- Slides: 42
LPA and Utility Coordination
LPA Program with Utility Coordination • Basic INDOT/LPA Program • Key People • Utility Coordination Process • Submittals • Agreements • Work in Contract • Case Studies • Utility Company Comments
INDOT/LPA Program Mission: To provide Stewardship and Technical assistance to Local Public Agencies through excellent education and collaborative relationships, to plan, build and maintain a superior transportation system that promotes economic growth, ensures safety and complies with all local, state, and federal regulations.
INDOT/LPA Program • INDOT is and/or state dollars are spent involved on an LPA project when federal • District LPA Project Manager to secures funds. • District Utility Coordinator when there is a reimbursable utility relocation. • Must follow federal regulations for utilities 23 CFR 645 (http: //www. fhwa. dot. gov/programadmin/utility. cfm) • Must follow 105 IAC 13 • Utility Accommodation Policy • INDOT Design Manual, Chapter 104 • LPA Design Guidance Document – Chapter 8
LPA Utility Coordination • Key People • LPA Employee in Responsible Charge (ERC) • LPA Design Project Manager • Certified Utility Coordinator • Utility Personnel • INDOT Project Manager • Right-of-Way Manager
LPA Utility Coordination • Responsibilities of Key People: LPA ERC • According to LPA guidance document (1 -1. 04): “overseeing Utility and Railroad relocation work” • Make all business decisions • Time Extensions • Approve use of QL-A and QL-B utility locating • Determine if right-of-way staking and clearing can be completed prior to letting • Concur with, approve, and sign reimbursable and subordination agreements • Review and sign Notice to Proceed • Approve and pay all invoices • Remember: They have not gone through this training
LPA Utility Coordination • Responsibilities of Key People: Project Manager/Designer • Work with the Utility Coordinator to identify critical points • Communicate all plan changes to the Certified Utility Coordinator • Responsible for watching cash flow • Signs the work plan as the Project Manager • Liaison between LPA ERC and Utility Coordinator
LPA Utility Coordination • Responsibilities of Key People: Certified Utility Coordinator • All of the responsibilities already discussed in other sessions • No Utility Oversight Agent… • Work with Project Manager to establish objectives for utility coordination deliverables • Work with Project Manager to develop the risk report • Periodically review project funding with Project Manager for reimbursables • Provide quality assurance review of work plan for compliance • Agreements & Invoice review • Provide guidance on the use of SUE
LPA Utility Coordination • Responsibilities of Key People: District Utility Coordinator • Provide oversight only when a utility is reimbursable • Submits agreement to Central Office for P. O. • Submits agreement to Central Office for FMIS authorization • Does not provide general process oversight • Does not sign notice to proceeds, notice of plan approval, work plans • Does not review invoices from utilities for reimbursement
LPA Utility Coordination • Ultimately the Utility Coordinator and the Design PM are both responsible for ensuring 105 IAC 13 is followed • Business decisions are made between the Design Team and the ERC
LPA Utility Coordination Process • Process is the same – (105 IAC 13) • Research – 1 to 2 weeks • Initial Notice – 1 to 2 months • Verification Plans – 2 to 4 months • Conflict Analysis – 2 to 4 months • Work Plan Development – 1 to 6 months • Reimbursable Agreements – 2 to 4 months • Notice of Work Plan Approval • Notice to Proceed • Construction
LPA Utility Coordination Process • Follow the 105 IAC 13 rules and allow the appropriate time for response • Copy project owner representative on all submissions • Include INDOT PM • Include MPO if funding is coming from that agency • INDOT’s District Utility Coordinator is involved in the LPA project’s Utility Coordination process, only when there are Reimbursable Agreements. • Do NOT use “minor” unless it is a minor project
LPA Utility Coordination Process • Research Phase: • Many municipalities do not have a permit program • Rely more on: • Indiana 811 • Field visits • Field surveys • Use previous project information if available • Talk to the LPA utility/engineering dept. • Establish risks with LPA ERC and Project Manager • Prepare risk analysis report • Prepare mitigation options • Advise the use of QL-B locating prior to survey
LPA Utility Coordination Process • Initial Notice • Provide an aerial view of the project area • Request information regarding any property interests • Request copies of as-built information • Using as-built information, begin developing conflict matrix • Meet EARLY and OFTEN • In person meetings are always best, however conference calls and Go. To meetings can also be used as needed
LPA Utility Coordination Process • FIRST early coordination meeting should be after verification plans are submitted • Determine WHAT the facilities are and WHERE they are located • Determine ROW needs, including replacement property • Identify areas of significant concern, ask for ballpark estimates, and refine conflict matrix • Determine level of utility locating that may be needed and where • Determine if a utility is eligible for reimbursement • Determine if a work-in-contract agreement can be used • Make sure LPA ERC is fully invested and understands what is needed
LPA Utility Coordination Process • Preliminary Field Check Meeting • Should NOT be the first time meeting with utilities • Prior to meeting, review plans and identify critical points and update utility conflict matrix to use as talking points with the utilities • Determine where advanced QL-B or QL-A work is needed • Determine WHO will do the utility locating • Discuss any design options available • Discuss environmental concerns/commitments • Discuss with LPA ERC options moving forward
LPA Utility Coordination Process • Work Plans • Ensure the existing information matches what has been previously provided • Ensure the proposed information is consistent with discussions regarding relocation needs • Verify needs of utility before relocation begins • Review schedule with the utility and discuss sequencing and/or staging • Prepare Gantt chart & overall relocation drawing • Review work plans with the LPA ERC • Review any agreements or work-in-contract opportunities with LPA ERC
LPA Utility Coordination Process • Utility Certification • Certification will require an exception if the utility is not relocated prior to letting • Includes Special Provision • Make sure to include the date the work plan was approved • Submit work plans & relocation drawings to Central Office • Depending on relocation work necessary & proposed utility schedule, may need to submit the Gantt chart, overall relocation scheme, and conflict matrix
LPA Utility Coordination Process • Tracings Submission should include: • Utility Work Plan or Letter of No Conflict • Utility Relocation Drawings from each utility • Utility Special Provisions • Utility Certification • Utility schedules should be discussed with LPA ERC, INDOT District PM, and INDOT Area Engineer to establish a reasonable time set and avoid delay claims caused by utility delays
LPA Utility Coordination Process • Plan Approval • Prepare Notice of Plan Approval • Some utilities will need approval prior to beginning permitting. This is especially important for RR permits. • Prepare Notice to Proceed • If right-of-way staking and clearing will be done before the letting, then prepare NTP when that work has been scheduled • If contractor will do right-of-way clearing and staking, then prepare NTP once project has been successfully awarded • NOTE: This is a result of utilities being “gun shy” due to the number of LPA projects that have been delayed
LPA Utility Coordination Process • Construction • Work closely with LPA field personnel • Coordinate utilities with LPA personnel as needed • Suggest the use of an advanced right-of-way clearing and staking contract • Suggest the use of consultant utility relocation oversight • Review and update utility conflict matrix until all conflicts have been mitigated • Work with Construction personnel and utilities to mitigate unexpected conflicts
A Word About HB 1002 • Signed into law on April 27, 2017 • Effective July 1, 2017 • Changes the Transportation Funding Exchange Program between the State, counties, and municipalities • INDOT begins using FHWA funds for INDOT projects • Transfers State funding to Municipalities • Under State funding, no FHWA requirements to follow • Does NOT change the design process • Utility Coordination will still follow the INDOT standards
A Word About SEA 213 • Signed into law on May 2, 2017 • Allows microcell towers to be placed in any municipal right-ofway • IC 8 -1 -32. 3 -15(b): “A permit authority may not require an application or permit, or charge fees for, any of the following: 1) The routine maintenance of wireless facilities 2) The replacement of wireless facilities… 3) The installation, placement, maintenance, or replacement of micro wireless facilities that are suspended on cables strung between existing utility poles in compliance with applicable codes by a communications service provider that is authorized to use the public rights-of-way…
A Word About SEA 213 • IC 8 -1 -32. 3 -15(c): “A permit authority may prohibit the placement… if all of the following apply: 1. The area is designated strictly for underground or buried utilities before May 1, 2017. 2. The permit authority does all of the following: A. Allows the collocation of small cell facilities (on existing public utility facilities) B. Allows the replacement of existing (facilities) C. Provides i. A waiver ii. A zoning process; or iii. Another procedure. D. The prohibitions or restrictions…are applied in a nondiscriminatory manner. ”
A Word About SEA 213 • What this means… • Local municipalities, or permit authorities, cannot deny a permit for a microcell tower unless certain criteria are met • Municipalities had until midnight April 30, 2017, to designate areas within their right-of-way as buried utility areas • Some municipalities adopted a resolution stating no new OR relocated facilities may be installed above ground • Check with your ERC to determine if this will be applicable to your project, and if so, how the ERC wants to proceed • Determine who will pay for a utility that was overhead to now go underground
Utility Companies • Several issues utility owners have had with LPA utility coordination: • Wide range of experience levels • LPA’s often will claim their projects are Minor Projects to attempt to hold utility companies to shorter response time • Utility companies receive notification to attend a “Preconstruction” meeting when they had not received a Notice of Work Plan Approval • LPA project lettings are often delayed • Remember: we all deal with the SAME utility personnel regardless of project funding
Escalation Chain • Become well educated in ALL state and federal documents • Concurrently contact: • Supervisor/UAR of Utility • Design Project Manger • LPA ERC • INDOT District LPA project manager (Through LPA) • LPA’s are the owners and INDOT Central Office Does not approve utility certifications.
Escalation Chain DOCUMENT EVERYTHING
Reimbursable Relocations • Reimbursable utilities can be problematic for LPA’s • LPA may not have accounted for the cost (NOTE: This is changing) • LPA may not have available funding in their CN budget • Establish all utilities in a reimbursable position before going to Stage 1 plans • Request ball park estimates from reimbursable utilities at verification plans • Work with LPA ERC to refine scope as needed
LPA Utility Relocation Agreements • When is an LPA/Utility agreement required? • Only when a utility relocation is required due to being in direct conflict. • There are three scenarios: • Reimbursable: • When a utility has a compensable land right • When a municipal utility is located in the right-of-way of a project owned by same municipality • Reimbursable: Work in Contract – The utility relocation is constructed as part of the road contract. • Non-reimbursable: Work in Contract – The utility agrees to include the utility relocation as part of the road contract. These bid items should be identified as “non participating” and 100% of the successful bid will be paid up front by the utility company.
LPA Utility Relocation Agreements • Reimbursable Agreements • Use the INDOT LPA Agreements as established by INDOT General Counsel • Should build in approximately four months into the schedule when agreements are needed • Should submit to LPA Counsel prior to sending to utilities • Alert INDOT project manager of reimbursable agreement and include on all quarterly reports submitted to INDOT
LPA Utility Relocation Agreements • Municipal Utility Agreements • LPA will usually push for municipal water & sanitary work to be in contract • Reimbursable – ONLY when there is a direct conflict AND the utility is owned by the SAME political subdivision as the project owner • Non-reimbursable – Betterments or upgrades to existing facilities, utility pays 100% of the cost • A work-in-contract agreement will be required when the signing authority for the utility is different than the signing authority for the project (i. e. Utility Board and Board of Public Works are separate boards)
Work in Contract • Benefits of Work in Contract • Allows better overall construction coordination with the contractor in control of the scheduling • Reduces utility delays • Saves on overall construction costs (Mobilization, pavement cuts, shoring, overall efficiency…) • Eliminates claims, contractor responsible for the x, y and z location • Saves on overall construction time “The Contractor knows where everyone went. ”
Work in Contract SECTION 5 – REIMBURSEMENT (WORK IN CONTRACT) “(a) ______% of the cost to design and prepare construction plans, specifications and preliminary itemized cost estimate for relocation of the Utility’s facilities shall be borne by the Local Public Agency. (b) _______% of the cost to provide testing and inspection services for relocation of the Utility’s facilities shall be borne by the Local Public Agency. (c) The Local Public Agency shall bear 100 % of the cost of relocating the Utility’s facilities. (See exhibit “B”). ” NOTE: For reimbursable utilities (a) and (b) should also be 100%. For non-reimbursable utilities (a) and (b) will be 0%. (c) will always be 100%.
Work in Contract SECTION 5 – REIMBURSEMENT “The cost of relocation of the Utility’s facilities (provided for in (c) shall equal the amount paid by INDOT to the contractor (based upon the actual units of work performed at the unit prices set out in the contractor’s itemized proposal or extra work agreement), selected in accordance with the procedure in Section 2. ” • NOTE: regardless of whether the utility is reimbursable, INDOT is paying the Contractor the agreed upon unit price. Before construction begins, INDOT will invoice the LPA for their portion of the bid, including the utility work. When the utility is non-reimbursable, the LPA will then invoice the utility for their portion of the work.
Work in Contract SECTION 5 – REIMBURSEMENT “The estimated cost of relocation is $ (See Exhibit “B” for an itemized estimate of all anticipated costs, including but not limited to, materials, labor, and equipment costs. ) The estimated cost of non-reimbursable relocation work to the utility’s facilities is $. The Utility has appropriated, duly made and entered of record, the sum of $ to apply to the cost of the project. A copy of the Utility’s official record wherein such appropriation was made is attached as Exhibit “C. ” If the amount to be contributed by the utility is zero then no Exhibit “C” is attached. ”
Work in Contract SECTION 5 – REIMBURSEMENT • When the utility is 100% reimbursable, then the amount listed is the estimated cost of non-reimbursable work would be $0. 00. • When the utility is partially reimbursable, the breakdown of reimbursable to non-reimbursable work must be provided. • When the utility is non-reimbursable, the dollar amount would be equivalent to the total cost of relocation as shown in Exhibit “B. ” • Some municipalities may opt to have the utility pay the 20% match. This would be done using an MOA, not this agreement.
Work in Contract SECTION 5 – REIMBURSEMENT • Highly recommend the use of a summary sheet when doing a Work-in. Contract agreement on a LPA project and included with Exhibit “B” • Summary sheet would include: • Breakdown of standard costs per FHWA • Total cost of relocation that is shown in the agreement • Breakdown of costs to be borne by INDOT and borne by LPA • If the cost is $100, 000 then identify the cost to be borne by INDOT to be $80, 000 and the cost to be borne by LPA to be $20, 000 • When the utility shall bear a portion of the cost, then separate that as well
Work in Contract SECTION 5 – REIMBURSEMENT (EXAMPLE SUMMARY)
Contract • The reimbursements paid for under SECTION 5: (a), (b), and (c) shall include the cost sharing that is paid with federal funds. This project shall be split in accordance with the funding established, which is typically paid with 20% LPA funding and 80% federal funding. • How the payments are made: • Prior to the awarding of the contract, the LPA submits their 20% of the Utility Relocation per the construction estimates. • Contractor actual cost invoices are reviewed and approved by the project manager and paid for with 20% LPA funds / 80% federal funds. • Any cost overruns or claims should be approved and paid for at the same percentages as the original contract.
Additional Charges and Invoices • Assist the ERC in determining if a scope change to the existing agreement, or a cost overrun requested by the utility are appropriate. • Make sure that all scope changes and cost overruns have been approved by the ERC prior to the utility company proceeding with work. If not, and the utility does any of this work without prior approval, these charges are not reimbursable. FHWA and INDOT will not reimburse for additional work without prior authorization.
Additional Charges and Invoices • Request that invoices be sent to BOTH the LPA ERC and the utility coordinator • UC can ensure the code is being followed • Allows the UC to review scope was adhered to • Allows the UC to review the total invoice and compare it to similar projects to verify invoice is reasonable • Allows the UC to verify only work that is reimbursable was invoiced • Assist the ERC in ensuring that the charges are per the agreement and the utility invoices are correct. • If an invoice is incorrect or inappropriate, advise the ERC in resolving the issues with the utility