LPA – Utility Coordination - PowerPoint Presentation

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LPA – Utility Coordination

Natalie Parks, P.E.

American

Structurepoint

, Inc.

Utility & Railroad Coordinator

June 11, 2015

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Today’s Topics

Basic INDOT/LPA Program

Key People

Utility Coordination Process

Submittals

Agreements

Work in Contract

Case Studies

Utility Company Comments

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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.

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INDOT/LPA Program

INDOT is Involved on an LPA Project When Federal 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

8

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LPA Utility Coordination

Key people

LPA Employee in Responsible Charge (ERC)

LPA Design Project Manager

Utility Coordinator

Utility Personnel

INDOT Project Manager

Right-of-Way Manager

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LPA Utility Coordination

Responsibilities of Key People: LPA ERC

According to LPA guidance document (1-1.04), “overseeing Utility and Railroad relocatio

n work”

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LPA Utility Coordination

Responsibilities of Key People: LPA ERC

Review

and approve requests form 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

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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 utility coordinator

Responsible for watching cash flow

Signs the work plan as the project manager

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LPA Utility Coordination

Responsibilities of Key People: 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

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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

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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

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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/Construction

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LPA Utility Coordination Process

Follow the 105 IAC 13 rules and allow the appropriate time for responseCopy project owner representative on all submissionsInclude INDOT PMInclude MPO if funding is coming from that agencyINDOT’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

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Research Phase:Many municipalities do not have a permit programRely more on:Indiana 811Field visitsField surveysUse previous project information if availableTalk to the LPA utility/engineering dept.

LPA Utility Coordination Process

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Initial Notice:Do not need to contact Phil Ivy or Troy BoydProvide an aerial view of the project areaRequest information regarding any property interestsBring utilities to the table around verification plans to discuss Right-of-Way needsEstablish need for replacement property if the right-of-way acquisition causes the subordination of compensable property rights

LPA Utility Coordination Process

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LPA Utility Coordination Process

Tracings Submission should

include:

Utility Work Plan/Relocation Drawings from each utility or Letter of No Conflict

LPA/Utility Reimbursement Agreement for each reimbursable utility

Utility FMIS authorization letter or e-mail

Utility

Certification

Note: a certification must be signed by an oversight agent if there exceptions. Forward LPA certifications need OSA signatures to Steve Robinson

Utility Special

P

rovisions

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LPA Utility Coordination Process

Reimbursable Agreements

Use the INDOT LPA Agreements as established by INDOT General Counsel

Should build in approximately 4 months into the schedule when agreements are needed

Should submit to INDOT prior to sending to utilities

Should submit to LPA Counsel prior to sending to utilities

Remind LPA that the agreement is approved by INDOT General Counsel and all revisions must be approved by them

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LPA Utility Coordination Process

Plan Approval

Prepare Notice of Plan Approval and provide to LPA ERC for signature

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

awareded

NOTE: This is a result of utilities being “gun shy” due to the number of LPA projects that have been delayed

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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

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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

INDOT

Central Office – Kenny Franklin, Statewide Director

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Escalation Chain

DOCUMENT

EVERYTHING

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Reimbursable Relocations

Too

often a local public agency will find out TOO late in a project that there is an sizeable REIMBURSABLE utility that negatively impacts the project

Utility coordinator should provide a list of all confirmed reimbursable utility relocations at the end of Stage 1.

One (1) large reimbursable utility can create a critical cost that may have a severe impact such that a LPA cannot move forward with their project.

Or worse, become a burden afterward

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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 3 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.

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LPA Utility Relocation Agreements

Municipal Agreements

Reimbursable – LPA will usually push for municipal water & sanitary work to be in contract

Agreement is required if the Utility Board is a separate entity from the Board of Public Works (or the “owner” of the project)

Agreement is NOT required when the two entities are the same

Non-reimbursable – the LPA can opt to have the work done in contract to upgrade, etc., but this will not be reimbursable

Work in-contract Agreement

The utility will pay 100% of the cost

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Work in Contract

Early on (Stage 1) ask the utility companies to consider including their relocations in the LPA project.

Benefits – Why do we recommend WIC :

Allows better overall construction coordination with the contractor in control of the scheduling

Reduces, and hopefully can eliminate, 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”.

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Work in Contract

SECTION 5 – REIMBURSEMENT (WORK IN-CONTRACT)

Example Breakdown in Agreement:

“(a)

20

% 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)

20

% 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

20

% of the cost of relocating the Utility’s facilities. (See exhibit “B”). “

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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, the LPA is agreeing to include the utility work in their contract with the Contractor, which is being bid by INDOT. INDOT will invoice the LPA for their portion of the work and the LPA will then invoice the utility for their portion of the work.

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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

.”

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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.

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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

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Work in Contract

SECTION 5 – REIMBURSEMENT (EXAMPLE SUMMARY)

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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% Federal funds.

Any cost overruns or claims should be approved and paid for at the same percentages as the original contract.

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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 addition work without prior authorization.

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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.

I

f an invoice is incorrect or inappropriate, a

dvise

the ERC

in resolving the issues with the utility.

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Case Study

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Project involves:Municipal utility relocationRight-of-way limitationsLift station AND Booster StationPortions of utility on documented, exclusive easementProject owner owns the utilityUtility requires relocation due to new roundabout & MSE walls

Case Study

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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 Study

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Case Study

Case Study

Case Study

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Case Study – Existing

Pipeline Company has a 14” diameter gas pipeline that crosses an existing road that the LPA is proposing to add a lane.

Existing pipeline has a casing pipe that extends 5 ft. beyond the existing paved shoulder.

New pavement will extend beyond the end of the casing.

Pipeline Profile: The top of the pipeline is 6 ft. below the proposed pavement.

Existing pipe is structurally inadequate for the loading

without

a casing pipe.

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Pipeline Company requested 100% reimbursement.Claim – Lose the ability to access the end of the casing pipe, therefore will not be able to slide the pipe out for future maintenance.They proposed 2 possible options and relocation costs: Option #1: Bore and install a new pipeline with thicker walls under the new wider pavement.Option #2: Open cut pavement, remove the existing casing, and provide maintenance to the existing pipeline, and install a no-load slab over pipeline.

Case Study

Exercise

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What costs are reimbursable? Option 1: New pipe bored in placeOption 2: Remove CasingInspect and provide maintenance to coating under casing.Install no-load slab Note: Current Industry Design Standards no longer recommend a casing pipe be used due to cathodic corrosion.

Case Study

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INDOT’s Response:Pipeline is in conflict with the roadway improvements due to the inadequate structural capacity of the pipe.Option 1: Only the segment of the pipeline between the existing roadway right-of-ways is within an easement with property interests, and therefore is eligible for reimbursement.Option 2: Removing the casing and inspecting the pipe’s outer wall coating is a maintenance item, and therefore is not reimbursable.Neither of these options proposed by the utility company will allow for future maintenance.

Case

Study

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INDOT’s Response:Therefore only the no-load slab over the section of pipeline within the easement is reimbursable.It is the Utility Company’s decision on either boring and installing a new line, or open cutting and removing casing, and installing the no-load slab.The Utility Company should coordinate with LPA’s contractor to schedule open cut when road is shutdown.

Case Study

Practical Exercise

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Utility Companies

Several issues utilities 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 delayed

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Subconsultant Utility Coordinator

When to use a

subconsultant

when your firm is prequalified?

1.) Relatively low experience level

2.) Difficult project

3.) Many reimbursable utility relocations

4.) Accelerated project development schedule

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Questions?