for examples of conduit and small cable tolerance
zones.
• Dig by hand, pothole, vacuum or other soft digging
or non-invasive methods.
• If excavating to a certain depth, use hand tools to
expose a window in the earth down to that depth
and then open the window 18 inches on either
side of the marked facility to determine the exact
location of the buried facility.
• Provide support for underground facilities in and
near the construction area, including backfill
operations, as maybe reasonably required by the
facility owner to protect the underground facility
from damage.
• Protect and preserve the marks until those marks
are no longer required for safe excavation or
demolition.
2122
• Marks or markings should indicate initials or logo
of the owner and operator of the underground
facility.
• Single mark for facility less than 2” in diameter.
23• When using a shovel, keep the face of the blade
toward the side of the facility. (Figure 5 and 6)
• When using post hole diggers, keep the opening
between the blades pointing the same direction as
the facility is running. (Figure 6).
• Avoid the use of picks and mattocks/pickaxes.
• When digging in hard compacted soils, pothole to
the side of the locate marks and collapse the soil
into the pothole while digging toward the marks.
(Figure 7, page 25).
• Be aware of the possibility of abandoned facilities.
Find, expose and protect all facilities within the
tolerance zone. Do not damage any of these
facilities as they may be used by the utility at a
later date.
WHEN PARALLELING UNDERGROUND FACILITIES:
Expose the existing facility at intervals as often as
necessary to avoid damage and adjust the path of the
24excavation accordingly. Be aware of the possibility of
abandoned facilities. Do not damage.
Note: The depth of underground facilities is not
guaranteed. Never assume that a utility facility is
the same depth throughout its route as where it was
exposed. Also be aware that there are lines found
just a few inches under the surface. Most likely they
were buried at a prescribed depth but, over the years
through grading operations or other actions, they
are now just beneath the surface. Excavators are
responsible for finding and avoiding all facilities down
to the depth they are working.
25S E C T I O N 7
EMERGENCY EXCAVATIONS
An emergency is defined as an excavation or demolition
that is required to eliminate an imminent danger to
life, health, property or the environment, or to repair
and restore services and this activity is required to be
performed before the notice and response procedures
can be performed.
The notice requirements are not required for emergency
excavations or demolition to reduce any potential
danger as noted above. However, it is required that
notice is given as soon as possible to the facility
owners once the threat has been minimized and
routine excavation work begins. Anyone engaging in
an emergency excavation must take all necessary and
reasonable precautions to avoid and minimize any
damages.
An excavator who misrepresents an emergency
excavation can be subject to the civil penalties
noted in Section 10.
26S E C T I O N 8
DESIGN AND SURVEY REQUESTS
Effective January 1, 2015, Alabama’s Damage
Prevention law addresses requirements for survey and
design locate requests.
The design or locate requests shall describe the tract
or parcel of land where the design/survey work will be
taking place. It should also include the name, address,
telephone number, fax or email of the person submitting
the design/survey request and the name of the project
owner. A design/survey request has a 5 working day
notification period.
After receiving notification, the facility owners shall
respond by one of the following methods within the 5
working day notification period:
• Mark the appropriate location of all underground
facilities they own/operate in the area described in
the design/survey request by utilizing designated
color code used for excavation requests.
• Provide to the person making the request, the best
available description of all underground facilities in
the proposed area, which may include drawings of
the facilities already built in the area or other facility
records that are maintained by the operator.
• Allow the person making the request or any other
authorized person to inspect or copy drawings or
other records for all their underground facilities
within the proposed area defined for the design/
survey request.
27S E C T I O N 9
ENFORCEMENT AND CIVIL PENALTIES
Any person who violates a provision or rule adopted
under the Underground Damage Prevention Law shall
be subject to a civil penalty as follows:
1. For a first violation, the violator shall complete
a course of training; pay a civil penalty in an
amount not to exceed $500 per incident or
both.
2. For a second violation within a 12 month period,
the violator shall complete a course of training;
pay a civil penalty in an amount not to exceed
$1000 per incident or both.
3. For a third violation within a 12 month period,
the violator shall complete a course of training
AND pay a civil penalty in an amount not to
exceed $3000 per incident.
4. If the violation was a result of gross negligence
or willful noncompliance, the violator shall
complete a course of training AND pay a civil
penalty not to exceed $10,000 per incident.
If required to complete a training course, the violator
is responsible for paying for the cost of the course. It
may be required that at least one manager or supervisor
attend the training representing the violating entity.
The enforcement actions will be conducted by the
Underground Damage Prevention Authority, which
will be composed of underground facility protection
stakeholder subject matter experts and shall be
appointed by their designated state agency or by
Alabama’s Governor.
28Enforcement Process Within Underground Damage Prevention Authority Board
Violation reported to Damage Prevention Authority
Must be reported within 30 days of known occurrence Noted whether for info only or for enforcement action
Authority Admin Notifies Alleged Violator of the Complaint Filed
Includes time/date/location of alleged violation and the entity reporting the violation Alleged violator has 14 days to respond to the complaint if disputing the violation filed
Authority Admin submits filed complaint and alleged violator response to Authority Executive Commitee
Executive Commitee reviews complaint filed and any associated response Authority Executive Committee makes recommendation for penalty action
29
Authority Admin notifies the Alleged Violator and the Complaintant of any penalty action recommendation from the Authority Executive Committee
The Alleged Violator Responds to the Enforcement Penalty Action
Request for appeal to full Damage Prevention Authority Board. Appeal Request must be
Accepts and pays the penalty submitted in 30 number of days
Full Authority Board reviews the information related to the complaint, the penalty and the appeal
Makes Recommendation of Upholding or Dismissing the Recommended Penalty Action
The following graph outlines the enforcement process:
If the Alleged Violator disagrees with the final order they rmay file an appeal in Circuit Court within 30 days of the date of the final order.NOTES 30
S E C T I O N 1 0
ALABAMA CODE TITLE 37 CHAPTER 15
SECTION 1-11
UNDERGROUND DAMAGE PREVENTION
LEGISLATION
BE IT ENACTED BY THE LEGISLATURE OF ALABAMA:
§37-15-1. Purpose and Intent.
The purpose of this act is to safeguard against injury
and loss of life due to excavation or demolition and to
protect underground facilities from costly damage and
the interruption of utility or other services to the general
public.
§37-15-2. Definitions.
As used in this chapter the following words have the
following meanings:
(1) APPROXIMATE LOCATION OF UNDERGROUND
FACILITIES. Information about an operator’s
underground facilities which is provided to a
person by an operator and must be accurate to
within 18 inches measured horizontally from the
outside edge of each side of such operator’s
facility, or a strip of land eighteen inches either
side of the operator’s field mark or the marked
width of the facility plus eighteen inches on each
side of the marked width of the facility.
(2) AUTHORITY. The Underground Damage
Prevention Authority created under Section 37-15-
10.1.
(3) AUTHORITY BOARD. The Underground Damage
Prevention Board created under Section 37-15-10.1.
31(4) BLASTING. The use of an explosive device for the
excavation of earth, rock, or other material or the
demolition of a structure.
(5) CONTRACT LOCATOR. Any person contracted
by an operator specifically to determine and mark
the approximate location of the operator’s utility
lines that may exist within the area specified by
a notice served on the “One-Call Notification
System.”
(6) DAMAGE. Includes, but is not limited to, the
substantial weakening of structural or lateral
support of an underground facility, penetration
or destruction of any underground facility’s
protective coating, housing or other protective
device, and the severance (partial or complete)
of any underground facility, but does not apply to
any operator’s abandoned underground facility.
(7) DEMOLITION. Any operation by which a structure
or mass of material is wrecked, razed, rendered,
moved, or removed by means of any tools,
equipment, or explosives.
(8) DESIGN OR SURVEY LOCATE REQUEST. Any
communication to the “One-Call Notification
System” specifically to request existing
underground facilities to be located for bidding,
predesign, or advance planning purposes. A
design locate request may not be used for
excavation purposes and an excavation locate
request may not be used for design or survey
purposes.
(9) EMERGENCY EXCAVATION or DEMOLITION.
An excavation or demolition that is required to
eliminate an imminent danger to life, health,
property, or the environment or required for the
repair or restoration of operator service that is
32required to be performed before the notification
and response procedures required in Sections
37-15-4 and 37-15-6 may be fully utilized.
(10) EXCAVATE or EXCAVATION. Any operation for
the purpose of the movement or removal of
earth, rock, or other material by mechanized
equipment or explosive device and includes, but
is not limited to, augering, backfilling, blasting,
boring, digging, ditching, drilling, grading, pile-
driving, plowing-in, pulling-in, ripping, scraping,
sub-soiling, trenching and tunneling. Excavate
or excavation does not include routine roadway
maintenance activities carried out by or for those
responsible for publicly-maintained roadways,
provided that the activities occur entirely within
the right of way of a public road, street, or
highway; are carried out with reasonable care
so as to protect any utility facilities placed in the
right-of-way by permit; are carried out within the
limits of any original excavation on the traveled
way, shoulders or drainage ditches of a public
road, street, or highway; and, if involving the
replacement of existing structures, including
traffic control devices, replace such structures
in their approximate previous locations and at
their approximate previous depth. Excavate
or excavation shall not include routine railroad
maintenance activities conducted within the
track structure and its adjacent right of way,
provided the activities are performed by railroad
employees or railroad contractors and are carried
out with reasonable care so as to protect any
underground facilities placed in the railroad right-
of-way by agreement with the railroad. Nothing
in this chapter shall modify or abrogate any
contractual provision entered into between any
33railroad and any other party owning or operating
an underground facility or underground utility lines
within the railroad’s right-of-way.
(11) EXCAVATOR. Any person who engages in
excavation.
(12) EXECUTIVE COMMITTEE. The executive
committee created under Section 37-15-10.1.
(13) IMPLIED EASEMENT. Any unwritten easement
or right-of-way on private property required to
provide utility or other services by means of
underground facilities on property of the owner
requesting such service.
(14) MARK or MARKING. The use of stakes, flags,
paint, buoys, or clearly identifiable materials
placed on the surface of the ground or water to
show the approximate location of underground
facilities.
(15) MECHANIZED EQUIPMENT. Equipment powered
or energized by any motor, engine, hydraulic or
pneumatic device and is used for excavation
or demolition work including, but not limited to,
tractors, trenchers, bulldozers, power shovels,
augers, backhoes, scrapers, pile drivers, drills,
cable and pipe plows, or other equipment used
for plowing-in or pulling-in cable or pipe.
(16) MEMBER. A person who participates in the “One-
Call Notification System” to receive services and
is in good standing with the “One-Call Notification
System” in accordance with the guidelines set
forth in the corporation’s bylaws.
(17) NEAR MISS. An event where damage did not
occur, but a clear potential for damage was
identified.
(18) NONINVASIVE METHOD OF EXCAVATION. A
34method of excavation that does not compromise
the integrity of the underground facility. These
methods include, but are not limited to, hand
digging, pot holing, soft digging, vacuum
excavation methods, or other methods approved
by the operator.
(19) NOTIFICATION AREA. An area or territory which
an operator designates as the area where the
operator wishes to receive notifications for any
excavation in that area. The notification area
should encompass the underground distribution
system or network of the operator.
(20) “ONE-CALL NOTIFICATION SYSTEM”. A
non-profit corporation, a public corporation,
or a governmental entity which will provide a
statewide notification service, for the purpose
of receiving statewide telephonic toll-free or
electronic notification of any planned excavation
or demolition activities by excavators or other
persons as set forth in Section 37-15-4 and
distributing the required excavation or demolition
information to its affected member operators as
set forth in Section 37-15-5.
(21) OPERATOR. Any person, governmental agency,
or political subdivision, or its agents, who owns
or operates a public or private underground
facility which furnishes services, information,
or materials, or transports or transmits electric
energy, light, water, steam, oil, gases, gas,
mixture of gases, petroleum, petroleum products,
hazardous or flammable liquids, toxic or
corrosive fluids and gases, or items of like nature
and telecommunications, cable television, water,
drainage, sewage or other systems of like nature.
The term operator does not apply to any entity
listed above if all of the underground facilities
35owned and operated by the entity are for the sole
use of the entity and are located solely on the
entity’s own property or on property over which
the entity has rights of operation.
(22) PERSON. An individual, joint venture,
partnership, association, authority, cooperative,
firm, corporation, governmental entity, or any
subdivision or instrumentality of that entity and
its employees, agents, or legal representatives.
(23) POSITIVE RESPONSE. The communication
among member operators, persons excavating
and the “One-Call Notification System”
concerning the status of locating an underground
facility.
(24) PREMARK. To delineate the general scope of the
excavation on the surface of the ground using
white paint, white stakes, or other similar white
markings.
(25) ROUTINE ROADWAY MAINTENANCE.
Maintenance work on a roadway that is not
done pursuant to a contract awarded by a state
or local government through a bid process for
which plan drawings have been developed in
advance or work for which detailed and specific
scheduling is not possible or feasible.
(26) TOLERANCE ZONE. The width of the
underground facility plus 18 inches on either side
of the outside edge of the underground facility on
a horizontal plane.
(27) UNDERGROUND FACILITY. Any cable, pipeline,
duct, wire, conduit, or other similar installation,
installed underground or underwater, by which
an operator transports or delivers materials,
information, or services.
36(28) WILLFUL NONCOMPLIANCE. The intentional
refusal or failure to perform, or comply with, a
duty created or imposed by this chapter or by the
rules promulgated pursuant to this chapter.
(29) WORKING DAY. A 24-hour period commencing
the beginning of the start of the next working
day from the time of receipt of the notification,
excluding Saturday, Sunday, and the following
nine holidays: New Year’s Day, Memorial Day
(observed), Independence Day, Labor Day,
Veterans Day, Thanksgiving Day, the Friday
following Thanksgiving Day, Christmas Eve,
and Christmas Day. When any of these holidays
occur on a Saturday, it will be observed on the
preceding Friday and when any of these holidays
occur on a Sunday, it will be observed on the
following Monday.
(30) WORKING DAY HOURS. The time from 7:00 A.M.
to 5:00 P.M. local time on working days.
§37-15-3. Prohibition.
No person shall excavate in a street, highway, public
easement, private easement, or implied easement of
an operator, or on property of an operator, or conduct
blasting operations, or perform demolition activities
in the near proximity of an operator’s underground
facility without first having ascertained, in the manner
prescribed in Sections 37-15-4 and 37-15-6, the
location of all underground facilities in the area of the
proposed excavation, blasting, or demolition; however,
violation of this section shall not subject any person
to the civil penalties of Section 37-15-10 provided the
easement or underground facility is located on property
owned by such person and such person did not have
knowledge of the existence or presence of such
easement or underground facility.
37§37-15-4. Notice of Intent to Excavate or Demolish.
(a) A permit issued pursuant to law authorizing
excavation or demolition operations shall not be
deemed to relieve a person from the responsibility
for complying with the provisions of this chapter.
Any public agency issuing such permit shall notify
the person receiving the permit of the notification
requirements of this chapter; however, failure
to provide such notification shall not make the
State Department of Transportation subject to the
penalties provided for in Section 37-15-10.
(b) Before commencing any excavation or demolition
operation prohibited by Section 37-15-3, each
person responsible for such excavation or
demolition shall give telephonic or electronic
notice of such intent to excavate or demolish to
the underground facility operator or the “One-
Call Notification System” acting on behalf of the
operator at least two but not more than 10 working
days prior to the start of the proposed excavation,
not including the day of notification, and at least
two working days but not more than 30 calendar
days, not including the day of notification, prior to
the start of demolition or any blasting operations for
either excavation or demolition.
(c) The notice required by subsection (b) of this
section must contain the name, address, and
telephone number of the person responsible for the
excavation or the demolition and the person giving
notice, the proposed starting date and time, the
type of excavation or demolition operation to be
conducted, the location of the proposed excavation
or demolition with sufficient details to enable the
operator to locate same with reasonable certainty,
and whether or not explosives are to be used. In the
event the location requirements of this subsection
38cannot be met, the excavator shall premark
the route or boundaries of the site of proposed
excavation or demolition by means of white as the
identifying color on stakes, flags, paint, buoys or
clearly identifiable materials placed on the surface
of the ground or water prior to the notification
to the “One-Call Notification System”. However,
premarking is not required when the premarking
could reasonably interfere with traffic or pedestrian
control.
(d) Notification to the “One-Call Notification System”
of an intent to excavate shall be valid for a period
of 20 working days from the proposed starting date
given for excavation and the notice to demolish
shall be valid for a period of 30 working days from
the starting date given. Each person responsible
for excavation or demolition shall renew with the
“One-Call Notification System” each notice of intent
to excavate or demolish at least two working days,
not counting the day of notification, prior to the
expiration date of the notice if the excavation or
demolition has not been completed.
(e) When engaged in an extensive and contiguous
construction, demolition or excavation activity,
working agreements may be established to
accomplish the intent and purpose of this
chapter between operators, public agencies,
and contractors after initial compliance with the
notification provisions of this chapter.
(f) Compliance with the notice requirements of this
section is not required of persons plowing less than
12 inches in depth for agricultural purposes.
(g) Compliance with the notice requirements of this
section is not required by persons or operators
excavating on their own property or easement when
39no other persons or operators have underground
facilities on the property or easement.
(h) Except for those persons submitting design or
survey locate requests, no person, including
operators, shall request markings of a site through
the “One-Call Notification System” that meets
the operational requirements as described in
subsection (a) of Section 37-15-5, unless excavation
is scheduled to commence. In addition, no person
shall make repeated requests for remarking, unless
the repeated request is required for excavating to
continue or due to circumstances not reasonably
within the control of the person.
(i) Any person who complies with the notification
requirements of this chapter is not liable for damage
to an operator’s underground facility if all of the
following are satisfied:
(1) The operator received the notification required
by Section 37-15-4.
(2) The operator failed to locate its underground
facilities as required by Section 37-15-6.
(3) The damage is a proximate result of the
operator’s failure to locate its underground
facilities as required by Section 37-15-6.
§37-15-4.1. Design and Survey Locate Requests.
a) Any person may submit a design or survey locate
request to the “One-Call Notification System”. The
design or survey locate request shall describe the
tract or parcel of land for which the design or survey
locate request has been submitted with sufficient
particularity as defined by policies developed and
promulgated by the “One-Call Notification System”
to enable the facility operator to ascertain the
precise tract or parcel of land involved and state the
40name, address, telephone number, and facsimile
number of the person who has submitted the design
locate or survey request and the company name of
the project owner.
(b) Within five working days after a design or survey
locate request has been submitted to the “One-
Call Notification System” for a proposed project,
the operator shall respond by one of the following
methods:
(1) Marking the approximate location of all
underground facilities in the area of proposed
excavation.
(2) Providing to the person submitting the design
or survey locate request the best available
description of all underground facilities in the
area of proposed excavation which may include
drawings of underground facilities already built
in the area or other facility records that are
maintained by the facility operator.
(3) Allowing the person submitting the design or
survey locate request or any other authorized
person to inspect or copy the drawings or other
records for all underground facilities within the
proposed area of excavation.
§37-15-5. Underground Damage Prevention
Program.
(a) (1) Operators who have underground facilities
within this state shall participate in and utilize
the services of the “One-Call Notification
System”;
(2) Operators that are members of the “One-Call
Notification System” on the effective date of
this act adding this subdivision must remain
members.
41(3) Operators with more than 25,000 customers or
500 miles of facilities, who are not members,
must join the “One-Call Notifications System”
within one year from the effective date of this
act adding this subdivision.
(4) Operators that do not meet the thresholds
described in subdivisions (2) or (3), must join the
“One-Call Notification System” within two years
from the effective date of this act adding this
subdivision.
(5) Operators of electrical underground facilities
who join the “One-Call Notification System”
under the requirements of subdivision (a)(3) or
(4) having less than five percent underground
trench miles compared to the total miles of
line, is not subject to the membership costs
until their underground trench miles exceeds
the trench mile exemption. These operators
will be required to report annually to the “One-
Call Notification System” their percentage of
underground trench mile by the end of each
calendar year.
(6) If an operator of an underground facility fails to
become member of the “One-Call Notification
System”, as required by this chapter, and that
failure is a cause of damage to that underground
facility cause by an person who has complied
with this chapter and has exercised reasonable
care in the performance of the excavations that
has caused damage to the underground facility,
the operator has no right of recovery against
the person for the damage to that underground
facility.
(7) Notwithstanding the above provisions, the
provisions in subsection (1) through (6) are
42repealed after seven years from the effective
date of the bill.
(b) Between April 18, 1994, and January 1, 1995, or
any time thereafter, any non-profit corporation,
public corporation, or governmental entity desiring
to become the “One-Call Notification System” shall
apply to the Alabama Public Service Commission
for a certificate of public convenience and necessity,
verifying under oath that applicant meets the
requirements of this chapter. After a public hearing
on said application, if the Alabama Public Service
Commission deems that applicant meets the
requirements of this chapter, and if it is found that
applicant is fit, willing and able to properly perform
the services proposed and that the proposed
service is or will be required by the present or
future public convenience or necessity, then in such
event the Alabama Public Service Commission
may issue a certificate of public convenience and
necessity authorizing applicant to commence its
operation as the “One-Call Notification System”.
The Alabama Public Service Commission shall
further have the authority, and is required, to revoke
a certificate if the non-profit corporation, public
corporation, or governmental entity ceases to meet
the requirements as set forth in this chapter. The
“One-Call Notification System” must provide a
report of operations and financial review or audit to
the Public Service Commission annually.
(c) Subject to subsection (a) and (b), there shall be
a statewide “One-Call Notification System” in
accordance with this chapter to provide notice of all
excavation or demolition near underground facilities.
(d) The “One-Call Notification System” shall be
incorporated or operated as a nonprofit corporation
and governed by a board of directors representing
43its membership in accordance with the “One-Call
Notification System” Bylaws.
(e) Operators of underground natural gas or hazardous
liquid pipeline facilities or the “One-Call Notification
System” acting on their behalf shall develop
and implement a public awareness and damage
prevention program to educate the general public,
excavators, and operators about the availability
and use of the “One-Call Notification System” as
required in applicable federal regulations and the
requirements of this chapter.
(f) The person giving notice of intent to excavate or
demolish shall be furnished an individual reference
file number for each notification and upon request
shall be furnished the names of the operators to
whom the notification will be transmitted.
(g) An adequate record of notifications shall be
maintained by the underground facility operator
or the “One-Call Notification System” in order to
document timely compliance with this chapter.
These records shall be retained for a period of not
less than three years and shall be made available
at a reasonable cost upon proper and adequate
advance request.
(h) The services of the “One-Call Notification System”
should be provided on working days in accordance
with the established working day hours.
(i) The “One-Call Notification System” should voice
record the notification telephone calls and after
hours calls should at least reach a voice recording
which explains emergency procedures.
(j) All members of the “One-Call Notification System”
shall provide the “One-Call Notification System”
with the following information:
44(1) The notification area data in a format as required
by the current database system utilized by the
“One-Call Notification System” for the locations
in which members have underground facilities or
for other reasons wish to receive notifications of
proposed excavations, demolitions, or blasting.
This information shall be updated at least once
a year.
(2) The name, address, and telephone number of a
person to receive emergency notifications.
(k) The “One-Call Notification System” shall promptly
transmit the information received from the
excavator, as set forth in Section 37-15-4, to its
appropriate member operators.
(l) All members of the “One-Call Notification System”
who have changes, additions, or new installations
of buried facilities within the boundaries of the State
of Alabama shall notify the “One-Call Notification
System” of changes in the information required in
subdivision (1) of subsection (i) (j), within 30 days
of the completion of such change, addition, or new
installation.
§37-15-6. Response to Notice of Intent to Excavate
or Demolish.
(a) (1) Each operator served with notice in
accordance with Section 37-15-4, with
underground facilities in the area, shall mark
or cause to be marked or otherwise provide the
approximate location of the operator’s
underground facilities by marking in a manner
as prescribed herein prior to the proposed
start of excavation, demolition, or blasting. If
any underground facilities become damaged
due to an operator furnishing inaccurate
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