IDM Chapter 104 Utility Coordination Gail Lee Utility

IDM Chapter 104 Utility Coordination Gail Lee Utility and Railroad Engineer, INDOT June 10, 2015

Agenda n n n n n Learning Objectives Introduction Table of Contents Certificate Special Provision 107 -R-169 Approve Consultants or Contractor Work In State Contract Records Checklist Roles and Responsibilities

Learning Objective n n n n n Explain why IDM Chapter 104 was developed Become familiar with IDM Chapter 104 Know and apply Certificate Write special provision 107 -R-169 Know how to approve Consultants & Contractors Know when to do relocation Work In Contract Know what records to maintain Know and apply the IDM Ch 104 Checklist Know and apply applicable roles

Introduction n Design Manual n n n IDM Ch. 104 replaces IDM Ch. 104 – revised August 2013 But it is only 80% of where we want to be. Changes listed on Title Sheet Why do we have IDM Ch. 104? To provide detailed guidance to design team Suggestions for improvement email: n glee@indot. in. gov

Table of Contents (1) n General Information n n n n Introduction Responsibilities and Roles Utility Rule 105 IAC 13 No Waiver-Limited Utility Involvement Utility Coordination Certificate Utility Coordination Special Provision Utility Coordination References Definitions and Acronyms Utility Coordination Process n Subsurface Utility Engineering

Table of Contents (2) n n n n Design Considerations Reimbursement Highway Utility Agreement Cost Estimate Consultant and Contractor Approval Utility Work in State Contact Utility Coordination Records

105 IAC 13 n Minor or major project n n n Minor is less than 12 months design Major is more than 12 month design Project Manager makes the decision Input from the Utility Coordinator Affects duration of Utility Coordination

105 IAC 13 n Geographical limits n n Limits of expected utility involvement In the area means in the geographical limits Defined by the Project Manager Minimum is survey limits

Contract Requirements n n No Waiver – Certificate with limited Utility involvement Certificate and Special Provision

Certificate : Limited Utility Involvement Use a certificate with limited utility involvement for routine maintenance projects such as: n n n Mowing, Herbicide treatment, Sweeping Pavement markings, Etc. A certificate with limited utility involvement does not mean there are no utilities in the area

Certificate n n Use a certificate for all projects Certificate includes: n n Affidavit Utility information Exceptions Format is at INDOT website

What is an Exception? n An Exception exists when a utility that needs to be relocated will not be relocated by the letting date.

Certificate Example 1 of 12 n n n UTILITY COORDINATION CERTIFICATE Monday, May 18, 2015 Contract No. : Letting Date: LEAD DES No. :

Certificate Example 2 of 12 Related DES#s: Location Description Enter location description

Type of Utility Certificate: Certificate Example 3 of 12 No Utilities were found within the project limits Utilities exist within the project limits, but have been found not to be affected by the proposed construction; or incidental construction. (Attachment A) Utilities exist within the project limits and have been found to be affected by the proposed construction (Attachment B) Design-Build Project (See Attachment D for Statement and Signatures)

Certificate Example 4 of 12 Letting Status: Let without Exceptions Let with Exceptions (Attachment C) Not applicable (no Utilities Involved)

Certificate Example 5 of 12 The undersigned affirms that they are an INDOT Certified Utility Coordinator and have performed all of the required duties for the project. The undersigned affirms they have performed his or her responsibilities as a utility coordinator in conformance with 105 IAC 13, the Utility Accommodation Policy and Indiana Design Manual Chapter 104. The undersigned affirms they have made a diligent effort to identify if Utilities are involved within the project. If it is determined that utilities will be affected with the proposed construction, the Utility Coordinator affirms that he or she has shown on the project plans all known utility facilities within the limits of this project; have completed the conflict analysis; and have executed work plans for all utilities with facilities in the project area. Plans or other information that clearly identify the scope of this contract were provided to all utility companies with utility facilities within the project area. Utility relocation work plans including narrative, schedule, and drawings have been reviewed, coordinated, and approved. All utility documents required for letting have been submitted to the designer as of (date).

Certificate 6 of 12 The “Existing Conditions of Utilities” statement included in this contract is for all utility companies with utility facilities found to be within the limits of the right of way. The “Existing Conditions of Utilities” include utility name, contact person name and telephone numbers, and work description and schedule. This certifies, when applicable, that the utility has acquired all necessary property interests and permits necessary to relocate impacted facilities. The Utility Coordinator does not guarantee or warrant in any way the accuracy of information provided by utility companies. Utility Coordinator, (District Name) District (Printed Name) Date

Certificate 7 of 12 Certification with Exceptions is approved for letting. (Senior Utility Engineer signature is required for exceptions) Senior Utility Engineer Date (Printed Name)

Certificate 8 of 12 Attachment A List of Utilities within Project Limits, but were found to be unaffected by the proposed Construction: Utility Name: Utility Name

Certificate 9 of 12 Attachment B List of Utilities within Project Limits found to be affected by the proposed Construction: Reimbursable Work in Contract Yes No Yes Yes No Yes Yes No Yes Utility Name Agreement No. Permit No.

Certificate 10 of 12 n Insert 107 -R- 169

Certificate 11 of 12 Attachment C List Utilities Let with Exceptions Utility Name Exception Description

Certificate 12 of 12 Attachment D INDOT Design-Build Project The undersigned affirms that they are an INDOT Certified Utility Coordinator and have performed all of the required duties for the project required for the Design-Build Project in which the awarded Contractor will take over further Utility Coordination responsibilities. The undersigned affirms they have performed his or her responsibilities as a utility coordinator in conformance with 105 IAC 13, the Utility Accommodation Policy and Indiana Design Manual Chapter 104. The undersigned affirms they have made a diligent effort to identify if Utilities are involved within the project up to the point that the Awarded Contract for the Design-Build Project takes over all aspects of the project, including Utility Coordination. As the project evolves under the direction of the Contractor for this project, there may be further Utility Coordination required which is the responsibility of the Awarded Contractor for this project <enter Contract #>. After this date, <enter date>, the Utility Coordination responsibilities are relinquished to the Awarded Contractor. Utility Coordinator, (District Name) District (Printed Name) Date

IDM Ch. 104 – SP 107 R 169 n Remember – n n These are instructions to the Contractor For each utility in the area state: n n n n Utility name Utility is in the area of the project Utility is or is not in conflict with the project Designated Representative: name, telephone, email Activities before utility begins construction Expected duration of relocation work General location of their existing facilities General scope of their relocation work

Special Provision 107 R 169

References n Code of Federal Regulations n n Indiana Code n n Majority of references Indiana Administrative Code n n 23 CFR 645 105 IAC 13 INDOT Standard Specifications FHWA Program Guide 23 CFR 645 ASCE 38 -02 Standards for SUE

Definitions n Section includes n n Intent was to be consistent with: n n n Definitions Acronyms Abbreviations Standard Specifications Design Manual Review at your own pace and time

Contractor Approval n Primary responsibilities: n n Utility submits letter requesting approval Utility submits supporting documents n n n Proper solicitation procedures were followed Costs are reasonable Continuing contract with rate sheet Bid tabulations and lowest qualified bidder selected UC reviews documents – recommendation OSA approves and signs letter Complications?

Work In Contract n INDOT prefers to use work in contract n n n When eligible for reimbursement When work requires extensive coordination When the same primary contractor will be used through the entire project Requires Des. No. for each facility type Utility must provide: n n Approved work plan Signed agreement Final stamped plans Specifications Engineer’s estimate List of quantities

Records n Keep copies of the following: n Maintain a utility coordination log n n n Activities Conversations All signed documents All notices to proceed See specific requirements

Roles n n n Roles and Responsibilities Key to understanding IDM Ch. 104 There a 6 specific roles described: n n n Designer – 16 responsibilities Surveyor – 5 responsibilities Utility Coordinator – 81 responsibilities Utility Oversight Agent – 20 responsibilities Authorized Representative – 6 responsibilities Project Manager – 9 responsibilities

Responsibilities n Responsibilities are listed in: n n n IDM Chapter 104 Checklist for utility coordination They are not the same Checklist has tasks and sub-tasks Checklist – please get your copy Checklist – let us review

Checklist n Why a checklist? n n Currently 12 milestones in SPMS Mileposts start and finish not defined Identified sub-tasks to define each milestone Results n n n Checklist for utility coordination Mileposts defined by specific sub-activities Mileposts reduced from 12 to ?

Mileposts

Mileposts

Initiation Phase

Initiation Phase

Initiation Phase

Initiation Phase

Initiation Phase

Letter Permit Addendum

Letter Permit Addendum n n No payment for additional work without prior approval. Utility needs to coordinate approval prior to performing additional work. No payment for additional cost without prior approval. Utility needs to coordinate approval prior to incurring additional cost. Any change of work needs permit addendum. Any change of cost needs permit addendum.

Letter Work Complete

Letter Request Invoice

Summary n n n n n Learning Objectives Introduction Table of Contents Waiver/Certificate Special Provision 107 -R-169 Approve Consultants or Contractor Work In State Contract Records Checklist Roles and Responsibilities

Questions?