LPA Utility Coordination Natalie Parks P E Utility

LPA – Utility Coordination Natalie Parks, P. E. Utility & Railroad Coordinator American Structurepoint, Inc. June 22, 2016

Today’s Topics n n n n Basic INDOT/LPA Program Key People Utility Coordination Process Submittals Agreements Work in Contract Case Studies Utility Company Comments

INDOT/LPA Program n 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 n INDOT is involved on an LPA project when federal dollars are spent n n n District LPA Project Manager to secure federal funds. District Utility Coordination when there is a reimbursable utility relocation. Must follow federal regulations for utilities CFR 645 (http: //www. fhwa. dot. gov/programadmin/utility. cfm) n n Must follow 105 IAC 13 Utility Accommodation Policy (July 2013) INDOT Design Manual LPA Design Guidance Document – Chapter 8

LPA Utility Coordination n Key people n n n LPA Employee in Responsible Charge (ERC) LPA Design Project Manager Utility Coordinator Utility Personnel INDOT Project Manager Right-of-Way Manager

LPA Utility Coordination n Responsibilities of Key People: LPA ERC According to LPA guidance document (1 -1. 04), “overseeing Utility and Railroad relocation work”

LPA Utility Coordination n Responsibilities of Key People: LPA ERC n n n Review and approve requests from Utility Coordinator for time extensions/adjustments Concur with, approve, and sign reimbursable and subordination agreements Review and sign Notice of Plan Approval Review and sign Notice to Proceed Approve and pay all invoices Remember: They have not gone through this training

LPA Utility Coordination n Responsibilities of Key People: Project Manager/Designer n n Work with the Utility Coordinator to identify critical points Communicate all plan changes to the Utility Coordinator Responsible for watching cash flow Signs the work plan as the Project Manager

LPA Utility Coordination n Responsibilities of Key People: Utility Coordinator n n All of the responsibilities already discussed in other sessions No Utility Oversight Agent… n n n 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 n Responsibilities of Key People: District Utility Coordinator n Provide oversight only when a utility is reimbursable n n n 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 n n 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 is the same – (105 IAC 13) n n n n 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 to Proceed/Construction

LPA Utility Coordination Process n n Follow the 105 IAC 13 rules and allow the appropriate time for response Copy project owner representative on all submissions n n Include INDOT PM Include MPO if funding is coming from that agency INDOT’s District Utility Coordinator is involved in a LPA projects Utility Coordination process, only when there are Reimbursable Agreements. Do NOT use “minor” unless it is a minor project

LPA Utility Coordination Process n Research Phase: n n Many municipalities do not have a permit program Rely more on: n n n 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 n n Prepare risk analysis report Prepare mitigation options

LPA Utility Coordination Process n Initial Notice: n n n n Do not need to contact Phil Ivy or Troy Boyd 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 to share with LPA ERC 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 n FIRST early coordination meeting should be after verification plans are submitted n n n n 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 SUE that may be needed 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 n Preliminary Field Check Meeting n n n n 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 SUE work is needed and type (i. e. GPR or Pothole) Determine WHO will do the SUE work Discuss any design options available Discuss environmental concerns/commitments Discuss with LPA ERC options moving forward

LPA Utility Coordination Process n Work Plans n n n n 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 n Utility Certification n n Certification will require an exception if the utility is not relocated prior to letting Includes Special Provision Submit work plans & relocation drawings 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 n Tracings Submission should include: n n n Utility Work Plan or Letter of No Conflict Relocation Drawings from each utility Special Provisions 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 n Plan Approval n Prepare Notice of Plan Approval n n Prepare Notice to Proceed n n n Some utilities will need approval prior to beginning permitting. This is especially important for RR permits. 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 n Construction n n Still on Point 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

Escalation Chain 1. Become well educated in ALL state and federal documents 2. Concurrently contact: n n n Supervisor/UAR of Utility Design Project Manger LPA ERC 3. INDOT District LPA project manager 4. INDOT Central Office – Mike Hoy

Escalation Chain DOCUMENT EVERYTHING

Reimbursable Relocations n Reimbursable utilities can be problematic for LPA’s n n n 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 n When is an LPA/Utility agreement required? n n Only when a utility relocation is required due to being in direct conflict. There are three scenarios: n n n Reimbursable: n When a utility has a compensable land right n 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 n Reimbursable Agreements n n 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 n Municipal Utility Agreements n n 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 n Benefits of Work in Contract n n n 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. ” n 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 nonreimbursable, 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 n n 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 n SECTION 5 – REIMBURSEMENT n n 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: n Breakdown of standard costs per FHWA n Total cost of relocation that is shown in the agreement n Breakdown of costs to be borne by INDOT and borne by LPA n 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 n When the utility shall bear a portion of the cost, then separate that as well

Work in Contract SECTION 5 – REIMBURSEMENT (EXAMPLE SUMMARY)

Work in Contract n n 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: n n n 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% rederal funds. Any cost overruns or claims should be approved and paid for at the same percentages as the original contract.

Additional Charges and Invoices n n 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 n n n Request that invoices be sent to BOTH the LPA ERC and the utility coordinator n UC can ensure the code is being followed n Allows the UC to review scope was adhered to n Allows the UC to review the total invoice and compare it to similar projects to verify invoice is reasonable n 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.

Case Study

Case Study n Project involves: n n n Municipal utility relocation Right-of-way limitations Lift station AND Booster Station Portions of utility on documented, exclusive easement Project owner owns the utility Utility requires relocation due to new roundabout & MSE walls

Case Study n Is the utility reimbursable? n n If so, by whom? Does the utility need to secure permanent right-of-way? n n If so, why? If not, why not?

Utility Companies n Several issues utility owners have had with LPA utility coordination n n Wide range of experience levels Do not know to follow the 105 IAC 13 when federal aid projects 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 to Proceed LPA project lettings are often delayed

Questions?