La. Admin. Code tit. 70 § II-529

Current through Register Vol. 50, No. 11, November 20, 2024

Section II-529 - Utility Relocation

A. The DOTD shall enter into an agreement with each utility owner to provide for adjustment of utilities in conflict with proposed highway construction. Utility agreements must be completed on forms approved by the DOTD. Copies of approved agreement forms may be obtained from the district utility and permit office. Also available are:

1.Guide for Completing the Agreement for Relocating Utilities;

2.Guide to Invoicing Procedures for Utility Relocation Projects;

3. FHPM 1-7-2 "Administration of Negotiated Contracts";

4. FHPM 6-6-3-1 "Utility Relocations, Adjustments and Reimbursement";

5. FHPM 6-6-3-2 "Accommodation of Utilities";

6. 23 CFR 713 Subpart B;

7. Secretary's PPM No. 22 "Employment of Consultants";

8. Alternate Procedure for Approval of Federal-Aid Utility Agreements, all of which are contained in this manual.

B. Overview of Procedures and Sequence

1. The district utility and permit specialist prepares a preliminary utility relocation cost estimate, and enters it into the utility database.

2. The headquarters utility and permit specialist requests funds for the project. If it is a federal aid project, the estimate shall be transmitted to the Federal Highway Administration by the DOTD's Federal Aid Unit at this time, in order to comply with the alternate procedure.

3. DOTD transmits construction plans and notifies the utility owner (company, town, water district, etc.) by preliminary engineering authorization letter that the owners' facilities must be relocated or adjusted because they are in conflict with a scheduled project.

4. As soon as practicable after the preliminary engineering letter, the district utility representative and utility owners' engineer or representative meet on the project site and compile a list of facilities to be relocated or adjusted. Note that because of difficulties with obtaining plans, this step may occasionally occur prior to the previous step.

5. The utility owner may elect to employ a consulting engineer to handle its utility adjustments. The utility owner must request DOTD's approval for the employment of a specific consulting engineer in advance of finalizing the engineering agreement, stating the reasons for requesting a consultant, usually because the owner has no qualified engineering personnel. A copy of the proposed engineering agreement showing the amount and method of payment of the engineering fee, a detailed breakdown of the manner in which the fee was established, a preliminary estimate of utility costs, and a certification of consultant shall be submitted with each request. Services performed under existing written continuing contracts may be approved where it is demonstrated that such services are regularly performed at reasonable costs for the utility in its own work. When time is a governing factor, conditional approval may be granted subject to later submittal of the above.

6. The DOTD and/or FHWA approves or disapproves employment of the specified consulting engineer, subject to FHPM 1-7-2 and Secretary's PPM 22.

7. The consulting engineer and utility owner negotiate a contract for doing the necessary engineering work in accordance with the provisions of FHPM 6-6-3-1, with the fee schedule based on one of the methods or combinations thereof, set forth in FHPM 1-7-2. A copy of the contract and the certificate required are forwarded to the Headquarters utility and permit section, DOTD, for review and concurrence nonconcurrence. A detailed breakdown of the engineering fees should be included in this transmittal. Some consulting engineers may have a continuing contract with utility owners under which the necessary relocations or adjustments will be handled. In this case, a copy of the continuing contract should be forwarded with the estimate for engineering work, together with an upset maximum quotation where the continuing contract provides for fees based on actual costs. Note that the consulting engineer will receive public funds, therefore his records are subject to audit.

8. Reimbursement for services provided by consultants who do not comply with DOTD policies, or who fail to meet the deadline for submitting utility relocation agreements on any project or permit may be disallowed. The utility will be informed of this situation when requesting approval for a consultant. The utility may elect to use the consultant at its own expense, or to select another consultant.

9. Based on the required right-of-way, a cost allocation is prepared by headquarters utility personnel specifying the shares of the utility adjustment cost that are to be borne by the DOTD and utility owner.

a. Utility facilities located on private servitudes, or on property owned in fee, are private property and payment for taking or damaging that property must be made when relocation is necessary to accommodate a highway improvement. These facilities need not necessarily be relocated to new private servitudes; they may be relocated within highway right-of-way when the presence of such facilities are consistent with the policies of the DOTD.

b. Utility facilities once located on private property, but that were relocated to accommodate a highway project or that were allowed to remain in place after the DOTD acquired the right-of-way, maintain "prior rights," in that the DOTD will continue to be liable for the cost of adjusting these facilities on all future highway projects. Note that except for being reimbursed for adjustments, these facilities must meet all other DOTD requirements for occupying highway right-of-way.

c. The liability for adjusting utility facilities occupying highway right-of-way must be borne by the utility, except for those cases where the utility has prior rights. The utility must provide proof of prior rights before the DOTD will assume this liability (i.e., a copy of a utility agreement, the agreement number, or proof of the date of the installation).

d. The DOTD assumes the rights listed above for new roads that are added to the DOTD's highway system, and when performing work for off system projects (projects on roads not owned by the DOTD).

e. Parishes and municipalities maintain their reimbursement status ("prior rights") when a parish or municipally owned road is taken into the DOTD's system for those facilities that are in place at the time the road is added to the system. It is the municipality's responsibility to provide evidence of the DOTD's liability.

f. The DOTD assumes liability for all costs involved in reinstalling lighting systems which were removed due to highway construction (See EDSM II.2.1.9 for Lighting of Roadways and Structures).

g. Should any abandoned water wells be encountered on construction projects, the DOTD assumes liability for all costs involved in plugging the well. All abandoned wells shall be properly plugged and sealed in accordance with R.S. 38:3094. Plugging and sealing abandoned wells should be performed as follows.

i. It should usually be included in the DOTD's construction plans.

ii. It should be handled by a plan change when the abandoned well is encountered after the project has been let to contract.

iii. It may be included as part of a utility agreement when the local water system is performing other adjustments on the project, and when the local water system is capable of this action.

h. Individual or private owners' adjustments are handled by the DOTD's real estate section; however, the district utility and permit specialist shall provide a location list for the headquarters utility and permit section to forward to the real estate section.

10. The consulting engineer or owner does the necessary field engineering, prepares plans for the utility adjustment, estimates costs (including a detailed estimate of preliminary and other engineering costs), and prepares a clear concise statement of work to be done (including the estimated number of working days for construction). The Guide for Completion of Agreements should be used for this.

11. Next the consulting engineer or owner prepares agreement forms and compiles them with the statement of work, cost estimate, and plans, into the formal Articles of Agreement. The utility owner then executes the agreement form by signing it and having two witnesses sign it.

12. Normally the Articles of Agreement package (two copies of the agreement and six copies of the statement of work, cost estimate, and plans) is sent to the DOTD's district utility and permit specialist for review and recommendations. At this time the district utility and permit specialist works out corrections and/or changes with the consulting engineer and/or the utility owner.

13. All agreements, both federal and state, must be submitted by the federal deadline (usually six or seven weeks prior to the letting).

a. Failure of consultants to meet this deadline may affect their approval on future projects.

b. Permit applications may be suspended and/or existing permits revoked for those utility owners who fail to meet this deadline.

c. Failure of utility owners to meet this deadline may jeopardize their reimbursement.

d. Utility owners failing to meet this deadline are still responsible for relocating their facilities, and for submitting drawings to the DOTD for approval.

14. After the district utility and permit specialist's review is complete and all components of the Articles of Agreement are in order, the copies are sent to the headquarters utility and permit section.

15. Headquarters utility and permit section personnel review the Articles of Agreement documents, coordinate any modifications not already handled, and complete the execution of the Articles of Agreement. Copies of the executed agreement are distributed as follows:

a. headquarters utility file-one complete original agreement with all attachments;

b. utility owner-one complete original agreement with all attachments;

c. audit DOTD-agreement and estimate only;

d. district utility and permit specialist-one complete agreement with all attachments;

e. project engineer-two complete agreements with all attachments;

f. Act 258 file-drawings only.

16. If utility adjustments are to be done by the utility owners' forces, or by a continuing contract, authorization to begin work is given at time of approval of the agreement. If to be done by a contractor selected by bids, authorization to proceed with solicitation of bids is given in lieu of authorization to begin work.

17. The utility owner or the utility's consulting engineer recommends award of contract (usually to the lowest qualified bidder). Before the contract is awarded four copies of a tabulation of bids, specifications and the recommended bid are sent to the headquarters utility and permit section for the DOTD's concurrence.

18. The headquarters utility and permit section reviews the recommended bid, and either concurs in the award of the contract to the recommended qualified bidder and authorization to begin work is given, or recommends rejection of all bids and a re-solicitation of bids is requested.

19. Authorization for work is given in three stages.

a. First stage authorization is given by the headquarters utility and permit section. This assures that funding is available, and that all paper work is complete and in order.

b. Second stage authorization is given by the district utility and permit specialist. The district utility and permit specialist is responsible for coordinating all aspects of the design and construction of a utility project.

c. Final authorization is obtained from the project engineer. The project engineer is responsible for the entire highway project, including coordinating each utility relocation with all other work. Therefore, the utility may not begin actual construction until the project engineer has given his approval.

20. All work is to be coordinated with the project engineer. He must be able to verify and approve all construction charges submitted to the DOTD by the utility company.

21. The utility company will accumulate costs and submit a final billing to the district utility and permit specialist, who will secure verification of major quantities included in the billing from the project engineer. The billing must conform to the Guide to Invoicing Procedures for Utility Relocation Projects. The billing must be signed by both the district utility and permit specialist and project engineer, and then submitted to the headquarters utility and permit section for further processing.

22. Beginning and ending dates of work, as well as explanations of overruns or underruns in excess of 10 percent deviation from the estimate, must be submitted with the final billing.

23. Partial invoices may be submitted as work progresses; a minimum retainage of five percent will be held by the DOTD pending an audit. All billings must comply with the Guide to Invoicing Procedures for Utility Relocation Projects.

24. The headquarters utility and permit section will forward final invoices to the audit section for the purpose of verifying costs billed. The headquarters utility and permit section initiates payment of the DOTD's prorata share of eligible charges for partial invoices and audited final invoices.

C. Location and Survey Phase

1. Prior to beginning the location survey, the survey party chief shall obtain the names and addresses of all utilities with facilities in the area to be surveyed. This list shall be transmitted to both the headquarters utility and permit engineer and the district utility and permit specialist. The district utility and permit specialist will verify the names and addresses, and will provide addresses not furnished.

2. Any utilities found in the project area during or after the location survey, that were not included in the initial list, shall be promptly reported to both the headquarters utility and permit engineer and the district utility and permit specialist.

3. After preliminary engineering authorization is given to the utility, the district utility and permit specialist or the survey party chief may request assistance in locating facilities from the utility. Note that work performed by a utility prior to this authorization is not reimbursable; however, it is often in the utilities best interest to render this assistance. The survey party chief shall inform each utility of the DOTD's survey schedule, and coordinate efforts toward obtaining the necessary survey information with minimum efforts expended by all parties involved.

4. Individual or private owners' adjustments are handled by the DOTD's real estate section; however, these owners shall also be requested to assist in locating their facilities.

5. The survey party shall locate each pipeline and determine its angle of crossing, profile, diameter, operating pressure, vent locations, casing length, etc., each communication pole, powerpole, underground cable and all appurtenances, all water valves and meters, fire hydrants, gas meters, etc., and shall determine their position relative to:

a. the surveyed line;

b. the centerline of the existing highway if the survey is on an existing road and/or when making a line change;

c. the centerline of the offset line when the survey is made on an offset line;

d. the centerline of cross roads where utilities are located within both the project limits and the right-of-way limits of the cross road.

6. Horizontal and vertical measurements shall be made to the nearest 0.1 foot.

7. The survey party, in consultation with the district utility and permit specialist, must use judgment on the length of pipeline to be profiled. Requirements are predicated on terrain, pipeline size, expected right-of-way width, etc. In the case of meandering pipelines, care must be taken to get sufficient measurements to describe its path.

8. All utility location data, as described above, shall be recorded on Form 03-24-0006 "Utility Location (Pole) (Underground)," as shown below. The survey party shall assist the district utility and permit specialist as follows.

a. The survey party shall obtain the information needed to prepare the utility survey list (Form 03-24-0006) from each utility, and after completing the form, forward it to the district utility and permit specialist. The district utility and permit specialist shall assist the survey party when there is difficulty obtaining assistance from a utility.

b. Dates of installation shall be determined by the district utility and permit specialist as necessary. It is only necessary to determine these dates when it is suspected that the utility was installed prior to the highway, or in the case of municipalities, prior to Act 40 of 1955, known as R.S. 48:191-193.

c. Copies of the utility survey list (Form 03-24-0006) shall be submitted to the district utility and permit specialist and the design section.

d. A utility survey list shall not be valid after a period of five years. Therefore, a new utility survey should be performed when a period greater than five years occurs between the completion of the utility survey list and the completion of the cost allocation notification.

D. Design Phase

1. The design section will forward preliminary highway construction plans, cross-section sheets and utility sheets (if any) to both the district utility and permit specialist, and the project engineer. The project engineer will work with the district utility and permit specialist and the utility as needed in locating existing utilities, compiling Utility Location Lists (Form 03-24-0006), project staking, etc.

2. Upon receipt of preliminary plans from the design section, the district utility and permit specialist shall:

a. review list of utility owners and advise of any additional owners;

b. enter the preliminary cost estimate into the ES data screen, and advise the headquarters utility and permit section when this is completed. Note that this estimate shall be revised by either the district or headquarters specialist as the project advances; funding shall be adjusted by the headquarters utility and permit section to reflect these revisions as necessary;

c. review drawings to determine if all utilities are shown, and inform the design section of any omissions or inaccuracies;

d. complete the Utility Location Lists (Form 03-24-0006) and meet with each utility, on site, to correct any errors or omissions. The appropriate disposition for each facility must be indicated on the list (i.e., remain, relocate, lower, encase, etc.). A copy of the list should be transmitted to the utility and to the headquarters utility and permit section; when the utility returns a signed copy to the District Utility and Permit Office, a copy of the signed list should be transmitted to the headquarters utility and permit section. Note that location lists should be transmitted to the headquarters utility and permit section at least eight months prior to the letting date, and preferable 12 months prior to the letting;

e. if the utility location lists reveal substantial changes in existing utilities, either in the form of additions, deletions or location corrections, the district utility and permit specialist shall forward the lists to the design section so that the changes may be incorporated into the construction plans.

3. District utility personnel shall obtain the agreement from the utility prior to the federal authorization date. Note that Approved Drawings may be used in place of an agreement, and that the procedure is the same for either. Each agreement shall be reviewed by the District Utility Office by:

a. ensuring that the utility's proposed adjustments conform with DOTD policies and standards. Note that a Pipe Data Sheet for Proposed Installations must be submitted for each pipe located on the highway right-of-way that is covered by the agreement;

b. ensuring that the utility's facilities shall not conflict with the highway project after adjustments are completed. Note that in some cases utility adjustments must occur during the same time period as the highway construction; in these cases the district utility and permit specialist and the project engineer must coordinate activities between the utility's contractor and the DOTD's contractor so that expenses and delays are minimized for all parties;

c. reviewing each agreement to ensure that it was completed in accordance with the Guide for Completing the Agreement for Relocating Utilities;

d. for each agreement a utility agreement checklist must be completed and signed by the district utility and permit specialist;

e. having the utility make all necessary corrections;

f. two original copies of the agreement and six copies of all attachments, and the utility agreement checklist shall be forwarded to the headquarters utility and permit section for final approval;

4. once approved, the headquarters utility and permit section shall distribute copies to the utility, project engineer, district utility and permit specialist, and ACT 258 file.

E. Construction

1. Utilities, driveways and other items occupying highway right-of-way must be in accordance with all DOTD policies and standards (these are summarized on the back of each permit form).

2. DOTD policy prohibits the issuance of blanket permits or agreements; a new permit or agreement is required each time work is performed on highway right-of-way.

3. The DOTD's contractor is liable for any utility adjustments required to facilitate use of his equipment, such as raising a conductor above the height required by the DOTD. Refer to the Louisiana Standard Specifications for Roads and Bridges for additional responsibilities of the DOTD and the DOTD's contractor in regard to utilities.

4. In order that the utility owners may proceed with the relocation of their facilities, the project engineer will furnish such stakes as required to establish lines, grades or other details indicated by the project plans to the extent normally required by a contractor.

5. The relocation or taking of utility facilities can be compelled under eminent domain laws (R.S. 48:441).

6. Notice to Proceed. The district utility and permit specialist will advise the utility when to begin work, with instructions that the utility must notify the project engineer prior to beginning work.

7. Preconstruction Conference. In accordance with EDSM III.1.1.7, a preconstruction conference with each utility is required, and a record of each conference must be made. This conference will normally be held jointly with the project engineer, district utility and permit specialist, DOTD's contractor, and all utilities. When utility adjustments are not to be performed concurrently with highway construction, the district utility and permit specialist may meet with each utility individually; however, this type of preconstruction conference should only be used when it is not possible to meet with all parties at once. At the pre-construction conference all parties shall be informed of work schedules, time schedules, and conditions requiring cooperative efforts. A complete understanding of utilization and occupancy of available right-of-way space, including the use of common ducts or ditches, should be reached between all parties. Work shall be scheduled to permit the orderly progress of all parties, and to minimize each parties time and expense.

8. Extra Work. Prior approval from the DOTD is required for additional work to be reimbursable. Procedurally:

a. either the project engineer, district utility and permit specialist, or utility will notify the other two parties of the circumstance necessitating additional work;

b. the utility prepares a change order and submits it to the district utility and permit specialist;

c. the utility and permit specialist reviews the change order and has the utility make any necessary corrections, and then forwards it to the project engineer for approval;

d. the project engineer reviews the change order, working with both the utility and district utility and permit specialist to correct any problems. Then the project engineer signs the change order, approving it. Note that the project engineer may elect to approve any portion of the change order by specifically disapproving the remaining parts. When this occurs, the project engineer must write a letter to the district utility and permit specialist explaining this action in detail. The change order is then transmitted to the district utility and permit specialist;

e. the district utility and permit specialist reviews and approves the change order by signing it and forwarding it to the headquarters utility and permit section;

f. after reviewing the change order, final approval is given by the headquarters utility and permit office.

9. Where necessary to prevent undue delay to or interference with the highway construction, the district utility and permit specialist, with the concurrence of the project engineer, may obtain verbal approval for extra work from the headquarters utility and permit engineer. The required change order must be submitted as soon as possible for approval. In emergency situations where there is danger to life and property, or where a substantial delay or cost increase may occur, the project engineer or the district utility and permit specialist may authorize additional work, provided that the headquarters utility and permit engineer is notified as soon as possible, and that the change order is submitted as soon as possible.

10. Minor Changes in Approved Work. The project engineer, with the consent of the district utility and permit specialist, may authorize minor changes in quantities or add minor items that are necessary to accomplish the intent of the agreement. Formal approval by the headquarters utility and permit engineer is not necessary; however, the final billing and the project records must adequately document these changes and the reasons for them.

11. Project Files. In accordance with EDSM III.5.1.1 separate files for each utility agreement must be kept by the district utility and permit specialist and the project engineer. All files must be maintained until the final invoice has been paid. The project engineer's completed files should be transmitted to the General Files Office, and the district utility and permit specialist's completed files should be transmitted to the district archives for storage.

12. Project Inspection and Field Records. The project engineer is required to make daily inspections of utility adjustment activities to insure that the adjustments are being accomplished in accordance with the requirements of the utility agreement and to furnish supporting documentation for payments to the utility. Form 03-40-3093 "Project Diary" is used to record the daily inspections; see EDSM III.3.1.2 for instructions. There are three types of utility agreements, lump sum, actual cost, and approved drawings. The information required for the utility diary is as follows.

a. Lump Sum Agreement. Tracking labor, materials, or salvage is not necessary. Emphasis should be placed on a description of work accomplished, and must be in sufficient detail to substantiate payment of invoices and certification that the work was accomplished in accordance with the agreement.

b. Actual Cost Agreement. A daily record of the number and classification of work force, equipment, material used, material salvaged, work accomplished, and any other information that may be of assistance in the verification of invoices is required.

c. Approved Drawing. Only a description of work accomplished, in sufficient detail to indicate that the work was accomplished in accordance with the drawings and with the DOTD's standards, is necessary.

13. All excavations within the right-of-way must be backfilled with suitable material and tamped in 6-inch layers to the approximate density of the adjacent undisturbed soil, in accordance with normal DOTD policy. A portion of the backfilling, especially beyond the limits of construction, may be visually accepted provided that the visual acceptance is noted in the utility diary. However, the project engineer shall take as many density tests as necessary to ensure that each layer of backfill meets the density requirements. The density tests are to be recorded on Form 03-22-0750 "Density and Moisture Content Work Sheet" and made part of the permanent records of the utility agreement.

F. Billing and Reimbursement Phase

1. All invoices shall be processed in accordance with the Guide to Invoicing Procedures for Utility Relocation Projects. The appropriate information shall be entered into the invoice database (IN) as the invoice is processed. It is to the DOTD's advantage to process final invoices as quickly as possible while the details are easily obtained; therefore, all parties should make every effort to obtain and process final invoices as soon as possible after the utility adjustments are complete.

2. For actual cost agreements:

a. the utility shall accumulate costs and submit a partial or a final billing to the district utility and permit specialist for verification and approval;

b. the district utility and permit specialist transmits the invoice to the project engineer for verification of major quantities and work, and for approval. Note that the project engineer may elect to approve a portion of the invoice, by taking exception to the remainder. When this occurs, the project engineer must write a letter to the district utility and permit specialist explaining the exception in detail. This letter is used by the headquarters utility and permit section and the audit section to determine and justify the final amount of reimbursement to the utility;

c. after signing the invoice, the project engineer shall return it to the district utility and permit specialist. The district utility and permit specialist shall resolve any problems, sign the invoice, and transmit it to the headquarters utility and permit section. If it is a final billing, the district utility and permit specialist shall complete and attach a final invoice checklist to the invoice, and include the beginning and ending dates with the transmittal. If there is a deviation of 10 percent or more from the latest estimated amount (including all bids, change orders and other revisions), then the district utility and permit specialist must include an explanation of the deviation;

d. the headquarters utility and permit section will pay up to 95 percent of each invoice prior to the audit. Invoices that are complete and final, and that have all of the required information, shall be submitted to the audit section for an audit.

3. For Lump Sum Agreements

a. The utility shall accumulate costs and submit a final billing to the district utility and permit specialist for verification and approval.

b. The district utility and permit specialist transmits the invoice to the project engineer for verification of work, and for approval.

c. After signing the invoice, the project engineer shall return it to the district utility and permit specialist. The district utility and permit specialist shall resolve any problems, sign the invoice, and transmit it to the headquarters utility and permit section along with a completed final invoice checklist.

4. Utility vouchers are completed and submitted to the financial services section, along with a copy of the invoice, for payment.

5. The financial services section processes the voucher and submits a check to the utility and permit section.

6. The utility and permit section records the check and transmits it to the utility.

7. All files are closed and transmitted to the microfilm unit for storage.

8. A complete and final invoice meeting the requirements of both the utility invoice checklist and the Guide to Invoicing Procedures for Utility Relocation Projects must be submitted to the district utility and permit specialist, by the utility for each actual cost agreement.

G. Utility Relocation Assistance Funding (URAF). When a publicly owned, nonprofit utility is not able to bear its share of the cost for adjusting its facilities to accommodate a highway project, it may apply for funding under R.S. 48:381(C). Please refer to the section of the manual entitled "Statutes."

H. Act 258 Compliance. R.S. 38:2223 (ACT 258) is printed in full in this manual. The DOTD interpretation and procedure is as follows.

1. Prior to the full work order being issued to the DOTD's contractor, by the project control section, the headquarters utility and permit section must notify each utility located in an area where a highway project involving utility adjustments is planned.

2. The utility complies with ACT 258 by:

a. if no agreement was executed and no drawings were submitted, the utility must submit a diagram or plat showing the correct location of all of its facilities located near the highway project, in relation to the highway project;

b. the utility is considered in compliance if it submits relocation drawings, informs the headquarters utility and permit section of this in writing, and includes the agreement number or the approved drawings number. The utility should also submit a diagram or plat showing the location of any additional facilities not shown on the original drawings. If the utility fails to comply with Act 258 within 30 days of the notification mentioned in §1329. H.1, the utility assumes full liability for any damage to its facilities resulting from highway construction, until the utility complies with ACT 258.

3. After the project control section issues a full work order, the utility and permit section transmits the drawings submitted by the utilities to the DOTD's contractor. Additional drawings submitted by the utilities are transmitted to the DOTD's contractor. The DOTD's contractor is liable for all damage to utility facilities indicated on the drawings, once they are transmitted.

La. Admin. Code tit. 70, § II-529

Promulgated by the Department of Transportation and Development, Utility and Permit Section, LR 20:317 (March 1994).

AUTHORITY NOTE: Promulgated in accordance with R.S. 48:381, 38:2223.