CHAPTER 12
INCIDENTAL CONSTRUCTION
12.00 UTILITIES
12.01 UTILITY RELOCATION
The Utility Section of the Right of Way Bureau is responsible for providing notice of proposed department highway projects to the known utility companies that have facilities in the vicinity of the project and for preparing and negotiating agreements for reimbursable facility relocations. Utilities involved may include above or below ground facilities such as water, gas, power, communication, storm sewer, sanitary sewer, drainage tiles or other like systems
Utility relocations are governed by:
■ Iowa DOT Policy & Procedures Manual, Policy 500.06
■ Iowa Administrative Code 761—115 restated in the Utility Accommodation Policy of the Iowa Department of Transportation
■ Federal-Aid Policy Guide: 23 Code of Federal Regulations, (CFR) Part 645 - Utilities, Subparts A, B and C
Iowa Administrative Code 761-115 (306A) identifies conditions under which utilities may be allowed within primary and interstate highway rights-of- way. Application for use of the highway rights of way includes a statement negating consequential damage for a utility break.
Prior to project letting, preliminary plans should be reviewed by RCE and District staff to assure that all utilities have been identified. As utilities develop their utility relocation plans, RCE and District staff may be contacted to provide assistance in plan interpretation and utility accommodation.
During construction, inspectors should review project plans and utility agreements to identify utility relocation work required. Section 115.10 of the "Utility Accommodation Policy" specifies construction responsibilities and procedures for utility construction work. When inspecting utility installations, the inspector should accurately identify depth and location of underground utilities to ensure that permit is followed. When acquired, this information should be transferred to "as built" plans.
Utility Coordination Procedures
IAC 761-115.25 through 115.30 outline the utility coordination process for the department. One of two processes is used to coordinate utility relocations: either POINT 25 or Non-POINT 25. The process termed "POINT 25" implements the procedures set out in these administrative rules and applies to all state highway improvement projects except for those projects the department develops on an accelerated schedule and those projects with no anticipated utility adjustments. PPM 500.06 further defines the department’s role in utility adjustments for highway projects. The department utilizes the Iowa Guide to Utility Coordination to assist in coordinating these utility adjustment activities.
Utility facilities can generally be divided into two classes:
CLASS 1
Utility facilities within the public rights-of-way.
Utility facilities presently located within the limits of an established public highway are generally there by permit. Facilities falling under Class 1 must be relocated to accommodate a highway improvement at the sole expense of the utility company upon receipt of official notice to do so from the Iowa Department of Transportation.
CLASS 2
Utility facilities locate outside the public rights-of-way.
Utility facilities occupying private property adjacent to but not within an established highway right-of-way, usually located on private easement acquired from owner of property occupied or relocations necessitated by interstate construction, require relocation agreements. Facilities falling under Class 2 require a written agreement between the Iowa Department of Transportation and the utility owner whereby the Iowa DOT will pay for all or part of any relocation of their facilities caused by highway improvement.
For these utilities, the Utility Section will prepare an agreement between the utility company and the Iowa DOT describing how relocations are to be accomplished, where facilities are to be relocated, and relocation costs to be reimbursed by Iowa DOT.
RCE should carefully read the agreement, particularly the exhibits which denote method of relocation and location of facilities before and after construction. Utility relocation shall be in accordance with relocation agreement and current "Utility Accommodation Policy."
Should it be found during construction that facilities cannot be relocated as shown in agreement, a Change Order may be executed indicating this change in agreement and approximate estimated costs. This Change Order should be executed and filed in the same manner as other Change Orders. A copy of approved Change Order must be sent to the Utility Section to assist in review and audit of invoices. Supplier Invoices and payments due the utility company will be originated by the Utility Section including final payment after an audit of the company's cost records. Normally, reimbursement due the utility company is the actual cost incurred. Costs shown in agreement and in Change Order indicate only the basic range of costs and items involved. Assistance in preparing Change Order may be obtained from the Utility Section and from Construction Manual Chapter 2.
Should a utility adjustment become necessary for which no prior agreement exists, details normally shown on profile plans should be submitted to the Utility Section with a request to prepare an agreement for the work required. If project has been let, a determination will be made by the Utility Section, DCE, and RCE to either prepare an agreement or process a Change Order to the project to be paid by general external voucher.
Reporting Agreement Work Status
The Utility Company shall advise the district of the date and schedule for the agreement work.
When work is completed, "Certificate of Completion and Acknowledgement of Utility Work" (Form 517112) shall be prepared as per Construction Manual
12.04. A copy of this form can be found at https://iowadot.seamlessdocs.com/f/CertificateofCompletionandFinalAcceptance. The "field completion date" to be documented on this form should be verified with the utility company's representative to ensure that all billings are representative of work performed through the date of completion.
12.02 UTILITY RELOCATION - FEDERAL AID PROJECTS
Ordinarily a utility company will be reimbursed for relocating their facilities in only two cases:
■ On interstate project where federal participation is 85% of cost
■ Where utility is located on property acquired for right-of-way purposes in which utility company has compensable real estate interest
Procedure
The Utility Section is responsible for obtaining a formal agreement with each utility company, or other utility owners, whose property is affected by proposed highway construction. Agreements will be initiated as soon as construction and right- of-way plans are sufficiently advanced so extent of utility work can be determined.
The Utility Section will secure FHWA authorization on the basis of plans, cost estimate, and utility agreement. Where federal aid is to be claimed, authorization must be obtained prior to the start of any work by utility firm.
The DUC is responsible for action on utility adjustments after being furnished with copies of agreement and providing the letter authorizing utility owner to proceed with work pending notification to RCE. Job is then assigned to RCE.
The RCE and DUC should review utility relocation plans to determine that adequate details are provided to ensure compliance with "Utility Accommodation Policy." Dimensions from known reference points must be included to allow for inspection during relocation. When preliminary plans are used, RCE and DUC should conduct on-site review prior to relocation to assure that utilities will be located in accordance with "Utility Accommodation Policy."
Should additionally work or a change in approved work become necessary, approval should be obtained by use of a Change Order in the same manner as extra work is documented on a construction contract in accordance with Construction Manual Chapter 2. Copy of approved Change Order must be furnished to the Utility Section to assist in review and audit of invoices.
Should a utility adjustment become necessary for which no prior agreement exists, details normally shown on profile plans should be submitted to the Utility Section with a request to prepare an agreement for the work required. If project has been let, a determination will be made by the Utility Section, DUC, and RCE to either prepare an agreement or process a Change Order to the project to be paid by general external voucher.
Inspection
All agreements with utilities are subject to requirements set forth in Federal-Aid Policy Guide 23 CFR 645, Subparts A: "Utility Relocations, Adjustments and Reimbursement" and B: "Accommodations of Utilities". The DUC and RCE should have a copy on file in office.
The DUC or RCE must maintain a record of work done by utility company to verify that work is satisfactorily accomplished, and that proper credit is received for salvaged materials. An inspector can visit the work once or twice a day and obtain necessary information. When documenting information furnished by contractor or utility personnel, note contact's name with the information. Ordinarily, it is not necessary to assign a
full-time inspector to a utility relocation. However, in a residency with several such agreements, it may be desirable to give one person the prime responsibility of being familiar with all pertinent regulations and procedures and assigned the task of inspecting all utility work underway.
Guidelines for inspection procedure and documentation:
■ Read Sections 645.105, 645.113, 645.115 and 645.117 of Federal-Aid Policy Guide.
■ Review agreement to discover whether work is to be done by contract or by utility company labor; and method of computing cost, usually force account as per utility company procedure.
■ Notify utility company well in advance who to contact in resident office when they start work. They may receive no reimbursement for work done prior to notifying resident office, since we cannot record and verify work completed that we have not seen performed.
■ Use separate field book for each agreement.
■ On daily visits, record the following:
-Date
-Weather
-Time
-Hours worked or part of day
-Work in progress
-Number and classification of workers, i.e., supervisor, welder, etc. but not wage rate
-New material installed
-Major item only, i.e., cable and poles but not cross arms or insulators
-Hauling means for new material, company or commercial equipment in use and hours
-Work by utility personnel or contractor
-Salvaged material and valuation, reusable or scrap not dollar value.
In case of doubt on terminology, delivery means, rental, or evaluation, don't guess, ask the supervisor.
■ Utility company shall give inspector an opportunity to view the salvage. This includes notification of when it is available. Note in the field book any failure to see salvage. Auditor may take full value credit for any such salvage but must know about it.
■ Basis of payment for a Change Order can usually be the same as original agreement, force account. Major extensions of work or change of plan require a Change Order.
■ Frequently the utility company will be performing work outside the scope of the agreement concurrently with our work. Keep this separate by showing actual hours spent on each or by using a percentage of total day spent on our work. Utility company should use a separate work code for nonparticipating work.
■ When possible, obtain copy of utility company's daily report signed by the supervisor to supplement field book entries.
■ When inspection personnel observe a poor construction procedure or a problem with utility company contractor, corrective action should be discussed with utility company representative. Assurance is needed for proper construction methods within our right of way, but inspector should not deal directly with utility company contractor. Utility company may use an alternate method to obtain proper construction procedure. This deals primarily with underground utility relocation. The "Utility Accommodation Policy" specifies procedures required for utility relocation work. Work performed shall be to the satisfaction of the DUC or RCE and consistent with DOT specifications.
Verification and Payment
When utility relocation has been completed, utility company or municipality shall submit a billing to the Utility Section. After utilities negotiator reviews billing for conformity with agreement, an initial Supplier Invoice is prepared. Upon receipt of:
■ Final billing from a utility company or municipality and
■ "Certificate of Completion and Acknowledgement of Utility Work" (Form 517112) from DUC,
the Utility Section requests a review by External Audits. After audit, the Utility Section submits the final Supplier Invoice.
Reporting Agreement Work Status
The Utility Company and Project engineer shall advise DUC the date agreement work is started.
When work is completed and before an audit can be requested, a "Certificate of Completion and Acknowledgement of Utility Work" (Form 517112) shall be prepared as per Construction Manual 12.04. A copy of this form is in Appendix 12-1. The "field completion date" to be documented on this form should be verified with the utility company's representative to ensure that all billings are representative of work performed through date of completion.
12.03 CERTIFICATE OF COMPLETION AND ACKNOWLEDGEMENT OF UTILITY WORK (FORM 517112)
Preparation of Form 517112
After completion of utility agreement and acceptance of the work by the District Utility Coordinator (DUC), Form 517112 is prepared by the utility company and signed by DUC. An electric copy is sent to the DUC, who after signing, forwards the completed form to the ROW Bureau Utility Section for utility agreements.
Occasionally the design for new structures (bridges) will include provisions for carrying utility services across a river. An agreement with the utility company will usually provide for reimbursement to the state by the utility company for part of the extra cost. When project is completed and Form 640003 has been prepared, project engineer shall also
send a letter to the Finance
Bureau advising that work is completed, and they can proceed with the billing
as per agreement.
12.04 RAILROAD AGREEMENTS FOR HIGHWAY PROJECT ACCOMMODATION
The Rail Transportation Bureau of the Planning, Programming and Modal Division negotiates preconstruction agreements with railroads for primary road project accommodation where track has not been abandoned. The project engineer and DCE will receive a copy of the railroad/state agreement. Each preconstruction agreement must be reviewed by project engineer to determine work to be performed by the railroad, the state, and their coordination as well as conditions imposed on state's contractor to work on railroad right-of-way.
In 1997 the Federal Railroad Administration (FRA) established new regulations on safety. These new safety regulations are being incorporated into railroad company safety policies and are currently being applied as conditions that contractor’s must comply with when working on railroad right-of-way.
As a result of the new FRA safety regulations, it is anticipated that future preconstruction agreements with railroads for primary road projects will include very detailed safety and performance requirements. In the interim, the following are recommended items for consideration in administering projects with railroad involvement.
n RCE to verify that the Contractor has submitted evidence of railroad insurance coverage as required by the Proposal’s Railroad Data Sheet prior to the Contractor initiating construction.
n Thoroughly review railroad agreement and all contract documents to ensure that the provisions for the work to be performed, performance requirements, and railroad safety policies are clearly understood.
n Notify the appropriate railroad representatives, as identified in the contract documents, of the date for the preconstruction conference. Attendance by the railroad representative is very important to establish a clear understanding between the contractor, railroad, and construction residency staff prior to start of work. The following is a list of some of the points which should be discussed at the preconstruction conference:
· Railroad safety policies and requirements
· Railroad contacts and communication procedures
· Review of contractor’s work adjacent to and/or within railroad right-of-way for clarification of specific railroad requirements
· Railroad provisions and specific requirements related to temporary railroad crossings and flagger protection. A form for railroad flagger documentation is available at
https://iowadot.gov/construction_materials/inspection_tools/RR_FLAGGER_RECORD2.xls