Natalie Parks PE Utility amp Railroad Coordinator American Structurepoint Inc June 22 2016 Todays Topics Basic INDOTLPA Program Key People Utility Coordination Process Submittals ID: 711536
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Slide1
LPA – Utility Coordination
Natalie Parks, P.E.
Utility & Railroad Coordinator
American
Structurepoint
, Inc.
June 22, 2016Slide2
Today’s TopicsBasic INDOT/LPA Program
Key PeopleUtility Coordination ProcessSubmittalsAgreementsWork in Contract
Case Studies
Utility Company CommentsSlide3
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.Slide4
INDOT/LPA Program
INDOT is involved on an LPA project whenfederal dollars are spent 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
)
Must follow 105 IAC 13
Utility Accommodation Policy (July 2013)
INDOT Design Manual
LPA Design Guidance Document – Chapter
8Slide5
LPA Utility Coordination
Key peopleLPA Employee in Responsible Charge (ERC)
LPA Design Project Manager
Utility Coordinator
Utility Personnel
INDOT Project Manager
Right-of-Way ManagerSlide6
LPA Utility Coordination
Responsibilities of Key People: LPA ERC
According to LPA guidance document (1-1.04), “overseeing Utility and Railroad relocation work”Slide7
LPA Utility Coordination
Responsibilities of Key People: LPA ERCReview and approve requests from
U
tility 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 trainingSlide8
LPA Utility Coordination
Responsibilities of Key People: Project Manager/DesignerWork 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 ManagerSlide9
LPA Utility Coordination
Responsibilities of Key People: Utility CoordinatorAll 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 SUESlide10
LPA Utility Coordination
Responsibilities of Key People: District Utility CoordinatorProvide 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 reimbursementSlide11
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 ERCSlide12
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 to Proceed/ConstructionSlide13
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 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 ProcessSlide14
Research Phase:Many municipalities do not have a permit program
Rely more on:Indiana 811Field 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
LPA Utility Coordination ProcessSlide15
Initial Notice:Do not need to contact Phil Ivy or Troy Boyd
Provide an aerial view of the project areaRequest information regarding any property interestsRequest 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 ProcessSlide16
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 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 neededSlide17
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 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 forwardSlide18
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 ERCSlide19
LPA Utility Coordination Process
Utility Certification
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 matrixSlide20
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 delaysSlide21
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 delayedSlide22
LPA Utility Coordination Process
Construction
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 mitigatedSlide23
Escalation Chain
Become well educated in ALL state and federal documentsConcurrently contact:
Supervisor/UAR of Utility
Design Project Manger
LPA ERC
INDOT District LPA project manager
INDOT Central Office – Mike HoySlide24
Escalation Chain
DOCUMENT EVERYTHINGSlide25
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 neededSlide26
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
–
T
he 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.Slide27
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 INDOTSlide28
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)Slide29
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.
”Slide30
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
%.Slide31
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
.Slide32
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.”Slide33
Work in Contract
SECTION 5 – REIMBURSEMENTWhen 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. Slide34
Work in Contract
SECTION 5 – REIMBURSEMENTHighly 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 wellSlide35
Work in Contract
SECTION 5 – REIMBURSEMENT (EXAMPLE SUMMARY)Slide36
Work in 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%
rederal
funds.
Any cost overruns or claims should be approved and paid for at the same percentages as the original contract.Slide37
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.Slide38
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, a
dvise
the ERC
in resolving the issues with the utility.Slide39
Case StudySlide40
Project involves:
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 StudySlide41
Is the utility reimbursable?If so, by whom?
Does the utility need to secure permanent right-of-way?If so, why?If not, why not?
Case StudySlide42
Utility Companies
Several issues utility owners have had with LPA utility coordination
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 “Pre-construction” meeting when they had not received a Notice to Proceed
LPA project lettings are often delayedSlide43
Questions?